smarter sanitation: how to clean up your sanitation and wastewater mess

7/31/2019 Smarter Sanitation: How to Clean Up Your Sanitation and Wastewater Mess

1/61


2/61

This section, Attitudes and Misconceptions, identifies some of themajor trends in thinking that are holding back the sanitation andwastewater management sector from making real progress. Thisthinking is prevalent among leaders and practitioners at all levels,

and for various reasons. Perhaps these ways of thinking werelearned from previous leaders or through experiences. Attitudes andbeliefs can be contagious though, spreading either positive ornegative thinking. Any kind of thinking that prevents progressdeserves to be challenged. Are the prevailing ideas based on realityand truth? If so, why? And the key question to make any genuine progress is: What must be donchange either the misguided thinking itself or the realities that seem to accurately support such thi

Business as usua l approach

Keep the same attitudes.

Keep following the same

misconceptions.

Keep believing nothing will changebecause the challenges are toogreat.

OR Business un usua l approach

Adopt new attitudes.

Realize that myths are not bas

on truths.

Realize misconceptions are bason wrong or incomplete informor orientation.

Believe that change is possible a new outlook on the sector an

begin sharing this new outlookwithin the workplace, with thepublic, and partners indevelopment.

One Major Attitude ProblemMajor MisconceptionsMaking Business Sense


3/61

There is a major debate within the water sector as a whole that presents two attitudes, which detetwo different directions to proceed from. There are those who argue that water is a social goodthpeople have a right to water because it comes from nature. There are others who oppose and arguwater is an economic goodthat water brings value to homes and businesses, involving costs that be covered. Perhaps this debate is best summarized by an example:

Ut i l i t y cus tomer : My water bill is too high; besides, why should I pay for water when i

comes from the sky?

Ut i l it y emp l oyee : Yes, sir, you are right. The water that falls from the sky is free and youare welcome to collect it or go out to the reservoir and take all you want. But, if you want thave safe water delivered to your houseavailable every time you turn on the faucetthen

you will have to pay us to store, transport, treat, pump, and send it through the pipes.

Like water systems, sanitation and wastewater systems can become subjects of this kind of debateexample, people have the right to a clean and safe environment, and therefore, the government mprovide sanitation and wastewater treatment for free. The social good of these services is providingpeople clean conditions. The economic good is saving people from costly, unnecessary diseases andable to attend school or work, in addition to averting wide-scale health epidemics.

The Asian Development Banks (ADB) water policy views water as both a social and economic goodis ADB's approved policy. Drinking water as a food/medicine, which should be bottled at treatment is the position of an ADB staff in a think piece which has not been peer reviewed or accepted as anposition. Access to water is now recognized as a human right in many countries. ADB advocates thagovernments and utilities ask people to pay for the cost of delivering water services, not the cost owater as a resource. These services have high costs, and they need to be shared by the consumers

Otherwise, the services cannot be effective and sustainable. On the cover of the book Asian Wate

SuppliesReaching the Urban Poor by Arthur McIntosh,1 is a picture of a household maid in Manilpays 900 pesos (P) monthly for water from itinerant vendors while her employer, who lives in a larg

home, pays only P200 a month. This disparity led Mr. McIntosh to write a section in his book aboutMyths, Misconceptions, and Realities in the water sector. One of the myths is that the poor cannoafford to pay for piped water supplies and will not pay for piped water. Separate research by ADB

water costs in 17 Asian cities supports the reality that the poor pay moreup to 10 times morefwater from private water vendors than what people pay for piped water utilities.


Continue the debate over water as either a

social or economic good.

OR Business un usua l approach

Agree to disagree on the debate.

Water is both a social and economic goo

Agree to solutions that will accomplish t

goals:

1) expand sanitation coverage to poor,

unserviced areas;

2) contribute to the sustainability and

efficiency of utilities and facilities; and

3) contribute to the financial viability of

utilities.

________________________________

1 Arthur McIntosh, Asian Wat er Supplies: Reaching the Urban Poor , Asian Development Bank , 2003, ISBN: 971-561-380-2.
http://www.adb.org/publications/asian-water-supplies-reaching-urban-poorhttp://www.adb.org/publications/asian-water-supplies-reaching-urban-poorhttp://www.scribd.com/doc/100388545http://www.scribd.com/doc/100388545http://www.adb.org/publications/asian-water-supplies-reaching-urban-poorhttp://www.adb.org/publications/asian-water-supplies-reaching-urban-poorhttp://www.scribd.com/doc/100388545http://www.scribd.com/doc/100388545http://www.adb.org/publications/asian-water-supplies-reaching-urban-poorhttp://www.adb.org/publications/asian-water-supplies-reaching-urban-poor


4/61

Some m a jo r m i sconcep t i ons abou t san it a t i on and w astew a te r t r ea tmen t p reven t p rog ress

Majo r M i sc on c ep t i o n # 1 : Infrastructure is too costly to implement.

We often tell ourselves that sanitation and wastewater projects are too expensive to implement.

Sanitation and wastewater treatment expansion is expensivethat is true. Comparatively, we needtimes the financing as water supply projects do but that does not negate the need. Let us considerpoint that the World Banks John Briscoe makes in his article When the Cup is Half Full: In just tfirst 10 weeks of the cholera epidemic in Peru, losses from reduced agricultural exports and tourismestimated at 1 billion dollars ($), or more than three times the amount invested in water and sanit

services in the whole country during the 1980s.

The cholera epidemic that Briscoe refers to occurred in early 1991, beginning with a number of casecholera reported in the coastal areas of Peru. Within a few weeks, the disease spread throughout Pand subsequently into numerous countries in the region. The suspected origin of the 1991-1992 chepidemic was the bilge water of a Chinese freighter in Lima, Peru. From there, the following incide

were recorded:

First cases reported near fish processing plant in Lima harbor;12,000 cases reported in Peru within 2 weeks;Rate of new cases reportedly increased to 2,500 per day within 12 weeks ;Cholera extended to all neighboring countries within 6 months;Cholera later also spread to Central America;Public health and economic impacts of the cholera epidemic were dramatic as shown in the

statistics below:506,000 cholera cases reported in Peru (942,000 in Latin America);2,900 deaths (8,622 in Latin America); and$1 billion lost in (fish and shrimp) exports and tourism. This represents about three timthe investment in water supply and sanitation infrastructure in Peru during the previousyears

Perus case of cholera epidemic illustrates how not investing in sanitation and wastewater can be a costly omission. They are not only investments that have an immediate impact on our environmenalso provide a significant amount of prevention against future health and economic catastrophes.


OR

Business un usua l appr oach

It is too expensive to invest in sanitation and

wastewater treatment.

First, commit to invest in these sectors and

necessary financing. Not doing so could be m

expensive. For example, loss of productivity

water and sanitation-related illnesses and po

outbreaks may result in additional healthcare

Second, prior to investing in sanitation and

wastewater treatment projects, assess where

alternative approaches to major infrastructur

be more suitable and sufficient.

Last, where new infrastructure truly is neede

projects are always accompanied by "soft" o

social-based components that are fully resou

to make the infrastructure sustainable.


5/61

Majo r M i sc on c ep t i o n # 2 : People are not willing to pay for the services they ge

Because the costs of living in unclean environments are the costs of diseasesadditional outlays fomedical services and medicine, inability to work and earn moneypeople will protect their health a

pay for that protection.

Oftentimes though, people resist the idea of paying for sanitation and wastewater treatment becauthey do not understand the three-way relationship between a lack of these services, their environmand their personal health. Most often, they may only understand the relationship between the lack these services and their immediate environment. A sense of smell and sight is often all that is need

know that the waste we produce is having an effect on our environment.

But it is another thing to know how that waste in the environment is seeping into groundwater andcontaminating water supplies that people are using and, consequently, getting ill from, for examplepoor can payand will be willing to payif they understand how a healthy environment will save tmoney on medicine and be able to earn more money by being healthy. We should, however, ask

ourselves what we are asking the poor to pay for: is it an elegant solution that far exceeds their ato pay, or a solution that they can afford?


OR


People are not willing to pay for sanitation andwastewater treatment, so we cannot consider

charging for these services or raising existing

tariffs to finance our projects or operations and

the maintenance of services and facilities.

