Science of the Total Environment 463464 (2013) 700711

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Science of the Total Environment

journal homepage: www.elsevier.com/locate/scitotenv

Watersanitationhygiene mapping: An improved approach for data

collection at local level
Ricard Gin-Garriga a,, Alejandro Jimnez-Fernndez de Palencia a, Agust Prez-Foguet b
a
Research Group on Cooperation and Human Development, University Research Institute for Sustainability Science and Technology, Universitat Politcnica de Catalunya,
Campus Nord, Edici VX, Pl Eusebi Gell, 6, Barcelona, Spain
b
Dept. of Applied Mathematics III, Research Group on Cooperation and Human Development, University Research Institute for Sustainability Science and Technology,
Civil Engineering School, Universitat Politcnica de Catalunya, Campus Nord, Edici C2, c/Jordi Girona 13, Barcelona, Spain

H I G H L I G H T S

We present an integrated method for WASH-related data collection at local level.

The survey design combines a waterpoint mapping and a household survey.
Simple statistical analysis validates the data from the viewpoint of decision-making.
Data provide policymakers with evidences to inform planning and targeting processes.
We conclude that integrated data collection mechanisms can be designed to support local policymaking.

a r t i c l e i n f o a b s t r a c t

Article history: Strategic planning and appropriate development and management of water and sanitation services are
Received 2 December 2012 strongly supported by accurate and accessible data. If adequately exploited, these data might assist water
Received in revised form 22 May 2013 managers with performance monitoring, benchmarking comparisons, policy progress evaluation, resources
Accepted 2 June 2013
allocation, and decision making. A variety of tools and techniques are in place to collect such information.
Available online 10 July 2013
However, some methodological weaknesses arise when developing an instrument for routine data collection,
Editor: Simon James Pollard particularly at local level: i) comparability problems due to heterogeneity of indicators, ii) poor reliability of
collected data, iii) inadequate combination of different information sources, and iv) statistical validity of
Keywords: produced estimates when disaggregated into small geographic subareas.
Data collection This study proposes an improved approach for water, sanitation and hygiene (WASH) data collection at
Data management decentralised level in low income settings, as an attempt to overcome previous shortcomings. The ultimate
Water point mapping aim is to provide local policymakers with strong evidences to inform their planning decisions. The survey de-
Household survey sign takes the Water Point Mapping (WPM) as a starting point to record all available water sources at a par-
WASH
ticular location. This information is then linked to data produced by a household survey. Different survey
East Africa
instruments are implemented to collect reliable data by employing a variety of techniques, such as structured
questionnaires, direct observation and water quality testing. The collected data is nally validated through simple
statistical analysis, which in turn produces valuable outputs that might feed into the decision-making process. In
order to demonstrate the applicability of the method, outcomes produced from three different case studies
(Homa Bay District Kenya; Kibondo District Tanzania; and Municipality of Manhia Mozambique) are
presented.
2013 Elsevier B.V. All rights reserved.

1. Introduction

Water and sanitation improvements together with good hygiene

Abbreviations: JMP, Joint Monitoring Programme for Water Supply and Sanitation;
MICS, Multiple Indicator Cluster Survey; NGO, Non-governmental organization;
UNICEF, United Nations Children's Fund; WASH, Water, Sanitation and Hygiene; WP,
Waterpoint; WPM, Water Point Mapping.
Corresponding author at: Research Group on Cooperation and Human Development,
University Research Institute for Sustainability Science and Technology, Universitat
Politcnica de Catalunya, Spain. Tel.: +34 405 43 75.
E-mail addresses: ricard.gine@upc.edu (R. Gin-Garriga), alejandrojfp@gmail.com
(A.J.-F. de Palencia), agusti.perez@upc.edu (A. Prez-Foguet).
(WASH) produce evident effects on health population (Cairncross et
al., 2010; Curtis and Cairncross, 2003; Esrey et al., 1991; Feachem,
1984; Fewtrell et al., 2005). However, universal access to safe drink-
ing water and basic sanitation remains a huge challenge in many
low income countries (Joint Monitoring Programme, 2012a), where
vast numbers of people are not properly provided for by these basic
services. To help end this appalling state of affairs, the sector has

