Peri-urban water and sanitation services : policy, planning and method

Kurian, M. and McCarney, P. (eds.) (2010). Peri-urban water and sanitation services : policy, planning and method. Heidelberg, Germany, Springer. ii, 311 p. : 42 ill. ISBN: 978-90-481-9424-7
Due for publication: Aug 2010
Price: € 129.95
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Peri-urban Water and Sanitation Services, a collection of papers initially developed to support a distance-learning course at UNESCO-IHE Institute for Water Education, Delft, The Netherlands, challenges professionals to pursue water services dilemmas within a broader developmental framework that addresses issues of autonomy and accountability intrinsic to intergovernmental relations.

This book draws on literature at the interface of common pool resources, co-production, new public management and political ecology to discuss important policy concerns that relate to rural-urban transformation, budget support, wastewater reuse and performance benchmarking.

‘This collection of work by some of the most important researchers on socio-ecological aspects of water and sanitation is timely. By highlighting the importance of behaviour, society and ecology on the management of water and sanitation, the editors are highlighting an area of work that has largely been neglected. For instance, why is it that so many technical fixes exist, and yet in practice, few successful projects are ever brought to scale?’ Mark Redwood, Program Leader, Urban Poverty and Environment Program, International Development Research Centre (IDRC), Ottawa, Canada.

‘With global urban population now larger than rural, opening of public-private relationships and opportunities, and the globalisation of technology and capital, can needs of citizens for clean and affordable water and sanitation services be met? This book argues that the terrain is rapidly changing and provides an evidence-based approach not only to technology but also to governance systems that mediate access to public services.’ Gita Sen, Professor, Centre for Public Policy, Indian Institute of Management, Bangalore, India.

Table of contents

Preface by Elinor Ostrom.- Acknowledgements.- List of Contributors.- Abbreviations.- List of Boxes.- List of Figures.- List of Tables.-

1. Introduction – Institutions and Development: A Framework for Understanding Water Services.
1.1 Introduction.- 1.2 Urban Environmental Governance.- 1.2.1 Interdependence of the Water Cycle.- 1.2.2. Architecture of Water Service Provision.- 1.2.3 Governance Arrangements at the Peri-urban Interface.- 1.2.4 Common Pool Resources and Environmental Externalities.- 1.2.5 Institutions and Economic Development.- 1.3. Water and Sanitation Services: Infrastructure, Policy and Co-production.- 1.3.1 Equity Effects of Policy Intervention.- 1.3.2 Infrastructure and Contracts.- 1.3.3 Infrastructure: Cost and Price Considerations.- 1.3.4 Co-production and Service Delivery.- 1.4 Approach Adopted by This Book.- 1.4.1 Framework for Understanding Water Services.- 1.4.2 Institutional Environment.- 1.4.3 Contractual Hazards and Credible Commitment.- 1.4.4 The Poor, Decision-making and Path Dependence.- 1.4.5 Time, Space and Information.- 1.4.6 From Development Aid to Cooperation.- 1.4.7 Service Selivery Reform in an Inter-connected World.- 1.4.8 Incremental Reform: Concluding Thoughts.- 1.5 Structure to the Message.

2. Neither Rural nor Urban: Service Delivery Options that Work for the Peri-urban Poor.
2.1 Introduction.- 2.2 Zooming Out: Beyond the Rural-urban Divide.- 2.3 Emerging Landscapes in the Rural-urban Continuum.- 2.3.1 Shifting Boundaries.- 2.3.2 Spatial Considerations and the Informational City.- 2.3.3 Peri-urbanisation: Trends in Africa, Latin America and Asia.- 2.4 Neither Urban nor Rural: Understanding Change at the Peri-urban Interface.- 2.4.1 Process of Change.- 2.4.2 Need for a Regional Planning Focus.- 2.5 Living Between Two Worlds: The Peri-urbanisation of Poverty.- 2.5.1 Differential Impacts on the Poor in Rural and Urban Areas.- 2.5.2 Decision-making, the Poor and the Political Process.- 2.6 Service Provision at the Peri-urban Interface: Moving Beyond the Public-Private Divide.- 2.6.1 Private Sector Participation and Access of the Poor to Services.- 2.6.2 A Fault Line.- 2.6.3 A Role for Municipalities and Local Governments.- 2.7 Access to Basic Services on the Ground: A Wider Spectrum of Service Providers.- 2.7.1 Beyond International Private Sector Participation?- 2.7.2 A Future for Simplified Sewerage Systems?- 2.7.3 Co-production Options: Hybridity and Informality.- 2.8 Crossing the Public-Private Divide: Rethinking Service Delivery Options that Work for the Peri-urban Poor.-

3. Prospects for Resource Recovery through Wastewater Reuse.
3.1 Water Scarcity and the Need for Allocation.- 3.2 Water as an Economic Good.- 3.3 Urban Water Use, Sanitation and Wastewater Disposal.- 3.3.1 Urban Water Footprint.- 3.3.2 Water Stress in Cities: Upstream and Downstream Implications of Sanitation Provision.- 3.3.3 Sanitation and Waste Disposal Infrastructure in Cities.- 3.4 Valuing Wastewater as a Resource.- 3.4.1 Definitions of Wastewater and Typology.- 3.4.2 Overview of Planned and Unplanned Use in Agriculture.- 3.4.3 Drivers, Benefits, and Risks of Wastewater Agriculture.- 3.5 Sustainable Approaches to Sanitation and Wastewater Management.- 3.5.1 Design for Service Planning Approach.- 3.5.2 Ecological Sanitation.- 3.6 Conclusions.

