Browsing by Author "Franceys, Richard"
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Item Open Access Asset management in urban water utilities: Case study in India(Cranfield University, 2008) Brighu, Urmila; Franceys, Richard; Morris, JoeAccess to safe and sufficient drinking water and adequate sanitation are now recognized as basic human rights. One Millennium Development Goal is to reduce by half the proportion of people without access to safe drinking water and basic sanitation by 2015. However, ensuring sustainability of existing and new services is considered to be one of the major challenges for the water sector in the years to come. In India, in addition to service expansion, existing water service quality has been observed to be deteriorating over recent years. There is therefore an equally urgent need to address sustainability and improvement of service quality to the presently served population. In this low-income country, where water utilities are unable to recover even the service costs of operations and minor maintenance through user charges, there is a need to determine ways and means to be able to maintain a cost-effective service to consumers. For such a capital intensive service these ways have to include not only the introduction of efficiency measures but also the long-term planning of capital maintenance, that is the maintenance of the fixed assets upon which services depend. Water utilities in high-income countries have been using various fixed asset management techniques to improve asset operational efficiency, to plan capital maintenance and to demonstrate their ability to maintain and improve service to their customers. This study explores the viability of the application of asset management techniques and their potential contribution towards improving water service provision in urban centres in India. Following a literature review, a generic asset management model for a low-income country water utility was developed and then applied in the water utility serving Jaipur, Rajasthan to assess the viability of this adaptation. Having identified strengths and weaknesses during this fieldwork a revised model was proposed, including distinct phases of asset management/data intensity, which could be used as a generic approach in large urban centres in India. Following consultations with prospective users in six States, the study showed that it is feasible to take a first step towards asset management at low cost but this will require a change in the management approach. The study identified lack of relevant data as a key factor influencing an effective and comprehensive application of a generic asset management model. The study concludes that the proposed phased asset management models can contribute to improving serviceability for customers; however the concern that remains is the willingness of the organisation to adapt to the necessary changes.Item Open Access The death of the communal handpump? Rural water and sanitation household costs in lower-income countries(Cranfield University, 2014-04) Pimenta de Castro Fonseca, Catarina; Franceys, RichardRural water supply and sanitation in low and middle income countries face the same challenges now as in the 1970s. Despite massive efforts in providing communal “borehole with handpump” and “improved latrines” to improve the lives of millions of people, this traditional approach to development is failing to deliver long lasting improved services - even if for the last 40 years many attempts have been made to solve problems in the approach. The main research question is “Can low-income rural families pay for rural water supply and sanitation?” This thesis has analysed household poverty and costs on water and sanitation services in Mozambique and Ghana based on 3,049 surveys collected between 2009-2010 by the IRC International Water and Sanitation Centre WASHCost project. Evidence shows that even extreme poor households can and do pay for improved water and sanitation services. However, households prefer to pay for more expensive services to reduce the distance required to collect water instead of paying for the cheaper maintenance of communal (further away) sources. For sanitation, without targeted support towards the poorest, improved latrines might be unaffordable. Also, without follow up support, behaviour change and health impact will not be sustained. Small increases in the wealth of the poorest have a large impact on the services demanded in terms of quantity, distance and time spend as well as an increase in the level of capital and maintenance expenditure. Ultimately, the world now is not the same as in the 1970s and for achieving universal sustainable coverage for water and sanitation we need to rethink the failed traditional approach to development in low income countries with a deeper understanding of the market segmentation in the lowest quintile of the population and their real aspirations and demand.Item Open Access Delivering innovation and choice in water supply in Kenya's informal settlements(Cranfield University, 2012-09) O'Regan, Jack; Franceys, Richard; Parker, Alison; Bolton, SimonImproved access to water and sanitation in the worlds slums were among the key targets in the Millennium Development Goals. In Kenya, water is generally accessed in slum areas by filling 20l jerrycans at standposts and water kiosks and carrying back to households, with residents paying up to nine times more than utility bulk water prices and spending large parts of their day collecting water. The aim of this research was to assess consumers’ response and reaction to a series of water delivery mechanisms designed to offer a range of service levels and prices in accessing water in informal settlements. The current situation of residents’ access to water in seven informal settlements in Nairobi and Kisumu was assessed via household surveys and interviews with water providers, both municipal utilities and private operators, supplemented with observation of local practises. A series of innovative water delivery techniques were then designed to suit the prevailing conditions intending to offer price differences and volumetric purchase options. Follow up surveys were then carried out. This research has found that offering lower or alternative prices for water services in informal settlements is difficult due to challenges posed by vested interests and those interested in maintaining current high prices for water, and applying a difference in price was easiest in areas with already poor access to water or a new water kiosk. However, residents responded positively to the water delivery service, evidenced by a strong desire for this to continue and a willingness to assist operators in applying group purchases and volumetric purchases. Where it was possible to implement a difference in price corresponding to service level, consumers recognised their ability to move between service levels depending on variable income, their immediate demand and a simple choice.Item Open Access The development of the user interface of an innovative sanitation solution targeted at developing countries(Cranfield University, 2014-03) Tierney, Ross; Williams, Leon; Franceys, RichardCase Study Impact Statement. Around the World, 2.6 billion people do not have access to a toilet, leading to the deaths of 1.5 million children per year through associated diseases (Kone, 2012). Novel approaches to this problem are needed that utilise the latest research and technology to safely deal with human waste in developing countries. These new sanitation methods have to be carefully developed to meet the needs and aspirations of their target audience. The Bill and Melinda Gates Foundation are seeking to address this with an international competition called the ‘Reinvent the Toilet Challenge’. The winning entries from different universities will employ the latest technology and research to safely deal with the waste and to utilise the potential of the waste. Executive Summary. This thesis will provide academics and new product development (NPD) practitioners with a strategic methodology for a design-thinking based approach to design products for developing countries. This transfer of knowledge will be possible by discussing potential methods before selecting the most appropriate to utilise with the use of a Case Study to give context. The research will commence with a scoping phase to show methods of gaining understanding of the wider problem followed by approaches to down select and synthesise this information into appropriate project requirements. When clear direction has been established, the implementation and development can take place to produce an outcome to meet the project requirements. Suitable validation techniques will be used to ensure the success of the research. The Case Study that will be used is focused on the development of a user interface for a new sanitation system for developing countries. The system is being developed by Cranfield University, as part of the Reinvent the Toilet Challenge funded by the Bill and Melinda Gates Foundation.Item Open Access The financial costs of delivering rural water and sanitation services in lower-income countries(Cranfield University, 2014-10) Burr, Peter William; Franceys, RichardDespite the impressive progress over the last two decades in which millions of people worldwide have gained first time access to improved water and sanitation infrastructure, the reality for many is that shortly after infrastructure construction the actual service received by users slips back to unacceptably low levels. However, due to inadequate research and inconsistencies with how data and cost data has been collected and reported, very little is known of the necessary levels of expenditure required to sustain an acceptable (so called “basic”) water and sanitation service and this inhibits effective financial planning for households, communities, governments and donors alike. This thesis sought to provide a better understanding of what has historically been spent to provide different levels of water and sanitation services as a means to better understand the necessary expenditure required. Empirical findings are based on a large data sample of nearly 2,000 water points, over 4,000 latrines, and over 12,000 household surveys, which have been collected as part of three research projects (WASHCost, Triple-S, and WASHCost Sierra Leone), across five country research areas (Andhra Pradesh (India), Burkina Faso, Ghana, Mozambique, and Sierra Leone). Findings for water supply systems show that the combination of high capital investments of: $19 and $69 per person for community point sources and $33 – $216 per person for piped systems; and low recurrent expenditures of: $0.06 - $0.37 per person per year for point sources and $0.58 - $7.87 per person per year for piped systems; results in less than half of users receiving a “basic” level of service. Evidence based estimates of the required expenditure for acceptable services are found to be far greater than the “effective demand” expressed in terms of the willingness to pay of service users and national government for