Thesis Presented to the Faculty of the Graduate School of Cornell University in Partial Fulfillment of the Requirements for the Degree Of
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CONNECTING NATURAL AND SOCIETAL DOMAINS FOR SUSTAINABLE RURAL COMMUNITY-BASED WATER SYSTEMS IN ODISHA, INDIA A Thesis Presented to the Faculty of the Graduate School of Cornell University In Partial Fulfillment of the Requirements for the Degree of Master of Regional Planning by Disha Dattatraya Mendhekar August 2017 © 2017 Disha Dattatraya Mendhekar ABSTRACT The purpose of this thesis is to develop a conceptual framework for analyzing whether the interactions between natural and societal domains of rural drinking water infrastructure are complementary in nature. Much of this framework is based on the literature on community capitals in water resource management. The study was set in Odisha, India and the methods for analysis were mainly qualitative, built on program documents, field surveys, interviews and focus group discussion with relevant actors. The research reveals that while there is a strong presence of natural capital in Odisha, the state government and the rural communities lack the technical expertise and social skills to best manage it. In the face of these challenges, Cornell University-based research organization, AguaClara provides low-cost, innovative and intelligible water treatment solutions and Odisha-based NGO, Gram Vikas mobilizes, trains and develops skills of the rural communities. Hence, the partnership between AguaClara and Gram Vikas exhibits collaborative synergies that fit perfectly within the conceptual framework. However, more research should be done on lowering the O&M costs of such projects to benefit the community at large. BIOGRAPHICAL SKETCH Born and raised in New Delhi, India, Disha was fascinated by how bureaucracy and corruption rather than fuelling development through public service delivery has stalled the growth of the city she loves the most. She was astonished to see how the capital city turned from being the most desirable to the most unlivable and the most unsafe place in the country. She joined School of Planning and Architecture, New Delhi in 2011 for her Bachelors in Physical Planning and since then she has been researching on the government’s role in effective public service delivery, particularly specializing in water governance. She joined Cornell University in 2015 for her Masters in Regional Planning where she got in touch with AguaClara. And so her journey towards water and sanitation research began, embarking upon the intersection of service delivery, bureaucracy and social equity. She believes that her regional planning background will help in attaining her professional interests of inducing entrepreneurial sustainable practices in local government service delivery in the global south. iii “Please understand, Your Excellency, that India is two countries in one: an India of Light, and an India of Darkness. The ocean brings light to my country. Every place on the map of India near the ocean is well off. But the river brings darkness to India—the black river.” - Aravind Adiga, The White Tiger, p. 12 iv ACKNOWLEDGMENTS This thesis would not have been possible without the encouragement and support from many wonderful individuals – I am extremely grateful to them for being a part of this journey and making this thesis possible. Among the many, I would like to recognize my academic mentor – Professor Mildred Warner for her ideas and inspirations and for being constantly available with advice and help, despite being very tight on schedule. Without her immediate feedback during the research and writing process, this work would not have been possible. I want to thank my co-chair, Professor Monroe Weber-Shirk, for allowing me to be a part of AguaClara’s Regional Planning Team and being very enthusiastic and involved about the project in India. With his stimulating guidance and continuous encouragement, our site selection research in India became an enjoyable moment. I am sincerely indebted to Ms. Maysoon Sharif, without whom my field trip to Odisha, India would not have been possible. Her expertise on AguaClara and Gram Vikas was significant influence in shaping many of the views presented in this thesis. I am forever thankful to Mr. Debiprasad Mishra, Mr. Ashutosh Bhatt and the entire Gram Vikas team for arranging the field trips to Lahanda and Kaliabeda villages. I would like to show my utmost appreciation to them for sharing their expertise and experiences, and for providing valuable feedback throughout my field visit. This dissertation would not have been possible without funding from Cornell Engaged Learning and Research, AguaClara LLC and the Department of City and Regional Planning. I would like to thank my friends – Piyush, Kunal, Adi, Ritika, Tarini, Tuhin, and Shamil – who I have also come to consider my mentors. They have bestowed upon me the tools and responsibility to continually improve myself. v And last, but certainly not the least, my Aai and Baba. It is them who have never left my side – or my mind- that I owe the greatest, most heartfelt of thanks. I thank you for making me the person I am. I hope you have made yourselves proud! vi TABLE OF CONTENTS BIOGRAPHICAL SKETCH .............................................................................................. III DEDICATION ..................................................................................................................... IV ACKNOWLEDGMENTS .................................................................................................... V TABLE OF CONTENTS .................................................................................................. VII LIST OF FIGURES ............................................................................................................. IX LIST OF TABLES ................................................................................................................ X LIST OF EXHIBITS ........................................................................................................... XI EXECUTIVE SUMMARY ............................................................................................... XII INTRODUCTION ................................................................................................................. 1 OBJECTIVE ............................................................................................................................ 5 LITERATURE REVIEW ..................................................................................................... 6 WATER – COMMON GOOD OR COMMODITY OR SOMEWHERE IN BETWEEN? ........................... 6 WHY RURAL COMMUNITY-BASED WATER SYSTEMS FAIL? .................................................... 9 THE SIX FORMS OF CAPITAL FOR SUSTAINABLE RURAL COMMUNITY-BASED WATER SYSTEMS ........................................................................................................................................... 10 COMMUNITY PARTICIPATION AND THE POTENTIAL OF SOCIAL CAPITAL .............................. 14 THE EFFECT OF CASTE AND GENDER HETEROGENEITY IN PROVISION OF WATER .................. 16 THE ROLE OF NGOS IN COMMUNITY MOBILIZATION ........................................................... 19 WILLINGNESS TO PAY AND BUILDING FINANCIAL CAPITAL ................................................. 20 DISCUSSION AND THEORETICAL FRAMEWORK .................................................................... 21 BACKGROUND TO THE CASE ...................................................................................... 24 INDIAN GOVERNANCE STRUCTURE ..................................................................................... 24 AGUACLARA ...................................................................................................................... 26 GRAM VIKAS ...................................................................................................................... 27 STUDY AREA AND METHODOLOGY .......................................................................... 29 SITE SELECTION .................................................................................................................. 29 THE SETTING ....................................................................................................................... 31 DATA COLLECTION ............................................................................................................. 35 DATA ANALYSIS ................................................................................................................. 38 ANALYSIS ........................................................................................................................... 41 POLITICAL CONTEXT ........................................................................................................... 41 SOCIETAL DOMAIN .............................................................................................................. 46 NATURAL DOMAIN .............................................................................................................. 63 ANALYSIS SUMMARY ......................................................................................................... 66 CONCLUSIONS AND RECOMMENDATIONS ............................................................ 68 SYNTHESIS OF NATURAL, POLITICAL AND SOCIETAL DOMAINS IN ODISHA .......................... 68 vii RECOMMENDATIONS ........................................................................................................... 72 APPENDIX A ......................................................................................................................