TABLE OF CONTENTS - international Conference on Appropriate

Transcription

4th International Conference on Appropriate Technology
November 2010, Accra, Ghana
TABLE OF CONTENTS
Plenary Paper Session I: Water
Editor and Session Chair: John Tharakan, Howard University
1.
Appropriate Technologies for Water and Sanitation
John Tharakan
Department of Chemical Engineering, Howard University
Washington DC, USA; E-mail: [email protected]
p.5
2.
Sustainable Fresh Water Supply for Chennai city, Tamil Nadu, India –A Status Update
Joseph Thomas
p.13
Chief Technology Officer
Villgro, Chennai, INDIA; E-mail: [email protected]
3.
A Sustainable And Robust Membrane Water Treatment Unit For Potable
Water Production In Remote Rural Areas
p.21
V L Pillay1 and A Kalu2
1
Dept of Chemical Engineering, Durban University of Technology, Durban,
RSA; E-mail : [email protected]
2
Center for Advanced Water Technology & Energy Systems, Savannah State
University, Georgia, USA; E-mail: [email protected]
4.
Safe Water; for Health and Wealth
Stella M. Odaba
Solar Cookers International (Ea) (will appear on CD version)
Nairobi, KENYA; Email: [email protected]
5.
Appropriate technology and Water: Institutions of higher learning’s role to find
solutions for a thirsty planet
p.28
Tsitsi Gate, Roseline Karambakuwa and Gilliet Chikunwe
ZIMBABWE, E-mail: [email protected]
Plenary Paper Session II: Sanitation and Environment
Editor and Session Chair: John Tharakan, Howard University
1.
Barefoot Ethics: Social Justice Through An Appropriate Technology Checklist
Charles C. Verharen and John Tharakan
p.36
Departments of Philosophy and Chemical Engineering, Howard University,
Washington, DC, USA; [email protected]; [email protected]
2.
3.
Placer Mining and the Guyana Environment
W T Dalgety
Guyana Geology and Mines Commission GGMC
Georgetown, GUYANA; E-mail: [email protected]
p.43
Household Willingness to Pay for Improved Solid Waste Management in Osun
State, Nigeria
Adepoju, A. A. and K. K. Salimonu
p.51
Department of Agricultural Economics and Extension, Ladoke Akintola University of
Technology, Ogbomoso; NIGERIA, E-mail:[email protected]
1
4.
Wastewater Minimisation In The Production Of Kenkey (A Traditional Ghana
Corn Meal Product)
Nii Darko Asante
p.59
Food Process Engineering Department, Faculty of Engineering Sciences
University of Ghana, Legon, GHANA; Email: [email protected]
Paper Session I: Food and Shelter
Editors and Session Chairs: Ed Hansen, University of the District of Columbia; Victor
Dzidzineyo, Howard University
1.
Potentialities of Contemporary Earth Construction Addressing Urban Housing
Crisis in Africa
Mohammad Sharif Zami
p.66
School of Architecture, Planning and Housing, University of KwaZulu Natal
Durban, SOUTH AFRICA; E-mail: [email protected]
2.
The Role Of Advanced Construction Technologies In Promoting Sustainable
Shelter, Water And Development In South Africa
Kuchena Jabulani Charles, Chakwizira, James, Usiri Paul*
p.74
CSIR – Built Environment, Pretoria, SOUTH AFRICA
Email: [email protected] ; [email protected]
*Palace Technologies, Johannesburg SOUTH AFRICA
3.
Enhancing Crop Production in Zimbabwe Through the use of Information and
Communication Technology
S.M Nleya, T.V Nyathi and N Kokera
p.83
Department of Computer Science
National University of Science&Technology
Bulawayo, ZIMBABWE; E-mail: [email protected]; [email protected]
4.
Business Solutions For Small Scale Irrigation Technologies:MEDA’s Experience
in Zambia
Alexandra Snelgrove and Lemmy Manje Alex Snelgrove
p.90
Menonnite Economic Development Associaties, E-mail: [email protected]
Paper Session II: Engineering, Information and Communications Technology
Editor and Session Chair: John Trimble, Howard University
1.
Innovation in Engineering Education: the Mobile Studio
Peter Bofah and Mohamed Chouikha
p.99
Department of Electrical and Computer Engineering
Howard University, Washington, DC, USA; E-mail: [email protected],
[email protected]
2.
Linking ICTs to Community development: Case of Masendu community in
Bulilima Mangwe District of Zimbabwe
Kudakwashe Madzima
p.107
Computer Science Dept, University of Swaziland
Kwaluseni, SWAZILAND; Email: [email protected],
[email protected]
2
3.
Using Business Rules Standards to Advance E-Governance
John Trimble, Harry Keeling and Mugizi Robert Rwebangira
p.114
Systems and Computer Science Department
Howard University, Washington, DC, USA; E-mail: [email protected]
4.