0048-9697/$ see front matter 2013 Elsevier B.V. All rights reserved.
http://dx.doi.org/10.1016/j.scitotenv.2013.06.005
 R. Gin-Garriga et al. / Science of the Total Environment 463464 (2013) 700711
been facing a gradual process of decentralisation, where the responsi-
bility in service provision moves to local authorities. It is believed that
decentralised governments have an informational advantage over the
central government with regard to local needs and priorities, for
which reason they are assumed to supply services in accordance
with demand, allocate resources more equitably, and ultimately con-
ceive and implement policies with a focus on poverty reduction
(Crook, 2003; Devas and Grant, 2003; Steiner, 2007). To effectively
do this, local governments need to make evidence-based decisions,
which primarily depend on the availability of accessible, accurate
and reliable data that are routinely collected, disseminated and
updated. Amongst others, these data may be employed to i) measure
progress and performance, ii) improve transparency in budgetary
procedures and promote increased investments in the sector, and
iii) allocate resources to deliver services where they are most needed.
Today, reliable information on key indicators at local level often lacks,
but even when it is available, the uptake for such data by policymakers
is, at best, challenging (WaterAid, 2010). Limited capacities of recipient
governmental bodies, inadequate sector-related institutional frame-
work, and lack of data updating mechanisms are common reasons
that hamper an adequate appropriation and continued use of the data
for planning and monitoring purposes (Joint Monitoring Programme,
2011; World Health Organization, 2012).
In an effort to address one of the shortcomings cited above, i.e. the
lack of reliable data, this study deals with the design of adequate meth-
odologies for routine data collection. A variety of tools and techniques
have been developed in recent years to collect primary data for the
WASH sector. Amongst others, the Water Point Mapping WPM
(WaterAid and ODI, 2005), the UNICEF-supported Multiple Indicator
Cluster Survey MICS (United Nations Children's Fund, 2006), the
Rapid Assessment of Drinking Water Quality RADWQ (Howard et al.,
2003, draft), and the Water Safety Plans (Bartram et al., 2009). However,
methodological problems arise when they are implemented at local scale
to produce reliable inputs for planning support.
First critical shortcoming is related to the type of data required to
monitor the sector, since different information sources may be required
(Joint Monitoring Programme, 2012b). Household surveys are by
large the most commonly used tools for collecting WASH data (Joint
Monitoring Programme, 2006; Macro International Inc., 1996; United
Nations Children's Fund, 2006). But a focus on households is not sufcient
to answer many relevant questions, and hence needs to be supplemented
with data from other sources. For instance, an audit at the water point
might provide insight into operational and management-related aspects
of the service. A methodology to efciently combine these two types of in-
formation sources should have potential for wider implementation.
Another key limitation is that of comparability (Joint Monitoring
Programme, 2006), since a variety of indicators are being simulta-
neously employed to measure different aspects of the level of service.
More often than not, to assess trends over periods of time or to com-
pare indicators regionally has therefore remained challenging. As a
rst step against this comparability problem, the Joint Monitoring
Programme for Water Supply and Sanitation (JMP) formulated a set of
harmonized survey questions (Joint Monitoring Programme, 2006) to
provide worldwide reliable estimates of drinking-water and sanitation
coverage at national level (Joint Monitoring Programme, 2012a). In
so doing, JMP has improved the processes and approaches to monitor-
ing the sector, though the denitions employed have been criticised
as being too infrastructure-based. (Gin-Garriga and Prez-Foguet,
under review-b; Gin-Garriga et al., 2011; Hunt, 2001; Jimnez and
Prez-Foguet, 2012). Today, an ongoing consultative process is debating
a consolidated proposal of targets and indicators for the post-2015
monitoring framework (Joint Monitoring Programme, 2011; Joint
Monitoring Programme, 2012c).
The techniques employed for data acquisition also play a key role in
terms of data reliability and validity (United Nations Children's Fund,
2006). A well-designed questionnaire helps elicit a response that is
701
accurate and measures the things one seeks to measure. On the
other hand, interviews with predetermined and closed-end ques-
tions are not conducive to study respondent's perceptions or motiva-
tions (Grosh, 1997), thus pointing out the need for employing alternative
survey instruments to avoid bias in survey's outcomes. For instance, water
quality should be bacteriologically tested (Howard et al., 2003, draft;
Jimnez and Prez-Foguet, 2012; Joint Monitoring Programme, 2011);
while study of handwashing through structured observation may help
avoid over-reporting of desirable hygiene behaviours (Manun'Ebo et
al., 1997).
Finally, there is an issue with the statistical precision of the esti-
mates. A common monitoring need in local decision-making is to as-
sess separately the performance of the lowest administrative subunits
(e.g. communities, villages, etc.) in the area of interest (e.g. district,
municipality, etc.). Since the number of these administrative subunits
is generally large, the level in which information needs to be
disaggregated is high, and one is therefore faced with the need to bal-
ance precision against cost when deciding the size of the sample
(Bennett et al., 1991; Grosh, 1997; Lwanga and Lemeshow, 1991).
Moreover, a scientically valid sampling methodology is necessary
to achieve reliable estimates. For household surveys, a cluster sam-
pling design has proved a practical solution (Bennett et al., 1991;
Lemeshow and Stroh, 1988; United Nations Children's Fund, 2006).
And water point mapping exercises, where a comprehensive record
of water sources is undertaken (i.e. no sampling), have also been suc-
cessfully implemented to monitor the distribution and status of water
supplies (WaterAid, 2010).
In sum, a need for further research into feasible alternatives for
data collection to the currently used strategies has been highlighted
(Joint Monitoring Programme, 2011), and the purpose of this study
is to present a new specic approach for the WASH sector at local
level, as an attempt to overcome previous shortcomings. It takes the
WPM as a starting point to record all available water sources at a par-
ticular location, which results in the need of covering the whole area
of intervention. This information is then combined with data provid-
ed from a household-based survey, in which a representative sample
of households is selected to assess sanitation and hygiene habits. In
brief, taking advantage of the current momentum of WPM as eld
data collection method in the water sector (Government of Liberia,
2011; Government of Sierra Leone, 2012; Jimnez and Perez-Foguet,
2011; Pearce and Howman, 2012; WaterAid, 2010) and the growing
interest among development stakeholders in harmonizing sector
monitoring (Joint Monitoring Programme, 2012c), this study suggests
a cost-efcient alternative to simultaneously perform a WPM togeth-
er with a household survey, thus producing a comprehensive WASH
database as a valuable output for policymaking. To test the applicabil-
ity and validity of the proposed approach, three different case studies
in East Africa are presented.
In Section 2, basic concepts of the evaluation framework
employed in this study are outlined. The methodology proposed to
collect WASH primary data is described in Section 3. It presents the
three case studies and highlights key features of the approaches
adopted in each one of them. Section 4 computes statistical validity
of the method and, in so doing, provides useful guidelines on data ex-
ploitation for decision-makers. Integral to this discussion there are a
variety of alternatives to disseminate achieved results, in an effort
to provide clear and accurate policy messages. The paper concludes
that efcient data collection mechanisms can be designed to produce
reliable estimates for local planning processes. Their implementation
in the real world, however, is to a certain extent elusive; and specic
challenges that remain unaddressed are pointed out as ways forward.
2. Evaluation framework
This section introduces core aspects of the evaluation framework pro-
posed to locally assess the WASH status. First, the two methodologies for
702 R. Gin-Garriga et al. / Science of the Total Environment 463464 (2013) 700711

data collection in which we base our approach are presented, i.e. the (i.e. all enumeration areas as communities, villages, etc.). Taking ad-
Water Point Mapping (WPM) and the Multiple Indicator Cluster Survey vantage of this logistic arrangement, and in addition to the mapping,
(MICS). Second, it discusses the issue of the sample size, as the survey de- a household-based survey may be thus designed to evaluate sanita-
sign has to enable the compilation of accurate primary data to produce tion and hygienic practices at the dwelling. As it may be assumed
statistically representative estimates. Third, a reduced set of measurable that all households are located within walking distance of one water
indicators is proposed as the basis of the monitoring strategy. source (either improved or unimproved), the approach adopted prac-
tically ensures full inclusion of families in the sampling frame.
In terms of technique, the design and selection of the sample draws
2.1. The Water Point Mapping
on the MICS, i.e. a methodology developed by UNICEF (United Nations
Children's Fund, 2006) to collect social data, which is ultimately
Mapping of water points has been in use by NGOs and agencies world-
required amongst others for monitoring the goals and targets of the
wide for over a decade, particularly in sub-Saharan Africa (e.g. Malawi,
Millennium Declaration or producing core United Nations' develop-
Tanzania, Ghana, Ethiopia, Zambia, Liberia, Sierra Leone, etc.). This meth-
ment indices. The study population is stratied into a number of small
odology, largely promoted by the NGO WaterAid, can be dened as an
mutually exclusive and exhaustive groups, so that members of one
exercise whereby the geographical positions of all improved water
group cannot be simultaneously included in another group. In this
points1 in an area are gathered in addition to management, technical
study, however, main difference is that when sampling, a sample of
and demographical information (WaterAid and ODI, 2005). WPM in-
households is selected from each stratum (stratied sampling), rather
volves the presentation of these data in a spatial context, which enables
than selecting a reduced number of strata, from which a subsample of
a rapid visualization of the distribution and status of water supplies.
households is identied (cluster sampling). In so doing, the risk of
A major advantage is that water point maps provide a clear message on
homogeneity within the strata remains relatively low, thus reducing
who is and is not served; and particularly in rural areas, they are being
the need for applying any correction factor in sample size determina-
used to highlight equity issues and schemes' functionality levels at and
tion, i.e. the design effect2. A design effect of 1 is accepted in strati-
below the district level. This information can be employed to inform
ed random sampling, though ten-fold or even higher variations are
decentralized governments about the planning of investments to increase
not uncommon values in cluster samplings with large cluster's sizes
water coverage (Jimnez and Prez-Foguet, 2010; WaterAid, 2010).
(Kish, 1980). In a WASH cluster survey, a value of 4 may be appropriate
Specically, the mapping does not refer to a xed set of indicators,
as acknowledged by the United Nations Children's Fund (2009).
and two different actions are suggested in this regard: i) biological
testing to ensure water quality; and ii) the inclusion of unimproved
2.3. Sample size and precision
sources. First, water quality analysis has long been nearly absent
from water coverage assessments because of affordability issues
In local decision-making, of interest is the evaluation of the level
(Howard et al., 2003, draft; Joint Monitoring Programme, 2010). In
of service for the recipient administrative unit as a whole. However,
the absence of such information, it is assumed that certain types of
acknowledging that administrative subunits may have uneven cover-
water supplies categorized as improved are likely to provide water of
age, there is also concern for estimating their performance to identify
better quality than traditional unimproved sources (Joint Monitoring
the most vulnerable areas. In other words, one regional coverage
Programme, 2000; Joint Monitoring Programme, 2012a). This assump-
value might be sufcient from the viewpoint of central governments;
tion, though, appears over-optimistic, and improved technologies do
but since such value says nothing about local variations, estimates at
not always deliver safe water (Gin Garriga and Prez-Foguet, under
the lowest administrative scale are required for decentralised plan-
review-b; Jimnez and Prez-Foguet, 2012; Sutton, 2008). Contrary to
ning. To produce local robust estimates substantially increases the re-
what might be expected, and particularly in comparison with overall
quired size of the sample, which directly affects the cost of the survey.
investments projected for new infrastructure or with ad hoc quality
The goal of WPM is to develop a comprehensive record of all water
testing campaigns, water quality surveillance does not signicantly
points available in the area of intervention. There is thus no need of
impact on the overall cost of the mapping exercise: from USD 12 to 15
sampling. For the household survey, in contrast, a statistically repre-
dollars/waterpoint in standard WPM (Stoupy and Sugden, 2003) up to
sentative sample needs to be selected. The basic sampling unit is
USD 20 when quality testing is included (Jimnez and Prez-Foguet,
the household, and the size of a representative sample n is numerical-
2012). Second, being the original focus of WPM on improved waterpoints,
ly given by Cochran (1977, third edition):
unimproved sources may be also mapped if they are accessed for domes-
tic purposes. A thorough analysis of collected data would shed light on
z21=2 p1pD
the suitability of the improved/unimproved classication proposed by n 1
the JMP, but more importantly, this would help understand equity issues d2
in service delivery (Gin-Garriga and Prez-Foguet, under review-b; where:
Jimnez and Prez-Foguet, 2011; Joint Monitoring Programme, 2012a).
is the condence level, and z is a constant which relates to the
2.2. Household survey normally distributed estimator of the specied level. For a con-
dence level of 95% ( = 0.05), the value of z1 /2 is 1.96
A major strength of WPM is, per denition, comprehensiveness (z1 /2 = 1.64 when is 0.1; z1 /2 = 1.28 when is 0.2);
with respect to the sample of water points audited, which entails p is the assumed proportion of households giving a particular re-
complete geographic representation of all strata in the study area sponse for one given question. The safest choice is a gure of
0.5, since the sample size required is largest when p = 0.5;
D is the sample design effect. As mentioned, D = 1 in stratied
1 random sampling. However, acknowledging that a com-
The types of water points considered as improved are consistent with those ac-
cepted internationally by the WHO/UNICEF Joint Monitoring Programme Joint Moni- plete random exercise for household selection is almost
toring Programme. Core questions on drinking-water and sanitation for household
surveys. WHO/UNICEF, Geneva/New York, 2006. More specically, an improved water
point is a place with some improved facilities where water is drawn for various uses
2
such as drinking, washing and cooking Stoupy O, Sugden S. Halving the Number of Peo- The design effect is an adjustment that measures the efciency of the sample de-
ple without Access to Safe Water by 2015 A Malawian Perspective. Part 2: New indi- sign, and is calculated by the ratio of the variance of an estimator to the variance of the
cators for the millennium development goal. WaterAid, London, 2003. same estimator computed under the assumption of simple random sampling.
 R. Gin-Garriga et al. / Science of the Total Environment 463464 (2013) 700711 703

