The partnership between Middle Tennessee State University (MTSU), University of Durban-Westville (UDW),Department of Local Government and Housing (Durban), Urban Strategy (Durban), Human Science Research Council (HSRC), Council for Scientific and Industrial Research (CSIR), and Southern Illinois University at Carbondale (SIUC) responds to four principal needs:

A) To address collaboratively water resources, sanitation and health issues in squatter communities in the Durban Metropolitan Region and KwaZulu-Natal.

B) To facilitate broad based participation with universities, city officials, non-government organizations (NGOs), policy makers, and research institutions in the Durban metropolitan area and KwaZulu-Natal to improve living conditions in informal settlements by providing basic services and fostering healthy sustainable environments.

C) To assist SIUC in establishing long-term contacts with universities and water researchers in South Africa in keeping with their goals of pursuing an international outreach for education and professional exchange.

D) To open new international opportunities at MTSU for research and prepare its students to make effective decisions as citizens of an interconnected world and also help create greater awareness and understanding of development issues facing squatter communities in KwaZulu-Natal.

The goals and strategic USAID objectives to be pursued targets USAID/South Africa’s sixth development objective: "Improved access to environmentally sustainable housing and urban services for the HDP." In keeping with USAID’s goal to improve access to sustainable shelter and services for the disadvantaged population, this project targets strategic objective #6.4: "Improved capacity to apply sustainable/participatory environmental management principles to local-level urban development."

The specific outcomes to result from this project include:

the development of outreach activities in squatter communities targeted at improving sanitation and health practices in imijondolas; the application of water modeling techniques to foster an equitable distribution of water resources in squatter communities, in keeping with sustainable urban development plans for Durban; and

the provision of ongoing research findings to policy makers such as Urban Strategy and the Department of Local Government and Housing that will assist in policy development issues such as urban environmental management in the Durban Metropolitan area.

The proposed project will take place in three phases over a three year period. The total award requested is $100, 000.00. Significant match is being given by the three universities: MTSU - $120,073; SIU-C - $41,167; and UDW - $9,850. The total cost of the project is $271,096.00.

Safe and adequate water provision for human survival and sanitation services is correlated with dramatic decreases in death resulting from diarrhea and in skin and other infectious diseases in South Africa (5,6). Approximately 12 million South Africans do not have access to clean drinking water, and more than 20 million are without adequate sanitized water (4). Based on estimated population growth in the country varying from 2.3 percent to 3.6 percent, current annual water demands are about 26,000 kiloliters, and projected annual demands by 2010 are expected to reach 49,000 kiloliters (one kiloliter equals 1000 liters) (2). Most of South Africa's water comes from rivers which are fed by less than 470 mm of rain per year, compared with the world average of 857 mm. High evaporations rates over most of the country are well in excess of the annual rainfall (1,100 mm - 3,500 mm per year) (1). This adds to the water crisis since it increases pollution levels in storage dams. Predictions indicate that without sustainable utilization of water resources, present supplies will be depleted within the next 15 years. Health risks associated with unsanitary conditions and poor environmental hygiene associated with limited and polluted sources of water are the greatest threat in informal settlements. Statistics from the World Bank show that less than one percent of residents in informal settlements are equipped with an in-house potable water supply. More than 80 percent of residents have minimal services with communal water supply facilities being the norm (4). Additionally, poverty prevails in most informal settlements and sanitation services are lacking. Current provisions vary from bucket systems of sanitation to a few portable sanitation outlets provided for the entire community. These are used by several households and are likely to be badly maintained. Overcrowding and high densities make the removal of wastes from serviced shanty towns difficult, as suitable access roads are lacking. The infrequent removal of wastes results in an increase in the spread of infectious diseases. Generally, conditions in most squatter communities are ripe for disease transmission, particularly since there are no proper toilets to serve the community. Unserviced informal settlements face the greatest health risks, and one of the main causes of infant death in these areas is gastroenteritis (3). Poor sanitary conditions have resulted in rampant diarrheal diseases found in a number of informal housing areas in KwaZulu-Natal.

