Alison Wood, Michael Blackhurst, Desmond F. Lawler
Household sewage causes several problems if not managed properly. Centralized wastewater treatment systems have long been considered the preferred form of sewage treatment, but they can be expensive. Several decentralized wastewater technologies can manage household sewage safely and effectively and may appear to be less expensive than centralized systems on a life cycle cost basis. Homeowners may be reluctant to bear the costs of these technologies, forcing municipalities to weigh the expense of monetary incentives to householders against the costs of centralized systems. Accurate life cycle cost comparisons rely on the use of discount rates representative of the appropriate investors. Centralized systems are typically financed by public municipalities, who use market interest rates or “social” discount rates in life cycle cost calculations, whereas homeowners have been observed to demonstrate much higher “implicit discount rates.” When system costs are compared using appropriate discount rates, decentralized systems might lose their cost advantage. We examine this phenomenon with two case studies. The methodology developed herein can be applied to any case in which centralized and decentralized technologies may be appropriate solutions; it also gives a basis for sound decisions about incentivizing homeowner adoption of decentralized technologies.
Context & Problem Overview - There is a great necessity for improved sanitation practices in the developing world. Forty percent of the world’s population practice open defecation or lack adequate sanitation facilities. In urban areas throughout the developing world, where household and community toilets are available, 2.1 billion people use toilets connected to septic tanks that are not safely emptied or use other systems that discharge raw sewage into open drains or surface waters resulting in a greater incidence of waterborne diseases, poor drinking water quality, and contaminated water sources. In the Philippines, poor sanitation infrastructure and disease costs the economy $1.94 billion a year. Improved sanitation practices and infrastructure are difficult to implement and sustain. Public services, treatment systems, and sanitation practices in the developing world often require sufficient land, capital, and energy resources that are often scarce. Low cost, sustainable improvements and innovations, as well as local acceptance and ownership, are necessary to develop and implement alternative technologies that can help reuse waste, improve water treatment and improve overall quality of sanitation services. \nResearchers at Research Triangle Institute (RTI) International have developed and tested a secondary waste water treatment filter that can be appended to existing decentralized waste water treatment systems (DEWATS) and collection facilities. Using a cocopeat filter, the discarded dust and coir generated from coconut processing plants, an effective bio-filter unit can be constructed. This simple device can easily be connected to existing septic tanks or other primary treatment components to filter effluent waste water and meet national discharge standards. This filtration technology has the potential to improve health and positively impact sanitation services for urban poor communities. Although successful pilot programs have been launched through grant funding and self-financing, RTI would like to explore alternative implementation models to deliver this technology to a larger audience in the Philippines. \n\nPolicy Question - What implementation models could RTI International consider for scaling up cocopeat bio-filtration systems to improve access to safe water and sanitation in urban poor areas of the Philippines?\n\nData and Methodology - To assess and recommend potential implementation model options the following data and methodology was used: 1) Sanitation Sector Landscape Analysis – I conducted a literature review of the Philippines sanitation sector to assess the most significant institutional factors related to implementing DEWATS projects. 2) Case Study Analysis – I collected and reviewed relevant case studies related to DEWATS projects implemented in urban Philippines locations to determine key lessons learned, potential implementation models, and project financing structures. 3) Integrated Financial and Economic Analysis – From the financial and economic data collected in the case studies, I analyzed cocopeat filter technology system costs with comparable secondary treatment systems. Additionally, I analyzed potential cost distributions of a cocopeat filter system using four different implementation models. \n\nFindings - \t1) Cocopeat filter technology is a proven low cost, sustainable, and effective alternative to other secondary waste water treatment technology options with comparable efficiency. 2) The Community Participation model shows the most potential for mitigating institutional risks and constraints within the sanitation sector. 3) Efficient DEWATS implementation using a cocopeat filter has the potential to improve benefit to cost ratios (BCRs), reduce cost burdens on direct users, and introduce sanitation treatment systems to urban areas where space constraints are a key limiting factor. \n\nRecommendations - RTI could pursue Community Participation models for implementing cocopeat filter DEWATS projects with support from local government units (LGUs) and NGOs. This model shows the most promise for mitigating institutional risks, promoting awareness of sanitation benefits, driving ownership by end users, and enabling technology adoption. Given that technical implementation, social marketing, and sanitation training expertise resides predominantly with NGOs, RTI should also continue to promote the benefits of cocopeat filter technology through these subject matter experts.
Ma. Hilda Rodales Trujillo, Francisco José Villazán Olivarez, Mario Zamora
The economic problem for many public companies, responsible for providing the water service to human concentrations is high risk. The weaknesses and strengths of the organization and the threats and opportunities that the environment offers require detailed analysis for decision making. The establishment of the level of growth of the Utility of Water and Wastewater shall be supported to reduce their risks. The process of decentralization and divestiture of public bodies such conditions has led to completely new water companies. This process involves gradually reaching autonomy of public agencies. This paper shows a financial analysis of a body of water operator as a basis for achieving sustainable growth. One important result obtained in the analysis is that growth is being financed by the utilities is 56.92%. Thus, a very important part is financed with external resources.