unachievable in each stratum, a value of 2 is recommended. It
is noteworthy that in comparison with the sampling plan
required in a standard cluster survey, where D = 4 (United
Nations Children's Fund, 2009), the sampling approach
adopted in this study halves the sample size, which consider-
ably reduces the overall cost of the data collection exercise;
and
d is the required precision on either side of the proportion. A
typically used gure in similar surveys is d = 0.05, based
on the argument that lower precision would produce
unreliable results while a higher precision would be too
expensive as it would require a very large survey. This pre-
cision may be considered at highest scale of intervention.
Estimates at lower administrative scale should be assessed
with lower precision; i.e. d = 0.10 or 0.15.
As an example, a minimum sample size n of 192 would be required to
produce estimates in each administrative subunit within 20% (10%) of
the true proportion with 95% condence (D = 2). If the sample design
effect is estimated as 4, twice the number of individuals would have to
be studied (i.e. 384) to obtain the same precision. From previous gures,
however, it can be seen that Eq. (1) is valid where populations are at
least medium-size (N > 100). In contrast, when applied to more re-
duced populations, it produces unachievable gures or large sampling
errors. For use in local household-based surveys, Gin-Garriga and
Prez-Foguet (under review-a) proposed an alternative approach to
determine the sample size, in which the practitioner may easily identify
the sampling plan that best balances precision and cost (Table 1).
2.4. Water, sanitation and hygiene indicators
A core element of any evaluation framework is the set of indicators in
which base the analysis. It is evident that from a WASH perspective,
a wide range of variables exists to assess the current status of service
level. Of particular interest is the recently adopted human rights frame-
work, which reects the concept of progressive realization in the level
of service and requires the denition of specic indicators to deal with
the issues of affordability, quality, reliability and non-discrimination,
amongst others; or the debate guided by WHO and UNICEF about the
post-2015 monitoring of WASH (Joint Monitoring Programme, 2011,
2012c). To exactly identify what should be measured remains challenging,
though, and rules of thumb for the selection process include the following
criteria. First, in terms of efciency, the number of indicators should be as
reduced as possible but sufcient to ensure a thorough description of the
context in which the service is delivered (Joint Monitoring Programme,
2011; United Nations Children's Fund, 2006). Second, to resolve the
comparability problems, survey questions need to be harmonized
with those internationally accepted (Joint Monitoring Programme,
2006; Joint Monitoring Programme, 2012c). Finally, indicators should
be EASSY (Jimnez et al., 2009): Easily measurable at local level,
Accurately dened, Standardized and compatible with data collect-
ed elsewhere, Scalable at different administrative levels, and Yearly
updatable. In Table 2, a short list of core indicators is summarized.
Moreover and beyond average attainments, it is accepted that any
evaluation framework should identify the high-risk groups in which
policy-makers may prioritize efforts and resources (Joint Monitoring
Programme, 2012c). The concern is to identify gaps in WASH out-
comes between the poor and the better off. To do this, one option is
to employ direct measures of living standards, such as household
income or expenditure, though they are often unreliable (Filmer
and Pritchett, 2001). Another approach is to use a proxy measure,
such as a wealth index constructed from information on household own-
ership of durable goods (Booysen et al., 2008; Filmer and Pritchett, 2001;
O'Donnell et al., 2007), education level of household-head, sex of house-
hold head, etc. These data promote evidence-based pro-poor planning
and targeting processes, and ultimately help improve service level of
the most vulnerable.
3. Method
As abovementioned, the approach adopted for data collection
combines a mapping of water sources with a stratied survey of
households. Different methodologies exist which combine the
waterpoint and the household as key information sources, but they
commonly differ from the method proposed herein in i) the focus
national rather than local, and in ii) the statistical precision of the
estimates inadequate to support local level decision-making.
Key features of the proposed methodology include i) an exhaustive
identication of enumeration areas (administrative subunits as com-
munities, villages, etc.); ii) audit in each enumeration area of all im-
proved and unimproved water points accessed for domestic
purposes; and iii) random selection of a sample size of households
that is representative at the local administrative level (e.g. district,
municipality, etc.) and below.
The mapping of waterpoints is exhaustive regardless functionality is-
sues, though the inclusion of unimproved sources in the analysis will be
dependent on the scope of the exercise and available resources. The need
to tackle equity issues has been highlighted from the viewpoint of
human rights, and any exercise covering unimproved waterpoints
would provide inputs to elucidate the access pattern of the population.
In rural contexts, however, this type of water source may be common,
thus increasing signicantly the budget and resources devoted to data
collection in case of inclusion. Similarly, where main water technology
is piped systems with household connections, the idea of a comprehen-
sive audit of all these private points-of-use is practically impossible.
A more convenient solution would be to visit the distribution tank and

Table 1
Sample size n for different values of N, and d. Source: Gin-Garriga & Prez-Foguet (under review-a).