In summer, 1995, Garbharran visited Durban to begin conducting research in the three informal settlements of Briardene, Canaan, and Cato Manor located in the Greater Durban Metropolitan Area (GDMA), KwaZulu-Natal. The field visit to these communities highlighted two important points: (1) the GDMA is undergoing dynamic changes especially with the influx of blacks from rural and from within urban areas; and (2) imijondolos generally lacked potable water, sanitation, health, electricity, recreation, infrastructure, and other basic services. Garbharran met with Maharaj and Soni from the University of Durban-Westville (Geography), Garland (Geography) and Jinnabhai (Community Health) from University of Natal, and Schwabe, Director of the Geographic Information Systems Division at the HSRC in Durban, Archibald at the CSIR and Breetzke at Urban Strategy in Durban to discuss the situation in the imijondolos and possible research collaboration. They concluded that there was need for joint partnership between the institutions in order to create greater international awareness into the squatter community problem. Such collaboration would initiate community outreach programs and stimulate greater research in squatter communities. There was a need to shift the focus of the previous apartheid policy on first world issues to pressing third world problems confronting Mandela’s transitional democratic government in South Africa. Also, it was critical for South African universities and research organizations to forge links with overseas universities operating study abroad and exchange programs in established democracies.

Objectives To address these needs, the primary objectives are:

A) Development of outreach activities in squatter communities targeted at improving sanitation and health practices in imijondolas,

B) Application of water modeling techniques to foster an equitable distribution of water resources in squatter communities, in keeping with sustainable urban development plans for Durban,

C) Development of joint research and education projects,

D) Creation of institutional and individual faculty and administrator relationships, and

E) Creation of opportunities for MTSU undergraduate geoscience students to pursue graduate programs at SIUC, and UDW.

Strategies

This is a collaborative effort between MTSU, SIUC, and UDW. The partnership will include research, instruction, and outreach. The research will include collection of socio-economic data in the three squatter communities. Analysis of data and research results will be used to help CBO’s, NGO’s and planning organizations to develop policies and activities in keeping with maintaining sustainability in informal communities.

The research will be conducted in two parallel, but related, segments. The first segment of the project will be the gathering of data on water resources and water utilization. Basic to any plan or development for the informal settlements is data on water use. Garbharran, Maharaj, and Archibald will examine water sources for the Greater Durban Metropolitan Area (GDMA). Dziegielewski will apply the U.S. Army Corps of Engineers’ IWR-MAIN (Institute for Water Resources - Municipal and Industrial Needs) to estimate water demands of the squatter communities. IWR-MAIN for Windows is a demand management software which uses a high level of disaggregation of urban water use and a set of empirically determined explanatory models for predicting average rates of water use. The software provides a flexible way of organizing data on existing and potential water users and the factors that determine water usage. In its application to the squatter communities, the number of dwellings and number of residents will be used as the basic demand driver. Water usage rates will be expressed as a function of such variables as mode of access, basic requirements, cost and other factors. Several alternative demand-driven water supply scenarios will be assessed based on alternative arrangements for access to water supply. The water demand relationships will be estimated from a sample of existing sources of water supply to capture the effect of distance, cost and other variables on the average quantities of water use.

The second segment of the research project is a detailed socio-economic survey of the three informal settlements and this will be handled by Garbharran, Mathis, Edwards, Maharaj, Allan, and Archibald. If local governments are to develop water resource and sanitation plans for the imijondolos, they will need detailed information about these settlements. Information will be needed on water sources other than the communal sources provided, sanitation facilities, socio-economic demographics of the residents, health status, education levels, and sanitation practices, as well as identification and priorities of needs by the residents. Baseline data will be entered into the Geographic Information Systems (GIS) database and will be managed by Schwabe (HSRC) and Nolan (MTSU). This database will be accessed by both the researchers and officials in Durban. Local officials will be able to access the data to develop a water resource and sanitation plan which will include expansion of water sources, development of sanitation facilities and outreach health education programs to the residents. GIS applications will be used in order to map and analyze the distribution of housing structures in squatter settlements, water collection points, topography, and other spatial attributes. The use of this spatial analysis will facilitate the disaggregation of the informal settlements into discrete water using areas based on density, distance, and topography.

