Research Proposal : City Sanitation Planning and Service Delivery with Community

City Sanitation Planning and Service Delivery with Community

City Sanitation Planning and Service Delivery with Community Shantanu A. Raut Technical University of Darmstadt “Mundus Urbano� International Cooperation in Urban Development

Shantanu A. Raut

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City Sanitation Planning and Service Delivery with Community

Table of Contents 1. Abstract ...................................................................................................................................... 4 2. Introduction ............................................................................................................................... 5 2.1 Area of Study ...................................................................................................................... 5 2.2 Primary Objective............................................................................................................... 7 2.3 Research Question............................................................................................................. 7 2.4 Research Significance ...................................................................................................... 8 3. Literature Review ...................................................................................................................... 9 3.1 Rationale for the case study selection .......................................................................... 9 3.2 Case Study......................................................................................................................... 10 3.3 Case Methodological Approach ................................................................................. 11 4. Research Methods & Data collection .............................................................................. 12 5. Project outcome and findings ............................................................................................ 13 6. Conclusions............................................................................................................................. 16 6.1 Discussions and Limitations ............................................................................................. 17 6.2 Recommendations .......................................................................................................... 17 7. References .............................................................................................................................. 18

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City Sanitation Planning and Service Delivery with Community

List of Figure Figure1: Public health risks at different levels related to poor sanitation .......................... 5 Figure2: Integrated Perspective of Environmental Sanitation ............................................. 6 Figure 3:Figure 3: Community members in Tanzania are drawing a map of open defecation for their community. ............................................................................................... 7 Figure 5:Pit Latrine on the site ................................................................................................... 10 Figure 4: Filled Up Septic Tank .................................................................................................. 10 Figure 6: Components of the enabling environment for sanitation planning ........................................................................................................................................................ 11

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City Sanitation Planning and Service Delivery with Community

1. Abstract The focus of this research is in the area of Community-driven Sanitation Planning process. The attempt is to understand how the sanitation service delivery and planning could be improved with the beneficiary involvement. Such a study is essential to understand why there is a need to develop a more integrated planning approach for improved sanitation services in low and middle-income countries, which emerged as a response failure of conventional sanitation planning and service provision methods. The research approach adopted in this dissertation includes analysis of the Community-Led Urban Environmental Sanitation Planning (CLUES) framework in the case of the city of Iringa, Tanzania. The analysis is primarily based on secondary data collection, focusing on participatory planning and capacity building principles of planning. The findings from this research provide evidence that involving beneficiaries in the planning process and building their capacity can enrich the outcome and help in managing the service more efficiently. The main conclusion drawn from this study is that sanitation planning is an integrated process involving multi-stakeholders. The success of the process is defined by the holistic involvement of all the actors and the end-users. This dissertation recommends that the CLUES framework for planning is an efficient tool for a healthy outcome. However, further studies needed to be done to understand various factors influencing the planning process with the help of more case studies in low-income countries.

Keywords: Sanitation Planning; Low-income countries; Stakeholder Participation; Community

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2. Introduction Access

to

adequate,

and

improved, affordable

sanitation services is a great challenge in most parts of the world,

particularly

in

low-

income countries. Around 2.4 billion people lack access to improved sanitation, of which

Figure1: Public health risks at different levels related to poor sanitation Source: DFID, 1998

695 million live in Africa (Water for the World 2018). The inhumane hygienic conditions and the poor management of sanitation systems and services are among the leading causes of deadly diseases like diarrhea and pathogen transmission. Some 827 000 people in low- and middle-income countries die due to inadequate water, sanitation, and hygiene each year, representing 60% of total diarrhoeal deaths. Poor sanitation is one of the leading causes of some 432 000 of these deaths yearly (WHO Newsroom. Sanitation 2017). Although there are many reasons why many people still have no access to adequate sanitation services: poor policy at all levels, weak institutional frameworks; inadequate and poorly-used resources; neglect of consumer preferences; ineffective promotion, and low public awareness are few to be mentioned. Many Water Hygiene and Sanitation (WASH) programs and projects are being carried out by national and international governments and NGOs to tackle the problem of inadequate sanitation. Top-down sanitation programs that promote a specific sanitation technology based on the presumption of ‘outside’ experts have often criticized for backing unsustainable, expensive, and inappropriate techniques (Cairncross, 2004)

2.1 Area of Study There need to develop a more integrated planning approach for improved sanitation services in low and middle-income countries that emerged as a response failure of conventional Shantanu A. Raut

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methods of sanitation planning and service provision. The traditional master planning process failed to recognize the following issues in the sanitation planning process.