Raise the public's awareness about the needsanitation and wastewater treatment as prev

against dangerous diseases and harmful

environments that are risks to their health a

ability to earn. With greater public understan

people will agree to pay for services that sa

them money by protecting their health and i

Majo r M i sc on c ep t i o n # 3 : The real need is for more infrastructure to solve thehealth and environmental problems caused by a lack of sanitation and wastewatetreatment facilities.

Because sanitation and wastewater treatment expansion is expensivefive times the amount needewater supply projectswhy are we depending so much on infrastructure for a solution? Over the layears, development assistance has clearly preferred the hard approachor infrastructureto solvwater and wastewater challenges. Infrastructure alone, however, has failed much of the developing

world. Yet, soft approachesawareness, capacity development, and non-large infrastructureinvestmentsare not taken seriously and invested in. The soft solutions are perceived and treated inferior to infrastructure. Infrastructure does not run itself though. People run infrastructure. They and their skills are needed to maintain it. Perhaps, infrastructure projects would prove to be moreeffective and sustainable, as evidenced in the ways that the community adopts the infrastructure, tcare of it and see that it lasts if soft approaches were incorporated as valuable or invaluablecomponents of infrastructure projects.

Similar to the debate over whether water is a social or economic good, the debate here is between

engineers and social scientists. Engineers, believing in the goodness of their field, often tend toconcentrate on solving a problem by building infrastructure capacity. Social scientists and managersbelieving in the goodness of their fields, think about solving a problem by building human capacity


6/61

Majo r M i sc on c ep t i o n # 4 : That international experts are the best minds to resoour problems.

Successful outcomes depend, to a very large extent, on commitment by all stakeholders, including

government, civil society, nongovernment organizations (NGOs), the development community, and private sector. Commitment comes from understanding the problem and agreeing to the solution. Ihave been involved in overseas development projects, you are familiar with the top-down approadevelopment agency studies the situation and recommends a solution to government. All too often

choice is made with little or no input from end users and civil society. Sometimes, the developmenagency mandates a particular solution even when the government may not totally agree. What hapThere is no commitment or ownership by either the central government or at the local level. The p

eventually takes place but, to no surprise, the intended benefits do not fully materialize. Years passthe infrastructure fails due to lack of care and maintenance. This is a primary example of continuindo business as usual although the intended results are never achieved.

Development agency representatives and international consultants do have the international experiOutside experts can bring a fresh perspective and a wealth of information about approaches aroundworld. Outside experts are also independent and not part of the hierarchy, so their opinions usually

not be colored by local influences.

However, in order for their suggested solutions and recommendations to be better suited to local

situations, they have to work hand-in-hand with internal experts. So rather than reject their ideasimmediately, why not think about how you could modify them to work in your local context? Ifdevelopment agency representatives and consultants are external experts, you are the internal exp

They need your knowledge and active participation. Yet, both sides must seek and offer this to oneanother.

Consider the following two scenarios of the same situation. They illustrate how working with adevelopment agency representative or consultant is usually handled (business as usual) and how itshould be handled (business unusual). There is a meeting between a development agency represen

an international consultant, and the head of a government planning office in a developing country. project is beginning, and it aims to reorganize the agency so that it can better achieve its strategicHere are two scenarios to that initial meeting to get the reorganization proposal report underway.


OR


1. Accept a "top-down approach" of development

agencies in development and implementation projects.

2. Reject recommendations of international experts on the

grounds that they are "outsiders" and do not have

anything to contribute.

1. Demand to be true partners in development.

2. Work hand-in-hand with international experts.


7/61

A successful business owner or manager will identify those attitudes, myths, and misconceptions thholding back progress. The owner or manager will try to understand where these ways of thinking cfrom and how to overcome them. Perhaps, it is not by denying some truth that the thinking may hbut rather by building a consensus on how to move forward.


OR


Keep the same attitudes.

Believe the same myths.

Keep following the same misconceptions.

Keep believing nothing will change because the

challenges are too great.

Adopt new attitudes.

Realize that certain long-standing beliefs may a

be misconceptions, which come from incomplete

information or orientation.

Believe that change is possible with a new outlo

the sector and begin sharing this new outlook w

the workplace, with the public, and with partne

development.

Continue the debate over water as either a social or

economic good.

Agree to disagree on the debate.

Water is both a social and economic good. Agre

solutions that will accomplish three goals:1. expand sanitation coverage to poor, uns

areas;

2. contribute to the sustainability and effic

utilities and facilities; and

3. contribute to the financial viability of ut

People are not willing to pay for sanitation and

wastewater treatment, so we cannot consider charging

for these services or raising existing tariffs to finance

our projects or operations and the maintenance of

services and facilities.

Raise the public's awareness about the need for

sanitation and wastewater treatment as prevent

against dangerous diseases and harmful environ

that are risks to their health and ability to earn

greater public understanding, people will agree

for services that save them money by protecting

health and income. A part of raising awareness

requires understanding the situation of the poorthose behaviors that hold back progress.

It is too expensive to invest in sanitation and

wastewater treatment.

First, commit to invest in these sectors and find

necessary financing. Not doing so could be mor

expensive. For example, the loss of productivity

water and sanitation-related illnesses and poten

outbreaks may result in additional health-care c

Second, prior to investing in sanitation and was

treatment projects, assess where alternative

approaches to major infrastructure may be mor

suitable and sufficient. Last, where new infrastr

truly is needed, projects are always accompanie

"soft" or social-based components that are fully

resourced to make the infrastructure sustainablerequires the commitment of everyone to apprec

professions and perspectives involved, including

from nontraditional placescivil society and com

groupsthat are sometimes excluded from the

decision-making process.


8/61


OR


Infrastructure and facilities are the solution. Prior to investing in sanitation and wastewater

treatment projects, assess where soft approache

be sufficient. Where new infrastructure is truly

projects are always accompanied by soft compo

that are fully resourced.

The development agency representative orinternational consultant takes charge of the project

process, and the government obliges because, after all,

"they are the development experts and we are busy."

The government asserts itself and seeks collaboand equal participation in the process, whether

paper research, gathering perspectives from loca

governments and communities, or advising the

development agency representative or consultan


9/61

Act ion ing Po l i cy

This section calls our attention to the age-long problem in many

developing countries, where good policies are crafted but notimplemented. And where they are implemented, they are not

implemented strictly.

For countries with no policies in place and are contemplating to

formulate them, this is a reminder that having the policy is not

enough; we have to work on its implementation. This chapter

provides a glimpse of the work involved in this undertaking.

Let us first look at the traditional set-up-who formulates the policies and how?


OR

Business unusua l approach

We create legal and institutional frameworks and

policies now, and consider how to fund and

pursue their implementation later.

We consider the funding requirements and

capacities of implementing agencies as we c

our legal and institutional frameworks and

policies. Where these are already in place,

begin the work of finding adequate funding

proper implementation, including developing

capacity of institutions and people to implem

them.

Centralized: "Top-Down", and Ineffective at "The Bottom"

Formulating a Sanitation and Wastewater Policy

Regulation: It Follows Policy Formulation

Standards

Financing and Where Regulation Comes In

Planning

Autonomous Utilities and How Regulation Helps

Capacity Development: Its Many Facets

Making Business Sense-A Summary
http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-http://-/?-


10/61

For many years, the governments of many developing countries have operated on a very cent

modelwith the central or national government formulating policies with little or no involvemen

those who will play critical roles in its implementation.

This model of central government-driven policy formulation is becoming less and less effective. Wh

challenges of providing water and wastewater services are mounting as populations growespec

major cities where people migrate to find work. Each problem needs a specific solution and thesize-fits-all concept no longer works. With decentralization already in place or taking place i

developing countries, the need to match the policy with the required resources to implement it is

Fixing problems like these is usually a matter of sector reforms: revisiting policies and framewor

clarifying roles and responsibilities of major players. Often, policies are still relevant. The problem

they are not implemented properly. Either the implementing rules and regulations are not there

institutions responsible for implementing them do not perform their roles nor have the capa

implement them.

Decen t r a l i za t ion : Tim e to Take I t Se r ious ly

In a decentralized mode, the two complementing roles of policy formulation and implementation h

be played by the central and local governments. It is not a case of one or the other. It should be b

In fact, for policy implementation, more and more responsibilities should be delegated to

governments along with the powers to collect and spend the required resources. Why? Beca

national policy is only effective if its implementation is prepared for specific local conditions

governments are closer to the people and know better what works and what does not work in the


OR


Maintain a centralized approach and continue to

experience decision-making that tend to be

slower paced, and nonresponsive to the actualneeds on the ground.