The instructional thrust will target the development of an educational model including students from the three universities involved in the partnership. Common coursework will be designed to encompass the problem of sustainable environments in informal settlements, problem of services for squatter communities, and specific problems related to selected KwaZulu-Natal communities. A web site and discussion listserv will be established so that students and faculty from all participating institutions can exchange informal information, examine causal factors, and discuss ideas for future research.

Outreach activities will embrace work with community based organizations (CBO’s), non-governmental organizations (NGO’s) and local government organizations including Urban Strategy and Department of Local Government and Housing in Durban. These activities will target the development of a water resource policy and a health education model for the citizens of Briardene, Canaan, and Cato Manor. Results of this study will impact squatter communities in the rest of KwaZulu-Natal and South Africa.

Phase 1: September 1999 - August 2000

Format of socio-economic surveys will be finalized and tested through completion of initial sample surveys in Briardene, Canaan, and Cato Manor. Water resources data will be input into IWR-MAIN water model and initial results will be available. Planning of the problems course will be completed for implementation in three universities together with the set up of a listserv and website.

Surveys of the three informal settlements will be completed during this phase so that data input and GIS mapping can begin. Results of IWR MAIN water model will be available together with recommendations developed through consultation with local citizens, CBO’s and NGO’s. Initial results will be disseminated to Urban Strategy and the Department of Local Housing and Government so that they can look at policy issues in informal settlements. Outreach activities regarding health education, sanitation and potable water use in Briardene, Canaan, and Cato Manor will be implemented. The problems course for students at the three universities will be taught.

Phase 3: September 2001 - August 2002

By the end of Phase 3, Garbharran and Dziegielewski will examine application of IWR-MAIN to other areas such as Pietermaritzburg, Ladysmith, and Newcastle in KwaZulu-Natal. Also make initial contacts with researchers in Cape Town and Johannesburg regarding possible application of IWR-MAIN to other parts of South Africa with large squatter populations. Dissemination of results will include a conference in South Africa. The conference will invite universities, government officials, NGOs and CBOs. Project directors will develop a long-term research agenda, to affirm the continuing support of the respective faculties for each other’s graduate students and to evaluate the project. MTSU, SIUC and UDW faculty will present research findings at SEDAAG, and AGC in Fall 2002 and AAG in Spring 2003. The project directors and university staff will discuss and confirm plans for continuation of the exchange program and the collaborative research program.

Benefits The anticipated benefits from this partnership include:

A) Ongoing research and outreach will empower help squatter communities through improved access to sustainable shelter and basic water, sanitation and health services for the disadvantaged population.

 

B) MTSU will establish a long-term outreach program with squatter communities in KwaZulu-Natal through partnership with UDW, CSIR, HSRC, and Urban Strategy in Durban.

C) MTSU undergraduates will have access to SIUC, and UDW graduate geography programs.

D) Graduate students from each institution will have access to faculty at the other institutions to enhance their projects.

E) The U.S.-South Africa Study Abroad program will be firmly established at MTSU.

F) SIUC will establish a long-term international outreach program in education and research with UDW, CSIR, HSRC, and Urban Strategy.

G) SIUC will expand their international research in water resource management through a partnership with UDW.

Evaluation will be a continuous process and will apply to the three areas of research, instruction, and outreach. Ongoing evaluation will be based on the accomplishments of the milestones as listed in the appendix. Each of the three activities will be evaluated with an integrated report at the end of each of the phases.

The collection of research data will be monitored via the milestones for each phase. These are listed in the appendix. The ultimate evaluation of the quality of data will be its usefulness in the water distribution model and in the mapping from the GIS database. This data will also be put on the web for use by the students in environmental classes.

The environmental class will be evaluated in terms of quantity and quality. Records will be kept of the number of students enrolled in the class at each of the three institutions. The faculty members teaching the class will also monitor the amount of interaction on the Internet between these students as they work on common problems and projects. At the end of the class the students will complete a questionnaire on their satisfaction with the class. As a part of that questionnaire, students will be asked to suggest any changes or improvements. U.S. students will also be given a pre and post-test on their awareness of South Africa and on international issues in general.