Alina Florentina Cucos, Кукош, А., Trif, N., Триф, Н. · 5 authors
Water supply and sewerage services represent utilities that must be provided to all users, both the urban and the rural. The responsibility to ensure these services in terms of non-discrimination and affordability belongs to the local authorities, which in the spirit of decentralization have exclusive jurisdiction on their establishment, organization and operation. Regardless of the chosen management, the funding of water supply and sewerage services, is accomplished by means of the prices and tariffs paid by the users. Their quantum, specific to some social services, covers the costs without allowing the accumulation of consistent profit margins, which would ensure the development of the specific infrastructure from the operators' own funds. It is therefore necessary that funding for the creation and rehabilitation of water supply and sewerage systems to be provided from other sources than the budgets of operators, such as: budgetary allocations of local public authorities, government or European funding programs. This paper is of interest because it captures just how the prices and tariffs for these services are composed, and the entire procedure for foundation, adjustment and modification that follows different rules from those of pricing in the market economy, and it provides a review of the types of programs through which the development of the specific technical-urban infrastructure and the significant increase in the number of users in the past 25 years.
In early 2000 the city of Quito, Ecuador, established the Water Protection Fund (FONAG) to provide sustainable financing for the management and conservation of surrounding watersheds. FONAG was innovative in that it pioneered the use of trust funds in a voluntary, decentralized mechanism for financing watershed conservation. Since then, at least 15 similar water funds have been created or are under development in the Northern Andes, seven of which are in Ecuador. Ecuador's later water funds share many similarities with FONAG, but there are also important differences. This paper analyzes the evolution of Ecuador's water trust funds since the creation of FONAG and related changes in community-level watershed management. It does so by comparing the development and effects-todate of two of the most-recent Ecuadorian water funds: the Fund for Pramo Management and Fight Against Poverty in Tungurahua (FMPLPT) and the Regional Water Fund (FORAGUA). After defining the water trust fund model, the paper provides an overview of the FMPLPT and FORAGUA. It then compares these newer funds with FONAG to identify several trends in the financing of watershed conservation within Ecuador.
A theory of payment for ecosystem services (PES) pricing consistent with dynamic efficiency and sustainable income requires optimized shadow prices. Since ecosystem services are generally interdependent, this requires joint optimization across multiple resource stocks. We develop such a theory in the context of watershed conservation and groundwater extraction. The optimal program can be implemented with a decentralized system of ecosystem payments to private watershed landowners, financed by efficiency prices of groundwater set by a public utility. The theory is extended to cases where land is publicly owned, conservation instruments exhibit non-convexities on private land, or the size of a conservation project is exogenous. In these cases, conservation investment can be financed from benefit taxation of groundwater consumers. While volumetric conservation surcharges induce inefficient water use, a dynamic lump-sum tax finances investment without distorting incentives. Since the optimal level of conservation is generated as long as payments are correct at the margin, any surplus can be returned to consumers through appropriate block pricing. The present value gain in consumer surplus generated by the conservation-induced reduction in groundwater scarcity serves as a lower bound to the benefits of conservation without explicit measurement of other benefits such as recreation, biodiversity, and cultural values.
Open access
2 source records
Economic and Environmental Valuation
Water resources management and optimization
Conservation, Biodiversity, and Resource Management
Investments for basic rural sanitation programs should not only focus on the construction of new installations, but also on the necessity of implementing proper management models that guarantee the operational and financial sustainability of the investments. The integrated rural sanitation system (SISAR) is based on the idea of creating a confederation of local user groups which come together on a regional basis, and through an adequate institutional setup, are responsible for managing SISAR and assuring the adequate provision of water supply and in some cases, wastewater services. Financial sustainability is achieved by the implementation of tariffs for water consumption and provision of wastewater services generating revenue which is redistributed among all systems in order to cover all operational, maintenance and administration costs. Important stakeholders in the model include, besides the users, local and state government and international financing institutions responsible for financing the investments in the construction of rural water supply and wastewater systems. This document focuses on the experience and results achieved by SISAR in the Brazilian state of Ceará. In 2001 eight SISARs began providing improved water supply services in 66 settlements. Today, more than 560 settlements (more than 330,000 inhabitants) are supplied by SISARs.
In many Indian cities, problem of water scarcity is acute and most of the challenges of water supply and environmental sustainability are still unanswered. The condition is even worse for the informal settlements and slums in these urban areas where basic water and sanitation infrastructure are altogether missing. In order to meet these growing challenges, the present scenario of the public water supply system needs overall reforms, targeted towards improving the institutional, administrative, managerial and financial aspects related to urban water management. The main purpose of this research article is to highlight the institutional change needs for sustainable urban water management in India. The institutional change will involve: ( i) one or combination of organizational change measures comprising decentralization, creation of autonomous utilities, private sector participation and community-based management; ( ii) directive reforms; and ( iii) human resource development. The finer aspects will depend upon the physical and socio-economic environment, political situation and administrative set-up that exist in the urban area. The institutional changes will be more important for small urban towns where public utilities are given little attention. All these together can equip Indian cities better for averting risk in the face of rapid urbanization, climate change and water scarcity.