Undertake reforms that delegate different k

decision-making to local governments to en

that progress happens quickly, and specific conditions are taken into account.


11/61

The Sanitation Connection suggests the following policies to form a foundation for progress in sanit

and wastewater:

Envi ronmenta l po l i cy - commitment to national action plans, procedures for environmentalmonitoring, and impact assessment;

Econom ic p o l i cy - approaches to cost recovery, subsidies and attracting private investment;

Socia l p o l icy - addressing poverty reduction, and promoting gender equality;

Pol i cy i n f l uenci ng i ns t i t u t i ona l a r rangemen ts - attitudes to financial sustainability and

autonomy of sector institutions, scope for involvement of private sector and nongovernment

organizations (NGOs), approaches to regulation and the commitment to decentralization of

management to the lowest appropriate level; and

Hea l th po l i cy - existence of national objectives for sanitation-related health improvements,

guidelines on excreta, and wastewater reuse.2

Exam p les o f s t r a teg ies, l aw s , and p o l i cies

Bangladesh is seeing progress as a result of its National Sanitation Strategy , developed in 2005 by

Local Government Division of the Ministry of Local Government, Rural Development and Cooperativ

This strategy clearly sets out policies, strategies, and plans to guide the effort in a style that almos

anyone can read and understand easily.

Some other examples of laws and policy are:

Philippine Environmental Policy: Presidential Decree No. 1151

Selections from the Philippine Environmental Code, Presidential Decree No. 1152

IndiaEnvironmental (Protection) Act, 1986

As was stated earlier, the policy is only as good as its implementation. Strict enforcement is key. I

help government create the environment whereby:

the utility understands its obligations in terms of what infrastructures it must put in place and

efficient the operations of such infrastructures should be to generate the revenue required to

it going; and

the households understand and accept that there is a policy they have to comply with which

financial implicationscosts they should be prepared to bear because it is their health that is

stake.

Once a country decides on the roles and responsibilities for the local and national players, these ro

normally formalized in laws and regulations.

Laws are often not enough: regulations are needed to provide the detailed requirements and proce

that will support implementation of the law. Again, the Water and Sanitation for Alla Practitioners

Companion is instructive and provides example.

_____________________________

2Sanitation Connection Website.
http://www.dphe.gov.bd/pdf/MR11_SanitationStrategy.pdf?bcsi_scan_9688b637a46568db=0&bcsi_scan_filename=MR11_SanitationStrategy.pdfhttp://www.doe.gov.ph/pecr4/pdf/pd1151.pdfhttp://www.doe.gov.ph/ER/pdf/PD1152.pdfhttp://www.aerb.gov.in/T/actsrules/rules/epa.pdfhttp://web.mit.edu/urbanupgrading/waterandsanitation/resources/tools.htmlhttp://web.mit.edu/urbanupgrading/waterandsanitation/resources/tools.htmlhttp://www.sanicon.net/http://www.sanicon.net/http://web.mit.edu/urbanupgrading/waterandsanitation/resources/tools.htmlhttp://web.mit.edu/urbanupgrading/waterandsanitation/resources/tools.htmlhttp://www.aerb.gov.in/T/actsrules/rules/epa.pdfhttp://www.doe.gov.ph/ER/pdf/PD1152.pdfhttp://www.doe.gov.ph/pecr4/pdf/pd1151.pdfhttp://www.dphe.gov.bd/pdf/MR11_SanitationStrategy.pdf?bcsi_scan_9688b637a46568db=0&bcsi_scan_filename=MR11_SanitationStrategy.pdf


12/61

Regulation is about monitoring compliance with policy. It is common practice in many developed

countries to have a regulatory agency whose mission is to protect sector stakeholders. In the role

watchdog, such agencies act as a check and balance on a number of fronts:

to ensure that the public is being served adequately and appropriately;to control water utilities, which are natural monopolies; and

to ensure that a utility has the resources it needs to operate sustainably.

With the exception of a few countries in Asia, most developing countries in the region reserve regu

for only those sectors that involve the private sector, such as telecommunications and power. Beca

water utilities are still predominantly run publicly, regulations have misguidedly been disregarded. T

a big mistake. Publicly-run utilities need as much regulation as privately-run ones. Tariff must still

at a level that recovers the cost to sustain operation, and performance indicators must still be agre

upon to ensure that efficiency of service is maintained. Usually, regulation concerns itself with ensu

compliance with the following standards for utility performance:

Wate r qua l i t y - quality of potable water and wastewater discharges;

Management - employee qualifications and official certification of skills;

Serv ice leve ls- minimum standards for service; and

Tar i f f l eve ls- affordability and fairness of tariffs.

The regulator may also approve or disapprove tariff increases regardless of whether the utility is pr

or public, but most especially if utilities are privately owned. In this role, the regulator must balanc

financial needs of the utility, utility sustainability, and the affordability of tariffs to consumers.

Fo r f u r t h e r r e ad in g :

Regulation of the private provision of public water-related services is a comprehensive outline of t

principles believed to be essential in formulating an adequate regulatory framework for the water s

Its focus is on the issues to be confronted in developing a regulatory structure for water-related pu

utilities. It reviews a vast body of recent literature on economic regulation and private sector partic

in the provision of water-related goods and services as well as the experience of the countries whe

privatization and regulatory reforms have advanced most. The regulation of prices, product and ser

quality, investments and quantity is emphasized.3

Water and Sanitation for All a Practitioners Companion4 provides instructions for starting a regula

program.


OR


Only utilities with private sector involvement need

to be regulated.

Water utilities are natural monopolies and,

whether publicly or privately run, need to b

regulated. Regulators act as a check and ba

measure to ensure adequacy of services an

affordability of tariffs

_____________________________

3 Lee, Terence R. and Andrei Jouravlev. 1996. Regulation of the private provision of public water-related services, for the Envir

and Development Division of Economic Commission for Latin America and the Caribbean (ECLAC).4 SIGUS Special Interest Group in Urban Settlement-MIT.2003. directed by Reinhard Goethert,Water and Sanitation for All

Practitioners Companion, prepared for the Water Utility Partnership.
http://www.cd3wd.com/cd3wd_40/ASDB_SMARTSAN/Regulation-of-Private-Provision-of-water-services.pdfhttp://web.mit.edu/urbanupgrading/waterandsanitation/resources/tools.htmlhttp://www.cd3wd.com/cd3wd_40/ASDB_SMARTSAN/Regulation-of-Private-Provision-of-water-services.pdfhttp://www.cd3wd.com/cd3wd_40/ASDB_SMARTSAN/Regulation-of-Private-Provision-of-water-services.pdfmailto:[email protected]:[email protected]://web.mit.edu/urbanupgrading/waterandsanitation/resources/tools.htmlhttp://web.mit.edu/urbanupgrading/waterandsanitation/resources/tools.htmlhttp://web.mit.edu/urbanupgrading/waterandsanitation/introduction/wup.htmlhttp://web.mit.edu/urbanupgrading/waterandsanitation/introduction/wup.htmlhttp://web.mit.edu/urbanupgrading/waterandsanitation/resources/tools.htmlhttp://web.mit.edu/urbanupgrading/waterandsanitation/resources/tools.htmlmailto:[email protected]://www.cd3wd.com/cd3wd_40/ASDB_SMARTSAN/Regulation-of-Private-Provision-of-water-services.pdfhttp://web.mit.edu/urbanupgrading/waterandsanitation/resources/tools.htmlhttp://www.cd3wd.com/cd3wd_40/ASDB_SMARTSAN/Regulation-of-Private-Provision-of-water-services.pdf


13/61

As the steward of the water and wastewater sector, the responsibility for setting standards usually

on the government. And this is an important element of regulation. Standards may cover:

W a t e r q u a l it y - standards for wastewater discharges into the environment;

Serv ice leve ls- requirements for service provision (e.g. are desludging services made availa

If yes, how often is desludging done?); andEm ployee qua l i f i ca t ions- minimum qualifications or certifications for certain utility personn

usually those involved in water quality related positions.

Setting standards is only meaningful when standards are enforced to ensure compliance.

Standard setting and enforcement is a new concept in many countries. It takes time and money to

develop an effective system from the government side, and it takes time and money for people to

understand the system and comply with the standards. That is why many governments should coop

with citizens as they implement standard setting and enforcement.