Are COTS- based Systems and Appropriate Technology
Gada Kadoda
Khartoum, SUDAN; [email protected]
p.123
Paper Session III: Energy
Editor and Session Chair: John Trimble, Howard University
1.
Charcoal as an Alternate Energy Source among urban Households in Ogbomoso
Metropolis of Oyo State
Okunade, E.O. (Ph.D)
p.132
Department of Agricultural Economics and Extension
Ladoke Akintola University of Technology, Ogbomoso, NIGERIA
E-mail: [email protected] , [email protected]
2.
A Bottom-up Approach to Energy Policy Planning in West Africa: The Case of
Distributed Generation of Renewable Electricity
Ogundiran Soumonni
p.139
School of Public Policy, Georgia Institute of Technology, Atlanta, Georgia,
USA; E-mail address: [email protected]
3.
Design Of Pv Solar Home System For Use In Urban Zimbabwe
J Gwamuri*, S Mhlanga
p.147
Applied Physics and Radiography Department, Faculty of Applied Sciences,
National University of Science and Technology, Bulawayo, ZIMBABWE
Email: [email protected]; [email protected]
Paper Session IV: Health
Editor and Session Chair: Joseph Fortunak, Howard University
1.
Design Of A Size-Adjustable Surgical Shoe: Achieving Optimal Asepsis Comfortably
Jason Atike and Elsie Effah Kaufmann
p.153
Department of Biomedical Engineering, University of Ghana
Legon, Accra, GHANA; E-mail: [email protected]
3.
Care Practices At Home For People Living With AIDS In Accra, Ghana: The Use And
Management Of Household Resources
Vivian Tackie-Ofosu; E-mail: [email protected]
p.159
3.
A Survey On The Association Between Blood Glucose Levels, Hyperlipidemia And
Selected Type 2 Diabetes Predisposing Risk Factors In Bulawayo District Zimbabwe
Shadreck. Dube, Tawanda Msonza, Jeffias Gwamuri, Cinderella.Dube
Department of Applied Biology and Biochemistry, National University of Science and
Technology, Bulawayo. ZIMBABWE; E-mail [email protected]
p.167
3
4.
Building Capabilities for Regional Production of Quality-Assured Medicines in
Africa
Joseph M. Fortunak, Stephen R. Byrn, Zita Ekeocha
p.173
Howard University Departments of Chemistry and Pharmaceutical Sciences,
Washington, DC, USA; Department of Industrial and Physical Pharmacy,
Purdue University, West Lafayette, IN, USA and Kilimanjaro School of
Pharmacy – Industrial Pharmacy Teaching Unit, Moshi, TANZANIA
E-mail: [email protected]
4
Appropriate Technologies for Water and Sanitation
John Tharakan
Department of Chemical Engineering, Howard University
2300 6th Street, NW, LKD 1009, Washington, D.C. 20059, USA
FAX(202)806-4635, E-mail: [email protected]
Keywords: appropriate technology, rain water harvesting, water treatment, water
conservation, sanitation, biological waste treatment, biodegradation
Abstract
This paper focuses on appropriate technology as it pertains to water and sanitation. Potable
water availability and sanitary treatment and disposal of wastes are two critical prerequisites
for the development and maintenance of healthy, viable and sustainable communities. This
paper reviews rain water harvesting as an appropriate technology being implemented for
water sourcing, collection, and treatment and biological waste treatment for environmentally
benign management of wastes for sanitation. Conventional methods of waste disposal
including land filling and incineration, while offering short term solutions to the problem of
increasing waste generation, have severe adverse environmental impacts. More appropriate
waste management technologies including biologically based processes that harness the
potential of biological agents such as plants, microbes and earthworms, to treat
contaminated effluents from industry as well as to remediate and decontaminate hazardous
and contaminated sites, are available. These appropriate technologies for sanitation signal a
paradigm shift recasting wastes as resources; it transforms the discussion from one of ―how
to dispose of these wastes?‖ to one of ―what technologies will allow me to utilize these
wastes as a resource to create added use value‖.
INTRODUCTION
On July 29th of this year, the United Nations (UN) General Assembly voted
overwhelmingly to endorse ―…the right to safe and clean drinking water and sanitation as a
human right that is essential for the full enjoyment of life and all human rights‖ 1. One
hundred and twenty two countries supported the resolution and not one single country
opposed it. Forty countries, including some of the world‘s wealthiest democracies such as
the United States, the United Kingdom, several European countries as well as Australia and
New Zealand abstained; several of these countries instead pushed for a watered down UN
Declaration that would declare ―access‖ to water a human right. To its credit, the Bolivian
United Nations Ambassador [1], who put forth the resolution, resisted, arguing that simply
arguing for ―access‖ would not ensure availability, especially with an implied message of
water as a commodity that would need to be purchased even if access is provided.