N = 95% = 90% = 80%

d b 0.1 d b 0.15 d b 0.20 d b 0.25 d b 0.1 d b 0.15 d b 0.20 d b 0.25 d b 0.1 d b 0.15 d b 0.20 d b 0.25

8 7 6 7 6 7 6 5
10 9 8 7 9 8 7 9 7 6
15 14 13 11 9 14 12 10 8 14 11 9 7
20 18 16 13 10 18 14 11 9 17 13 10 7
25 22 18 14 11 21 16 12 9 19 14 10
50 36 26 18 13 33 22 15 11 28 18
75 46 30 21 14 40 25 17 32
100 53 33 22 15 46 27 17 35
150 64 37 23 53 29 39
250 75 40 24 60
500 87 43 67
Eq. (1) 96 43 24 15 67 30 17 11 41 18 10 7
704 R. Gin-Garriga et al. / Science of the Total Environment 463464 (2013) 700711

Table 2
List of core WASH indicators.

WASH component Indicator Rationale Source of Technique

information

Water Access to improved % households with access to improved Core water-related indicator. An improved source serves Household Direct questioning
supply water sourcesa, b water supply as a proxy indicator for whether a household's
drinking-water is safe.
% of households adequately covered To geographically show the least covered administrative Waterpoint Visit to all
(based on the standard source:man subunits, i.e. with less number of water points compared waterpoints
ratio) to the population living there.
One way distance to % of households spending, on average, To assess whether the source is sufciently close to the Household Direct questioning
water source (km) a, b more than 30 min in fetching water household to ensure an adequate daily volume of water
for basic domestic purposes. It also help determine the
saving in time of fetching water, as a major expected
benet from the user's side.
Individual collecting % households in which women shoulder This information helps identify gender and generational Household Direct questioning
watera the burden in collecting water disparities with respect to water-hauling responsibilities.
It also ascertains who would prot from bringing water
closer to households.
Domestic water Average rate of per capita domestic Distance to the water source may be an indirect indicator Household Direct
consumption water consumption (based on of the of water use, but it is not accurate enough to draw questioning/
number of containers consumed per day conclusions. From the health viewpoint, it is important to observation
and the rough volume of these determine whether the volume of water collected for basic
containers) needs reaches the minimum target value.
Operational status % functional water points To highlight sustainability issues, i.e. to identify operation Waterpoint Observation
of water sourceb and Maintenance (O&M) problems and to assess the
overall quality of the O&M system.
Water quality % bacteriological acceptable water To evaluate water safety, specically to determine Waterpoint Water quality
(bacteriological sources presence of faecal coliforms and few other critical testing
contamination)b parameters (pH, conductivity, turbidity and nitrates) (portable kit)
Seasonality of water % year-round water sources To identify seasonal or intermittent supplies, and to help Waterpoint Direct questioning
resourcesb assess reliability of the service. A water point is considered
to be seasonal if a seasonal interruption in the supply of
more than one month is reported. Where seasonality is
high, people often need to search for alternative sources
during dry season
Management % facilities with a functional and A key sustainability aspect of the supply. For successful Waterpoint Direct questioning
systemb registered water committee and sustainable water schemes management, a proper
institutional setting is required, and at least functional
water user committees need to be established.
Maintenance system % facilities with local access to technical A key sustainability aspect of the supply. Access to skills Waterpoint Direct questioning
skills and spare parts and spares promotes locally-based maintenance.
Financial control % of facilities in which at least 1 meeting A key sustainability aspect of the supply, particularly Waterpoint Direct questioning
was held during last year to discuss related to improve transparency and accountability.
income and expenditure (both with the Regular meetings are proxies of upward and downward
community and the local authority) accountability, both on part of the local authority when
dealing with the water committee, and on the latter when
tackling public issues with beneciaries
Pro-poor service % water entities which exempt A key community crosscutting issue. Fundamental human Waterpoint/ Direct questioning
delivery vulnerable houses from paying for water rights criteria include accessibility, affordability and household
non-discrimination.
Sanitation Access to and use of % households with access to improved Core water-related indicator. Important to check the cur- Household Observation
sanitation sanitationa, b rent use of the facility, rather than mere household's
ownership of the toilet.
% households practicing open defecationb To help distinguish between open defecation and latrine Household Observation
sharing, since both practices are categorized as
unimproved in JMP gures.
% households sharing improved The shared status of a sanitation facility may entail poorer Household Direct questioning/
sanitation facilitiesa hygienic conditions than facilities used by a single household. observation
Latrine conditions % latrines maintained in adequate Regardless the category of the toilet, it is important to Household Observation
sanitary conditions determine whether the maintenance of a facility undercut
its hygienic quality and jeopardize a continued use. Four
proxies are veried: i) inside cleanliness, ii) presence of
insects, iii), smell and iv) privacy.
Hygiene Handwashing % latrines with appropriate handwashing A rigorous assessment of handwashing behaviour would Household Observation
deviceb device entail structured observation a prohibitively expensive
exercise. An assessment of the adequacy of handwashing
facilities, i.e. presence of soap and water, may be an
in-between solution.
Point-of-use water % households with adequate water Household Direct questioning/
treatmenta treatment observation
Disposal of % child caregivers correctly handling Children's faeces are the most likely cause of faecal Household Direct questioning
children's stoolsa, b baby excreta contamination to the immediate household environment.
a
JMP indicator.
b
Indicator proposed by JMP for Post-2015 monitoring of drinking-water, sanitation and hygiene.
 R. Gin-Garriga et al. / Science of the Total Environment 463464 (2013) 700711
a reduced number of domestic taps, which are taken as representative of
the overall system.
The household survey is conducted in parallel with the mapping.
Ideally, a dened number of households will be selected in a statisti-
cally random manner from a comprehensive list of all households
in the subunit of study. However, such a list does often lack. Then, if
the population size is small, the optimum alternative may be to create
a list by carrying out a quick census. In those cases where enumerat-
ing all households is impracticable, literature suggests different sam-
pling techniques to achieve a random or near-random selection
(Bennett et al., 1991; Frerichs and Tar, 1989; Lemeshow and Stroh,
1988). They usually involve two stages: the identication of one or
various households to be the starting point, and a method for
selecting n successive households, preferably spread widely over
the community. In the end, where a complete random exercise is not
achievable, any methodology during the sampling process which pro-
motes that the sample is as representative as possible would be accept-
able, as long as it is clear and unambiguous, and does not give the
enumerator the opportunity to make personal choices which may intro-
duce bias. In these cases, however, and to ensure data validity, to apply a
correction factor in sample size determination (D = 2) is recommended.
In terms of technique, the method relies on a variety of mecha-
nisms to assure quality of produced outcomes. Among the most im-
portant are:
Territorial delimitation of study area. As an exercise to support
planning, administrative subunits in which base data collection
should play a relevant administrative role in decentralised service
delivery. Thus, they should be adequately delimited, unambiguous
and well-known by both decision-makers and local population.
Design of survey instruments. On the basis of a reduced set of reli-
able and objective indicators (Table 2), appropriate survey tools
should be developed for an accurate assessment of the WASH sta-
tus. This study is reliant on a combination of quantitative and
qualitative study tools, which are specially designed to collect
data from the water point and the household. Field inspections
at the source employ a standardized checklist to evaluate the exis-
tence, quality and functionality of the facility; and a water sample
is also collected for on-site bacteriological testing. At the dwelling,
information related to service level is captured through a structured
interview administered to primary care-givers. In addition, direct
observation enables a complementary evaluation of domestic
hygiene habits that may not be otherwise assessed, as sanitary con-
ditions of the latrine, existence and adequacy of the handwashing fa-
cility, etc..
Involvement and participation of local authorities. This study engages
in various stages of the process with those government bodies with
competences in WASH. Specically in data collection, the commit-
ment of ofcers belonging to the local government i) helps ensure
a link between eld workers and the local structures at community
level, and ii) promotes sense of ownership over the process, as pre-
requisite for incorporating the data into decision-making. As impor-
tant of promoting collaborative data collection methods is to foresee
the viability of future data update activities, and accessibility and re-
liability of information have been two core criteria when preparing
the survey instruments. Moreover, a consultative approach has
been adopted for indicators' denition to tailor the survey to each
particular context. Finally, data collection focuses on the administra-
tive scale in which decisions are based, thus producing relevant in-
formation for local policy-makers.
Pilot study. A pilot run helps explore the suitability of the approach
adopted, i.e. methodology and study instruments. Further ne-
tuning (question wording and ordering, ltered questions, deletion
of pointless questions, etc.) follows the pilot.
Data processing: The data entry process needs to be supervised, and
the produced datasets need to be validated on a regular basis. Various
705
quality control procedures must be in place to ensure that the data
reects the true position as accurately as possible, and routine analy-
sis of database or random checks of a reduced number of question-
naires may help detect data inconsistencies and improve database
robustness.
3.1. Study area
Three different East African settings were selected as initial case stud-
ies to test the applicability and validity of the proposed methodology,
namely the district of Kibondo (Tanzania, in 2010), the district of Homa
Bay (Kenya, in 2011) and the municipality of Manhia (Mozambique, in
2012). The implementation of each case study adopted particular fea-
tures, which are briey summarized in Table 3, and scope of work was
designed on the basis of local needs (e.g. inclusion/exclusion of unim-
proved waterpoints, visit to schools and health centres, the focus and
level of detail required in survey questionnaires, etc.). However, they all
shared same approach, method and goals: i) they were formulated
against specic call from a development-related institution to support
local level decision-making (in Tanzania, a Spanish NGO; in Kenya,
UNICEF; and in Mozambique, the Spanish Agency for International
Development Cooperation); ii) the Research Group on Cooperation and
Human Development at the Technical University of Catalunya undertook
overall coordination of the study; iii) the local authority was engaged as
principal stakeholder throughout the process; and iv) a consultancy
rm was contracted for eld work support.
4. Discussion
In previous section, a simplied approach to survey design for
WASH primary data collection has been outlined. The goal of the
discussion rst focuses on providing statistical robustness of the
methodology. To do this, we compute basic statistical parameters, in
which also base the denition of criteria that will help validate the
collected data from the viewpoint of decision-making. Second, and
with the aim of communicating clear messages to policy-makers, a
number of alternatives to disseminate achieved results are presented.
4.1. Estimating the precision of a proportion
The data collected at the dwelling, because of the sampling strate-
gy employed for households' selection, require statistical validation.
The ultimate goal is to guarantee reliability of any outcome produced
and thus avoid decisions based on false or misleading assumptions. To
this end, estimates of proportions may be calculated together with pre-
cision of those estimates, so that condence intervals can be assessed.
As shown, all calculations described below are simple and can be easily
computed in any standard spread-sheet.
The proportion p, for example, of households in the ith subunit
with access to improved sanitation is given by Eq. (2):
yi
pi 2
ni
where:
yi number of households in the ith subunit with access to
improved sanitation; and
ni number of surveyed households in the ith subunit.
When estimating the proportion at the overall administrative unit,
population size of subunits should be taken into consideration to
avoid subunits' under or overrepresentation. Therefore, achieved re-
sponses should be weighted in proportion to the actual population of
706 R. Gin-Garriga et al. / Science of the Total Environment 463464 (2013) 700711