Bachmanns paper tackles the challenges and problem areas of setting standards: Decisions aboutservice levels and coverage in many cities are taken primarily based on engineering requirements a

the availability of capital investment subsidies from higher-level governments. There is no systema

consultation of different population groups, and end user preferences and priorities are not incorpo

into the service planning and pricing process.

In two separate papers presented at a September 2005 ADB workshop, Mr. Kazimir Karimov and D

Dang Kim Chi address problems with water quality standards and environmental standards caused

problematic legislation.

Exam p le 1 : The Ky rg yz Repub l i c

Mr. Kazimir Karimovs paper, Problems of Drinking Water Quality in Kyrgyzstan: Ecological and Leg

Aspects, cautions that existing legislation is not always sufficient, and improvements in legislation a

often required. He gives a strong critique on the lack of qualities in the Kyrgyz Republic's legal and

institutional framework: The existing legislative base in the water sector insufficiently supports pro

of waters, both surface and groundwater. The exact definitions of the purposes and tasks concernin

quality of water are absent. The laws do not contain the concrete purposes and tasks connected wi

norms of quantity and quality of water. The laws do not provide for protection of water from polluti

The law does not define the concrete responsibility for quality of water. It does not provide for

compensation of damages to water resources.

Exam p le 2 : Wastew a te r P roduc t ion Act i v i t i es.

Dr. Dang Kim Chis paper, Wastewater Production Activities in Craft Villages and Some Mitigation

Solutions, recognizes the impact that waste discharges can have on the environment and proposespolicy solutions for improving standards:

Environmental policy: Develop appropriate policies for encouraging technology innovation in c

villages toward environment friendly technologies and products. Besides, there should be a

mechanism to apply a policy of polluter pays in craft villages.

Establish local environment management mechanisms including a clean environment group,

environmental programs in the villages, environmental protection statues, penalty regulations

environmental fees and funds, etc.
http://www.cd3wd.com/cd3wd_40/ASDB_SMARTSAN/Bachmann.pdfhttp://www.fastonline.org/CD3WD_40/ASDB_SMARTSAN/Karimov.pdfhttp://www.fastonline.org/CD3WD_40/ASDB_SMARTSAN/Karimov.pdfhttp://www.cd3wd.com/CD3WD_40/ASDB_SMARTSAN/Chi.pdfhttp://www.cd3wd.com/CD3WD_40/ASDB_SMARTSAN/Chi.pdfhttp://www.cd3wd.com/CD3WD_40/ASDB_SMARTSAN/Chi.pdfhttp://www.cd3wd.com/CD3WD_40/ASDB_SMARTSAN/Chi.pdfhttp://www.fastonline.org/CD3WD_40/ASDB_SMARTSAN/Karimov.pdfhttp://www.fastonline.org/CD3WD_40/ASDB_SMARTSAN/Karimov.pdfhttp://www.cd3wd.com/cd3wd_40/ASDB_SMARTSAN/Bachmann.pdf


14/61

Local authorities should develop regulations on environmental management and have staff w

help enterprises understand how to comply with the regulations and perhaps treat their wast

before discharging to protect the environment. For craft villages, this means making close co

with each household to successfully implement solutions.

Regulation and standard setting are new concepts for many countriesbut they are important aspe

develop. Both help a sector improve services and hold agencies accountable for providing adequate

services at a reasonable price.


OR


The central government's role extends beyond

policy making and setting regulatory guidelines in

ways that interfere with the autonomy of utilities

to manage and operate sustainable services.

Through such a diffused range of responsibilities,

the central government's understanding of the

sector is limited and it does not act as confidently

or decisively as it should in sectoral planning with

development agencies.

The central governments take the lead in po

and guidelines formulation. Legislation and

regulation adequately establishes the roles

responsibilities of sector institutions. The lo

governments assume a much bigger role in

implementing the policy and monitoring

compliance. Local governments are closest

utility that delivers the sanitation and waste

service and closest to the people who recei

service. Local governments are in a better

position to help national government implem

the policy.

A policy should be properly costed out. A policy that requires every household to have a toilet, a

these toilets to be connected to a sewer system, should also consider the additional costs in comp

to just building the toilets. This policy also means building septic tanks in the case of rural

density areas, and installing sewer lines and treatment plants in the case of urban or high-density

Such a policy must also recognize the financial implication to all stakeholders, among them the n

and local governments, utilities, and communities.

The cost of installing a toilet is a cost that each household must bear. Household toilets are, af

primarily a household responsibility. However, in rural areas in developing countrieswhere the l

sanitation coverage is generally very lowthere may be scope for limited government subs

account of public health and environmental protection. This could be through sharing the cost of b

septic tanks; most poor households find the cost of septic tanks unaffordable. Or in some case

government may even provide subsidies for household toilets.

Rural water supply and sanitation projects supported by multilateral development agencies, such a

the World Bank, and Japan Bank for International Cooperation, have traditionally included as comp

the provision of toilet bowls to households. The households though bear the cost of constructsuper structure.

In urban areas, where collection and treatment systems are required, the investment requirem

certainly much more. Where utilities are managed by the private sector, regulation comes in by

tariff structuring-the tariff should be set at a level that will allow the utility to recover capital inve

and operation and maintenance costs.


15/61

Without the assurance that such regulation will be put in place, financing of sanitation and wastew

at risk. In cases where the government considers the risk to public health serious an

implementation is of paramount importance, but the resulting tariff would be exorbitant, the gove

may consider some form of subsidy. This could be by subsidizing part of the cost of the treatment

Even in developed countries, government has often provided financial support to communiti

individuals to encourage the development of sanitation and wastewater systems.

Where utilities are managed by government, usually by local governments, financing is even

challenging and so is regulation. Unlike privately-run utilities whose access to financing is usually

government-run utilities usually lack creditworthiness or are not empowered to borrow. This is

both central and local government support have to be made available. But while they government-run, they should be run along commercial principles efficiencies maximized an

collected, otherwise they are not sustainable. Just as privately-managed utilities are regulated, so

government-managed ones.

Delivery of water and sanitation services should be delegated to autonomous and accountable

providers. They may be government or private. Particularly in the case of government-run utilities

operation should be autonomous and they should be made accountable to their customers so tha

are conscious of the need to comply with their performance standards. This is where regulation p

key role.


OR


Government formulates the policy and expects

everybody to comply.

Central government initiates the formulation

policy-taking into account the cost required

implement the policy- and gets local govern

involved in implementing it and monitoring

compliance with it.

Planning is essential to deciding priorities and allocating scarce resources to highest and best use.

are some helpful resources:

Urban sanitation: a guide to strategic planning

Health, Dignity, and Development: What Will It Take?

Toward a Strategic Sanitation Approach: Improving the Sustainability of Urban Sanitation in

Developing Countries.

_____________________________

5 Tayler, K., J. Parkinson, and J. Colin, 2003. Urban sanitation : a guide to strategic planning, IT Publications, London.

http://www.irc.nl/ircdoc/title.php?titleno=27982.6Health, Dignity, and Development: What Will It Take?The Swedish Water House of the Swedish International Water Institute

www.siwi.org.7Toward a Strategic Sanitation Approach: Improving the Sustainability of Urban Sanitation in Developing Countries, Water and