Over the past 50 years, both financing and socio-economic considerations in South India have shifted heavily towards improving urban infrastructure, causing rural services to be left behind. A recent report released by WHO and UNICEF states that over 884 million people, 84% of whom live in rural areas, use “unimproved water sources” for domestic purposes. This paper considers the case study of Nalgonda, a district to the east of Hyderabad, India. Nalgonda struggles with three main issues concerning domestic water: high fluoride levels in groundwater have caused thousands of cases of dental and skeletal fluorosis; second, over two-thirds of Nalgonda does not meet the WHO-requirement of 40 liters per capita daily of domestic water supply; third, poor management and maintenance have increased the risk of failure of existing water infrastructure. The state has been pursuing these issues in conjunction with a multi-district irrigation project that taps the regional Nagarjuna Sagar Dam. Centralized water supply, treatment, and distribution services are appropriate for high population density areas; however, geographical expanse and sparse populations lead to onerous access to improved water sources and inhibit the success of a similar centralized framework in rural areas. This is compounded by a lack of ownership at the habitation and socio-cultural levels. Further, the current water network and its problems - including inconsistent service, corruption, and general distrust of the treated Sagar water - have emboldened wealthier citizens to build private, unregulated groundwater defluoridation plants and commercialize small-scale water businesses. Inequitable services and uncertainty of shared water resources have caused a “tragedy of the commons,” leading to growing disparity and a severely receding water table. This research proposes the Louis-Ostrom Comprehensive Capacity Assessment (LOCCA) tool - an integration of the quantitative Capacity Factors Analysis risk methodology and the qualitative Ostrom's framework for assessing socio-ecological systems (SESs). The new framework is used to provide a sample assessment of the Vaillapally habitation in Narayanpur Mandal, Nalgonda. Preliminary results indicate that the institutional, technical, and socio-cultural capacity factors must progress to meet the policymakers' current projects technical capacity. Alternatively, decentralized systems, such as rainwater harvesting technology, better serve rural areas with low capacity and demand, while increasing collective investment in village-scale systems.
While large centralized sanitation projects are not affordable for most cases in urban and rural areas, the only way to increase sanitation coverage, especially for the poor, is to implement low-cost alternatives with decentralized sanitation management schemes where local community, administrative authorities and private sectors are involved in the decision making as well as in the exploitation process. Despite of that, there are some reasons discussed why decentralized wastewater management concept and its application is still not widely disseminated throughout Vietnam. Among institutional and managerial aspects there are weaknesses of environmental pollution control capacity at different, especially local levels, limitations of existing Vietnamese environmental standard system, and lacking of incentive measures to encourage consultants to go for the decentralized wastewater concept, as well as to force polluters to improve their situation. In term of finance, discussed pints are low wastewater fee, and limited participation of private sector in the business. In technical aspects, there are limited information of appropriate and proven technical options for different contexts, lessons on their performance and system setting up. Besides, difficulties in the household connection and in collection network are among factors. The paper also provides some examples of decentralized alternatives implemented in different sanitation projects at different scales in Vietnam.
François Guerquin, A. Hammad Tarek, Mi Hua, Tetsuya Ikeda · 6 authors
Competition for freshwater resources is increasing because of increased demand, a greater variety of uses and users, and depletion of some resources and loss of others because of pollution. However, the view expressed in World Water Vision: Making Water Everybody&s;s Business (Cosgrove and Rijsberman 2000) is that all uses could be served in the future, without depleting the Earth&s;s natural capital, if everybody committed to improving water management. Politicians and decision-makers must be the ones to initiate change. This should start with a management environment that enables the emergence of new tools, institutions, and capacities. Many countries have already started to adjust their approaches to water, introducing decentralization and participation and empowering communities and user groups. Water management requires clear definitions of water ownership and use and of responsibilities regarding water pollution. It requires transparent and participatory decision-making on investments, cost recovery, and service delivery. Above all it requires effective accountability and enforcement mechanisms that give voice and choice to users and societies. More and more countries are reforming their water management. However, financial issues often remain unresolved, approaches remain sectoral, and investment is often inadequate. The challenge of improving water management is especially daunting in countries with weak institutions and endemic corruption. Countries that lack a good educational system are also severely disadvantaged. In all countries reform will take time and so needs to begin now. Dialogue, debate, and exchange of experience at all levels will help to steer the process in the right direction and to keep it going.
El primer objetivo de esta tesis es la identificación y análisis de aspectos clave para la gobernanza de los servicios de agua rural en países que adolecen de bajos niveles de cobertura, altos índices de pobreza, se encuentran en procesos de descentralización, reciben un importante apoyo de donantes internacionales. Esta situación es común para muchos países de África Sub-sahariana. Por ello, se eligió Tanzania como objeto de estudio. El segundo objetivo de esta tesis ha sido el ensayo de nuevas herramientas y mecanismos institucionales para la mejora de la eficiencia, equidad y sostenibilidad en la provisión de agua en las zonas rurales, con especial énfasis en el nivel de gobierno descentralizado. Para ello, se desarrollaron experiencias piloto así como procesos de investigación-acción. En el capítulo 1 se estudia el papel desempeñado por los diferentes actores internacionales en la financiación del sector del agua en los países en desarrollo durante la década 1995-2004. En el capítulo 2 se analizan los indicadores existentes para el seguimiento del sector del agua a nivel internacional, específicamente los utilizados para valorar el cumplimiento de los Objetivos del Milenio, así como el Índice de Pobreza Hídrica (Water Poverty Index). Se detallan algunos limitantes en cuanto al alcance y metodología de cálculo de estos indicadores, y se proponen las características básicas que los indicadores deben tener para apoyar la toma de decisiones a nivel gubernamental. En el capítulo 3 se presenta una metodología para el desarrollo de indicadores más completos de acceso al agua, basándose en el Mapeo de Puntos de Agua (Water Point Mapping-WPM). La metodología propuesta, denominada