•Equitable service delivery requirements for low-income and informal settlements often need arrangements that differ

from the mainstream

services for the rest of the city.

•The important role of the private sector in sanitation service provision, notably small-scale entrepreneurs (both informal and formal).

•The potential benefits of alternative, innovative approaches for

service

delivery

to overcome

physical, financial, or institutional constraints.

•The need to ensure that there is sufficient demand to pay for services and cost recovery to pay

Figure2: Integrated Perspective of Environmental Sanitation.

Source: Parkinson et al., 2014

for operation and maintenance costs.

•Capacity building requirements required for ensuring that facilities and infrastructure are adequately managed and maintained.

(Parkinson et al., 2014) The need to provide efficient sanitation services is key to a good healthy and prosperous life as one would lower the risk develops from improper sanitation.

(WHO, 2004) The community-led urban sanitation tools give the framework of the sanitation service and its delivery assessment, which is a tried and tested effort to improve sanitation service delivery in the low- and mid-income communities in the developing world.

The key factors which should be taken into account while planning for the sanitation service provision are •

Respond to expectations for sanitation service improvement

•

Plan for inclusive and equitable sanitation services

•

Ensure services are affordable and financially viable

•

Integration with other municipal services

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Focus on behavioral change

•

Engage with stakeholders

Based on these principles mentioned above, there is a need to have contextual planning that focuses on area-specific requirements for efficient application and outcome. According to Parkinson, some of the guiding principles could be as follows: •

Local stakeholder interests and expectations

•

The political economy and the enabling environment

•

Taking into account activities and initiatives at the local level

•

Taking into consideration the diversity of cities

•

Planning within the context of available resources

(Devine & Kullmann, 2011)

2.2 Primary Objective The primary objective is to understand the methodology adopted in the city sanitation planning process with the "beneficiary" (Jenkins & Pedi, 2013) community involvement the result of the process and critically reflection on the method's strengths and challenges in the periurban areas with the case study of the city of Iringa, Tanzania.

2.3 Research Question "How can the sanitation planning process be improved

with

beneficiary

community

participation? " Let us further divide the question, “what is sanitation planning?” WHO defines it as a step-by-step risk-based approach to assist in implementing local level risk assessment and management for the sanitation

service

chain

-

Figure 3:Figure 3: Community members in Tanzania are drawing a map of open defecation for their community.

Souce:https://en.wikipedia.org/wiki/Communityled_total_sanitation

from containment,

conveyance, treatment, and end-use of disposal (WHO. World Health Organization, 2016). It is the planning approach that builds on a framework that balances people's needs with those of the environment to support human dignity and healthy life (CLUES, 2016).

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City Sanitation Planning and Service Delivery with Community

The second part of the question refers to the “beneficiary community participation.” We often address the end-user as “consumer.” However, consider a case when low-income households build an improved latrine – whether it is their first latrine or an upgrade from an unhygienic or temporary facility – they decide to invest money and effort in something they have never owned. That means it involves new technology or product, and construction methods they may not have seen, touched, or used before.

It means motivating households to spend hard-earned money and effort for an improved latrine; the first step is to” understand them better” (Jenkins & Pedi, 2013). There is an immense need to understand the right context, level of preparedness of the beneficiary to adapt and understand. It is necessary to involve the community in planning, thus making community involvement a crucial part of the process.

2.4 Research Significance It is essential to further research on the sanitation and service delivery planning process because: •

Too far, the focus of the sanitation service implementation is always on the service delivery and technological aspect, which lacked the human-centric approach.

•

The rapid urbanization of Tanzania and its upcoming neighborhoods in peri-urban areas requires the call for the development of sanitation services. However, in many development proposals, it is found that the lack of community participation minimizes the rate of success and behavioral change(WHO, 2004).