The draft resolution for the Human Right to Water and Sanitation laid out, in its
preamble, some very disturbing facts about the water and sanitation situation on this planet.
Currently, almost a billion people – one out of every six humans – ―…lack access to safe
drinking water; over 2.6 billion do not have access to basic sanitation, and approximately 1.5
million children under 5 years of age die and 443 million school days are lost each year from
water and sanitation related diseases.‖ The right to water has been articulated and ―codified‖
before on numerous occasions by various international bodies (see for example, The World
Health Organization2) but never with the firm and explicit declaration that is outlined in the
1
For the draft UN resolution, please see: http://www.blueplanetproject.net/RightToWater/UNDraftresolutionfinal.pdf
2
http://www.who.int/water_sanitation_health/rightowater/en/
5
UN Resolution on Water and Sanitation, and that was just approved by an overwhelming
majority in the UN General Body.
It is understood by development experts and lay people alike that water and sanitation
are perhaps two of the most critical requirements for the establishment of healthy, viable and
sustainable communities. Without clean potable water, there is no support for life. And with
no sanitation, communities will eventually be sickened, poisoned and overwhelmed by their
wastes. In the developed world, these are taken for granted. One need only turn on a tap to
get clean potable water or pull a lever or a chain to sanitarily wash away one‘s wastes. Much
of the developing world, especially poor urban and rural communities, lacks these two basic
necessities of a healthy life. Images from the developing world of people swarming around a
water tanker or crowded around a single water pump, all with water pots in hand, in a dry,
parched and barren landscape are legion; so are images of open sewers and waste pits and
piles in the mega-cities, towns and villages of the global south, where untreated effluents
flow over pavements and streets and piles of waste smoke and smolder in hazy, dirty
conditions, while rag pickers walk over these piles in the third world‘s most widely used
version of a resource recovery system [2].
Developing a rationale and justification for availability and access to clean, potable
water and environmentally benign sanitation are exercises in the re-invention of the wheel
and the repeating of well established public health and sanitation policies, developed over
decades of experience in addressing development. Numerous organizations and individuals
[3] have argued for the establishment, codification and institutionalization of the basic human
right to water. As oft repeated, the basic argument and rationale is that without water there
can be no life. Now that the UN has declared it to be a basic human right, along with
sanitation, despite the abstentions of developed countries more interested in promoting
privatization and commercialization of water resources focused on supporting and enhancing
profits for large multinational water companies, we have a consensus from the global South
that access to clean water should be a basic human right. This should be the driver for
governments and non-governmental agencies, as well as multilateral institutions and
organizations, to provide the support in terms of resources, technology, and knowledge and
technology transfer, to promote the development, adoption and implementation of situationspecific and appropriate technologies to satisfy human needs for water and sanitation.
The need for widespread development, dispersion, transfer and implementation of
appropriate technologies to ensure that communities have access to clean water and sanitation
is urgent. Hence the theme of this fourth international conference on appropriate technology
(4th ICAT) and our lead focus on technologies for water and sanitation.
Appropriate Technology
The widespread use of the term ―appropriate technologies‖ requires a discussion and
articulation of what exactly it means for a technology to be deemed ―appropriate‖. Indeed,
appropriate technology, or AT for the rest of this paper, has always been difficult to define.
AT‘s development and implementation have been a source of debate for some time [4].
Nevertheless, over the course of the decades of discourse and discussion about AT and what
exactly it constitutes, there has developed some general received knowledge about AT,
including that it should only require small amounts of capital, emphasize the use of local
materials, be relatively labor intensive and be small scale and affordable. A major tenet of
the philosophy of AT grounds it within specific and individual communities – thus AT must
be comprehensible, controllable and maintainable without the otherwise high levels of
education or training that might be required for the maintenance and operation of more
capital intensive and complicated and imported technologies. Further, true adherence to the
ethic of AT requires that local communities must be included at all stages and phased, from
6
technology innovation and development to implementation. Any technology that claims the
mantle of ―appropriate‖ should also be adaptable and flexible, while eliminating – or at least
minimizing - adverse environmental impacts [5]. An earlier paper [6] provided a broad over
view of appropriate technologies available for water collection, treatment and storage in the
context of land reform and a more recent version updated appropriate water technologies in
the context of public health.
Now, with the UN declaring the human right to water, there is new impetus to push
forward with the development and dissemination of appropriate technologies for water and
sanitation. There have been numerous collections of works on water policy, technology and
development, with some recent critical and comprehensive reviews and policy perspectives
from the Center for Science and Environment (CSE) based in New Delhi, India [7-9]. The
CSE has developed and implemented groundbreaking and creative solutions to water
resource management focused on rain water harvesting and ground water recharge as well as
other resource-conservative technologies and policies that garnered them the Stockholm
World Water Prize in August 20053. Given the importance of water conservation and
recovery, water harvesting is the first technology that must be dispersed and diffused through
out the developing world.