these services. Findings for sanitation show that constructing a household latrine that achieves “basic” service standards requires a financial investment of at least $40 that is likely to be an unaffordable barrier for many households in lower income countries. In addition the costs and affordability of periodic pit emptying remains a concern. Ultimately this research suggests that if international standard of improved water and sanitation services are to be sustained in rural areas, the international sector will likely have to provide additional investments to meet a significant proportion of the recurrent costs of delivering these services.Item Open Access Management of small towns water supply, Ghana(Cranfield University, 2010-06) Braimah, Clifford Abdallah; Franceys, Richard; Webster, JamesDelivering improved water services in small towns in low-income countries encompasses particular challenges. Often considered too large to be effectively community managed , small towns may also be too small, with too limited economies, to benefit from utility style professionalism and economies of scale. The most recent paradigm, that financially sustainable water services will be best achieved through the Demand Responsive Approach , has been complemented in Ghana, the focus of this study, through the development of a variety of management models, community, local government, national utility and private providers, to deliver DRA. Taking advantage of this unusual situation, in having a wide range of different functioning models in one country at the same time, this research has sought to investigate these management models with respect to effectiveness, equity, financial sustainability and efficiency of services delivery. However, the context in which all of these models operate relates to consumers effective demand, key to delivering a demand responsive approach. A second objective, necessary to validate any results relating to management models, has therefore been to investigate households actual demand for improved and alternative sources of water. Data for the research was gathered from examples of the four management models in use in Ghana, from eight small towns spread across the length and breadth of the country. The methodology incorporated key-informant interviews, user observations, household surveys and an analysis of relevant documents of operators and policy makers. The fieldwork was undertaken in two separate periods, designed to ensure that any effects of dry and wet season variations, which influence water supply delivery as well as demand, were adequately captured. The research found that none of the management models in use in small towns in Ghana could be considered to be significantly more effective than any other; overall, households demonstrated a limited demand for water supply with even this demand distributed among a number of sources, both formal, improved and alternative, traditional sources; this demand was not so much a function of affordability, rather a clear choice as to where to use limited resources mobile phone access absorbing three times the amount spent on water. Whilst certain management characteristics were found to make a difference, leadership in particular, no one model was able to influence the overarching water source effect, that is the cost of formal supply (surface water costing approximately three times more than ground water), relative to access to alternative, free supplies in the context of limited overall demand for water.Item Open Access Monitoring Global Water and Sanitation(Cranfield University, 2013-12) Norman, Rachel; Franceys, RichardThe process of determining outputs and outcomes plays a key role in the setting of global targets, in defining national sector policy and strategic plans and in ensuring a continuous, safe supply of affordable water. Each of these actions, are integrally linked by aggregated data sets generated through an effective monitoring and evaluation (M&E) process. This thesis examines the various components of M&E across three case studies: Global, Kenya and Uganda, including aspects such as whether roles and responsibilities are realistically assigned and whether there is a recurring set of core indicators being monitored and reported. The research has also sought to establish an evidence base of the associated costs and efficacy of use of M&E. Through purposive and snowball sampling, fieldwork was undertaken across the case studies with 85 key stakeholders. Programme, national and global level data sets were collected through structured literature reviews, document and data archive reviews, key informant and semi-structured interviews. Qualitative and quantitative data analysis methods were applied. The results demonstrate that despite having a recurring global goal and associated target, the number and variety of indicators reported against has grown over time and at each level. In turn this is placing a burden on already resource constrained countries. Regardless of the various principles of harmonization and alignment, countries are still required to manage internally and externally driven parallel systems. Whilst the research suggests the costs of M&E are escalating, the full extent of this increase remains unknown as does the extent of efficacy of use of M&E. Despite evidence that country-led M&E processes are at some level achieving their objectives, with the continuing complexities of the sector particularly around the accompanying aid architecture, M&E is not currently ‘fit for purpose’ for use in the WASH sector and is unlikely