•

The case research will give an insight into the framework used to achieve a sustainable result while creating the sanitation design service planning for a similar kind of situation in the future.

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3. Literature Review 3.1 Rationale for the case study selection Tanzania is one of Africa's fastest-growing economies, with nearly 7 percent annual GDP growth since 2000. However, widespread poverty persists. Almost half of Tanzania's population is living on less than $1.90 per day. Access to water and sanitation remains low in Tanzania.

Regarding sanitation around 40 million, in 2015, lacked access to "at least basic" sanitation.

In Tanzania, in 2015, only 24% of the population had access to "at least basic" sanitation, 37% and 17% in urban and rural areas respectively (USAID 2018). The gap is further increasing due to rapid urbanization and the development of new peri-urban areas in the periphery of the cities. The case study of Iringa presents the case with a similar context and a good insight into the development and steps taken to improve the condition of these new urban areas. The rationale for the case study selection are •

Low-Income Country

•

Fast-Urbanization

•

Peri-Urban Context

•

Similar characteristics of area, population, services available

•

Use of CLUES-Framework for planning

•

Similar Administrative zone (Tanzania Government and Iringa Municipal corporation)

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3.2 Case Study The peri-urban wards of Iringa named Mtwivila, Kihesa, Kitwiru, and Nduli. These wards have their characteristics. The area consists of households (99%) have a latrine, (80%) of which is unimproved.

The municipal sewer system does not serve periurban wards, and households rely on on-site collection technologies, such as traditional pit

Figure 5: Filled Up Septic Tank Source: (Mahenge & Agenda, 2013)

latrines and septic tanks. Traditional pits are usually abandoned when full, and new pits are dug instead of emptying the filled-up pit.; only a small part of the population uses the mechanized emptying service. People recognize the importance of protecting health, particularly if they have children, even if sanitation-related issues are not expressed among their top priorities(Jenkins & Pedi, 2013). The main difference between wards concerns geophysical aspects: the ward of Nduli shows characteristics of rural environments; it covers a big area and is the less densely populated

Figure 4:Pit Latrine on the site Source: Mahenge& Agenda, 2013

one(Republic, 2013).No households have access to tap water in the plot. On the contrary, the other three wards have urban characteristics, and some areas of Kihesa and Mitwivila are densely populated. The majority of households (86%) have access to piped water in the dwelling or the plot.

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3.3 Case Methodological Approach The participatory approach applied in the sanitation plan development is derived from the CLUES planning framework(Bright-Davies et al., 2015).

The manual presents the general approach of

the methodology,

principles

of

the

based

on

basic

multi-stakeholders

participation concept show in Fig:4. The planning process involves a community-led participation approach to understand the beneficiary demands requirements and at the

Figure 6: Components of the enabling environment for sanitation planning Source: Parkinson et al., 2014

same time building up their capacity and creating a sense of ownership towards the sanitation facilities. The planning phase consist of seven stages: 1. Process Ignition and Demand Creation 2. Launch of the Planning Process 3. Detailed Assessment of the Current Situation 4. Prioritization of the Community Problems and Validation 5. Identification of Service Options 6. Development of an Action Plan 7. Implementation of the Action Plan The Process Ignition and Demand Creation phase were conducted by a team composed of personnel of local and international NGO partners of the project. The Focus group discussions organized by the concerned NGO's paid attention to the participant's suggestions and demands and tried to consider it in the implementation. Therefore, the two groups were invited to share their decision with the others and to agree together about a ranking of proposed options. Considering the time, economical and logistical constraints, the team decided to build two full-scale prototypes of a latrine for each ward, based on these criteria: latrines would respect the preferred choices that emerged from focus groups discussion in the ward latrines would be built next to ward offices and serve as public toilets. First, prototypes were Shantanu A. Raut

