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‘Making Sanitation Happen’: An Enquiry into Multi-Level Sanitation Governance
KTH, School of Architecture and the Built Environment (ABE), Urban Planning and Environment, Urban and Regional Studies. KTH, Stockholm. (URS)ORCID iD: 0000-0002-9340-4391
2018 (English)Doctoral thesis, comprehensive summary (Other academic)
Abstract [en]

The importance of sanitation for human health and development is undisputed. Sanitation is now high on the international development agenda and has become a salient issue in most developing countries, Rwanda and Uganda being no exception. However, there are still shortcomings as regards ‘making sanitation happen’ on the ground. The basic institutional environment and the right governance structures are yet to be fully put in place. This is even more important in the new modes of governance wherein increasing numbers of public, private, and philanthropic actors at different levels of society are involved in sanitation provision and hygiene promotion driven largely by global goals and international development agendas. This has engendered top-down pressure to meet prescribed targets which in most cases miss the complexity of context, distort service priorities, and in some cases compromise sustainability.

This thesis disentangles how sanitation policies are articulated at multiple levels of governance and among various actors in the sector, and eventually translate into investment and behaviour change at the community and household levels. This is done by examining sanitation governance structures in Rwanda and Uganda. Specific emphasis is placed on the actors and actions at national, sub-national, community and household levels.

Drawing on multi-level governance as a conceptual framework, qualitative analysis of policy objectives and choices, and quantitative investigations of what motivates hygiene behaviour change at the community and individual levels, this cross-national comparative study is a novel attempt to decipher the complexity surrounding sanitation and to show ‘what makes sanitation happen’.

The insights of this research build on different strands of the literature but most importantly they contribute to the debate in the sanitation sector on what works on the ground, why and where.

 

Place, publisher, year, edition, pages
Stockholm: KTH Royal Institute of Technology, 2018. , p. 95
Series
TRITA-SOM, ISSN 1653-6126 ; 2018-3
Keywords [en]
Sanitation, hygiene, behaviour, multi-level governance, institutions, policy, implementation
National Category
Social and Economic Geography
Research subject
Planning and Decision Analysis
Identifiers
URN: urn:nbn:se:kth:diva-224439ISBN: 978-91-7729-686-7 (print)OAI: oai:DiVA.org:kth-224439DiVA, id: diva2:1191282
Public defence
2018-03-28, F3, Lindstedtsvägen 26, stockholm, 09:00 (English)
Opponent
Supervisors
Funder
Swedish Research Council, 2013-6364
Note

QC 20180316

Available from: 2018-03-16 Created: 2018-03-16 Last updated: 2022-06-26Bibliographically approved
List of papers
1. Multi-level sanitation governance: understanding and overcoming challenges in the sanitation sector in sub-Saharan Africa
Open this publication in new window or tab >>Multi-level sanitation governance: understanding and overcoming challenges in the sanitation sector in sub-Saharan Africa
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2014 (English)In: Waterlines, ISSN 0262-8104, E-ISSN 1756-3488, Vol. 33, no 3Article in journal (Refereed) Published
Abstract [en]

The provision of sanitation facilities - a basic necessity for human health, well-being, dignity, and development - remains a mammoth challenge for developing countries where the vast majority of the 2.5 billion people without improved sanitation facilities reside. Sub-Saharan Africa (SSA) is one of the regions where decent, dignified, and functional toilet facilities remain largely inaccessible. Most of the countries in SSA will miss the Millennium Development Goal (MDG) for sanitation. There are sharp contradictions in the region between formal and informal sanitation institutions. There is also a disconnect between actors at the macro, meso, and micro governance levels. This paper shows how multi-level governance analysis, path dependency, and institutional inertia can be used to improve understanding of some challenges in the sanitation sector in SSA, and discusses approaches that can contribute to improving the sanitation situation in a sustainable way. In addition, the paper asserts that demand-driven strategies and private sector involvement in the sanitation sector is paramount for establishing new sanitation paradigms and sociotechnical regimes. We conclude that a good understanding of actors at all levels - their various roles, interactions, and the way they interpret and respond to policies - is key to accelerating progress in sustainable sanitation coverage in SSA.

Keywords
sanitation, hygiene, functionality, multi-level governance, institutions, institutional inertia, path dependency, coordination, socio-technical regimes, demand-driven
National Category
Engineering and Technology
Research subject
Planning and Decision Analysis
Identifiers
urn:nbn:se:kth:diva-179466 (URN)10.3362/1756-3488.2014.024 (DOI)
Funder
Swedish Research Council, 2013–6364
Note

QC 20160120

Available from: 2015-12-17 Created: 2015-12-17 Last updated: 2022-06-23Bibliographically approved
2. Linking sanitation and hygiene policy to service delivery in Rwanda and Uganda
Open this publication in new window or tab >>Linking sanitation and hygiene policy to service delivery in Rwanda and Uganda
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(English)Manuscript (preprint) (Other academic)
Abstract [en]

Sanitation lags development achievements in other sectors, and is one of the unmet targets of the Millennium Development Goals (MDGs). This article explores the gap between sanitation policy intentions and outcomes in a comparative study of sanitation sector performance in Rwanda and Uganda with ‘good’ and ‘limited or no’ reported MDG progress respectively. The gap between strong political will, as asserted in policy commitments, statements, reforms and coordination efforts on one hand, and insufficient resources and actual implementation on the other, is examined by drawing on policy and implementation theories in a multi-level governance framework. Progress in Rwanda is explained by stronger political leadership and support for sanitation, stringent performance monitoring, an institutionalised and inclusive community-based approach, and investment in rural sanitation. We further argue that with households having much discretion over private actions for sanitation and hygiene, ‘backward mapping’ can contribute to improve understanding on how to close the implementation gap.