Table 3
Key features of the approach adopted for data collection in each case study.

Case study Adm. division Cost, in USDa, b Data collection Key features

Unit (subunits) No. WPsc No. HH

Kibondo, Tanzania District 13.578 P (42%), 986 IWPs 3.656

(20 wards) T (45%) and OC (13%)
The total area is 16,058 km2 and the population is estimated at 414,764
(2002 Tanzania National Census).
Sampling Plan (at ward level): = 0.05; D = 2; d = 0.10; n
(min) = 192.
Unimproved WPs were not audited. The WP audit included 38 questions
(30 min per WP) + 1 water quality test.
HH checklist included 18 questions related to sanitation and domestic
hygiene issues (10 min per HH).
The eld team included one staff from Spanish NGO, 1 technician from
District Water Department, two staff from a consultancy rm and two
people from each visited village. Field work was completed in 42 days.
Homa Bay, Kenya District 32.389 P (74%), T (17%) 255 187 IWPs 1.157 The total area is 1,169.9 km2, and the total population is about 366,620
(5 divisions) and OC (9%) and 68 UWPs (2009 National Census).
Sampling Plan (at division level): = 0.05; D = 2; d = 0.10; n
(min) = 192.
Unimproved WPs were audited in only 3 out of 5 divisions. The WP
audit included 38 questions (30 min per WP) + 1 water quality test.
HH checklist included 65 questions related to water, sanitation and do-
mestic hygiene issues (35 min per HH).
Data collection did not include urban areas. It included schools (85) and
health centres (37).
The eld team included tree staff from GRECDHUPC (1 fully involved), 1
technician from the District Water Department (partially involved), 1
technician from the District Public Health Department (partially in-
volved), 8 staff from a consultancy rm, and one people from each visited
community. Field work was completed in 33 days.
Manhia, Municipality 23.719 P (41%), T (42%) 228 224 IWPs 1.229 The total area is 250 km2 and the population is estimated at 57,512
Mozambique (18 bairros) and OC (17%) and 4 UWPs (2007 national estimates)
Sampling Plan (at bairro level): = 0.05; D = 2; d = 0.15; n (min) =
86. Field work was completed in 39 days.
Audit of improved and unimproved WPs. The WP audit included 41 ques-
tions (30 min per WP) + 1 water quality test
HH checklist included 82 questions related to water, sanitation and
domestic hygiene issues (45 min per HH)
Data collection included schools (16) and health centres (2)
The eld team included three staff from GRECDHUPC (1 fully involved),
3 technicians from the Vereao para Urbanizao, Construo, gua e
Saneamento (partially involved), 14 staff from a consultancy rm and 1
people from each visited village. Field work was completed in 29 days.
a
Includes data collection and data entry into the database. It does not include the cost of the portable kit for water quality analysis and consumables. In percentage, overall
budget broken down into personnel, transport, and others.
b
Type of costs includes P for personnel; T for Transport; and OC for Other costs.
c
Type of waterpoints includes IWP for Improved waterpoint and UWP for unimproved waterpoint.

each subunit. To compute the condence limits for pi, we use the F dis- on practical grounds, estimates of only few indicators are shown
tribution (Leemis and Trivedi, 1996), i.e. the so called ClooperPearson herein.
interval (Reiczigel, 2003): In decision-making and specically to support targeting, one
would opt to employ the proportion and the condence interval for
!1 a given variable to rank all the administrative subunits (Gin-Garriga
ny 1
pL 1 3:1 and Prez-Foguet, under review-a), where top positions would
y F 2y;2ny1;1
2 denote highest priority. From Table 4, for instance, Rangwe could
be easily identied as the most water poor division in Homa Bay
!1
ny (pi, access = 0.355; pi, time = 0.753), in which thus focus policy
pU 1 3:2 attention.
y 1 F 2y1;2ny;
2
Such prioritization, however, remains elusive where condence
intervals of the different subunits overlap. As general rule, it can
where: be seen (Tables 4 to 7) that lower levels of condence ( increases)
give smaller condence intervals, and hence reduced overlapping.
pu and pl are the upper and lower limits of the condence interval; Therefore, decision-makers would need to balance precision of nal
and estimates () against robustness of statistics for planning purposes.
is the condence level. In this exercise, two different con- For example, in Homa Bay and as regards time spent in water
dence levels have been employed for calculation purposes, hauling (Table 4), one could target differently Riana (pi = 0.910)
i.e. 90% ( = 0.1) and 80% ( = 0.2). and Nyarongi (pi = 0.936) for condence level of 80% (0.882
0.932 and 0.9130.953 respectively), though such discrimination
Summary of aforementioned statistics (proportion and condence would not be feasible with 90% condence because of overlapping
interval) for the survey variables (listed in Table 2) are presented in of the proportions with their corresponding intervals (0.8750.938
Tables 4 and 5 Kenya, 6 Tanzania and 7 Mozambique, though and 0.9060.957 respectively).
 R. Gin-Garriga et al. / Science of the Total Environment 463464 (2013) 700711 707

Table 4 Table 6
Estimated proportion and condence interval of water-related indicators in Homa Bay Estimated proportion and condence interval of WASH indicators in Kibondo District
(Kenya). (Tanzania).