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constructed in Kitwiru, where a feedback meeting was organized to get feedback from the community and improve the prototypes' design. Feedbacks were received by the team and included in the realization of prototypes inwards of Nduli and Mtwivila, according to the principle of iteration. Subsequently, feedback meetings were conducted in Nduli and Mtwivila; outputs were considered to improve the prototypes' design in the fourth ward. The men and women were invited to inspect the prototypes constructed and supplied with a list of guided questions to facilitate a discussion. The prototyping objective is to show real products to people to facilitate comparison and evaluation; another objective is to train local artisans and evaluate technical aspects and costs. As a result of it, the participatory development approach helped the team is focusing on individuating preferences and aspirations of communities to which the design was addressed. Only in the ward of Nduli, participants showed an interest in dry toilets and resource recovery, because of the opportunity to produce manure to use in fields. Consequently, the team decided to build a fossa alternate in each ward as one of the two prototypes, to introduce the technology to the community. The choice of a water-based technology was a challenging point because some households, particularly in Nduli, were not connected to the aqueduct and people have to purchase the water in distribution points far from the house. The commitment of people in the prototyping process emerged in Nduli, where the community contributed to not skilled work in the construction of latrines. It emerged also that estimated cost of latrines corresponded to the price people attributes to them, and that they are willing to pay(Bright-Davies et al., 2015; Domini et al., 2017; Jenkins & Pedi, 2013; Lufingo, 2019; Lufunyo, 2013; Municipality et al., 2016).

4. Research Methods & Data collection The research strategy includes an in-depth review of secondary sources and literature review, followed by an analysis of gaps in the data. Once gaps are identified, the case studies will be analyzed and studied. In the long run, I wanted to understand the sanitation planning methods in Sub-Sahara region countries of Africa, especially the cities with peri-urban population centers. One town in Tanzania called Iringa is considered a case study with four periurban Neighbourhoods with almost similar characteristics. These cities, with similarities in size, Shantanu A. Raut

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population, and or regional importance, will be considered for the future; however, further research needed for the selection of these case studies. The pandemic implies the major roadblock in terms of physical access and conducting the interview. However, the focus would be on referring to as many policy papers, secondary reference materials like academic papers, journals, and media materials would be studied in the due process of time. The scheduled interview with the professionals and professors from the university and consultation offices like BORDA, German Toilet org., and GIZ would be a valuable contribution to the project.

I have attended an online seminar on Planning & Design of Sanitation Systems and Technologies on corsera.com (https://www.coursera.org/learn/sanitation/home/welcome) the contend I learned from there will add the value to the overall research.

Alongside the empirical study, historical, literary research will continue to progress.

Official municipal, state, and federal planning and vision documents will be analyzed and published research in relevant technological advancements. Qualitative data should be analyzed through the “describe, analyze, interpret, repeated framework, and data analysis software could be used to analyze quantitative data as required.

Some limitations and problems may arise throughout this research. The due date of the final thesis submission is around September 2021. As I am currently in Germany, I may find myself with limited access to the desired countries. To mitigate this challenge, I will set up Skype interviews with local authorities and local university professors. Currently, I am applying for an internship opportunity in one of the Sub-Saharan countries. I will also travel to the sites to investigate further. Beyond the limitations of physical location and funding, restrictions on time exist as well.

To reduce the pressure of time, I have implemented a strict schedule that will help me manage my time and resources to produce the best possible product in the duration.

5. Project outcome and findings The project shows us that there is no purpose in trying to sell or even give a sanitation facility to a household that the beneficiary is not aware of. Therefore, there is a need to consider the current consumer demands and future aspirations while planning. Sanitation services need promotion in the same way that hygiene improvements require promotion, but the “drivers� of Shantanu A. Raut

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demand may differ (The World Bank Water and Sanitation. n.d.).

It is evident with the

Community-Led Total Sanitation approach, which has been widely adopted for rural sanitation programs to eliminate open defecation. Although the condition is different in urban areas, social mobilization through awareness-raising can result in communities collectively taking a more proactive role in improving sanitation in their areas. It may involve taking action to invest in developments of household-level facilities and increase readiness to pay for upgraded sanitation services or collective action to keep drains clear from solid waste. The awareness and the importance of the development of sanitation service could be a significant part of the capacity building in the sanitation planning process.

Sanitation marketing uses commercial and social marketing techniques on the demand side and market development and facilitation on the supply side to promote uptake and sustained use of improved sanitation (Parkinson et al., 2014). In the urban situation, the constraint is often more on the supply side than on the demand side. However, there may be benefits for a marketing component of a sanitation strategy focused on promoting well-defined behaviors and products. The CLUES approach in the case of Iringa helped in individuating the preferences and aspirations of communities to which the design was addressed.

