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Institutional Reform for Community Participation INSTITUTIONAL REFORM FOR COMMUNITY PARTICIPATION Towards Community Adoption of Piped Water Supply Systems in Arsenic Affected Regions of Rural Bangladesh Arushi Gupta INSTITUTIONAL REFORM FOR COMMUNITY PARTICIPATION An electronic version of this thesis is available at http://repository.tudelft.nl/. i Preface This document in an end product of 7 months of research at Delft University of Technology in the field of water governance. It is intended for anyone interested in the Bangladesh rural water sector, specifically focusing on arsenic affected rural regions. It discusses the governance of rural piped water supply systems from the planning stage at central level to the sustenance stage at the community level. It focuses on analysing the effects of national policies, institutional rules and socio-cultural community attributes on these technical systems. A basic knowledge about the technical working of piped water systems and treatment technologies is expected. The institutional analysis done in this thesis can also be applied to other WASH sector activities of rural Bangladesh. People interested in adoption and sustainability of rural WASH projects can find this thesis interesting. The analysis is done from an institutional economic perspective using Elinor Ostrom’s theories of institutional analysis as guidelines. The thesis document is divided into 4 phases. Phase I provides the problem definition, research methodology used, a background on arsenic contamination in Bangladesh and a basic overview of piped water systems as an arsenic mitigation technology. Phase II discusses the field scenario in detail, describing the process of planning, designing, financing, constructing and sustaining these systems, followed by the strengths and challenges of the process of implementation. Phase III analyses each level of the design process using Ostrom’s theories of institutional economics and proposes new institutional reforms for the sector. The final Phase IV concludes this research by suggesting strategies for increased community adoption and sustainability of piped water systems in rural Bangladesh. The crux of this thesis lies in the application of the Institutional Analysis and Development (IAD) Framework applied at three tiers of governance – central-local and community level. The application of Ostrom’s design principles that helped to come up with institutional reforms is also interesting to study. To make the most of document, the reader should not skip chapters 5, 8(a, b and c) and 9. A reader with in- depth knowledge of the Bangladesh piped water sector can save time by skipping Chapter 3, 4 and 6. Chapter 11 can provide a starting point for those looking to work further in the areas of rural WASH in developing countries. The empirical insights available in Appendix A, gained from field interviews are valuable to anyone intending to carry out WASH research in Bangladesh. If anyone is interested in learning from case studies, Appendix D provides examples of successful community based institutional arrangements in water systems across the world. These case studies can be valuable to research groups, field workers and policy makers. Lastly, the executive summary would be enough for those are looking to get a brief overview of this research document. Arushi Gupta Den Haag, September, 2018 ii Acknowledgement When I chose this thesis topic I wanted to challenge myself. I had two criteria for choosing my topic: it had to be a real- life case scenario where I can create an impact and I wanted to be able to apply my knowledge of EPA as a policy analyst to a case scenario. It was difficult decision to choose an entirely qualitative approach in such a complex socio-political field, having had not much of an experience in qualitative work. Coming from a computer engineering background, I have always been exposed to the method of “one-right-answer.’ So, when I began my initial research I found myself lost. I would like to mention my meeting with Diedre Casella who instilled in me the confidence to pursue a qualitative research. After 7 months of working on this research, adventurous field experience, no summer holidays, countless overnighters and high anxiety, as I write the final section of my research I feel overwhelmed. On this occasion, I would like to express my deepest gratitude to everyone who has supposed me in this wonderful journey. Firstly, I would like to thank both my supervisors Prof. Bert Enserink and Prof. Fraces Brazier who agreed to work on this topic and continuously supported me throughout my field work. Especially Bert, who proactively responded my emergency situation in Bangladesh, always responded my complex emails timely and read all my last night draft versions even in a very short time span. Special thanks to Frances for being very kind to help me out financially when I was looking for funds for my field work and guiding be through the process whenever I felt lost or stuck. An important person I would like to name is Dr Bilqis, my local supervisor and advisor in Bangladesh, who have been extremely supportive and kind, not only professionally but all personally throughout my thesis work. I cannot be more grateful to EPRC who has by all means supported me in my field work. I would further acknowledge the GARNET-SA fellowship provided by EPRC that allowed me to cover my field work costs in Bangladesh. A special thanks to all the interviewees; especially mentioning DPHE officials Mr Siafur Rahman, Mr. Russel Khan, Mr. Abdus Shahid; Mr. Ithishamul Huq from JICA; Mr. Waliul from Max Foundation; Mr. Osman from HYSAWA; Ms Akter from UNICEF and Mr Ahamed from World Bank who despite being high officials having busy schedules managed to give me time. This field work would not have been possible without Shamuil Bhai, field work assistant, would travelled with me to my interview meetings and helped me out with all the translations in Bengali. My field experience in Bangladesh opened up new horizons for me and largely changed my perceptions about economic development and policy implementation. This field experience would not have been possible without the financial support of University Funds Delft, Delft Global Initiative and TBM funds for funding me take up a thesis project aborad. This acknowledgment would be incomplete without mentioning my three amazing friends, Nazifa Nawal, Maliha Nawal and Azima Shafaq and their families who hosted me in Bangladesh. I had an amazing time in Dhaka, thanks to the three of you. Those memories would remain unforgettable experiences. I would like to thank the DELTAP team, especially Annemarie and Kajol for providing me with the opportunity to work on this project and linking me up with EPRC. Thank you for being so kind, when I bothered you both a lot in the initial days. Coming to my dear ones, firstly I would like to thank my parents for financially supporting me through this master’s course and emotionally being there with me always. My motivation has remained strong because of my father. Paa, you have always taught me how to be a fighter, never give up in any situation and always trusted all my choices without questioning. You have made me who I am today, and I cannot be more thankful for having you in my life. Maa, your innocent words have always kept me smiling even through tough times. Lastly, my close friends Aakrati Goel and Zaid Qadri who have always stood by me through my tough times and whom I have bothered the most throughout the thesis process. And finally, my amazing EPA mates, “the Y-Group”, for making me go through these two long years of EPA without giving up. I would like to specially mention Quinn Blanco who has been with throughout the thesis writing process spending long days, even nights at Wijnhaven campus. Without all your support, I would not have managed to make Netherlands my home. “We value virtue but do not discuss it. The honest bookkeeper, the faithful Arushi Gupta wife, the earnest scholar get little of our attention compared to the Den Haag, embezzler, the tramp, the cheat.” ― John Steinbeck September, 2018 iii Table of Contents Preface ...........................................................................................................................................................ii Acknowledgement ........................................................................................................................................ iii Table of Contents .......................................................................................................................................... iv List of Figures ................................................................................................................................................ ix List of Tables .................................................................................................................................................. x List of Abbreviations ..................................................................................................................................... xi Executive Summary ..................................................................................................................................... xii Important Terms .......................................................................................................................................... xv I THESIS DEFINITION ............................................................................................................................... 1 1 Introduction
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