Keywords
Sanitation, hygiene, Policy, Implementation, Outcome
National Category
Social and Economic Geography
Research subject
Planning and Decision Analysis
Identifiers
urn:nbn:se:kth:diva-224437 (URN)
Funder
Swedish Research Council, 2013-6364
Note

QC 20180317

Available from: 2018-03-16 Created: 2018-03-16 Last updated: 2022-06-26Bibliographically approved
3. Risk and benefit judgment of excreta as fertilizer in agriculture: An exploratory investigation in Rwanda and Uganda
Open this publication in new window or tab >>Risk and benefit judgment of excreta as fertilizer in agriculture: An exploratory investigation in Rwanda and Uganda
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2016 (English)In: Human and Ecological Risk Assessment, ISSN 1080-7039, E-ISSN 1549-7860, Vol. 22, no 3, p. 639-666Article in journal (Refereed) Published
Abstract [en]

This research explores the use of psychometric techniques to improve understanding of psychological mechanisms underlying judgment of excreta as fertilizer in agriculture including other excreta related activities. Participants consisted of environmental health students, smallholder farmers and traders in rural and urban Rwanda and Uganda. The finding reveals an inverse relationship between risk and benefit judgments. This relationship holds for the three groups of participants with significant risk-benefit correlations of p<.0001. This finding is consistent with other studies showing that affect plays a key role in risk perception, judgment and decision making.Building on this finding, we conclude that individuals with high risk and low benefit judgment for excreta related practices would eschew them or emphasize strict standards. Individuals with a high benefit and low risk judgment would engage in excreta management practices regardless of the actual risks involved. This finding is relevant for risk communication and risk management as it indicates that individuals do not rely only on risk management information they receive concerning excreta and related risks but also depend to an extent on their feelings about these substances when making judgments and decisions regarding the purpose for using excreta as fertilizer and the level of exposure they can tolerate and manage.

Place, publisher, year, edition, pages
Taylor & Francis, 2016
Keywords
Excreta, Fertilizer, Affect, Risk, Benefit, Judgment
National Category
Agricultural Science
Research subject
Planning and Decision Analysis
Identifiers
urn:nbn:se:kth:diva-179467 (URN)10.1080/10807039.2015.1100515 (DOI)000371914500005 ()2-s2.0-84960369901 (Scopus ID)
Conference
Water and Health: Where Science Meets Policy, Chapel HillGlobal Dry Toilet Conference, Tampere
Funder
Swedish Research Council, 2013–6364Lars Hierta Memorial Foundation, FO2010-0322 and FO2011-0501
Note

Funding also from: Kungl. Skogs och Lantbruksakademien (H10-0233-ADA-01).

Travel grants were also provided by Stiftelsen Futura.

QC 20160411

Available from: 2015-12-17 Created: 2015-12-17 Last updated: 2022-06-23Bibliographically approved
4. ‘Carrots’, ‘Sticks’, and ‘Sermons’: Household perspectives on sanitation and hygiene behaviours in Rwanda and Uganda
Open this publication in new window or tab >>‘Carrots’, ‘Sticks’, and ‘Sermons’: Household perspectives on sanitation and hygiene behaviours in Rwanda and Uganda
(English)Manuscript (preprint) (Other academic)
Abstract [en]

The appropriateness and effectiveness of different policy instruments in fostering improved sanitation and hygiene practices in different contexts is debated. ‘Sermons’ inform on recommended behaviours, ‘carrots’ initiate behaviours, and ‘sticks’ restrict, deter, and punish undesirable behaviours. Through the lens of ‘carrots’ ‘sticks’, and ‘sermons’, this article analyses two approaches to sanitation promotion as they have been implemented in Rwanda and Uganda. The Community Health Clubs (CHCs) approach is the policy choice in Rwanda whereas Community-Led Total Sanitation (CLTS) is predominantly promoted in Uganda. Building on a survey of 1173 households in both countries, this article contributes to the ongoing debate with insights on how target populations perceive the options promoted by the different approaches in influencing behaviour change outcomes, or not.  

This study reveals significant differences regarding observed latrines, handwashing facilities, soap and water at the handwashing facility, and reported handwashing with soap and water between most of the study sites with CHC and CLTS intervention and those with no CHC and CLTS intervention. The observed differences are indications of the effectiveness of the interventions in changing behaviours. Similar differences are observed between best performing CLTS (ODF declared) and poor performing CLTS (ODF not yet declared), which underlines the importance of proper implementation. The study suggests support for using a combination of ‘carrots’, ‘sticks’, and ‘sermons’ which are all perceived as effective but for different reasons. Incentives for good sanitation practices and proper hygiene behaviour are perceived by respondents as a source of commitment and competition. Health messages are generally preferred for raising community awareness. However, the application of educational appeals - which are perceived as the most legitimate instruments and predominantly used in CHC and CLTS interventions – is insufficient for achieving universal compliance in the short-term. Other instruments can trigger short-term desired changes but may not be legitimate. This is the case with fines and naming and shaming which are perceived as effective but may compromise social relations and values. Findings also reveal that there is a common understanding among respondents that the responsibility for providing resources for construction and maintenance of sanitation facilities is a shared one. However, respondents’ ability to fulfil this responsibility is partly hampered by poverty and water availability related constraints.

Keywords
Incentives, disincentives, educational messages, open defecation, hygiene, behaviour, perceptions, Community Health Clubs (CHCs), Community-Led Total Sanitation (CLTS)
National Category
Economics and Business
Research subject
Planning and Decision Analysis
Identifiers
urn:nbn:se:kth:diva-224438 (URN)
Funder
Swedish Research Council, 2013-6364
Note

QC 20180317

Available from: 2018-03-16 Created: 2018-03-16 Last updated: 2022-12-12Bibliographically approved

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