The focus groups and feedback meetings turned out to be the most productive tools allowing exchange and understanding of the users. During the focus group, people declared not to be satisfied with their latrines. In all wards, the preferred technology was the pour-flush, while dry toilets were disliked mostly because people have little or no knowledge about them. Only in the ward of Nduli, participants showed an interest in dry toilets and resource recovery, because of the opportunity to produce manure to use in fields. Consequently, the team decided to build a dry toilet in each ward as one of the two prototypes, to introduce the technology to the community.

In all wards, people selected squatting pans and disliked pedestals

considered unhygienic. People chose cement as preferred material because durable, while they considered wood and grass as temporary and poor materials. People showed to attribute great importance to information about latrines and technologies: they believe they could change their opinion if correctly informed. It was observed in all wards that women linked their choice to parameters like quality, cleanliness, durability, and hygiene, while men were more Shantanu A. Raut

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focused on cost and affordability. Results showed that people aspired to a durable toilet, easy to clean and maintain, with a pour-flush technology. The choice of a water-based technology was a challenging point because some households, particularly in Nduli, were not connected to the aqueduct and people have to purchase the water in distribution points far from the house. This evidenced how people’s aspirations did not always coincide with their real possibilities.

The commitment of people in the prototyping process emerged in Nduli, where the community contributed to not skilled work (pit digging) to the construction of latrines. It did not happen in other wards, where workers were employed for the whole building activities. From feedback meetings, it emerged that people were generally satisfied with built latrines. Feedbacks concerned the size, which was increased in second prototypes. Another issue was the privacy: people asked to modify the structures to eliminate even little spaces under the door in order no one could see even feet of users from outside. Other feedbacks concerned the movable superstructure created for the dry toilet, which appeared not robust enough.

A strong interest in the dry technology of dry toilet, which was disliked during focus groups, emerged from feedback meetings. This fact underlined the efficacy of the real scale prototyping and iteration process carried out by the team. It emerged also that the estimated cost of latrines corresponded to the price people attributes to them, and that they are willing to pay. From one hand, prototypes realization and co-creating sessions with local artisans stimulated workers and enterprises, linked to traditional technologies and building techniques, to look at sanitation products differently, becoming creatives and posing questions; on the other hand, it supported designers to link their ideas to practice and available construction techniques. It is therefore important to strengthen organizations and institutional capacity to understand and evaluate complex urban issues related to sanitation and to building financial and managerial capabilities for service provision and regulation of non-governmental service providers. The capacity building played a significant part in the process. It has proved that capacity development is an essential factor for effective planning, and subsequently, implementation, which involves various activities for organizational strengthening at all levels and development of human resources within these organizations. (Parkinson et al., 2014).

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Sanitation planning and human resource development are interlinked. Devine and Kullmann say it is the process in which the human resource development requirements are identified based on the findings of the sanitation planning (Devine & Kullmann, 2011). At the same time, it is also necessary to institutional capacity building as well as local private sector entrepreneurs, engineers, and sanitation professionals which would be an asset to knowledge development.

6. Conclusions The methodology adopted in Iringa provides a sustainable solution. The selected process created a good flow of continuous learning and innovation and showed good potential to lead to beneficiary involvement in sanitation planning. The case study has also brought in the different perspectives and ambitions of the participants in the different locality between periurban wards showing urban characteristics (Mtwivila, Kihesa, and Kitwiru) and the ward having rural features (Nduli). Capacity building also helped change people’s view of sanitation in the case of Mtwivila. Kihesa and Kitwiru people looked at the latrine more as something increasing their status, where the excreta management was a delegate to the outside agency. In Nduli, people were ready to collaborate with the construction and preferred a technology-oriented to the reuse of products as fertilizer.

The case presented the framework implementation in the case of Iringa and how a similar kind of framework could be applied to other such urban constrain in the region. However, the limitation of the structure based on the initial research could be Community-centred planning consumes, more time than expert-led planning approaches. Lower-income communities may not always be capable of self-financing the planning and implementation of improved environmental sanitation services in this situation; finding funding would be a big constrain.