Sanitation Program, 1997
http://www.fastonline.org/CD3WD_40/ASDB_SMARTSAN/Urban-Sanitation.htmhttp://www.siwi.org/documents/Resources/Reports/Health_Dignity_and_Developmen_2004.pdfhttp://documents.worldbank.org/curated/en/1997/11/693932/toward-strategic-sanitation-approach-improving-sustainability-urban-sanitation-developing-countrieshttp://documents.worldbank.org/curated/en/1997/11/693932/toward-strategic-sanitation-approach-improving-sustainability-urban-sanitation-developing-countrieshttp://www.irc.nl/ircdoc/title.php?titleno=27982http://www.irc.nl/ircdoc/title.php?titleno=27982http://www.siwi.org/documents/Resources/Reports/Health_Dignity_and_Developmen_2004.pdfhttp://www.siwi.org/documents/Resources/Reports/Health_Dignity_and_Developmen_2004.pdfhttp://www.siwi.org/http://documents.worldbank.org/curated/en/1997/11/693932/toward-strategic-sanitation-approach-improving-sustainability-urban-sanitation-developing-countrieshttp://documents.worldbank.org/curated/en/1997/11/693932/toward-strategic-sanitation-approach-improving-sustainability-urban-sanitation-developing-countrieshttp://documents.worldbank.org/curated/en/1997/11/693932/toward-strategic-sanitation-approach-improving-sustainability-urban-sanitation-developing-countrieshttp://www.siwi.org/http://www.siwi.org/documents/Resources/Reports/Health_Dignity_and_Developmen_2004.pdfhttp://www.irc.nl/ircdoc/title.php?titleno=27982http://documents.worldbank.org/curated/en/1997/11/693932/toward-strategic-sanitation-approach-improving-sustainability-urban-sanitation-developing-countrieshttp://documents.worldbank.org/curated/en/1997/11/693932/toward-strategic-sanitation-approach-improving-sustainability-urban-sanitation-developing-countrieshttp://www.siwi.org/documents/Resources/Reports/Health_Dignity_and_Developmen_2004.pdfhttp://www.fastonline.org/CD3WD_40/ASDB_SMARTSAN/Urban-Sanitation.htm


16/61

The legal framework of a country will often enable the formation of local utilities under three g

frameworks:

Public agencies, such as municipal departments;

Quasi-public agencies formed and owned by the public but enjoying some autonomy; and

Private companies with full autonomy.

However, as Arthur McIntosh points out in his book, Legislation is a necessary but not su

condition for autonomy. Governments frequently do not allow corporate bodies to exercis

autonomy, especially in terms of staffing, tariffs, and investments.8

Many countries are undergoing sector reform to overcome the constraints of the business-as

model, where control of utility services has been vested in national governments and utilities hav

autonomy.

Exam ple 1 : The PRC and Ukra in e

In his paper, Developing Wastewater Services in Emerging Market Economies: the Cases of Chi

Ukraine, John Bachmann summarizes the business-as-usual framework as follows: De

affordable, dependable, and sustainable wastewater services is a challenge for local govern

worldwide. But it is an especially tall order in emerging market economies, in which the old

norms, institutional forms and pricing policies often constrain the development of autonomo

competent wastewater service providers that can develop their systems to meet users needs and

sufficient revenues to cover their costs.

Mr. Bachmann continues, The broad outlines of the institutional arrangements in (PRC and Ukrain

favorable to responsive, sustainable wastewater service delivery to the extent that local governmen

design and implement their own programs. However, the specific roles and responsibilities

Wastewater Service Providers are insufficiently defined, and there are few incentives for manage

staff to improve institutional performance and/or service quality. In the Chinese case, the operenvironment for wastewater delivery is first and foremost undermined by the political imperatives o

government leaders

Mr. Bachmann describes issues encountered by utilities around the world: Utilities will not be susta

if they do not have the ability to set tariffs; hire/fire and compensate staff, purchase needed equ

and materials, finance capital improvements, etc.

To empower utilities to make these kinds of decisions, they need the support of the central govern

The central government usually takes a leadership role in managing the sector as a whole, particu

three areas:

Sector framework and policy;

Sector capital investment and financing; andStandards.

_____________________________

8 Arthur McIntosh. 2003. Asian Water Supplies: Reaching the Urban Poor, Asian Development Bank.ISBN: 971-561-380-2,

http://www.adb.org/publications/asian-water-supplies-reaching-urban-poor .
http://www.scribd.com/doc/100385341http://www.scribd.com/doc/100385341http://www.adb.org/publications/asian-water-supplies-reaching-urban-poorhttp://www.adb.org/publications/asian-water-supplies-reaching-urban-poorhttp://www.adb.org/publications/asian-water-supplies-reaching-urban-poorhttp://www.adb.org/publications/asian-water-supplies-reaching-urban-poorhttp://www.scribd.com/doc/100385341http://www.scribd.com/doc/100385341


17/61

Management of utilities is a challenge. This is particularly so in publicly-run utilities. One co

problem is the way in which employees are compensated and rewarded for their efforts. Ty

utilities as arms of government are subject to civil service regulations, which often include wages

that it is hard to imagine how they can support one person, much less a family. In these cases, u

are not able to hire well-qualified people, and suffer as a result.

If utilities are to run as efficiently as they should, capacity development is an important ingredie

needs to be adequately supported. The trouble with capacity development though is that peoplemistake it for just training. It is much more than that.

Enabling Environment for Utilities

Increased Capacity Brings Convergence

Making Business Sense

Enab l ing Env i r onm en t fo r U t i l i t i es

In his paper entitled, Using Capacity Factors For Multi-criteria decision-making in Sanitation Option

Cesar Pinto proposes that the following capacities are essential to sustain utilities:

I n s t i t u t i ona l capac it y the body of laws and regulations, administrative agencies, and procedurthe governance of utilities;

Human resources capac i ty the numbers of well-qualified professionals and laborers availabl

utility and the ability to provide training and development opportunities to those employees;

Socia l capaci ty the sociocultural values that underlie the way sanitation in general is perceiv

society, and the abilities of civil society to participate in the development of utility systems;

I ndus t r i a l capac i t ythe supply chain that supports the hardware and service needs of the

industry, which includes such services as the maintenance and repair of vehicles and equipment

with such hardware as machinery, tools, and spare parts;

Economic and f inanc ia l capac i ty the markets for municipal sanitation system (MSS), finamechanisms (bonds, credit ratings, etc.), and availability of cash to fund ongoing system operation

Env i ronm en ta l and na tu ra l r esou rces capaci t y the surface and groundwater supplies for dr

water systems, land and surface water discharges for wastewater treatment systems, and land a

quality for solid waste land filling and burning;

Serv ice capaci ty the resultant ability of a utility to provide reliable service to its customers in

of volume, availability, and quality.

Figure 1 .
http://-/?-http://-/?-http://-/?-http://www.scribd.com/doc/100386374http://www.scribd.com/doc/100386374http://-/?-http://-/?-http://-/?-


18/61

Dr. Pintos research postulates that these seven capacity requirements will determine the long-term

success or failure of a utility system, considering the overall environment within which it operates.

may infer, then, that if any of these capacities are missing or weak, the service capacity will be re

Let us refer to this viewpoint as the environmental factors that sustain a utility.

Now, let us step out of the overall environment and go inside a utilityinto Figure 1. In her paper

Borrow for Capacity Development?, Ms. Nancy Barnes opines that strong and sustainable organiza

are built from 5 pillars:

A management foundation (organizational structure and management processes);

Effective management behaviors;

Availability of expertise;

Management information systems; and

Application of best practices.

Let us refer to this viewpoint as the management factors that sustain a utility. The following chart

illustrates what Ms. Barnes means by these factors. To sustain itself, any organization needs to be

structured, with good management procedures and employees who behave appropriately, and know

to do their jobs. To manage and operate effectively, people in the organization need good informat

and access to knowledge of best practices.

In 2003, GTZ-Palestine and Jerusalem Water Undertaking published the organization development

guidebook written by Ms. Barnes and her coauthor Abdelkarim Asad. The guidebook is entitled:

Jerusalem Water Undertaking: A Challenging Experience in Organization Development.
http://www.scribd.com/doc/100386635mailto:[email protected]:[email protected]://www.jwu.org/guide/english/start_en.htmhttp://www.jwu.org/guide/english/start_en.htmmailto:[email protected]:[email protected]://www.scribd.com/doc/100386635


19/61

I nc reased Capac i ty Br ing s Conv ergen ce

So, we can see that capacity development is not just training, like some people have thought. It i

a broad set of activities that inspire and build the capabilities of human capital and the op

environment.

Dr. Engineer Trinh Xuan Lais paper, Comprehensive approaches to develop and m

drainage/sewerage systems in urban areas of Vietnam, makes the following observations: Vietna

many other developing countries in Asia, is facing the challenge of poor infrastructure system du

continuous reform process. Among the urgent challenges originating from speedy urbanization, the

of old, fragmented, and deteriorated drainage/sewerage system in recent years has posed

challenges to its governing authorities. The shortage of resources including funding and technolog

weakness of institutional arrangements and management capacity; and lack of public awarene

major causes. To overcome these shortcomings, there should be efforts of capital inves

institutional reform, management strengthening, and community education/awareness techniques

relevant stakeholders at all levels. They need to be integrated and activated at the same time

stakeholders to improve the existing drainage/sewerage systems which will contribute to the nati

target of poverty reduction and sustainable development.