4. Climate-based Risks in Cities.
4.1 Introduction: Megacities and Climate Risks.- 4.1.1 Climate-induced Urbanisation.- 4.1.2 Climate risks for City Populations and Climate Change.- 4.2 Responses of Municipalities to Climate Risks.- 4.2.1 Municipalities, Climate Risks, Water and Sanitation.- 4.2.2 Floods, Pollution and Health Risks.- 4.2.3 Reduced Water Supplies and Heat.- 4.2.4 Climate Change and Rural-urban Interfaces.- 4.3 Conclusion.-

5. Wastewater Management under the Dutch Water Boards: Any Lessons for Developing Countries?
5.1 Introduction.- 5.2 Wastewater Treatment in the Netherlands.- 5.2.1 Historical Development.- 5.2.2 Changes in Policy and Legal Framework.- 5.2.3 Public Investment in Sewage Treatment.- 5.2.4 Evolution of Environmental Standards for Wastewater Treatment Plants.- 5.3 Scale of Wastewater Management by the Dutch Water Boards.- 5.3.1 Organisational Development .- 5.3.2 Transition Towards Centralised Systems.- 5.4 Influence of European Directive on Environmental Standards.- 5.4.1 Monitoring Environmental Standards.- 5.5 Tariff Setting for Wastewater Treatment Services.- 5.6 Emerging Trends.- 5.6.1 Technical Efficiency and Resource Recovery.- 5.6.2 Combined Billing of Water Supply and Sanitation Services.- 5.6.3 Benchmarking Water boards.- 5.7 Lessons for Developing Countries.- 5.8 Conclusions.

6. Financing the Millennium Development Goals (MDGs) for Water and Sanitation: Issues and Options.
6.1 Introduction.- 6.2 Results-based Financing in the Water Sector.- 6.2.1 Infrastructure Financing Trends.- 6.2.2 Private Investments in Infrastructure: Lessons from Telecom and Energy Sectors.- 6.2.3 Importance of Legal and Policy Frameworks.- 6.2.4 OBA Approach to Financing Service Delivery.- 6.3 Leveraging Behaviour Change in City Planning and Sanitation Financing.- 6.3.1 Predicting Demand for Capital Investment.- 6.3.2 Donor Deliberations on Aid Harmonisation and Budget Dupport.- 6.3.3 Enhancing Accountability and Capacity of Local Authorities.- 6.3.4 Private Participation in Service Delivery.- 6.3.5 Linking Budgetary Allocation to Accomplishment of Policy Objectives: The Role of Rating and Reward Systems.- 6.4 Reform Pathways: Consolidating Sources of Finance and Knowledge.- 6.4.1 Mixing and Matching Resources from Public and Private Sectors.- 6.4.2 Leveraging Local Finances to Facilitate Improved Access to Sanitation Services.- 6.5 Conclusions.-

7. Budget Support to Local Government: Theory and Practice.
7.1 Introduction.- 7.2 Context, Definitions and Functions.- 7.2.1 Basic Terms and Macro-variables.- 7.2.2 Actors and Classic Norms of Behaviour.- 7.2.3 Cyclical Timetables and Strategies.- 7.2.4 Uncontrollable Budget Items.- 7.3 Inter-governmental Transfers and Budget Support.- 7.4 Approaches and Trends in Budgeting.- 7.4.1 Line-item Budgeting.- 7.4.2 Performance Budgeting.- 7.4.3 Planning-Programming-Budgeting.- 7.4.4 Management by Objectives (MBO) .- 7.4.5 Zero-based Budgeting.- 7.5 The Budgetary Process.- 7.6 Concluding Thoughts.-

8. Information’s Role in Adaptive Groundwater Management.
8.1 Introduction.- 8.2 The State Apparatus and Delivery of Public Services.- 8.2.1 Centralising, Fragmented and Aggregate Information.- 8.2.2 Information and Public Representation: Consumers versus Citizens.- 8.3 Rural Water Supply in India: Information’s Role in Supporting Evidence-based Decision-making.- 8.3.1 Legislative Approach to Policy Implementation.- 8.3.2 Feedback Loops Between Policy Intervention and Environmental Outcomes.- 8.3.3 Science and Practice of Groundwater Wanagement.- 8.3.4 Accounting for Spatial and Temporal Variation in Groundwater.- 8.4 Information’s Role in Facilitating Adaptive Management.- 8.4.1 Relationship Between Aquifer Characteristics, Water Quality and Health Impacts.- 8.4.2 Implications for Water Quality Monitoring Strategies.- 8.4.3 Community Level Adaptive Management.- 8.4.4 Information Communication Technology and Enhanced Accountability.- 8.4.5 Water Resources Audits: Reliability, Frequency and Dis-aggregated Information.- 8.4.6 Informing Design of Incentives for Source Protection (ISP) .- 8.5 Conclusions.