Mapeo Mejorado de Puntos de Agua, incluye la medición de parámetros básicos de calidad del agua y estacionalidad de los servicios. La factibilidad y pertinencia de la adopción de esta metodología a nivel nacional se desarrolló satisfactoriamente a modo de experiencia piloto en dos distritos de Tanzania, con una población rural aproximada de 840.000 personas (capítulo 4). En el capítulo 5 se analiza la sostenibilidad de los servicios de agua rural en relación al tipo de tecnología utilizada para el abastecimiento. El análisis se basa en los datos de 6814 puntos de agua, sobre una población equivalente al 15% de la población rural de Tanzania. El capítulo 6 se analiza el proceso de toma de decisiones, desde el nivel central al nivel comunitario, para la asignación de recursos en el sector del agua rural. Los resultados en los 4 distritos estudiados muestran que menos de la mitad de los proyectos asignados se destinan a zonas con baja cobertura de servicios. Las incoherencias entre el diseño y la implementación de los planes nacionales, y la influencia de los poderes políticos locales son los mayores obstáculos para una equitativa distribución de los recursos. El capítulo 7 detalla el caso de investigación-acción ejecutado a nivel de gobierno local entre 2006 y 2009 con el gobierno del distrito de Same, Tanzania. La mejora de la equidad y la sostenibilidad se fomentaron mediante el desarrollo de herramientas de planificación basadas en el WPM y de mecanismos institucionales para el apoyo a largo plazo a los sistemas de agua rurales. En el capítulo 8 se detallan las conclusiones generales y líneas de investigación futuras. La resolución de los desafíos principales encontrados implican la adopción de paradigmas diferentes: i) la aceptación del agua rural como un servicio responsabilidad del gobierno y no de las comunidades; ii) las actuaciones deben decidirse en función de las necesidades de las comunidades, y no de su capacidad de demanda, iii) el establecimiento de sistemas de información internos que partan desde el nivel local y estén adaptados a las capacidades de actualización disponibles, iv) el desarrollo de mecanismos para la orientación y el seguimiento cercano de los procesos de toma de decisión a nivel local The first objective of this thesis is the identification and analysis of key issues in the governance of rural water services in countries that suffer from a lack of rural water access, high levels of poverty, are under decentralization processes and receive significant donor support. This is a common situation for many Sub-Saharan countries. To address the relevant aspects, Tanzania was taken as a case study and was analyzed in depth. The second objective was to test tools and propose institutional arrangements at that can improve efficiency, equity and sustainability in the provision of water for the rural areas, with special focus at the local government level. This was made through pilot experiences and an action research case study. In Chapter 1 we analyse the role played by the international actors in the financing of the water sector of developing countries, in the period 1995-2004. In Chapter 2 we study existing indicators for international monitoring, specifically the ones used by the Joint Monitoring Programme for the monitoring of the MDGs, as well as the Water Poverty Index (WPI). Some drawbacks are found the indicators’ scope and methodology, which prevents them from being used as policy drivers at national level. The chapter concludes by proposing the main characteristics that those indicators must entail to be useful for governmental decision making. In Chapter 3, a methodology to define water access indicators, based on GIS-based Water Point Mapping (WPM) is proposed. The methodology, named Enhanced Water Point Mapping (EWPM), includes the measurement of basic parameters of quality of water and seasonality of the service. The feasibility and relevance of adopting this methodology at national level was tested with success in two districts in Tanzania, covering a rural population of approximately 840,000 people, as described in Chapter 4. In chapter 5, we analyze the sustainability of systems over time, and the relation between sustainability and technology; this chapter is based on the study of 6814 water points, covering 15% of the rural population in the country. Chapter 6 analyses the aspects affecting financial resource allocation for rural water in Tanzania at all levels, from central government to village level. Results in four districts studied showed that less than half of allocated projects go to underserved areas. Incoherencies between the design and the implementation of the plans and political influences at local level are highlighted as major obstacles to the effective, equitable allocation of resources. In chapter 7, we describe an action research process that was carried out at local government level, together with Same District Council, between 2006 and 2009. The improvement of equity and sustainability was supported through the development of EWPM based planning tools and new institutional arrangements for the long-term support of community managed water supplies. In Chapter 8 the overall conclusions and future research lines are presented. We propose some new paradigms in the sector: i) rural water supply must be considered as a service, with government and not communities as main duty bearers; ii) the adoption of a needs-based approach to projects planning at community level, instead of the current demand driven, iii) the establishment of bottom-up internal information systems adapted to available updating capacities and iv) the development of mechanisms for the guidance and close monitoring of local government decision-making.
On January 8, 1997, the former President of Brazil, Fernando Enrique Cardoso signed the National Water Resource Policy into law (Law No. 9.433, 1997). The key principles of the National Water Policy include: an integrated approach with the river basin as the planning unit, water as a fragile and finite resource, water as an economic good, and finally, decentralized and participatory management of the resource (Formiga and Scatasta, forthcoming). The legislation provided for the implementation of bulk water pricing with the resulting revenues meant to finance the activities mandated by basin committees in the watershed area of Rio Paraíba Do Sul (in Rio de Janeiro and São Paulo, and also in the state of Minas Gerais, that basin committee is Comitê para Integraςão da Bacia Hidrográfica do Rio Paraíba Do Sul (CEIVAP) (Abers and Keck, 2004). To improve the sustainability of many different resources it is a widely accepted concept that charging a fee for something will spur sparing use by the target audience, particularly if the price is high. One-hundred percent of the collected monies have been invested within the basin; mainly designated to the following: non-structural institutional interventions, sediment control projects, and municipal wastewater treatment. Payments from agriculture and small hydroelectric plants have been mostly symbolic or non-existent and payments from other sectors have not been high enough to maintain a sustainable system. Convincing those that have not been actively participating is central to the success of this initiative: this paper will explain a framework called Social Marketing which is becoming more widely used throughout the globe to inspire behavior change. Social Marketing is a tool that can be used to persuade more users to pay the cobrança.