As we see, Dr. Lai aptly sums up the need for broad-based capacity development, taking a holistic

If regulation is about monitoring compliance with policy, it should also be about monitoring

weaknesses occur and where capacity development interventions should be provided. Sanitati

wastewater management is, after all, a shared responsibility of national and local governmen

utilities because it is about public health, which should be everybodys business.

Mak in g Bus iness Sense


OR


Utilities are mandated to deliver the service.

Whether they have the capacity or not, they

should deliver.

Central and local governments recognize th

to support the capacity development needs

utilities. After all, investment in dapacity

development will redound to better service.
http://www.scribd.com/doc/100388214http://www.scribd.com/doc/100388214http://www.scribd.com/doc/100388214http://www.scribd.com/doc/100388214


20/61


OR


Maintain a centralized approach and continue to

experience decision-making that tends to be

slower paced, and nonresponsive to the actual

needs on the ground.

Undertake reforms that delegate different k

decision-making to local governments to en

that progress happens quickly, and specific

conditions are taken into account.

Only utilities with private sector involvement need

to be regulated.

Water utilities are natural monopolies, and,

whether publicly or privately run, need to b

regulated. Regulators act as a check and ba

measure to ensure the adequacy of service

affordability of tariffs.

The central government's role extends beyond

policy making and setting regulatory guidelines in

ways that interfere with the autonomy of utilities

to manage and operate sustainable services.

Through such a diffused range of responsibilities,

the central government's understanding of the

sector is limited and it does not act as confidently

or decisively as it should in sectoral planning with

development agencies.

The central governments take the lead in po

and guidelines formulation. Legislation and

regulation adequately establishes the roles

responsibilities of sector institutions. The lo

governments assume a much bigger role in

implementing the policy and monitoring

compliance. Local governments are closest

utility that delivers the sanitation and waste

service and closest to the people who recei

service. Local governments are in a better

position to help the national government

implement the policy.

Government formulates the policy and expects

everybody to comply.

Central government initiates the formulation

policy, taking into account the cost required

implement the policy, and gets local govern

involved in implementing it and monitoring

compliance with it.

Utilities are mandated to deliver the service.

Whether they have the capacity or not, they

should deliver.

Central and local governments recognize th

to support the capacity development needs

utilities. After all, investment in capacitydevelopment will redound in better service.


21/61

In approaching problems within the water supply and sanitation

sector, like many other sectors, two courses of action are always

possible: the "hard way" or the "soft way."

In development language, "hard approaches" or "hard components"

refer to infrastructure, such as building dams, laying pipes, installing

toilets, etc., and are usually the focus of government and donor

strategies to improve the sector.

The "soft approaches" or "soft components" refer to social aspects

of a program or project that also bring about results, such as special consideration for women (g

components) or involving beneficiaries (participation components). These soft-side componen

usually not the main focus of large budget, heavy infrastructure projects, but are given complem

roles. And that they do! An infrastructure project that involves the community or considers the ne

women will surely have a more relevant and lasting impact than a project that does not. And the

components may, alone, resolve certain negative conditions without the added expense of infrastru

It depends on the situation.

This section looks at a key soft, social aspect that must be addressed when preparing for san

projects: hygiene awareness for behavioral change. This section also provides resources for mo

communities and changing adverse behaviors. It also offers a number of models for both mo

communities and pursuing hygiene-awareness campaigns.

Whether infrastructure is called for or not does not change the fact that people also must chang

the changes occurring around them. Sometimes this means a change in attitude. Other times, this

a change in action and/or behavior that may be contributing to their own problems of u

environments, illness and disease, which are precursors to other problems related to missing

work, and unnecessary expenses.

To ensure that people change along with the changes in technology and infrastructure systems

them, they must be involved with the process from the beginning. Their involvement, however, be assumed to happen spontaneously. Communitiesat least those that do not take action in the

hands as a number of them doneed to be mobilized through targeted campaigns.


We continue to focus on infrastructure-led

development without much emphasis on

community involvement and social aspects of

sanitation problems.

OR Business un usua l appr oach

Because good hygiene practices are the first

of defense against disease, we mainstream

hygiene promotion activities into all water s

and sanitation projects. These activities invo

more than just education programs, but inv

communities in the design, implementation,

monitoring of the project's activities.

We invest in human capital as well as

infrastructure.


22/61

We often assume that a lack of proper systems is the cause of disease when, in fact, it may sim

behavior. In Bolivia, a baseline study showed that the prevalence of diarrhea was highly correlate

poor hygiene behavior among mothers and caretakers, not with water source or type of sanitation.

To achieve the health impacts of environmental health interventions, the concept of "behaviofirst" needs to be adopted. This concept requires that before initiating environmental health

improvement interventions or facility construction, program planners need to identify

behaviors associated with disease transmission in their target areas. And based on identified

behaviors, strategies for bringing about the needed changes in those behaviors must b

developed and included in the overall program planning.

Prom ot ing Hyg iene : Educa t ion and Pub l i c Aw areness

To change behavior, education and public awareness activities help to, first, expose the effe

unhygienic practices and, second, introduce hygienic practices. Generally, when people understa

linkages between the cause and effects of problems, they are willing and able to act to solve them

Many of us know that we need to wash our hands, bathe regularly, and take precautions to

disease. When the latest flu comes around, we take additional steps to protect ourselvesst

simple as washing our hands more frequently. We are healthier as a result.

Hygiene is a key defense against disease, so why do we not promote good hygiene more? Compa

major infrastructure projects, educational programs are a lot less expensive and can have an affe

short time.

Fundamenta ls o f Hyg iene Educa t ion . In November, the Water and Sanitation ProgramSout

Region published its Learning the Fundamentals of Hygiene Promotion - A Review of Three Larg

Projects in India. It offers a history of Indias efforts to promote hygienea history that other co

might share and be able to learn from.

In the early 1990s when hygiene promotion strategies were introduced in India, there was

very little to learn from international experience in the field. Most activities emphasized

"providing of messages" rather than participatory processes in hygiene promotion. This trend

changed around the mid-1990s and "new" approaches have been attempted in externally

funded projects in India. These new approaches have not evolved in isolation, but hav

developed over projects and active learning has taken place during the project cycle.9

From the study, the following key lessons about hygiene promotion were recorded:

Fos te r i n c reased use o f pa r t i c ipa to ry m e thods and t oo l sThe creation, use, and extensparticipatory methods and tools have provided good results. These help overcome resistance

deep-seated attitudes and practices and facilitate links to felt priorities. At the same time, u

mass, folk, and community media builds an effective climate for change.

________________________________

9 The Water and Sanitation Program - South Asia Region published its Learning t he Fundamentals of Hygiene Promotion - A Re

Three Large- scale Projects in India in November 2000, page 1
http://unpan1.un.org/intradoc/groups/public/documents/APCITY/UNPAN005817.pdfhttp://unpan1.un.org/intradoc/groups/public/documents/APCITY/UNPAN005817.pdfhttp://unpan1.un.org/intradoc/groups/public/documents/APCITY/UNPAN005817.pdfhttp://unpan1.un.org/intradoc/groups/public/documents/APCITY/UNPAN005817.pdfhttp://unpan1.un.org/intradoc/groups/public/documents/APCITY/UNPAN005817.pdfhttp://unpan1.un.org/intradoc/groups/public/documents/APCITY/UNPAN005817.pdfhttp://unpan1.un.org/intradoc/groups/public/documents/APCITY/UNPAN005817.pdfhttp://unpan1.un.org/intradoc/groups/public/documents/APCITY/UNPAN005817.pdf


23/61

Faci l i t a t e comm un i t i e s t o set t he i r ow n ob j ec t i vesIt is essential to facilitate stakehold

analysis of design factors at conception and set goals and objectives for hygiene promotion.

Hygiene promotion is more effective where communities are allowed to set their own specific

objectives. It is seen that a focus on three core behaviorswashing of hands, safe disposal o

excreta, and use of safe waterare enough to start hygiene and sanitation programs for

maximum impact.

Estab l ish un i f i ed m u l t i d i sci p l i nary t eams to p resen t a s i ng l e o rgan i zat i ona l suppo r t

" w i n do w " t o co m m u n i t i esInstitutional responsibilities need to be clear and simple. A unmultidisciplinary team can build the capacity of community-based groups and facilitate the

implementation of demand-responsive projects. Dedicated NGOs have demonstrated their

strengths in project-specific roles as support organizations.