Outreach activities include working with community-based organizations and local governments to develop a water resource policy and to develop a health education model for the citizens of the informal communities. The ultimate evaluation of the outreach activities developing the water resources policies will be the acceptance and implementation of the policies by the local communities. Members of the community-based organizations and local governments will be interviewed to determine their satisfaction with the process and with the policies and plans that were developed. Suggestions for improvement will be incorporated into the model before it is presented to other local organizations.

The health education model is a "train the trainer" model. In developing the training courses, project faculty will work with community organizations to determine what type of health education is needed. Once the modules have been developed, faculty from the three institutions will train community personnel to present the health information to the citizens of the squatter settlements. Evaluation of the success of these educational modules will be long term. Pre- and post-tests will be done at each of the education sessions. Surveys will be completed periodically to see if these health practices have been implemented. Records of the types of illnesses caused by lack of sanitation will also be kept to see if there is a decrease in these diseases.

The milestones for each of the phases will be monitored. An evaluation report from the information collected will be written at the end of each phase to show the progress of the project. A final report with suggestions for implementation will be completed at the end of the project. This report, with recommendations, will serve as the model for working with other urban areas in South Africa.

Dr. Hari Garbharran, Associate Professor of Geography, will be the project director at MTSU. Dr. Garbharran has been an educator since 1970. He began his teaching career in Durban, South Africa. He joined the Geography and Geology faculty at MTSU in Fall 1994 and teaches regional courses (World Regional, Africa, Middle East, and Asia), Resource Management and Conservation, Global Issues, Recreation Geography and Tourism, and Urban Geography. Garbharran has worked on joint water resources related research projects with Dziegielewski since 1986 and he has been collaborating on South African squatter settlement research with Garland since 1994.

Dr. Mary Kathryn Mathis, Associate Professor Engineering Technology and Industrial Studies will coordinate the curriculum and exchanges for the Environmental Science and Technology Program. Dr. Mathis is the Coordinator of the interdisciplinary Environmental Science and Technology Program.

Dr. Anne Sloan, Associate Professor, Political Science is the Director of the interdisciplinary Global Studies Program. As a member of the Political Science Department, Dr. Sloan teaches courses in International Relations and is the faculty sponsor of the Model UN Program. Dr. Sloan will coordinate study abroad in South Africa and advise students who wish to obtain a Global Studies minor.

Dr. Martha Jo Edwards, Chair holder of Adams Chair of Excellence in Health Care Services and Director of the Center for Health and Human Services will coordinate activities involving health education. Dr. Edwards’ international experience includes projects in Kuwait, Germany, Bahrain, and the United Kingdom.

Dr. Ben Dziegielewski, Associate Professor of Geography, will coordinate the program at SIUC. Dr. Dziegielewski is the Director of the International Water Resources Association, which will be housed at SIU beginning May, 1998. Dr. Dziegielewski specializes in water management during drought with emphasis on demand reduction measures. In addition to teaching and research in water resources, Dr. Dziegielewski has served as a consultant to urban water supply agencies in California, Arizona, New Mexico and cities in other parts of the country. He served as a principal investigator or project advisor on a number of projects which involved water demand forecasting, water conservation and drought contingency planning. Dr. Dziegielewski has advised numerous Master’s and Ph.D. students as well and several were international students working on water issues facing their home country (Brazil, China, India, Mexico, South Africa).

Dr. Brij Maharaj, Associate Professor and Head of Department of Geography at UDW, will assist with the completion of surveys at Briardene, Canaan, and Cato Manor. He will also help coordinate outreach programs aimed at educating squatter communities in water resource management and conservation and sanitation. Dr. Maharaj completed his Ph.D at the University of Natal and he was previously a senior lecturer at the University of Zululand, KwaZulu-Natal. He was faculty fellow at the University of Illinois. He is a member of the IGU Commission on Geography and Public Administration. His research interests are housing, social movements, segregation, and local economic development. He has published over 40 papers in South African and International journals as well as chapters in books.