Rain Water Harvesting
Water precipitating out of the sky in the form of rain, snow, sleet, hail or other
precipitation percolates through the ground to replenish groundwater and feed subsurface
aquifers and streams. Run off from impervious surfaces flow to surface water bodies or
pervious soil where it percolates into the ground water. Water can also evaporate directly or
through transpiration back into the atmosphere. The nature of the hydrologic cycle makes it
difficult to mark a beginning or end to waters cyclic journey through the environment.
Nevertheless, rain can be considered a primary source of water. Secondary sources of water
include rivers, lakes and groundwater, all of which get recharged from primary water.
Development experts and technocrats tend to focus on secondary water sources as the major
input streams for water systems, but many communities are without easy access to these
secondary water sources. Primary water sources must be incorporated into water resource
conservation, management, and design and development technologies [10].
The principles underlying rainwater harvesting and the calculations that enter into the
determination of the design are straightforward. If one knows the amount of rainfall that an
area receives (in mm of rain), multiplying this by the efficiency with which the rainfall can be
collected (or harvested, typically on the order of 40 to 70%) will provide the potential amount
of recoverable water that can be harvested. Basically, the amount of rainfall multiplied by the
area of ‗catchment‘ will provide the volume of water that can be collected. Following the
discussion in A Water Harvesting Manual [11] as an example, a rooftop with an area of 100
sq.m receiving 2200 mm of rain in a year could potentially provide 220 cubic meters (or
220,000 liters) of water. If the water harvesting system design permitted a water collection
efficiency of around 60%, then at least 132,000 liters would be available.
In its simplest form, the basic elements of a rainwater harvesting system are shown in
Figure 1 [as adapted from 12]. The catchment –or water collection - area is established first
and then a conduit or pipe is connected to this area which permits the water to be sent to
storage facilities and to ground water recharge facilities. The storage facility provides
immediate water for ready use and can be below ground or above ground, while the recharge
facility provides a mechanism by which longer-term water storage can be recharged for later
withdrawal. The technology and material resources required for the development and
3
http://www.siwi.org/press/presrel_05_SWP_Winner_Eng.htm
7
implementation of simple rain water harvesting systems are inexpensive and readily available
in most towns. Actual construction and manufacture of jerry-rigged systems are not difficult
and can be developed, implemented and maintained by local skills and expertise.
Falling rainwater will entrain and absorb dust and other pollutant particles. In
addition, debris on the catchment surface will be washed into the RWH collection tanks. It is
thus necessary to insert filtration mechanisms in-line with the output from RWH tanks.
Filtration needs will depend on ultimate use of collected water. Water for irrigation can be
used directly, while water for clothes washing, kitchen and bathroom flushing can be
minimally treated with a coarse sand or fiber filter. Natural and locally available materials
such as gravel and sand, and textiles or clothing and tailor shop wastes, can be used in filter
configurations that filter harvested rainwater for those uses. More rigorous filtration,
including deep-bed sand filters may be used to turn the harvested rainwater into potentially
potable water [13]. Care must be taken to investigate the local health and disease conditions
and situation to determine if some secondary treatment such as disinfection using boiling or
the SODIS® technology [14] would be necessary to turn the water into potable-quality water
that meets WHO and environmental standards for drinking water. Additional filtrations and
treatments required for this potable water production may also include the slow sand
filtration, which is a low-cost treatment technology that is often adequate for this end-use
[13]. Slow sand filtration will clean water supply sufficiently to make a significant
improvement in public health. For complete elimination of pathogenic organisms and to
ensure that public health is maintained through the elimination of unclean water as a disease
transmission vehicle, disinfection of the water will be required.
Disinfection of water may be accomplished through various additional point-of-use
technologies such as boiling, chemical disinfection or filtration. Boiling is most effective in
sterilizing water but energy requirements are high and add cost to public water users.
Additionally, requiring the public consumer to boil water prior to consumption carries the
risk of many failing to do so and thus raising the risks to public health. Chemical disinfection
is quick but requires addition of disinfecting agents that may not be locally and readily
available. Chlorination of water is known to generate harmful byproducts and this method,
although easiest and cheaper then boiling, may have long-term adverse consequences for
public health.