Prov i de f ocused and w e l l - t imed t r a i n i ng a t l o ca l l eve l sTraining strategies need to inv

all stakeholders. There is a need to avoid long gaps between training and expected performa

I n c l ude i ncen t i ves t o suppo r t capaci t y Sound Capacity Development requires more than

training; it should include good incentives and management support.

Deve lop po l i t i ca l w i l l Hygiene promotion is seen to work best where a broad political will

been generated that supports effective policies and generates popular support.

Update gender s t r a tegy t o ensu re sha red and equ i t ab l e ro l es f o r m en and w omen

Overall, women and girls are given the major burden of hygiene and sanitationboth in term

promotional tasks and responsibility for hygiene in the home and the community. Strategies

to be more equitable and aim to ensure that men and boys take more responsibility and sha

related work and tasks.

Design e f f ect i ve m on i t o r i ng and eva lua t i on sys tems th rough f aci l i t a t ed s takeho lder

ana lys is and p lann ing These tools need to be practical and simple, defining its uses for e

level in the project. Where they provide adequate precision, participatory impact tools have

useful. Structured process monitoring is useful as an internal management tool. Stakeholder

involvement in designing monitoring and evaluation systems makes it more effective.

En v i r o n m e n ta l Sa n i t a t i o n P ro m o t i o n :

Soc ia l , I ns t i t u t i ona l , and Legal Cha l lenges fo r th e Rura l Poo r

This paper by Dr. Md. Mosleh Uddin Sadeque and Mr.Sudhir Kumar Ghosh reports on a study to im

environmental sanitation and behavior change in rural communities in low-lying areas of Banglades

goal of the study was to determine if key changes in behavior could lead to a quick resolution (les

1 year) of problems with local sanitation.

The study shows that the rural poor can quickly adopt new behaviors. As a result of such significan

behavioral changes, 100% hygienic latrine installation can be achieved in one year, the study found

Four major strategies are responsible for these results:

Educating, mobilizing, and enabling greater environmental awareness and protection;Presenting information to the community in a format, style, and language that they can easi

understand and be attracted to;

Stressing concrete solutions and providing support to the community in the forms of practica

tools and assistance; knowing the positive contributions they can make to protect the

environment will provide them with a sense of empowerment and motivate them to be invol

and

Building partnerships with a number of key partners, including local and regional governmen

NGOs , business, and the media.
http://www.scribd.com/doc/100376626http://www.scribd.com/doc/100376626


24/61


25/61

I nd i a : Ove rcoming My t hs , Crea t i ng Demand

This models demonstrates how to create people-driven demand

successful outcomes through better resources and comm

participation.

Bang l adesh : Par tn e rsh ip f o r Em pow erm en t

A partnership between WaterAid Bangladesh and the

nongovernment organization (NGO) VICA has moved from trad

latrine construction to involving people, to understand their situ

and to build their commitment.

Wat er fo r Peop le Approach : Capac ity Deve lopment a t t he Core

This program is a self-help approach that involves women workingmen on local water committees to construct their drinking wate

sanitation.

Mode l 1 Pak is tan : A L i t t l e Mob i l i za t i on Goes A Long W ay

Dr. Rashid Bajwa reports that many people in Pakistan recognize the need for wastewater manag

and sanitation, (yet) these remain neglected issues in the majority of villages in part because

assume that the Government is responsible for funding and implementing the necessary infrastruct

Dr. Bajwas paper, Successful Approaches to Improving Wastewater Management and Sanita

Pakistan points out that mobilizing villagers can overcome their inertia and address critical problem

doing just that, the National Rural Support Programme (NRSP) in Pakistan, working with donors a

Pakistan Poverty Alleviation Fund (PPAF), has successfully implemented more than 400 pr

benefiting more than 85,000 households.

Over the course of the NRSP projects, an approach to community mobilization has evolved

includes the following seven steps. In the words of Dr. Bajwa:

Step 1

Socia l m ob i l i za t ion beg ins w hen NRSP "Soc ial Organ ize rs" engage in d ia logues w i thm e m b e r s o f r u r a l c om m u n i t i e s. These dialogues are founded on two things: first, if they

form one or more Community Organizations (COs), each with members of 15 to 20

households, and second, if they pool their human and financial resources, members of rura

communities can meet their development needs.

Step 2Once a CO i s f o rm ed , com m un i t y m embers p r i o r i t i ze t he i r needs , with many identifying

sanitation schemes as their first priority because they understand the connection between

unsanitary conditions and disease very well.


26/61

Step 3Members o f NRSP s Phys i ca l I n f r as t ruc tu re and Techno logy Deve lopm en t Depa r tm en

al l o f t h em qu al i f ied en g in eer s assess t h e needs iden t i f ied by com m u n i t y

m embers and t hen c rea te a P ro j ect D i gest , which identifies the technical, economic, and

environmental requirements for the specific project. In an Integrated Project, this usually

includes:

water harvesting and storage systems;

distribution systems, street paving, and installing connections to the drainage system

in each household;

installing sewers, building filtration, and water treatment tanks; andinstalling pipes to safely carry treated waste away from the villageeither into the

fields where it can be used as fertilizer or into a water channel.

Step 4The next s tep i s fo r NRSP and COs to s ign a fo rm a l Term s o f Par tn ersh ip ( ToP

ag reemen t . At least 75% of the community representatives must be present in a meeting to

sign this agreement. In the meeting, NRSP staff explains every detail of the project. Before

they sign, everyone involved knows the specifications, contributions required from all parties

disbursement schedule for funds, implementation process and procedures, time required to

complete the project, and estimated annual operation and maintenance costs. They are also

aware of the roles and responsibilities of NRSP and other partners.

Step 5CO t hen const i t u t es a Pro j ec t Comm i t t ee , which assumes responsibility for the overa

implementation of the project, and the management, and operation of the project after its

completion.

Step 6Af te r s ign ing the ToP, CO opens a p ro jec t bank accoun t . NRSP disburses the grant i

installments, as each stage of the work is completed. The Project Committee forwards

request to NRSP for the release of the funds in the form of a resolution signed by at leas

75% of the members. NRSPs accounting staff checks the expenditure vouchers, and the

engineers check the progress and quality of the work. Before releasing the final payment

the NRSP engineer ensures that the work has been completed satisfactorily and that the bes

materials have been used.

Step 7NRSP ar ranges t r a i n i ng p rog ram s fo r t he m embers o f t he comm i t t ees estab l i shed by

COs. The members learn how to manage the construction process, how to keep records, how

to procure high quality materials, andafter project completionhow to properly operate

and maintain their projects. They are also encouraged to adopt participatory ways o

working: holding regular meetings, ensuring attendance of at least 75% of members i

meetings, and ensuring that CO members are saving regularly. Members learn how to

maintain accurate records and to link the village organization with relevant organizations.

Lessons Learn ed

Among the lessons learned using this approach, Dr. Bajwa notes that:

Once people have seen how well these projects can work, they are ready to tackle other

development projects that are vital to their communities.

Although many rural residents are quite poor, they are willing and able to contribute funds a

labor for community development.

NRSPs approach to the social aspects of organizing communities to meet their sanitation and wast

needs reflects that of its exemplar, the Orangi Pilot Project in Karachi, Pakistans largest city.


27/61

Mode l 2 Nepa l : Peop le Pu rsu ing Developm en t

According to an ADB technical assistance project to reform the water supply sector in the Kath

Valley, the peri-urban village of Dhulikhel has proven that people-led development can reap a num

successful outcomes. By pursuing a more reliable and safe water source, the people of Dhulikh

solved their sanitation problems. The report tells an interesting story of pursuit and success:

The people of Dhulikhel faced a water problem that was compounded by the time and effor

the women spent to walk to the spout, gather water, and carry it home. At first, the peopleapproached His Majestys Government of Nepal, which said, "Tomorrow." But tomorrow neve

came, so the people took the matter into their hands. They were aware of the work Deutsch

Gesellschaft fr Technische Zusammenarbeit (GTZ) was doing in Bhaktapur, so they went to

Bhaktapur and managed to elicit GTZ interest.