Access to improved waterpoints Time to fetch watera Use of Sanitation Latrine Conditions

Ward = 0,1 = 0,2 = 0,1 = 0,2

= 0,1 = 0,2 = 0,1 = 0,2 pi pi
pi pi pL,i -pU,i pL,i -pU,i pL,i - pU,i pL,i -pU,i
pL,i - pU,i pL,i - pU,i pL,i - pU,i pL,i - pU,i
Bunyambo 0,017 0,004 - 0,043 0,006 - 0,037 0,144 0,101 - 0,194 0,109 - 0,183
Asego 0,510 0,449 - 0,569 0,462 - 0,556 0,807 0,755 - 0,851 0,766 - 0,842
Busagara 0,049 0,025 - 0,083 0,029 - 0,075 0,259 0,206 - 0,317 0,217 - 0,305
Rangwe 0,355 0,298 - 0,414 0,310 - 0,401 0,753 0,696 - 0,802 0,708 - 0,792
Gwunumpu 0,021 0,007 - 0,047 0,009 - 0,041 0,086 0,054 - 0,127 0,060 - 0,117
Ndhiwa 0,521 0,458 - 0,582 0,472 - 0,569 0,968 0,938 - 0,986 0,944 - 0,983
Nyarongi 0,663 0,615 - 0,708 0,625 - 0,699 0,936 0,906 - 0,957 0,913 - 0,953 Itaba 0,072 0,043 - 0,112 0,048 - 0,103 0,133 0,093 - 0,182 0,101 - 0,171
Riana 0,441 0,388 - 0,493 0,399 - 0,482 0,910 0,875 - 0,938 0,882 - 0,932 Kakonko 0,036 0,016 - 0,066 0,019 - 0,059 0,087 0,056 - 0,127 0,062 - 0,118

Note: a) Households spending less than 30 min for one round-trip to collect water. In colour Kasanda 0,043 0,021 - 0,076 0,025 - 0,069 0,081 0,050 - 0,122 0,056 - 0,113
(redorangegreen), prioritization groups based on condence intervals ( = 0.2). Kasuga 0,017 0,004 - 0,043 0,006 - 0,037 0,074 0,044 - 0,115 0,049 - 0,106

Kibondo Mjini 0,077 0,042 - 0,126 0,048 - 0,116 0,134 0,087 - 0,193 0,095 - 0,180

Kitahana 0,038 0,017 - 0,069 0,021 - 0,062 0,314 0,257 - 0,374 0,268 - 0,361

Kizazi 0,029 0,011 - 0,059 0,013 - 0,052 0,149 0,105 - 0,201 0,113 - 0,190
One factor that challenges a reliable prioritization rank is the pop-
Kumsenga 0,013 0,002 - 0,039 0,003 - 0,033 0,057 0,029 - 0,096 0,034 - 0,087
ulation variability in and within different administrative subunits.
Mabamba 0,017 0,004 - 0,042 0,006 - 0,036 0,139 0,098 - 0,188 0,106 - 0,177
Depending on the nature of the indicator, a homogeneous pattern in
Misezero 0,055 0,030 - 0,088 0,035 - 0,081 0,229 0,180 - 0,282 0,190 - 0,271
the study area becomes more evident, primarily by i) reduced lengths
of condence intervals, and ii) greater overlapping of interval esti- Mugunzu 0,000 0,000 - 0,016 0,000 - 0,012 0,098 0,063 - 0,143 0,070 - 0,133

mates. More specically, the data from the three case studies show Muhange 0,000 0,000 - 0,014 0,000 - 0,010 0,086 0,056 - 0,124 0,061 - 0,115

that indicators with low variability include gender disparities in the Murungu 0,035 0,015 - 0,068 0,018 - 0,061 0,097 0,061 - 0,143 0,068 - 0,133

burden of collecting water and point-of-use water treatment; while Nyabibuye 0,028 0,011 - 0,057 0,013 - 0,050 0,094 0,061 - 0,138 0,067 - 0,128
at the other end of the spectrum, indicators presenting marked re- Nyamtukuza 0,009 0,001 - 0,029 0,002 - 0,024 0,047 0,025 - 0,077 0,029 - 0,071
gional disparities are access to improved water supplies, and time Rugenge 0,006 0,000 - 0,026 0,000 - 0,021 0,067 0,038 - 0,105 0,043 - 0,097
spent in fetching water. It might be concluded from the data that Rugongwe 0,029 0,012 - 0,055 0,015 - 0,049 0,206 0,160 - 0,257 0,169 - 0,246
the local scale of analysis do not add value where domestic habits Note: In colour (redorangegreen), prioritization groups based on condence intervals
and practices tend to a homogeneous behaviour, which would ( = 0.2).
suggest that a regional estimate then may be enough for planning
purposes. However, and prior to validating previous assumption,
one would need to be sure that the indicator employed is adequate
to describe patterns and trends in a given context. For example, in a
peri-urban setting as in Manhia, it can be seen that the improved/ For instance in Kibondo (Table 5), four different prioritization groups
unimproved classication of water supplies provides misleading in- may be easily dened with regard to latrines' sanitary conditions,
formation. Since the vast majority of households access an improved which ultimately allows a transparent identication of those subunits
source, the level of service is better described through the availability with poorest hygiene behaviour. Based on the same approach and to as-
of home connections (Table 7). As regards sanitation, it is gleaned sess use of improved sanitation facility in Manhia (Table 7), ve target
from the estimates of Tables 5 and 6 that the approach adopted by groups could be established.
the JMP does not lead to an obvious discrimination among adminis- As regards the information provided by the waterpoint mapping, the
trative subunits in rural areas as Homa Bay and Kibondo, while an analysis may focus on availability and geographic distribution of
indicator related to open defecation status provides a clearer picture. waterpoints. Without adequate combination of demographic data,
In Manhia, in contrast, the opposite applies (Table 7). In sum, where however, this information might be misleading. Hence access indicators
the studied variable shows a strong homogeneous pattern, the search are usually assessed on the basis of standard assumption on the number
for alternative indicators may be appropriate, since a larger sample of users per water source (i.e. the source:man ratio, which in Kenya
size will probably prove ineffective to distinguish between different stands at 250 people per public tap). Two different conclusions might
population groups. be drawn from Table 8. First, it is observed that coverage levels of im-
Despite the abovementioned restrictions, it is noteworthy that sta- proved water points at the household (see Table 4) or at the waterpoint
tistics shown in Tables 4 to 7 provide accurate inputs to policy-makers are substantially different; i.e. the standard source:man ratio is not
for the purpose of targeting. On the basis of performance level and followed up in practice. Second, access is dependent on the level of
therefore taking the estimates of proportions as reference points, for a service; e.g. one out of ve families in Homa Bay (21,1%) may get
given indicator one could group all subunits in different clusters, in drinking water from an improved source, though this ratio is halved
such a way as to avoid overlap of their respective condence intervals. when water quality issues are taken into consideration.