Perhaps the simplest and least expensive method is through in-line filtration devices
built into the water harvesting, collection and storage system design. Simple layered filter
materials, with gravel overlain by sand which is then overlain by charcoal, provides a pointof-use filter that can be locally assembled and distributed. Sand and charcoal, layered one
over the other and sandwiched between two coarse-pebble or gravel layers, facilitates
percolation of water and prevents clogging of the filter. Sand efficiently removes particulates
and charcoal adsorbs microbial contaminants, other colloidal and suspended contaminants
and also serves to remove organics and metals. An example of a simple low-cost filtration
media configuration is shown in Figure 2. This filtration set up has been shown to remove
pathogenic bacteria as well as other microbes such as parasites and amoebas, the causative
agents in dysentery and diarrhea.
Other simple methods of water disinfection have been developed, such as distillation.
A recently developed low-cost, low-maintenance solar disinfection unit has demonstrated
quite a bit of promise as an appropriate, low cost technology for the production of potable,
disinfected water. This unit eradicated over 99.99% of bacteria in water samples and was able
to provide six liters of pure drinking water on a daily basis [15].
8
Figure 1: Basic elements of a rainwater
harvesting system. From [12]
Potential contamination problems for the stored water are real, and can be avoided by
implementing suitable measures to minimize the risk and prevent contamination. These
include regular cleaning of storage tanks (especially prior to start of the rainy season),
sweeping and clearing of catchment areas, maintenance and regular clearing of water
conduits for the conveyance of harvested water to storage receptacles and use points. Any inline filtration apparatus must be regularly cleaned, either through back flushing or filter
media surface-scraping and removal so that water can percolate freely through the filter
media and the filter media can continue to retain contaminants and pathogens. For end-use, it
is necessary to change charcoal and sand filter media on a periodic basis. When the filter
media are changed, it is important that the new filter media be flushed completely prior to the
water being used as potable water.
The size of the filtration set-up can be
increased with ease and material costs are
very low. Also, novel designs are being
developed at smaller scale including some
portable filtration/purification units at
increasingly lower costs.
Figure 2: Basic elements of a sand-charcoal
filter configuration, from [11].
The potential for problems with contamination of the stored water are real but can be
avoided with the implementation of suitable measures to minimize the risk and prevent
contamination. It is important that the storage tanks be cleaned prior to the start of the rainy
season and the catchment area be swept and cleaned as well. Conduits for conveyance of the
harvested water to the storage receptacles should be kept clean and unclogged. The in-line
filtration apparatus must also be cleaned and maintained so that the water can freely percolate
through the media. This might require periodic cleaning out of the filter. In terms of end-use,
it would be necessary to change the charcoal and sand media in the sand-charcoal filter on a
periodic basis. When the filter media are changed, it is important that the new filter media be
flushed completely prior to the water being used as potable water.
As with any appropriate technology, the design and configuration of the RWH system
including the filtration and disinfection set-up, will depend on the community and
environment the water collection system is being developed and implemented in. Rural area
RWH designs and systems will naturally be different from those implemented in urban
settings. Despite this, the basic components of these systems – a catchment area, conduits to
channel the harvested water, means for filtration and disinfection, and storage reservoirs –
will be the same. As in the development and implementation of any appropriate technology,
the specific system to be established and the specific design to be implemented and
constructed will necessarily be highly dependent on the local situation. The configuration
9
that is finally settled on within a particular context must be thoroughly examined and tested
through actual use. Amounts of water that are harvested, water quality and the time required
for collection must be recorded and these results need to be evaluated after a given period of
use. Depending on the situation and the local context, there may be a need for redesign and
reconfiguration. This is part of the process of technology development and implementation
and must not be neglected so as to optimize the final design that is implemented on a larger
scale within a given region and context.
As with the process of any development technology that is being designed and
implemented, serious and critical consideration must be given to how well the local
community‘s needs are being met and what the benefits and costs of the technology
implementation are. Care must be taken that the community feedback is taken into account
and that the community is itself engaged in the entire process. Successful development and
implementation of appropriate technologies will only result if the local community that the
technology will serve is engaged in the process from the outset. This would necessarily
include community training and knowledge technology transfer so that community input
forms a substantive and integral part of the design and implementation process.
Appropriate Technologies for Sanitation
Determining what to do with our wastes is the other critical issue facing developing
communities and emerging economies. Conventional methods of waste treatment and
management include, and are usually limited to, incineration and/or land filling for solid
wastes, and discharge into sewage treatment systems that utilize conventional and well
established waste water treatment technologies and management systems, for liquid effluents
and wastes [16].
For liquid wastes, conventional sewage treatment systems are capital intensive and require
large infrastructural investments that are beyond the reach of most developing communities.
More appropriate waste water treatment technologies need to be developed and implemented,
such as the DEWAT4 systems installed in Pondicherry in south India, referring to
decentralized wastewater treatments system. DEWATS applications are based on the
founding principle of low-maintenance since most important parts of the system work
without technical energy inputs and cannot be switched off intentionally – these systems
epitomize the characteristics of an appropriate sanitation technology as they provide a stateof-the-art-technology at affordable prices using local materials. DEWAT‘s includes primary
treatment with sedimentation and flotation followed by secondary anaerobic treatment in
fixed-bed reactors (either baffled upstream reactors or anaerobic filters) and finished with
tertiary aerobic treatment in sub-surface flow filters or in polishing ponds. DEWATS treated
water meets requirements stipulated in environmental laws and regulations.