to be providing value for money.Item Open Access Private sector involvement in urban water supply management, Ghana(Cranfield University, 2013-10) Abiwu, Napoleon; Franceys, RichardThe performance of public utilities in low-income countries with respect to service to all customers, and particularly lower-income urban consumers, is understood to be limited in many cases. The Government of Ghana chose to implement a private sector management contract in order to deliver significant change in service delivery and financial viability. The five year management contract with Aqua Vitens Rand Limited ran from 2006 to 2011 and was not renewed. This study investigates the public utility outcomes, both as a state owned corporation and a state owned limited liability Company, and compares those outcomes with the achievements of the private operator through a Management Contract. The latter two management models operated under the oversight of the newly formed economic regulator, the Public Utility Regulatory Commission in 1999 and any effect of that regulation is considered. The hypothesis of the study developed in 2008 was that “a management contract would not provide the necessary level of empowerment, incentives and commitment and access to resources for a private operator to adequately and efficiently perform even where there is an established economic regulator with a clear mandate”. The case study approach was employed for the study data was gathered on the operations, activities, regulation and management of the urban water utility through documentary review, key-informant interviews, household surveys, public hearing meetings and user observations. However, three major cities including Accra, Kumasi and Tamale were used for the household survey. These three cities were carefully picked out taking into account the political, economic, geographical, social and cultural significance that each of the them represents and commands in Ghana. ...[cont.]Item Open Access Putting a Price on Water for All, Namibia(Cranfield University, 2009-09) Matros-Goreses, Anna; Franceys, Richard; Trawick, PaulAccess to water and sanitation is indeed a human right; however quality water and sanitation service provision should not be assumed a ‘free service’ as a result. Hence it is crucial to understand the costs involved of monopoly water service provision to enable informed decision-making on tariff determination. Namibia, is not only characterised with extreme conditions of water scarcity and skewed income distribution, with a history of free water services, but it also is prone to information asymmetry and lack of transparency (especially financial) challenges in the price-setting process. Hence, the research aim was to adapt a framework for determining price-setting processes and to investigate the potential role of an economic regulator to inform the process and policy accordingly in Namibia. In this regard, the research explores the price-setting processes of independent economic regulators in England and Wales and Zambia (as a guide to understand the dynamics and intricacies of setting and enforcing prices for utilities based on the need for sustainable cost recovery and efficient service provision) to further investigate possible improvements to the Namibian price-setting process. The research objectives were explored through descriptive and exploratory case study approaches, mainly comprising of semi-structured interviews and focus group discussions. The research found that the most appropriate regulatory framework for Namibia is an intermediate framework- a hybrid regulatory body (consisting of a combination between government and independent expert panels). The research also identifies crucial operating principles, regulatory tools (with emphasis on accounting separation within financial models) and consumer involvement as major components for the Namibian price-setting process. In essence, accountability through transparency (effective information sharing and stakeholder involvement) is identified by the study to address the principal-agent challenges faced within Namibia, especially given the extreme conditions.Item Open Access Revisiting the history, concepts and typologies of community management for rural drinking water supply in India(Taylor & Francis (Routledge): SSH Titles, 2016-02-26) Hutchings, Paul; Franceys, Richard; Mekala, Snehalatha; Smits, Stef; James, AJCommunity management has been widely criticized, yet it continues to play a significant role in rural drinking water supply. In India, as with other ‘emerging’ economies, the management model must now adapt to meet the policy demand for ever-increasing technical sophistication. Given this context, the paper reviews the history and concepts of community management to propose three typologies that better account for the changing role of the community and external support entities found in successful cases. It argues that external support entities must be prepared to take greater responsibility for providing ongoing support to communities for ensuring continuous service delivery.Item Open Access Supporting community management: a synthesis of successful rural water services programmes in India(Cranfield University, 2016-05) Hutchings, Paul; Parker, Alison; Franceys, RichardFor the past 30 years the dominant approach to managing rural water services in low and lower middle income countries has been the community management approach. Yet there is increasing evidence the model is not fit for purpose as too many services fail. The next generation ideas for community