Table 5
Estimated proportion and condence interval of sanitation and hygiene indicators in Homa Bay (Kenya).

Use of improved facilities Open Defecation Disposal of children stools

Division
= 0,1 = 0,2 = 0,1 = 0,2 = 0,1 = 0,2
pi pi pi
pL,i - pU,i pL,i - pU,i pL,i - pU,i pL,i - pU,i pL,i - pU,i pL,i - pU,i

Asego 0,172 0,129 - 0,220 0,137 - 0,210 0,358 0,302 - 0,416 0,313 - 0,404 0,903 0,837 - 0,948 0,851 - 0,940
Rangwe 0,125 0,088 - 0,170 0,095 - 0,160 0,430 0,370 - 0,490 0,383 - 0,477 0,864 0,774 - 0,926 0,793 - 0,916
Ndhiwa 0,125 0,087 - 0,171 0,094 - 0,161 0,531 0,469 - 0,592 0,482 - 0,579 0,714 0,622 - 0,794 0,641 - 0,778
Nyarongi 0,140 0,108 - 0,177 0,114 - 0,169 0,630 0,581 - 0,676 0,592 - 0,666 0,437 0,361 - 0,513 0,377 - 0,497
Riana 0,073 0,048 - 0,104 0,052 - 0,097 0,667 0,615 - 0,714 0,626 - 0,704 0,752 0,682 - 0,812 0,697 - 0,800

Note: In colour (redorangegreen), prioritization groups based on condence intervals ( = 0.2).

708 R. Gin-Garriga et al. / Science of the Total Environment 463464 (2013) 700711

Table 7
Estimated proportion and condence interval of WASH indicators in the Municipality of Manhia (Mozambique).

Access to water (piped on premises) Use of Sanitation Open Defecation

= 0,1 = 0,2 = 0,1 = 0,2 = 0,1 = 0,2

Bairro pi pi pi
pL,i - pU,i pL,i - pU,i pL,i - pU,i pL,i -pU,i pL,i -pU,i pL,i -pU,i

Manhia Sede 0,907 0,831 - 0,955 0,848 - 0,947 0,587 0,485 - 0,682 0,506 - 0,663 0,013 0,000 - 0,061 0,001 - 0,050

Ts-Ts 0,218 0,143 - 0,308 0,157 - 0,289 0,218 0,143 - 0,308 0,157 - 0,289 0,038 0,010 - 0,096 0,014 - 0,083

Mulembja 0,440 0,342 - 0,541 0,361 - 0,520 0,373 0,279 - 0,474 0,298 - 0,453 0,067 0,026 - 0,135 0,032 - 0,120

Ribangue 0,321 0,233 - 0,418 0,250 - 0,397 0,372 0,280 - 0,470 0,298 - 0,450 0,000 0 - 0,037 0 - 0,029

Balocuene 0,064 0,025 - 0,130 0,031 - 0,115 0,103 0,052 - 0,177 0,060 - 0,161 0,051 0,017 - 0,113 0,022 - 0,099

Timaquene 0,000 0 - 0,041 0 - 0,032 0,229 0,148 - 0,326 0,163 - 0,305 0,229 0,148 - 0,326 0,163 - 0,305

Chibucutso 0,000 0 - 0,039 0 - 0,030 0,080 0,035 - 0,151 0,042 - 0,136 0,067 0,026 - 0,135 0,032 - 0,120

Mitilene 0,000 0 - 0,039 0 - 0,030 0,067 0,026 - 0,135 0,032 - 0,120 0,347 0,255 - 0,447 0,273 - 0,426

Ribjene 0,000 0 - 0,039 0 - 0,030 0,013 0,000 - 0,061 0,001 - 0,050 0,613 0,511 - 0,707 0,532 - 0,688

Cambeve 0,286 0,202 - 0,382 0,218 - 0,361 0,208 0,134 - 0,298 0,148 - 0,279 0,026 0,004 - 0,079 0,006 - 0,067

Maciana 0,533 0,432 - 0,632 0,452 - 0,612 0,187 0,116 - 0,276 0,129 - 0,257 0,013 0,000 - 0,061 0,001 - 0,050

Maragra 0,987 0,938 - 0,999 0,949 - 0,998 0,880 0,799 - 0,935 0,817 - 0,926 0,000 0 - 0,039 0 - 0,030

Matadouro 0,573 0,471 - 0,670 0,492 - 0,650 0,333 0,243 - 0,433 0,261 - 0,412 0,000 0 - 0,039 0 - 0,030

Chibututuine 0,038 0,010 - 0,096 0,014 - 0,083 0,115 0,061 - 0,192 0,070 - 0,176 0,244 0,165 - 0,336 0,180 - 0,316

Wenela 0,960 0,899 - 0,989 0,913 - 0,985 0,440 0,342 - 0,541 0,361 - 0,520 0,013 0,000 - 0,061 0,001 - 0,050

Note: In colour (red orange green), prioritization groups based on confidence intervals ( = 0,2)

4.2. Communicating clear messages to policymakers
The ultimate goal of sound sector-related data is to improve decision-
making. To do this, two elements are necessary (Grosh, 1997): the data
must be analyzed to produce outcomes that are relevant to the policy
question, and the analysis must be disseminated and transmitted to
policymakers. Unless data is easily accessible and is presented in a
user-friendly format, decision makers will commonly do without the in-
formation. This section thus attempts to present a set of survey outputs
to demonstrate that the approach adopted in this study produces perti-
nent sector data, which adequately exploited and disseminated might be
employed by policy planners in decision-making processes.
To begin, water and sanitation poverty maps are powerful instru-
ments for displaying information and enable non-technical audiences to
easily understand the context and related trends (Henninger and Snel,
2002). As observed from the tables discussed above, WASH-related pov-
erty may follow a highly heterogeneous pattern, widely varying between
and within different administrative units; and mapping permits a feasible
visualization of such heterogeneity (Davis, 2002). In addition, it provides a
means for integrating data from different sources and from different dis-
ciplines (Henninger and Snel, 2002), which helps provide a complete pic-
ture of the context in which the service is delivered. In the end, mapping
comes out an appropriate dissemination tool for sector planning, moni-
toring and evaluation support.
The map in Fig. 1, for example, shows the spatial distribution of im-
proved water sources in Homa Bay, and highlights the issues of func-
tionality and seasonality. It is observed that the majority of audited
sources were found operational and with no seasonality problems
(71%), despite regional disparities. If such point-based information is
combined with demographic data and the source:man ratio cited
above, a coverage density map can be developed (Fig. 2) to show acces-
sibility rather than availability aspects. It may be gleaned from the map
that, on average, only 8.7% of population are properly served by func-
tional and year-round improved waterpoints, i.e. the percentage of

Table 8
Water-related estimates in Homa Bay (Kenya), from the WPM.