Colin Archibald has worked for the CSIR for the past 33 years and his expertise lies in water quality information systems and the implementation of environmental technologies. Mr. Archibald’s work has focused on land-use/water relationships using various monitoring strategies to determine pollutant export from various types of catchments, including informal sectors. He has been involved in Local Agenda 21 and implementation of sustainable development philosophies in the greater metropolitan area of Durban. Mr. Archibald has also undertaken Strategic Environmental Assessments (SEA) for the Cato Manor Housing Project, a presidential project to integrate the formal and informal sectors in Durban.

Mr. Craig Schwabe, is the Director of the Geographical Information Systems unit at the Human Sciences Research Council in Durban...

Mr. Craig Allan, is the "Manager: Information" at the Urban Strategy Department in Durban. He heads the research side of Urban Strategy, which is essentially a policy formulation department of the Durban Metropolitan Council. This organization focuses on the Durban Metropolitan area in KwaZulu-Natal and Mr. Allan’s team of researchers collect information which has a bearing on the policy decisions of the metropolitan council and the six local councils in the area.

Each of the three institutions have contributed significant cost-sharing to the project. The cost-sharing for each institution is in the form of contributed release time during the academic year and summer for each of the three project directors: Garbharran, Dziegielewski, and Maharaj. Additionally, 10% of Edward’s time will be spent on the project. A request has been made for funds to pay an adjunct for Mahis’s release time in the first year, and funds have been requested for a stipend during the first year and sumer salary during the second year for Edwards and Mathis. MTSU and SIU-C have waived recovery of their indirect costs as cost share. All three universities have Internet connections which will be used extensively. Other organizations in South Africa such as the CSIR and Human Sciences Research Council and the Urban Strategy Department in Durban will be actively involved in the project, although a dollar amount has not been assigned to their participation.

The development of policies and plans on water distribution by the local governments with the involvement of community-based organizations and based upon a research model will serve as a model for other urban areas dealing with water supply and sustainable urban environments. The health and sanitation modules and "train the trainer" program will also serve as models that can be used in other communities.

The water and socioeconomic data will be made avalilale to local officials so that they can develop the policies and plans for improving water accessibility in the informal communities. The Pis will visit officials in other urban areas in South Africa to discuss the model that has been developed for Durban and the informal communiities surrounding Durban.

Mathis, Edwards, and the faculty at UDW will work with other NGOs and CBOs to explain the health education modules and assist communities in setting up training sessions.

Conferences, both in South Africa and in the United States will be important avenues to disseminate the results and lessons of the partnerships. These presentations will serve to further public understanding and support of the development work in South Africa. During the third phase a major conference will be co-sponsored by the three universities in Durban. Invitations will be sent to U.S. and South African universities, local, provincial, and national governmental officials in South Africa, and NGOs and CBOs concerned with sustainable urban environments. The conference will highlight the IWR-MAIN water model, the GIS data base, and the results of utilizing research-based planning. The health education modules and the "train the trainer" program will also be highlighted.

In the United States, faculty from the three institutions will present their findings at professional meetings such as SEDAAG, and AGC in Fall 2002 and AAG in Spring 2003. The students at the three institutions will be encouraged to present papers at the student sessions at these conferences.

September Drafts of socioeconomic survey and water data survey completed.

October Garbharran and Dziegielewski travel to Durban to finalize the two surveys

PIs meet with representatives from Briardine,

Canaan, and Cato manor imijondolos, CBDs

NGOs, Urban Strategy, and local government and

housing officials to discuss project.

November-May Mathis, Edwards, Maharaj, and faculty from

SIU-C begin developing problems course,

communicating by e-mail.

November-January Collection of water data.

November-August Sample socioeconomic data gathered by UDW students for testing.

February - June Water data is entered into IWR MAIN Model at

SIU-C.

June - July Garbharran and Dziegielewski to Durban to

finalize data collection; meet with stakeholders for

progress report.

Mathis and Edwards to Durban to meet with

Maharaj about problems course.

Mathis and Edwards meet with stakeholders to

discuss needs for health education program.

September Sample survey completed and data entered on web and into GIS database; data is tested for validity.