As has been discussed before, incineration and land filling, the major technology choice for
solid waste and refuse management, have problems associated with their implementation that
have the potential to result in more environmental degradation and discharge that the
treatment technology mitigates! Incineration is expensive costing more over $2,300/ton,
primarily due to the high transportation and energy costs associated with centralized
incineration facilities and processes. At the same time, the complete destruction of hazardous
compound is not assured. For example, polychlorinated biphenyl‘s will not be destroyed
unless the temperature rises above 1200oC, which is not likely in most incinerators,
especially the low cost and inefficient and ineffective ones that dot the developing world,
especially its hospital grounds. This (incomplete) combustion leads to the production and
emission of dioxins, benzofurans and other secondary air pollutants that are highly toxic and
4
DEWATs systems are supported by the Bremen Overseas Research and Development Organization,
http://www.borda-net.org/modules/cjaycontent/index.php?id=29
10
harmful to human health. Finally, incineration is an ex situ technology, requiring the
excavation and transport of the wastes which increase costs as well as increase the potential
for accidental releases and discharges.
The alternative of land filling is often chosen as it is much less expensive, especially
when large unused and waste land areas are available. This is okay for a large country such as
Australia or the USA; nevertheless, land filling is a very poor choice of land use. In addition,
land filling waste disposal strategies result in secondary pollution hazards which must be
monitored and minimized. These include the emission of volatile hazardous compounds, the
leaching of hazardous compounds and the subsequent contamination of groundwater. For
proper landfill design, leachate control technology needs to be incorporated, off-gas
emissions need to be controlled, and strict long term monitoring should be put in place to
ensure that contaminants and wastes do not migrate beyond the demarcated fill boundaries.
All of these requirements contribute to raising the cost of land filling. In addition, there may
be contaminant specific issues when using landfills as the disposal mechanism for certain
process industries.
A truly appropriate technology alternative to land filling or incineration is to invert
the question and determine what resources can be regained from the waste streams that are
being generated and whether anything needs to actually be incinerated or buried. Using
biological methods for the waste treatment and management provides environmental, cost
and social benefits over and above conventional incineration and land filling technologies.
Biological treatment of wastes is well understood and the requirements for successful
treatment and transformation of contaminants by biological mechanisms have been well
established. Requirements include having an adequate number and type of microorganism
with the metabolic capabilities to biotransform and biodegrade the contaminants,
bioavailability of the contaminants to the micro-organism, the existence of a suitable electron
acceptor/donor enabling the targeted metabolic pathways to be active, and a habitable
environment with no toxicity to the microorganism so it can thrive and through so doing,
biodegrade the contaminants into harmless compounds.
Sanitation, waste treatment and management strategies must undergo a paradigm shift
in order to move towards appropriate technologies and all that this means. First and foremost
requires a transitioning from the late 20th century cradle-to-cradle waste management and
tracking approach to a 21st century approach that envisions cradle-to-cradle [18] materials
and energy resource recovery system and paradigm, where wastes have now been reconceptualized as input streams into innovative processes that should be developed to target
the waste as a raw material or a resource.
Conclusion
The initial selection of the ‗right‘ appropriate technology from a range of choices is
the key element in determining long-term success in terms of implementation, adoption and
operation and maintenance of the chosen technology. Considerable research has been done
on technology choices in developing communities, and analytical, evaluative and assessment
heuristics have been developed, such as the SHTEFIE analysis [19]. This heuristic algorithm
is a valuable tool for evaluation of technology development alternatives.
Access to clean potable water supplies and adequate and appropriate sanitation
systems are critical to sustainable development and improvements in the quality of life for the
world‘s billions that lack access to these basic human necessities and rights. The use of
appropriate technologies to develop water resources and make clean water available to all is
crucially important to this objective. The design, development and implementation of specific
water harvesting systems must take into account the context-specific situations and factor in
community and infrastructural considerations as appropriate water resource technologies are
11
developed and put in place. The same considerations must be given to sanitation systems and
technologies that will address this need. Finally, throughout the appropriate technology
innovation, development and implementation process, rigorous assessment and evaluation
should be conducted to reveal what is the most appropriate and optimum technology choice
for water treatment and sanitation in a given situation.
REFERERENCES
[1]Solon, Pablo, Bolivian United Nations Ambassador, Personal Communication, October 22, 2010.
[2] 'Nagpur ragpickers out, machines in', Down To Earth, September 15-30 2009.
