The Enabling Environment for Participation in Water and Sanitation: A Conceptual Framework

Abstract

Participatory approaches are an important component of institutional frameworks for the governance of water resources and services. Studies on public participation in water management provide evidence for the outcomes of public participation and insights into the types of methods and the contexts under which participation can be meaningful. However, participatory processes are complex, and there is no single method by which to interpret, approach and implement them. This paper explores elements from the theory and practice of participation, applied to the management of water resources and water and sanitation services. Based on an in-depth literature review, we analyze the forms of participation in water and sanitation, their outcomes, as well as the contextual factors and procedural elements of participatory processes that affect their success. Contextual factors are those that are largely outside of the control of agencies or participants (e.g., demographics, history, and culture) or those that can only be influenced by management and institutional decisions in the mid- and long-term (e.g., the legal and institutional framework); while procedural elements are those over which agencies and participants have considerable control when designing and executing participatory efforts (e.g., representativeness and inclusivity, access to information, and opportunity to influence). We propose a framework that interrelates and integrates both contextual factors and procedural elements of participation. It, includes three additional aspects that are influenced by, and in turn influence, the context and the process: existing capacities for implementation of meaningful participatory processes, the resources that are allocated to them, and attitudes towards participatory processes. The framework helps conceptualize what we call the enabling environment for active, free, and meaningful participation in the delivery of water and sanitation services. By breaking down the complexities of participation, the framework supports practitioners and decision-makers to better design and implement participatory processes in water resources and water and sanitation services.

How community engagement in water and sanitation interventions impacts human health, infrastructure and service longevity in low- and middle-income countries: a realist review

“…Papers were excluded based on the following criteria (1) Contained secondary data only, or was a review or a commentary (2) It discussed existing management practice for water and health resources 3The outcome was not linked to linked to water, sanitation, health or sustainability (4) There was no clear community role in the intervention or organised activity (5) The study country was from a high-income country based, as defined by the World Bank (36) (6) The paper contained secondary data, or was a review and a commentary piece 7The paper was not available in English.…”

“…However, the literature reveals mixed results of these interventions and initiatives -some display positive impacts, with others showing no impact on health (2,3). There is an expanding array of literature seeking to understand the contextual of WASH interventions and initiatives and their influence (4)(5)(6)(7).…”

“…The definition and manifestation of community participation in WASH initiatives vary significantly across articles and studies (4). However, understanding the impact of contextual factors is important for designing and implementing long lasting interventions and initiatives within communities, given the large amount of heterogeneity within communities and interventions (6).…”

Unpacking Water Governance: A Framework for Practitioners

“…This framework has proven to be relevant for assessing progress in ecosystem governance [36][37][38]. It is also compatible with other frameworks used to understand the different type of outcomes that emerge from social processes [39][40][41].…”

“…The human rights framework to water and sanitation defines six procedural elements as crucial for achieving free, active, and meaningful participation: involving people in design of the participatory procedures; creating access to participatory spaces; enabling environment of free and safe participation; access to reliable and complete information in timely manner, which is easy to understand and comes at no cost; providing support to enable effective contributions from the stakeholders; and having the opportunities to influence decisions taken in the sector along with the right to know how their inputs were considered, what decisions were made and implemented, and on what grounds [61]. However, these procedural aspects also need to be adapted to the context, and the level of capacity and resources, and the attitudes towards the participatory process are also essential for its success [41]. At transboundary scale, two or more countries are involved, and the sphere of participation is often broadened, in recognition of the geopolitical implications of water management.…”