9. Making Sense of Human-Environment Interaction in Laos: Policy Guidance under Conditions of Imperfect Data.
9.1 Introduction.- 9.2 Policy and Institutional Context.- 9.2.1 Farmer Adoption of Soil Conservation Practices, Luang Prabhang, Laos.- 9.2.2 The Mekong River Basin in Lao PDR.- 9.2.3 Bio-physical Characteristics of the MSEC Catchment in Lao PDR.- 9.2.4 Socio-economic Profile and Crop Production System of Lak Sip Settlement.- 9.2.5 Analytical Approach.- 9.2.6 Household Sampling Strategy.- 9.2.7 Data Collection Techniques.- 9.3 Discussion of Study Findings.- 9.3.1 Evidence on Soil and Nutrient Loss: Fallow Period and Agricultural Yields.- 9.3.2 Potential Economic Benefits.- 9.3.3 Social and Political Acceptability of Improved Fallow Technology.- 9.3.4 Farmer Access to Benefits of IF Technology: Institutional Environment versus Institutional Arrangements.- 9.4 Conclusions.

10. Approaches to Economic and Environmental Valuation.
10.1 Concepts and Methods.- 10.1.1 Background.- 10.1.2 Methods of Valuing Externalities.- 10.2 The Case Study.- 10.2.1 Sample Design.- 10.2.2 Origin of Wastewater.- 10.2.3 Extent, Incidence and Disposal of Wastewater.- 10.2.4 Total Wastewater Generated.- 10.2.5 Quality of Wastewater.- 10.2.6 Impact of Wastewater on Local Communities.- 10.2.7 Health Impacts.- 10.2.8 Health Impacts on Livestock.- 10.2.9 Costs and Benefits of Wastewater Use.- 10.3 The Way Forward.- 10.3.1 Wastewater Management Options.- 10.3.2 Framework for Sustainable Wastewater Management.- 10.3.3 Life Cycle Cost Assessment: A Framework for Integrated Planning.- 10.3.4 Implications of LCCA on Project Costs and Tariffs for Water Services.- 10.4 Conclusions: Framework for Sustainable Wastewater Management.-

11. Benchmarking Water Services Delivery.
11.1 Introduction.- 11.2 Definition and Evolution of Benchmarking.- 11.3 Benchmarking Methodology and Application.- 11.3.1 Classification.- 11.3.2 Process.-11.3.3 Outcomes.- 11.3.4 Application in Water Ttilities.- 11.3.5 Experience in the Dutch Water Sector.- 11.3.6 Experiences Elsewhere.- 11.4 Other Performance Assessment Methods.- 11.4.1 Community Score Card.- 11.4.2 Public Expenditure Tracking Surveys (PETS).- 11.4.3 GIS-assisted WaSH mapping.- 11.5 Conclusions.

12. Planning Clinics: A Primer.
12.1 Introduction.- 12.2 Case Study: City Wide Sanitation Planning, Jakarta, Indonesia.- 12.2.1 Project Area.- 12.2.2 Preparation of City Sanitation Strategies.- 12.3 Decision-making Under Uncertainty.- 12.3.1 Policy Process, Budgeting, Information Flow.- 12.3.2 Planning Clinics: Vision, Goal, Action Plan.- 12.3.3 Mapping Concentrations of Poor and Access to Services.- 12.3.4 Building Consensus for Identified Priorities.- 12.3.5 Resources, Risks and Timelines.- 12.3.6 Monitoring Framework.- 12.4 Conclusion.- Appendix 12.1 Public Revenue and Expenditure Trends.- 13. Conclusions: Governance Challenges in Urban and Peri-urban Areas.

13. Conclusions: Governance Challenges in Urban and Peri-urban Areas.
13.1 Introduction.- 13.2 Changing Municipal Territories.- 13.3 Emerging Questions – Emerging Challenges.- 13.3.1 Globalisation of Urban Spaces.- 13.3.2 Information, Measurement and City Indicators.- 13.3.3 Effective Coordination of Funds, Functions and Functionaries.- 13.3.4 How the Peri-urban Poor Access Services.- 13.3.5 Financing.- 13.3.6 Inclusive cities.- 13.4 Future Directions.

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