Division Pop (2011) No. imp WPs Funct WPs No. unim WPs Unserved pop (by IWP) IWPDa FIWPDb YR FIWPDc BS FIWPDd

Asego 94.950 33 31 No data 86.700 8.7% 8.2% 7.6% 5.8%

Rangwe 109.148 57 50 No data 94.898 13.1% 11.5% 9.8% 6.2%
Ndhiwa 59.211 24 21 19 53.211 10.1% 8.9% 6.3% 5.9%
Nyarongi 56.912 48 38 26 44.912 21.1% 16.7% 13.6% 11.0%
Riana 64.673 25 18 23 58.423 9.7% 7.0% 7.0% 4.3%
a
IWPD: Improved waterpoint density;
b
FIWPD: Functional improved waterpoint density;
c
YRFIWPD: Year-round functional improved waterpoint density;
d
BSFIWPD: Bacteriological safe functional improved waterpoint density.
 R. Gin-Garriga et al. / Science of the Total Environment 463464 (2013) 700711
Functional and year round
Functional but seasonal
Non-functional
Fig. 1. Distribution of functional improved water points, at location level.
population covered if it is assumed that each community tap only serves
250 people.
Another concern in local decision-making is more related to the
lack of transparent mechanisms to establish needs and priorities.
Ideally, the most vulnerable segments of the population should be
precisely targeted and then recipient of policy attention and public
resources. And for this purpose, rankings and league tables are pow-
erful instruments. To denote priorities and specically to dene prior-
itization criteria, two different approaches may be adopted. In terms
of regional equity, the goal would be to reach a minimum coverage
threshold in every administrative subunit. But based on an efciency
criterion, those subunits with highest number of potential benecia-
ries should be rst targeted, regardless of coverage. A combination
of both criteria would also be feasible, despite resulting in a complex
indicator.
< 5%
5 - 10%
10 - 15%
15 - 25%
Equal or more than 25%
No Funct Imp WP
Fig. 2. Density of year round and functional improved waterpoints, at location level.
709
As seen in Table 9, one different ranking is produced depending on
each abovementioned criteria, showing both ranks poor correlation. For
example, it is observed that Riana is prioritized as its open defecation-
index stands at 67%, although in terms of potential beneciaries, only
roughly 60,000 people would beneciate from the construction of
new latrines. On the other hand, to defecate in the open is less common
in Asego (36%), while beneciaries from a hypothetical intervention
would be raised up to 78.660. For planning purposes, the territorial
equity criterion should be prioritized, as vulnerability is probably higher
where coverage is lower (Jimnez and Prez-Foguet, 2010). After
targeting completion, each priority list could be easily related with spe-
cic remedial actions, therefore translating development challenges
into benecial development activities.
Finally, few would dispute that pro-poor planning should be promot-
ed to help address the issue of non-discrimination. The underlying
hypothesis is that service level is highly dependent on social and eco-
nomic conditions of population, which Table 10 conrms. From the
data of two case studies (Kenya and Mozambique), and despite of poor
control of confounding effects on variables measured, it is rst observed
that no signicant differences exist with wealth regarding to access to
improved water sources (pHB = 0.812 and pM = 0.14 respectively). A
more in-depth analysis shows, however, that piped water on premises
is enjoyed mainly by the wealthiest (pM = b0.001), while the poor
signicantly spend more time spent in hauling water (pHB = 0.016
and pM b 0.001). As regards sanitation, it is noted that use of improved
latrines is positively related to wealth (pHB b 0.001 and pM = b 0.001).
And for instance, the richest 25% of the population is almost ten
(Homa Bay) or six (Manhia) times as likely to use an improved san-
itation facility as the poorest quartile, while the poorest 25% is two/
twenty times more likely to practise open defecation than the
richest quartile. Much like water supply and sanitation, considerable
differences are also found regarding to hygiene practices between
the rich and the poor. The percentage of households with adequate
point-of-use water treatment increases with wealth status (pHB =
0.043 and pM = b 0.001). And socio-economic status of the household
shows strong association with safety in disposal of children's faeces
(pHB = 0.028 and pM = 0.007).
5. Conclusions
The delivery of water and sanitation services together with the
promotion of hygiene is central to public health. In recent years, ser-
vice delivery has shifted to decentralised approaches; on the basis
that decentralisation will favour local needs and priorities. Any pros-
pect to develop more pro-poor policies, though, depends upon real
efforts to strengthen the capacity of decentralised authorities. Integral
to this challenging process, and to enable policymakers to move from
opaque to informed discussions, accurate and reliable data at local
level have to be accessible, i.e. routinely collected and adequately
disseminated. Against this background, the aim of this article is to devel-
op a cost-effective method for primary data collection which ultimately
produces estimates accurate enough to feed into decision-making
processes.
First, a simplied survey design for WASH data collection is
presented, which improves on other existing methodologies in vari-
ous ways. The approach adopted combines data from two different
information sources: the water point and the household. It takes the
WPM as starting point, as a method with increasing acceptance
amongst governments and practitioners to inform the planning of
investments when improving water supply coverage. Since mapping
entails as part of the survey design specications complete geographic
representation of the study area, a stratied household-based survey
is undertaken in parallel, in which a sample of households is selected
from each stratum. In so doing, the risk of homogeneity within the stra-
ta remains relatively low, thus enabling reduced design effects in sam-
ple size determination.
710 R. Gin-Garriga et al. / Science of the Total Environment 463464 (2013) 700711

Table 9
Priority ranks for access to sanitation, based on open defecation practice, in Homa Bay (Kenya).

Division Population 2011 pi Rank A (equity) pL,ipU,i Rank A' (equity) No served population Rank B (efciency)
= 0.2

Riana 64.673 0.667 1 0.6260.704 1 59.965 3

Rangwe 56.912 0.630 2 0.5920.666 1 48.944 5
Ndhiwa 59.211 0.531 3 0.4820.579 2 51.810 4
Nyarongi 109.148 0.430 4 0.3830.477 3 95.505 1
Asego 94.950 0.358 5 0.3130.404 4 78.660 2

Second, the analysis of data in the discussion has produced valuable
outputs that might be further exploited for local level policymaking
support. It has shown how data can feed into planning and targeting
decisions in a range of different ways. However, to offer relevant
guidance to the policy question, the analysis must be disseminated
effectively. Maps or simple thematic indices are adequate tools to cap-
ture the attention of policymakers, as they transmit a clear picture easily
and accurately.
Nevertheless, it is noteworthy that specic challenges remain elusive
to effectively improve decentralised planning, primarily the continued
use of the collected data in decision-making, and the development of ap-
propriate updating mechanisms (WaterAid, 2010). In the short term, the
effective exploitation of planning data by local decision-makers demands
continued support from multi-stakeholder alliances between govern-
ments, NGOs, academics and consultants. In the medium term, however,
political will and commitment at all levels, i.e. from central government
to local authorities, is imperative to ensure that improved use of data re-
sults in effective pro-poor planning. Similarly, the evaluation framework
needs to be rethought from the viewpoint of sustainability, so that it
could be updated autonomously by local stakeholders or replicated else-
where. In this regard, a major shortcoming is the trade-off between the
scope and quality of the data required for decision-making support and
the complexity of updating mechanisms (WaterAid, 2010). These two
challenges may suggest the way forward.
Acknowledgements
The authors would like to extend thanks to all families who partici-
pated in the study. Further thanks go to ONGAWA and to Kibondo
District Water Department for their support to undertake the survey
in Kibondo District, in Tanzania; to UNICEF (Kenya Country Ofce)
and to Homa Bay District Water Ofce and District Public Health Ofce,
in Kenya; and to UN Habitat (Country Ofce) and the Municipality of
Manhia, in Mozambique. This study has been partially funded by the
Centre de Cooperaci per al Desenvolupament (Universitat Politcnica
de Catalunya) and the Agencia Espaola de Cooperacin Internacional
para el Desarrollo [reference 11-CAP2-1562]. Financial support of the
Agencia General dAjuts Universitaris i de Recerca -AGAUR- (Generalitat
Table 10
Access to water, sanitation and hygiene by wealth status.
Indicator Pearson Chi-square exact sig.
(2-sided)a
Homa Bay Manhia
(Kenya) (Mozambique)
Access to improved water sources p = 0.812 p = 0.140
One way distance to water source (km) p = 0.016 p b 0.001
Access to and use of improved sanitation p b 0.001 p b 0.001
Point-of-use water treatment p = 0.043 p b 0.001
Disposal of children's stools p = 0.028 p = 0.007
a
In Pearson's chi-square test, the null hypothesis is independence, and the value
p = 0.05 is used as the cut-off for rejection or acceptance.
de Catalunya) through the Beatriu de Pinos grant (BP-DGR 2011) to
Dr A. Jimnez is also acknowledged.
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