Decision-making in multi-stakeholder settings needs strong project leadership to ensure that joint decisions are followed by action (LĂźthi et al., 2010) CLUES approach may require different set of actors to have a different level of skills at each level, which must be adopted by training activities. Sometimes legal and institutional framework related to environmental sanitation my not allow to implement CLUES approach. Participatory planning is somewhat unpredictable

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and case-specific and requires an excellent understanding of the enabling environment(LĂźthi et al., 2010).

6.1 Discussions and Limitations Although it would be early to form an opinion and some of the assumptions may need more validation and further research. One may need to research further in different contexts to build a stronger opinion. The time constrain is a big roadblock in the research now but if given the future opportunity further research on other factors could be analyzed.

6.2 Recommendations Other important factors that could play a defining role in influencing sanitation planning are social, political, economic, and policy frameworks. These factors could be analyzed with the help of more case studies, studying policy papers, and primary research on the field.

Furthermore, one also needs to understand that context, understanding, knowledge of the stakeholders differs from context to context; the solutions could not be the same everywhere, so there is a need to understand these contexts with the broader lenses. Lastly, there a need to identify the gaps in the planning frameworks and further address those gaps to make the process more community-oriented.

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7. References Water for the World. (2018) Water for the World. Retrieved June 26, 2020, from

•

https://www.waterfortheworld.net/the-water-challenge

•

USAID.

(2018). TANZANIA.

Usaid.Org.

Retrieved

June

27,

2020,

from

https://www.usaid.gov/tanzania#:~:text=Tanzania%20is%20one%20of%20Africa’s,How ever%2C%20widespread%20poverty%20persists.&text=High%20population%20growth% 20and%20low,limit%20broad%2Dbased%20economic%20growth.

•

WHO Newsroom. (2017). World Health Organization. Sanitation.

Https://Www.Who.Int/News-Room/Fact-Sheets/Detail/Sanitation. Retrieved June 23, 2020, from https://www.who.int/news-room/fact-sheets/detail/sanitation

•

Community-Led Urban Environmental Sanitation (CLUES,2016). Sswm.Info. Retrieved June 24, 2020, from https://sswm.info/humanitarian-crises/urban-settings/planningprocess-tools/exploring-tools/community-led-urban-environmental-sanitation%28clues%29

•

Understanding Poverty/ Water and Sanitation. (n.d.). The World Bank. Retrieved June 26, 2020, from https://www.worldbank.org/en/topic/water •

Bright-Davies, L., Schmidt, A., Duma, L., & Mbuduka, F. (2015). City Sanitation Planning: Part 1. 1–20.

•

Cairncross, S. (2004). The Case for Marketing Sanitation. WSP Field Note, May.

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Devine, J., & Kullmann, C. (2011). Introductory Guide to Sanitation Marketing.

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Introductory-Guide-Sanitation-Marketing.pdf •

Domini, M., Langergraber, G., Rondi, L., Sorlini, S., & Maswaga, S. (2017).

Development of a sanitation safety plan for improving the sanitation system in peri-

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urban areas of Iringa, Tanzania. Journal of Water Sanitation and Hygiene for Development, 7(2), 340–348. https://doi.org/10.2166/washdev.2017.256 •

Jenkins, M., & Pedi, D. (2013). Guidance note 2 Consumer Behavior: How can we understand

sanitation

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Lufingo, M. (2019). Public Water Supply and Sanitation Authorities for Strategic Sustainable Domestic Water Management. A Case of Iringa Region In Tanzania. J, 2(4), 449–466. https://doi.org/10.3390/j2040029

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Lufunyo, H. (2013). Impact of public sector reforms on service delivery in Tanzania.

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Lüthi, C., McConville, J., & Kvarnström, E. (2010). Community-based approaches for addressing the urban sanitation challenges. International Journal of Urban Sustainable

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Mahenge, A., & Agenda, E. (2013). Field Survey in Iringa Municipal for Identification Sensi Ͳ tization Developement.

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Municipality, I., Marta, D., & Sabrina, S. (2016). Design of household sanitation facilities through a participatory approach in Iringa Municipality , Tanzania. April 2017.

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(2013).

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WHO. (2004). The Sanitation challenge: Turning commitment into reality. WHO Publication.

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