SustSan workshop: Planing and process tools by Tandiwe Erlmann

SSWM Planning and Process Tools
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seecon international gmbh
Tandiwe Erlmann
Ljubljana, Slovenia, April 5th 2014

More information at www.sswm.info
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1. Introduction
“Participatory
Planning and
Decision Making”
How can I optimize
my local water and
sanitation system?
How can I plan
and implement
my water and
sanitation
initiatives in a
more sustainable
way?
Planning & Process
Tools
Implementation
Tools
Behavioural change
approaches
Technical tools

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1. Introduction to Participation
What is Participation?
Brainstorming
•  Take part in an activity
•  Be involved
•  Contribute to the definition
of goal to achieve
•  Contribute to the
achievements of goal

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• “... means that people … are involved in economic, social, cultural
and political processes that influence their lives”. (United Nations
Development Programme, UNDP)
• “... Is the process through which stakeholders influence and share
control over priority setting, policy-making, resource allocations
and access to public goods and services”. (The World Bank, WHO)
• …is a multi-directional communication process between all the
people and groups involved in making a joint decision
SOURCE: WERNER, C.; PANESAR, A.; BRACKEN, P.; MANG, H. P.; HUBA-MANG, E. and GEROLD, A. (2003): „An
ecosan source book for the preparation and implementation of ecological sanitation projects”. GTZ- ecosan
program, Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ), Eschborn, Germany.
Participation …

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Participation is therefore not just a process where external
agents inform , instruct , motivate and educate
people to take what they believe to be the correct course of
action.
SOURCE: International Association for Public Participation (2014): IAP2 Spectrum

What are the challenges of implementing such a process?
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Brainstorming

Challenges in Participatory Approaches
•  Ensuring participation of all sections of the community
•  balance between strong leadership and room for everyone to enter into action
•  Requires skilled manpower
•  needs government support (especially in urban areas)
•  Time consuming and (therefore) hard to finance
•  Traditional decision making processes
•  Influence by dominant stakeholders
•  Gender
•  Religion
•  Might lead to an unsustainable decision or no decision at all!
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When it is so difficult, why should we bother with participation?
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Brainstorming
•  Increases ownership
•  Mobilises and empowers the community
•  Involves education and information of stakeholders
to let them make informed decisions
•  Ensures that goals are set according to the local
conditions and thus enhances long-term
sustainability
•  Ensures a demand-driven approach (beneficiaries
ask for help)
•  Resources, ideas, responsibilities are shared and
mobilized
•  Consensus can be achieved among stakeholders
•  Reduces vandalism
•  Can be an icebreaker for future interventions

And what happens if we don’t do it?
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Brainstorming
•  No ownership
•  Inappropriate technologies are implemented
•  People’s priorities are not considered
•  “Wrong” problem is solved
•  Lack of O&M
•  Vandalism
•  Failure of project

What happens if we don‘t do it?
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Unmaintained public toilets in India.

Stakeholder participation is considered being essential in all aspects of
development and management.
The objectives are to increase the sustainability of the intervention
through:
Objectives of Participation
2. Participatory Processes
•  incorporating wide range of
perspectives and priorities
•  increasing stakeholder compliance
and ownership
•  incorporating knowledge and skills
•  identifying conflicts between users
and negotiating solutions
•  contributing to stakeholder
empowerment and local
institutional development
Source: http://www.wsp.org/userfiles/image/2009_JUL.jpg [Accessed: 23.03.2010]

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3. SSWM Planning & Process Tools
Introduction:
See also:
http://www.sswm.info/category/planning-process-tools/planning-process-tools-introduction

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Programming & planning frameworks:

Step 1: Exploring
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Allows to collect background information necessary to determine
the scope and boundaries of the project.
-> It also allows to establish a link with the community, inform
about the process and initiate the involvement of the community
members.
The sub-steps involved in this first phase are:
•  Preliminary Assessment of Current Status
•  Definition of Boundaries
•  Stakeholder’s Analysis
•  Preliminary Assessment of possible
solutions
Step 1: Exploring
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Step 2: Demand creation
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Many water & sanitation programmes have failed because they were
supply driven
People will only want and use solutions when they understand them
and see benefits in them (demand driven)
-> Only if people understand and want systems they will operate
and maintain them
Demand creation uses awareness
raising tools – examples are:
•  Social Marketing
•  Media campaigns
•  School campaigns

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Step 3: Participatory Decision Making
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In a participatory decision making process the identified stakeholders
undertake a collective action of understanding, deciding and
planning a project to reach a common objective.
The components involved are:
•  Gathering Ideas
•  Analysing the Situation
•  Deciding
•  Planning
-> A vision paper, such as a Community Action Plan or a Long Term
Strategy should capture the decisions taken in this step.
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Source: TCCO (Editor) (1995): Community Action for the Environment. A Guide to
Helping Your Community Go Green. Ontario: The Conservation Council of Ontario.
http://www.weconserve.ca/pdf/cap.pdf [Accessed: 22.04.2012].
Source: BARTLE, P. (2008): Preparing a Community Action Plan. Province of British
Colombia: CEC Community Empowerment Collective.
http://cec.vcn.bc.ca/cmp/modules/org-cap.htm [Accessed: 02.04.2012]

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Step 3 Example: Community Action Plan
A community action plan is a road map for implementing measures to
change a given situation in a given locality. It has to clarify the
following points:
What: What the community wants to achieve
How: Which activities are required during a specified time period
Who: Which resources are used (money, people and materials)

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Step 4: Implementation

Once an action plan has been developed in a participatory process, the
objectives are now to be translated into projects.
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Objective 1:
Stop open defectation
Objective 2
Recycle water and lower
water consumption
Activity 1:
Awareness raising
Activity 2:
Construct dry toilet
Activity 3:
Teach population how
to construct and use
greywater towers

Usually a project…
•  covers a reduced and concrete number of purposes
•  has a set timetable
•  contributes to reaching the vision of the community
•  is measurable by the community itself.
The phases to be carried out are:
•  Project designing (logical framework,
proposal writing etc.)
•  Financing the project
•  Executing (Project management,
monitoring)
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Step 5: Ensuring Sustainability

Once a project has been implemented, it has to be ensured, that it will
continue to satisfy the needs of the concerned communities as well as
economic and environmental criteria.
This step is the most important, but often forgotten in the planning
process. A lack of monitoring, follow-up and operation and
maintenance is the reason for the many failures of sanitation and
water interventions.
Main activities are:
•  Participatory monitoring and evaluation
•  Sound operation and maintenance
•  Follow-up of projects
Ensuring sustainability also requires resources
(human, financial, material)!

Identification of Planning & Process Tools
4. Introduction to Group Work
•  Consult the SSWM Toolbox
•  Identify the set of planning and process tools which will be useful to
plan and implement sustainable SSWM projects
Max. 45 Minutes
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Planning
Tools
Find help in the
SSWM Toolbox:
Planning & Process Tools
http://www.sswm.info/
category/planning-process-
tools/planning-process-
tools-introduction
With what kind of
processes, measures
and tools can I plan
and implement my
SSWM project?

Presentations of Group Work
4. Introduction to Group Work
•  Each team will have 10 minutes to present their work
•  Don’t forget to comment on the tools you have chosen to optimise
your water and sanitation system
Max. 30 Minutes for preparation
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Hardware
Software
Planning
Tools

SSWM Planning and Process Tools 65
“Linking up Sustainable Sanitation,
Water Management & Agriculture”
With the support of:
Created by:

SustSan workshop: Planing and process tools by Tandiwe Erlmann

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SustSan workshop: Planing and process tools by Tandiwe Erlmann