Open access
Water resources management and optimization
Conservation, Biodiversity, and Resource Management
Community-based natural resource management (CBNRM) is the joint management of natural resources by a community based on a community strategy, through a participatory mechanism involving all legitimate stakeholders. The approach is community-based in that the communities managing the resources have the legal rights, the local institutions and the economic incentives to take substantial responsibility for sustained use of these resources. This implies that the community plays an active role in the management of natural resources, not because it asserts sole ownership over them, but because it can claim participation in their management and benefits for practical and technical reasons1–4. This approach emerged as the dominant conservation concept in the late 1970s and early 1980s, of the disillusionment with the developmental state. Governments across South and South East Asia, Africa and Latin America have adopted and implemented CBNRM in various ways, viz. through sectoral programmes such as forestry, irrigation or wildlife management, multisectoral programmes such as watershed development and efforts towards political devolution. In India, the principle of decentralization through ‘gram swaraj’ was introduced by Mahatma Gandhi. The 73rd and 74th constitution amendments in 1992 gave impetus to the decentralized planning at panchayat levels through the creation of a statutory three-level local self-government structure5,6. \nThe strength of this book is that it includes chapters by CBNRM advocates based on six seemingly innovative initiatives being implemented by nongovernmental organizations (NGOs) in ecologically vulnerable regions of South Asia: two in the Himalayas (watershed development programme in Lingmutechhu, Bhuthan and Thalisain tehsil, Paudi Grahwal District, Uttarakhand), three in semi-arid parts of western India (watershed development in Hivre Bazar, Maharashtra and Nathugadh village, Gujarat and water-harvesting structures in Gopalapura, Rajasthan) and one in the flood-plains of the Brahmaputra–Jamuna (Char land, Galibanda and Jamalpur districts, Bangladesh). \n \nWatersheds in semi-arid regions fall in the low-rainfall region (500–700 mm) and suffer the vagaries of drought 2–3 years in every five-year cycle. In all these locations, the major occupation is agriculture, most of which is rainfed or dry. The other two cases (in Uttarakhand) fall in the Himalayan region (temperate/sub-temperate climate), which has witnessed extensive deforestation in the last century and is now considered as one of the most vulnerable locations in South Asia. Terraced agriculture is being practised in these locations for a long time. The last case (Gono Chetona) falls in the Brahmaputra–Jamuna charlands which are the most ecologically vulnerable regions in the sub-continent with constantly changing landscape. Agriculture and livestock rearing are the main occupations, and there is substantial seasonal emigration for wage labour by the adult males. River erosion and floods force the people to adopt a semi-migratory lifestyle. \nThe book attempts to analyse the potential as well as limitations of NGOdriven CBNRM endeavours across agroclimatic regions of South Asia with emphasis on four intrinsically linked normative concerns, namely sustainability, livelihood enhancement, equity and demographic decentralization in chapters 2–7. Comparative analysis of these case studies done in chapter 8, highlights the issues that require further research while portraying the strengths and limits of NGO-driven CBNRM. In Hivre Bazar, the post-watershed intervention scenario is such that farmers often grow three crops in a year – kharif bajra, rabi jowar and summer vegetable crops. Productivity has increased in the dry lands due to improvement in soil moisture levels. The revival of johads in Gopalpura has led to the proliferation of wheat and increased productivity. In Lingmuteychhu, productivity gains have also arisen, but more due to the introduction of both local and high-yielding, new varieties as opposed to increased water availability. In the case of Gono Chetona, improvements have come due to diversification of agriculture; for example, the promotion of vegetable gardens. CBNRM interventions in most cases have also led to new avenues of employment and income generation. \nThe synthesis shows that CBNRM efforts have made significant contributions to livelihood enhancement and only limited gains in terms of collective action for sustainable and equitable access to benefits and continuing resource use, and in terms of democratic decentralization, contrary to the objectives of the programme. Livelihood benefits include improvements in availability of livelihood support resources (fuelwood, fodder, drinking water), increased productivity (including diversification of cropping pattern) in agriculture and allied activities, and new sources of livelihood. However, NGO-driven CBNRM has not met its goal of providing ‘alternative’ forms of ‘development’ due to impediments of state policy, short-sighted vision of implementers and confrontation with the socio-ecological reality of the region, which almost always are that of fragmented communities (or communities in flux) with unequal dependence and access to land and other natural resources along with great gender imbalances. Appalling, however, is the general absence of recognition of the importance of and the will to explore practical ways to bring about equitable resource transfer or benefit-sharing and the consequent innovations in this respect that are evident in the pioneering community initiatives such as pani panchayat, etc. \nPertaining to the gains on the ecological sustainability front, Hivre Bazar and Thalisain initiatives through active participation of villagers have made significant regeneration of the water table within the village, and mechanisms such as ban on number of bore wells, the regulation of cropping pattern, restrictions on felling of trees and free grazing to ensure that in the future, the groundwater is neither over-exploited nor its recharge capability impaired. Nevertheless, the longterm sustainability of the interventions in the case of Ghoga and Gopalpura initiatives as the focus has been mostly on regeneration of resources, and less on regulating the use of regenerated resources. Further, in Lingmuteychhu and Gono Chetona, the interventions are mainly household-based and the focus has been less explicit on ecological components. \nThe studies demonstrate the livelihood benefits to all of the interventions and significant variation in achievements with reference to sustainability, equity and democratic decentralization depending on the level and extent of community participation apart from the vision of implementers, strategy (or nature of intervention shaped by the question of community formation), the centrality of community formation and also the State policy. Case studies show that the influence of State policy is multi-faceted and often contradictory in nature. This necessitates NGOs to engage with the State in a much more purposeful way than in an ‘autonomous space’. Thus the role of NGOs in CBNRM is complementary, wherein they provide innovative experiments that the State can learn. This helps in achieving the goals of CBNRM through democratic decentralization. The book addresses the vital issues related to natural resource management and interests of the community. Key topics discussed throughout the book are still at the centre of the current debate. This compilation consists of well-written chapters based on rigorous synthesis of CBNRM case studies, which will serve as good references for students, researchers and practitioners in the years to come.