management emphasise the need for continuous on-going support to communities – an approach known as the community management plus approach. This thesis tests and develops this next generation community management plus paradigm. It analyses field data from twenty case studies of ‘reportedly successful’ community management programmes across seventeen states in India. Bringing together data from 2,355 household surveys, 272 interviews and 130 focus groups it provides a synthesis that assesses the type and level of support found in successful examples of community management. The evidence from these case studies demonstrates that communities receive significant recurrent subsidy covering between 7-48% of operational expenditure. This is in marked contrast to the conventional principles of community management whereby communities cover 100% of these costs. Analysis of organisation types also shows how community management has been shaped by the devolution of governance in rural India. Many community management programmes involve a structural overlap between the local self- government institution of the Gram Panchayat and water committees. The thesis argues this represents a shift to the ‘institutionalised co-production’ of rural water services, involving both the state and private citizens in public service delivery. Overall, the research shows that successful community management in India involves continuous on-going support as per the community management plus paradigm. However this has required the nesting of the model within the broader system of local self-government which blurs the lines between public and community management.Item Open Access A systematic review of success factors in the community management of rural water supplies over the past 30 years(IWA Publishing, 2015-03-14) Hutchings, Paul; Chan, Mei Yee; Cuadrado, Lucie; Ezbakhe, Fatine; Mesa, Baptiste; Tamekawa, Chiaki; Franceys, RichardCommunity management is the accepted management model for rural water supplies in many low and middleincome countries. However, endemic problems in the sustainability and scalability of this model are leading many to conclude we have reached the limits of an approach that is too reliant on voluntarism and informality. Accepting this criticism but recognising that many cases of success have been reported over the past 30 years, this study systematically reviews and analyses the development pattern of 174 successful community management case studies. The synthesis confirms the premise that for community management to be sustained at scale, community institutions need a ‘plus’ that includes long-term external support, with the majority of high performing cases involving financial support, technical advice and managerial advice. Internal community characteristics were also found to be influential in terms of success, including collective initiative, strong leadership and institutional transparency. Through a meta-analysis of success in different regions, the paper also indicates an important finding on the direct relationship between success and the prevailing socio-economic wealth in a society. This holds implications for policy and programme design with a need to consider how broad structural conditions may dictate the relative success of different forms of community management.Item Open Access “Transition Phase” water supply interventions in low-income urban settlements: Kenya(Cranfield University, 2013-12) Chakava, Yolanda; Franceys, RichardA multitude of transitional water supply and distribution interventions are continually piloted in Kenya’s fast-growing urban settlements to meet national and global MDG targets, yet visible problems persist regardless of the investments made. This research evaluates the performance of four interventions led by public utilities and non- governmental organisations in the low-income settlements of Nairobi, Kisumu and Nakuru counties. To understand the service improvement received by the residents, this study used qualitative data from interviews and focus group discussions and quantitative data from 1,168 household surveys. Service level analysis results showed making water more affordable using pre-paid technology reduced the effective price by 75% and increased consumption per household by 20 litres per day, resulting in the highest service progress. Improving water accessibility for the very poor via hosepipe door-step delivery reduced the burden on women carrying water by 43% although efforts failed to reduce the pricing structure, limiting the progress. Subsidised ‘first-time’ metered plot connections to increase the utility customer base experienced shortages in water supply and reluctance from landlords, restricting development. Despite showing no positive change, 81% of residents continued to rely on expensive self-supplied boreholes which were all contaminated. Although the utilities have made positive strides in service improvement, in the context of universal service this study has shown that the very poor remain the most difficult to access, forming the target of discrete interventions that experience difficulties in influencing a reliable supply, sustained price reduction and/or good water quality – essentially what is needed most. In investigating the longer term supply and demand shortfall, this study concludes that the equitable supply and innovative distribution of point source groundwater, with a bias for the poorest, could be the most resilient transitional solution for the utility to promote in the foreseeable future, out of necessity rather than desire.