[3 ] J.Tharakan, ―Appropriate Technologies for Water Use and Conservation in Public Health,‖
Proc.2nd Intl.Conf.Appropriate Technology, July 2006, National University of Science and
Technology, Bulawayo, Zimbabwe, pp 87 – 92 (2006).
[4]Rybcynzski, W, Paper Heroes; Appropriate Technology: panacea or Pipedream, Penguin, USA
(1991).
[5]Darrow and Saxenian, Appropriate Technology Sourcebook, Volunteers in Asia, Stanford, CA
(1986).
[6]Tharakan, J., ―Appropriate Technology and Water Availability and Use: Impact on and
Implications for Land Reform,‖ Proc.1st Intl. Conf. Appropriate Technology, July 2004, pp. 97 – 104,
National University of Science and Technology Press, Bulawayo, Zimbabwe (2004).
[7]Agarwal, A., S. narain and I. Khurana, Making Water Everybody‘s Business, Center for Science
and Environment, New Delhi, India (2001).
[8]Ibid, 2003
[9]Ibid, 2005
[10]Keller, K., Rainwater Harvesting for Domestic Water Supply in Developing Countries: A
literature Survey, U.S. Agency for International Development, Arlington, VA (Undated).
[11]Center for Science and Environment, A Water Harvesting Manual for Urban Areas: Case Studies
from Delhi and Mumbai, p. 3, CSE, New Delhi, 2003.
[12]Ibid., p. 5 (2003).
[13]Van Dijk, J.C., and J.H.C.M.Oomen, Slow Sand Filtration for Community Water Supply in
Developing Countries: A design and Construction Manual, Technical Paper No. 11, IRC Press,
London (1978).
[14] SODIS ®, http://www.sodis.ch/index_EN; Accessed Nov 1, 2010.
[16]Jagadeesh, A, ―Drinking Water for All‖, Center for Energy and Sustainable Resources,
R.M.K.Engineering College, Kavaraipettai, India (2006); http://www.ewbinternational.org/pdf/WaterForAllJagadeesh.pdf , Accessed May 2006.
[17] Tharakan, J. (ed), Proceedings of Symposium on Biological Methods of Waste Treatment and
Management in South India, The New College, Chennai, February 2007.
[18]McDonough, W., and M. Braungart, Cradle to Cradle – Remaking the Way We Make Things,
North Point Press, New York, 2002.
[19]Parr, J., and R. Shaw, ―Choosing an Appropriate Technology,‖
http://www.lboro.ac.uk/departments/cv/wedc/, Accessed June 2006.
12
Sustainable Fresh Water Supply for Chennai city, Tamil Nadu, India A
Status Update
Joseph Thomas,
Chief Technology Officer, Villgro, Chennai, Tamil Nadu, INDIA
Key Words: Rain water harvesting, Sustainable water supply, Urban fresh water.
Abstract
Chennai city, one of the major metropolises of India, is situated at the northern coastal edge
of the State of Tamil Nadu. The city is more well-known by its older name of Madras.
Currently, Chennai is inhabited by more than 7 million people in an area of 176 sq km.
Water supply for this population is maintained by tapping a combination of surface storage
reservoirs and aquifers. The Chennai Municipal Water Supply and Sewerage Board
(CMWSSB), a statutory body established in 1978, is responsible for water supply and
sewerage services in the Chennai Metropolitan Area. The main sources of public water
supply in the city are the three reservoirs — Poondi, Redhills and Cholavaram — with an
aggregate storage capacity of 175 million cubic metres (MCM). The other major resource is
groundwater from the well-fields in the Araniar-Kortaliyar basin and the southern coastal
aquifer, and also a large number of wells and tube-wells spread all across the city (Figure 1).
Over-extraction of groundwater resulted in a rapid ingress of seawater, which extended from
3 km inshore in 1969 to 7 km in 1983 and 9 km in 1987[1]. Groundwater levels within the
city also fell and brackish water began to appear, even in localities which earlier had good
quality groundwater sources. The CMWSSB calculates water availability based on surface
and aquifer contributions under its direct control. Since it perceived reservoirs and other
surface supply as more significant for a long time, very little attention was paid to subsurface
storage or ground water recharge. As an outcome of research, done by several agencies the
CMWSSB embarked on a campaign to create ground water recharge facilities in the city, and
later throughout the State. This led to significant changes in ground water levels and to the
quantum of water available to the population of a growing metropolis.
Introduction
The Chennai Municipal Water Supply and Sewerage Board (CMWSSB) is solely responsible
for providing drinking water and sewerage services to the residents of Chennai. One of
India‘s major metropolises, Chennai is situated at the northern coastal edge of the State of
Tamil Nadu. The city is more well-known by its older name of Madras. Currently, Chennai is
inhabited by more than 7 million people in an area of 176 sq km. The CMWSSB depends on
surface reservoirs and ground water sources to maintain water supply to the residents. Supply
is maintained through multiple means. Since Chennai is essentially low-lying and water
supply is intermittent, most residents build underground sumps that store the water.