Jean-Philippe Fontenelle, François Molle, Hugh Turral
The political changes which induced the technical and institutional evolution of the Red River Delta's (Vietnam) water control systems are described. The management framework and financial organization of the delta's water control systems are also described. The financing of the different operators, the amount and use of the water fees paid by farmers, and the process of water management decentralization and privatization in the delta, are analysed.
The paper describes and analyzes river basin management in the most intensely urbanized and industrialized region of Brazil. The area covered by the Alto Tiete basin is almost coterminous with the Metropolitan Region of Sao Paulo. With a drainage area of 5,985 square kilometers (2.4 percent of the state's territory), the basin encompasses 35 of the 39 municipalities and 99.5 percent of the population of Greater Sao Paulo. Population growth and urban sprawl in Greater Sao Paulo have been rapid and uncontrolled in recent decades. In 2000, 17.8 million people lived in the basin and by 2010 the population is estimated to reach 20 million. This massive human occupation was accompanied by the large-scale construction of water infrastructure, including dams, pumping stations, canals, tunnels, and inter-basin transfers to and from neighboring basins. Today, the Alto-Tiete basin is served by a complex hydraulic and hydrological system. Despite this extensive water infrastructure, the water availability of the region is still very low (201 m3-hab-an) and even lower than the semiarid regions of the Brazilian Northeast. The two key management issues to be addressed in the Alto Tiete basin are water quantity to supply a burgeoning population, and water quality which is deteriorating to a point where water availability for a range of uses is severely affected. Urban flood control and mitigation represents another major challenge in the basin. Although important achievements have been made over the past 15 years, the decentralization process - characterized by the creation of the Alto-Tiete committee and its subcommittees and some financing from the State Water Resources Fund - has yet to reveal measurable physical results such as the improvement of water quality or the rationalization of water use. It is undeniable that the Alto-Tiete committee and its subcommittees have already played an important leadership role around several issues. An extraordinary mobilization around water issues, problems, and management has occurred, even though solving many water-related problems may be beyond the capacity of the committees or even of the water resources management system as a whole. Charging for water remains one of the key issues in making the Alto Tiete Committee more relevant and giving it more say in water investment and management decisions. As long as such decisions remain at the individual agency level (both state and municipal), decisionmaking will remain fragmented and it is unlikely that key policy instruments to curb water demand increases and pollution will be implemented.
In spite of a long history of institutional reforms, Mexico still cannot assure adequate water services to its population and its aquifers and ecosystems are being degraded. Although decentralization is a principal theme of administrative reform, the National Water Commission (CNA) remains a powerful semi-autonomous organization charged with the oversight and control of local water agencies. Local urban water administrations are under intense pressure to change their management structures to ...
In order to strengthen the real ownership and leadership of the communities in rural water supply implementation the\nCommunity Development Fund (CDF) approach was developed in Rural Water Supply and Environmental Programme in\nAmhara Region. The purpose of the CDF approach is to create an alternative funding mechanism, which is separate from the\nconventional governmental funding mechanisms, which are many times slow and bureaucratic and cannot support natural\nprivate sector development. In this approach the funds for the water supply construction are not anymore channelled to\nthe implementing Water Office, instead the funds are transferred to the community using private credit institution in fund\nmanagement. In CDF the community elects an executive body called WATSANCO, which manages the funds, construction\nand material management as well as the management of the water point after construction. Amhara Credit and Savings\nInstitution (ACSI), a share company, which has branches in each Woreda (District) carries out the fund management with\n2% commission only. The CDF project coordination at the Woreda level is carried out by the Woreda Community Development\nFund Board (CDFB) having members from government offices and local organizations and private sector. CDF\napproach in funding will support the decentralization of responsibilities, i.e. initiating and implementing water supply\nprojects by communities and user groups themselves, which will have a significant impact on the ownership issue from the\nvery start. This approach has had enormous impact on the community’s capacity and it has also increased the rural water\nsupply implementation pace. The approach builds the community capacity to take the lead of their own development with\nother sector development projects as well.