With GTZ assistance, they found a good source of water; designed and built a pipeline to

carry it 14 km to the town; and worked with people in the villages along the pipes length to

arrange for rights-of-waysome of which were secured by building a school in the nearby

village. The mayor noted that these side projects (along the pipeline) have helped build a

good, familial feeling between the town and the villages nearby. When the water first came

through the pipe, the townspeople celebrated.

The 14-year effort bore considerable fruits. Dhulikhel has ample water. Water use haincreased as women use it more for washing dishes and clothes. Every house in the town is

connected to the system and most homes have toilets. As a result, gastrointestinal disease

has markedly decreased. But, the most significant result was the community spirit tha

developed and the sure knowledge that they can solve their own problems.

When asked what advice he would give to the Mayor of Kathmandu, the Mayor of Dhulikhe

answered that the people must be "thirsty" to energize them to fix a water problem. Also, i

people pay for a system and work hard to build it, they will be more likely to take care of it

And finally, it was public participation and a "never give up" attitude that saw them through

from start to finish.10

The Nepal case study here proves that people can solve their problems and enlisting communities

way of scaling up to meet the Millennium Development Goals.

Mode l 3 I nd ia : Ove rcomin g My th s , Crea t ing Demand

In Dr. Veerashekharappa's paper, Comm unity Contribution for Environmental Contribution in Rura

Myth and Reality, he reports the findings of a study that tests the effectiveness of the recent tren

toward requiring beneficiaries to share the cost of sanitation infrastructure and user fees.

The pressure to meet the sanitation target of the Millennium Development Goals (MDGs), and its h

financing has lead the Government of India to involve the private sector, NGOs, and beneficiary

communities in projects, including their planning, implementation, and some cost.

Veerashekharappa studied the impact of such an approach in Karnataka, where the state implemen

three major projects that were supported by multilateral and bilateral agencies. These projects req

beneficiary communities to contribute 30% of the costs for an environmental sanitation componen

_____________________________

10 ADB TA Number 2998 NEP, Urban Water Supply Reform in the Kathmandu Valley, Meeting Report - Dhulikhel Community

Managed Drinking Water System, Nancy E. Barnes for Metcalf & Eddy, 1998
http://-/?-http://ttp//www.scribd.com/doc/100377280http://ttp//www.scribd.com/doc/100377280http://ttp//www.scribd.com/doc/100377280http://ttp//www.scribd.com/doc/100377280http://-/?-


28/61

Key F ind ings: Heavy Subs id iza t ion o f Com m un i t y 's Cost Shar ing

The study found that 10 of the 12 project districts were able to mobilize their share of the project

However, the community's share did not come solely from households. In fact, no district was able

raise the full amount from households.

Instead, community leaders turned to cooperatives and contractors to subsidize shortfalls in the

contributions by households. Almost 42%and in some villages up to 80%of the costs that bene

households were supposed to contribute came from outside sources.

The study found that ineffective NGOs were the single greatest reason for the inadequate contributby households. NGOs were commonly unsuccessful in convincing households about the benefits of

project. Without understanding the benefits, communities did not demand the project and, consequ

feel pressed to share in the costs.

"The inefficiency of NGOs turned out to be an advantage to contractors in each village," the study

When village households refused to pay their share of the costs, contractors who were willing to

augment the shortfall in household contributions where awarded the project infrastructure contract.

"Thus, there was no community participation and transparency in awarding contracts, because ther

a nexus between the elite of the village and the contractor," the paper states.

In the end, the contractor provided greater accessibility and volume of water to the elite areas of t

village.

Lessons Learn ed

The study concludes that although "the concept of community participation through cost sha

and recovery in development projects has been theoretically establish and empirically tests in

many parts of the world," it needs careful design and participation by NGOs tasked to create

demand for the project.

Mode l 4 Bang ladesh : Par t ne rsh ip Fo r Em pow erm en t

Ms. Rokeya Ahmeds paper addresses a major challenge: Shifting Millions fr om Open Defeca

Hygienic Practices. She discusses a successful case study of WaterAid Bangladesh and the NGO

Education Resource Centre (VERC) partnering to help Bangladesh achieve 100% sanitation. Ms.

summarizes the background of the problem and the approach the partnership took. The Governm

Bangladesh plans to achieve total sanitation by 2010. According to a 2003 survey, average san

coverage is only 32%. Traditional approaches to improving sanitation have focused on

construction rather than on health and hygiene education.

WaterAid Bangladesh and its rural partner VERC have jointly developed an integrated

empowering approach in collaboration with community people living in rural areas. VERCs

approach is based on the assumption that once the issues have been understood

communities have the commitment and ability to overcome their water and sanitatio

problems themselves. The approach has proven effective in establishing safe water supplies

environmental sanitation, and promoting good hygiene practices.


29/61

The approach is based on the following key principles:

I n t e g r a t i o n Safe water supply, environmental sanitation, and hygiene promotio

are addressed simultaneously. Projects are appropriate, sustainable, and affordable fo

the community;

Par t i c ipa t ion The whole community, including the hard-core poor, are actively

involved in project planning, implementation, monitoring and evaluation. Individuals in

the community are trained to become trainers; the community determines the bes

water supply and sanitation infrastructure option and hygiene promotion education

inputs are facilitated;

E m p o w e r m e n t Peoples capacities, skills, and indigenous knowledge are recognizedand valued support is provided in the form of capacity building to strengthen the abilit

of individuals who emerge as leaders to work as agents of change within the

community; communities act as facilitating agents in their neighboring areas

empowered communities increase their confidence to analyze and voice their need

constructively to local government agencies or other development programs.

Key aspects o f t he approach :

Peoples skills, abilities, and knowledge are valued;

0% subsidy for latrine construction;

"Whole community" approach;

Use of participatory research tools to analyze the problems;

Formation of village development committees (local engineering groups);

Identification of potential community leaders and involve them as community "catalysts;"

Mobilization of local resources; and

Involvement of local government.

And the results? The Department for International Development's (DFID) assessment11 of VERC re

in areas with improved water facilities and 100% sanitation :

Cases of diarrhea have fallen by 99%, dysentery by 90%, and stomach-related problems, su

intestinal worms in rural areas, by 51%;

Monthly medical costs for common illnesses are 55% lower;

Working days lost due to illness have fallen from 77 to 35 per year in rural areas;

Schooldays lost due to illness have fallen from 16 to 7 per year in rural areas; andExpenditure on food and clothing has risen by 6%.

These outcomes are phenomenaldemonstrating the power of an approach that depends o

community as project drivers and combines safe water supply, sanitation, and hygiene promotion.

Mode l 5 Wat e r fo r Peop le App roach : Capaci t y Developm en t a t t he Core

Peter Nathanson, in his paper, Water for Peoples (WFP) Approach to Building Sustainable Capa

Sanitation and Wastewater Management: Case Studies, explains that:

...the Water for Peoples program is a self-help approach that involves women working with

men on local water committees. the Program helps communities to construct their drinkingwater and sanitation systems by using technology that is easy for the communities to use

maintain, and repair. The Program mobilizes communities by helping organize wate

committees, using locally available materials, and conducting community-based training s

the communities are empowered and responsible for the long-term benefits from their wate

and sanitation systems.

________________________________

11 Farouk A. Chowdhury, an Economic Evaluation of Water Aid Bangladeshs Water and Sanitation pr ogram me in specified areas

Bangladesh, December 2002, DFID Bangladesh.


30/61

Through this process, community members are educated about the technical, financial, institution

social elements of sustainable projects. The Program also includes health and hygiene education

model by creating a network of community health promoters so water and sanitation systems ar

properly and kept clean and free from re-contamination. In urban and peri-urban areas, the Progra

had success with bringing stakeholders (community, government, utilities, and nongove

organizations) together to develop a plan that addresses issues which have been barriers to suc

projects, such as land ownership, payment for water and sanitation infrastructure and mainte

protection of the hardware, training, and health and hygiene education.

Nathanson's paper summarizes the Program's experience in Africa, India, Latin America, and Viet N

Based in these experiences, Nathanson writes that the Program to expand upon a number of prove

community-based resolutions:

constructing culturally and technology-appropriate latrines, utilizing different designs to fit th

needs of the communities, and the training on how to maintain and dispose of the waste ma

properly;

safely reusing gray water by utilizing the water for family gardens and pour-flush latrines;

constructing and maintening of absorption pits and other low-tech on-site disposal technolog

wastewater

smarter sanitation: how to clean up your sanitation and wastewater mess

Documents