David S. McCauley, Robert Bruce Anderson, Richard L. Bowen, Ibrahim Elassiouty · 6 authors
Egypt seems to be on the brink of a new era in water management. The country suppose to follow a different operational mode that is “water conservation oriented, decentralized, environmentally sensitive, private sector oriented, equitable and operationally efficient” The focus of this study was on market-based instruments (MBI’s) as complements to traditional command and control measures for managing water quantity and quality. Prior to evaluating potential water MBIs, it was necessary to identify the water management problems and challenges that need to be addressed through policy adjustments. \nThese challenges were threat of water shortages, service delivery in municipal water supply, lake Nasser pollution, Irrigation service delivery challenges, Nile River pollution above Cairo, Insufficient irrigation system upkeep, water pollution in the Nile Delta, Pollution of lakes , low user contribution to irrigation system upkeep, groundwater contamination, and Weak attention to in-stream flows. \nSuch challenges have impacts on: (1) Nonrenewable groundwater management, (2) Adverse effects on human health, (3) Subsidies affecting water use efficiency, (4) Reduced agricultural productivity, (5) Rainfall capture and flash flood protection. The impacts generated some Threats to aquatic ecosystems, particularly, Negative consequences of rising water tables and Negative impacts on aesthetics (incl. tourism) \nA two-step screening process was developed and utilized to evaluate the likely success of alternative market-based policy instruments in response to one or more of water management challenges. The instruments were screened based on economic efficiency and equity and other economic factors relating to the nature of the instrument itself. They also were evaluated based on criteria that considered the specific social, cultural, political, and institutional context in which the instrument will be applied. \nThereon, the study explored the applicability of economic instruments to help address Egypt’s current water management challenges. It resulted in an initial evaluation of twenty instruments that seemed most promising. Screening criteria were developed and applied to assess the merits of each, and direction also was received from nearly 60 participants who attended the study’s concluding Workshop on Economic Incentives for Water. The most promising policy instruments that concluded from the study were: \nWoith respect to the water quantity management deemed of highest priority for follow-up analysis and possible policy action were: Groundwater Extraction Charges, Tariff Reductions for Imported Water Meters and Water Conserving Equipment, Several other measures were identified as warranting careful further analysis. These include area-based irrigation service charges; volumetric water delivery charges for large agricultural enterprises; and increased user fees for the supply of urban and industrial water services. \nLikewise, the most promising policy measures identified to address water quality \nproblems were: Increased User Fees for Wastewater Treatment, Increased Subsidies to Finance Wastewater Treatment Facilities, Subsidized Rural Sanitation, and Subsidized Pollution Control Equipment \nTo achieve such model four approaches to positive change have been identified. These include Creating incentives and disincentives for water management to protect its quality. In addition to Institutionalizing the role private participation; environmental protection and identifying mechanisms to ensure appropriate benefits for participating private sector partners, decentralizing decision making, institutionalizing environmental protection, changing the role of government and improving personnel policies at macro-level decision making regarding uses of the Nile River, and improving awareness of water resources and associated environmental issues.
During the past decade, many countries throughout the world have attempted to improve their generally poor performance record of agency-managed irrigation systems by designing and implementing institutional policy programs. This thesis analyses the institutional viability and the local impact on irrigation performance of two such institutional intervention programs. This is done in the context of the Alto Río Lerma irrigation district (ARLID), a large-scale irrigation system with a command area of more than 112,000 hectares located in the State of Guanajuato, Central Mexico. The central notion that runs through this study is the recognition that new institutional arrangements do not necessarily follow institutional design principles and top-down directives from policy makers and government interveners, but rather are created in a process of local negotiation between water users, farmer leaders and irrigation managers. This requires detailed observations on local practices, strategies and interactions on how users, leaders and managers cope with building and transforming irrigation institutions.The first intervention program analyzed in this thesis aims to transfer management responsibilities from the irrigation agency (CNA) to local newly established water user organizations (WUAs) and to make them responsible for cost-recovery. The neoliberal belief behind this program is that greater farmer involvement in irrigation management and financing would eventually lead to a reduction in public investments in irrigated agriculture as well as to higher levels of irrigation performance. The second institutional intervention program that is analyzed in this thesis deals with the introduction of water markets, aiming at re-allocating water use to uses of higher economic value. Both intervention programs clearly embark on the 'less state, more market' approach to design and implement institutional arrangements for more use and cost-effective management of scarce resources such as water and funds. The central theme of this thesis is to study how water users and local water managers deal with the problems that result from these interventions and arrangements.In 1992, ARLID was one of the first of Mexican districts were irrigation management transfer (IMT) was introduced. The Mexican IMT program is worldwide considered to be the most successful and ambitious institutional programs in its kind, both because of its scale and the speed with which the policy was designed and implemented. The claims on the successes of these and similar programs are generally ideologically driven, and empirical evidence to support the policy claim that these institutional interventions have achieved these goals remain largely undocumented. This thesis fills some of this empirical void.This thesis comprises ten chapters. After the conceptual and methodological introduction in chapter 1, two contextual chapters follow. Chapter 2 introduces the research site, and chapter 3 presents the political economic history and context in which the institutional interventions took place. Chapter 4 to 9 provide the empirical data from the intensive case study in ARLID. Chapter 10 evaluates the main empirical, conceptual and methodological findings and discusses possible implications for policy and research orientations.The first chapter provides a review of the conceptual approaches and methodologies used to study the viability of new institutional arrangements in the context of market-oriented reforms. This thesis explores the kind of conditions, processes and mechanisms that help to create viable institutions. These mechanisms do not only refer to institutional and economic relationships, but also to the relationship between institutions, and water scarcity and irrigation technology. In that sense the thesis follows the notion that irrigation technology is a sociotechnical phenomenon, with institutional requirements for use.A key concept used for analyzing the viability of new irrigation institutions is accountability. This study shows that four forms of accountability can be separated: operational, financial, political and administrative accountability. Studying these forms of accountability (and the relationship between them ) demonstrates that practices and strategies of decision making in water management are only partly influenced by rational choice and (economic) incentives for utility maximization. They are also influenced by socio-political factors.The methodological concern of this thesis is to develop a set of tools and indicators that help to assess the impacts of institutional interventions, both in terms of changes in irrigation performance levels, and in qualitative terms of processes of institutional viability. Two sets of performance indicators are presented. The first set comprises indicators that measure actual performance against set performance targets. The second set compares performance levels over time and across different system levels. The field work for this thesis comprised a wide set of methods and research techniques, ranging from intensive observations of practices and strategies for coping with the new institutional arrangements, to daily measurements of water flows in two selected WUA areas and several canals and fields in the irrigation district. Field research took place during the period from early 1995 to mid-1998.Chapter 2 provides background information on the location, history, water availability and layout of ARLID. It also introduces the two main groups of farmers that now jointly are organized in the new WUA: ejidatarios and private growers. It shows how these two groups have historically and economically been separated for almost 70 years. The chapter also provides a brief description of the Cortazar and Salvatierra module areas, their canals and WUAs that were selected for the intensive case study.Two important notions form the basis of the chapter 3, in which a detailed description of the historical and political economic context of IMT and water marketing is given. The first notion is that the legitimization for institutional interventions should be viewed in the political economic context of privatizing the Mexican country-side through dramatic constitutional revisions in the way distribution of land and water rights are organized. These reforms and revisions were started in the 1980 as a result of both a political and an economic crisis and were accompanied by wave of programs on the liberalization, decentralization and technocratization of the economy. Institutional intervention programs like the Mexican IMT program do not come on their own, but are preceded, accompanied and followed by other intervention programs that share the same neoliberal legitimization for restructuring the political and economic control over resources. The second notion is that to achieve the economic goals of these neolibral programs, the Salinas and subsequent administrations needed intervention policies such as IMT and water marketing as these would help to recover costs from the users. However, to improve greater involvement of farmers in water management, neoliberal programs are not a necessity.Chapter 4 shows how IMT and water markets were implemented, both at the national level and in ARLID. The IMT program is a typical example of institutional engineering, comprising detailed prescriptions on institutional design and a top-down approach for implementing these designs. Yet, farmers and local managers do not fully disregard these proposed arrangements. Rather than using them as prescriptive dictates, the new principles and arrangements served as a strategic starting point for the WUAs for negotiating irrigation fee levels, water marketing, mode of user representation, maintenance programs, and redistribution of O&M responsibilities between the WUAs and CNA. Local recipients have partly adopted and accommodated the new institutional arrangements. The IMT program allowed local irrigation managers, new leaders of WUAs and farmers to jointly create room and institutional flexibility to alter the proposed arrangements. This was made possible mainly because from the initial stage of implementation, CNA officials in ARLID have shown to users that they are credible and willing to share knowledge and information in a transparent way. Credibility, transparency, institutional flexibility and probity were among the most important factors to explain how operational accountability from CNA to WUAs, and from WUAs to water users, was earned in a continuous process of negotiating institutional arrangements. Furthermore, given the wider set of market-oriented reforms and constitutional revisions that farmers had become familiar with, they realized that they could hardly resist IMT.Chapter 5 provides a detailed analysis of practices, results and operational accountability for local water management. It demonstrates that official post-transfer arrangements for O&M in ARLID do not always reflect actual irrigation practices. As result, outputs of these practices in terms of relative water supply and land and water productivity remained unchanged after IMT. The main reason for this is the conflict in forms of accountability, which could not be resolved under the new institutional arrangements. Rather than adhering to new principles of using water as an economic good, farmers and local managers adhered to pre-IMT arrangements and practices of distributing water. Daily measurements of water flows and observation of irrigation practices revealed that ditch tenders (who are now employed by the WUAs) generally report planned water deliveries rather than actually supplied volumes. In that sense, they continued the practice of being administratively accountable to both users and CNA. This runs counter to the idea of encouraging efficient water use through water pricing and cost-recovery and hence being both financially and operationally accountable. Com
From Introduction: "The first part of this paper describes the political changes, which induced technical and institutional evolutions of the RRD water-control systems, as the organization of the operation and even the technological nature of water-control systems, were influenced by national political choices. The second section describes the management framework and the financial organization of the RRD water-control systems. In-depth studies conducted at local level allow a better understanding of the present situation. Water management in the RRD appears to be strongly organized by the State into successive nested levels, from the central level of the Ministry of Agriculture to the local level of the cooperatives. This structure was challenged by the emergence of local pumping stations and water management practices, which superimposed themselves upon the officially existing structure. It is shown how the mismatch between administrative and hydraulic units adds to the complexity of the definition of both the financing and the management of hydraulic operations. The third and last section of the paper examines the financing of the different operators, the amount and the use of the water fees paid by farmers and questions the process of water management decentralization and privatization in the RRD."
This article describes the efforts of the Mexican government toward more efficient management of water resources. Inaccordance with the Mexican Constitution, municipal governments have been responsible for urban water and sanitation services. However; in practice most municipalities have weak finances and little expertise in managing water systems and the federal government still plays an important role in the management and financing of water infrastructure. The article highlights the current state of the water sector in Mexico, including some of the main aspects of the legal and institutionalframework. It discusses the main difficulties faced by the municipalities in accomplishing their task. The strategy of the federal government, in order to achieve better urban water management, has focused on four main policies: changes in the legal and institutional framework for water management, further decentralization, new financing schemes, and greater private sector involvement. It concludes that flexible approaches should allow municipalities to find appropriate institutional, financial, and technical solutions.