Subsequently, the water is pumped up to an overhead tank. In other cases, water tankers are
dispatched by CMWSSB to various localities and the sumps are filled from the tankers. In
other localities, CMWSSB has put in place above-ground water tanks and these are filled by
the water tankers. In yet other places, residents collect water directly from the tanker, see
Figure 2.
13
Figure 1.
Figure 2: Drinking water collection from tankers directly by residents.
Despite the seemingly abundant sources of water, Chennai suffers continuously from water
stress since the entire basin is dependent on rainfall. The annual rainfall in Chennai is 1200
mm [2]. This quantum is, given the size of the Chennai basin, sufficient to meet the needs of
the population. The problem is with the distribution of the rainfall. There are two rainy
seasons in Chennai. The first is the Southwest monsoon, which has patchy rains and
contributes about 25% of the total rain and falls between May and September. This does not
do much for ground water recharge. However, the Northwest Monsoon (Oct to Dec) is
usually characterized by a series of storms that brings the remaining 75% of total rain in
extremely short bursts. During this time, Chennai is prone to flooding and, before 2003, a
large part of this water would have been lost as run-off into the sea.
CMWSSB traditionally focused its attention on increasing surface storage, transporting fresh
water from long distances. Like the Telugu Ganga project - probably one of the longest
canals built for water supply to the city that failed to ease the water problem. Another attempt
was to divert water from Chembaramabakkam and Veeranam tanks whereby the water rights
of the agrarian community were infringed. Drilling of borewells in the Cuddalore belt and
14
installation of turbine pumps to tap 100mld whereby the groundwater which again supports
the local agriculture community was depleted. None of these solutions were sustainable in the
long run and yet CMWWSSB paid very little attention to ground water recharge that had that
potential.
In 1997, at the Shri AMM Murugappa Chettiar Research Centre (MCRC), Chennai, [3] a
study was conducted to understand the user experience. The study surveyed 10,000
households in 155 corporation wards of Chennai. The focus was on how residents get their
water needs met and how the water is utilised. Raw data from this study was further analyzed
by Dr. A Vaidyanathan and J. Saravanan [4]. These studies clearly established that the
contribution of ground water could be as high as 80% in some cases.
The next section will take up a quick summary of the research and the subsequent sections
will deal with the steps taken by CMWSSB and other civil society organisations to get rain
water harvesting introduced. The final section will describe the results of these efforts on the
ground water table.
The research and changes
The survey conducted by MCRC was across 10,000 households, representing a roughly 1
percent sample. Another 2500 surveys across, business, educational, institutional,
governmental and industrial establishments were undertaken between September, 1995 and
January, 1996. The analysis phase took up another year. The main recommendations of the
study were to a) encourage public participation in water conservation and ground water
recharge b) promote and propagate water saving/replacement technologies in the domestic
sector c) use surface water to reduce ground water usage d) encourage ground water recharge
by adoption of low-cost water harvesting systems, cleaning of water-ways and renovation of
existing recharge structures, such as temple tanks.
In 1999 a National Water Harvesters‘ Network was set up by the Centre for Science and
Environment (CSE) water harvesters‘ advisory committee in New Delhi. Members suggested
that a regional network be initiated in Tamil Nadu to promote rainwater harvesting in
Chennai [5]. Professor M. S. Swaminathan, provided office space for the network unit in
Chennai and Prof. A. Vaidyanathan agreed to chair the group. The Tamil Nadu unit of the
national water-harvesting network was launched in April 1999. The network was meant to: (i)
provide an opportunity for individuals and institutions actively engaged in water harvesting,
in Chennai, to share their knowledge and experience and promote free and open interaction
among them; and (ii) to reach out to a wider public in the city and outside to propagate the
role of urban rainwater harvesting in terms of technology, experience and its potential
contribution in meeting urban water needs. It was Prof. Vaidyanathan who then asked for the
raw data from the MCRC study and did his own assertion of the data and analysis.
In the background paper that came out of the analysis [3] the following was stated: ―The
present paper is meant to give an overview of the present and future needs of the city, the
limited and expensive scope for augmenting surface supplies, the need for a two-pronged
strategy of conservation/recycling and Rain Water Harvesting (RWH) to increase ground
water recharge.‖ This confirmed the results of the MCRC study.
Both the MCRC study and the CSE study highlighted the dependence of people on multiple
sources for their water consumption rather than just CMWSSB and the heavy dependence on
groundwater by both. Thus the RWH campaign was backed up by strong research results of
15
MCRC and CSE. These studies were necessary to convince the public and the policy makers.
It should be mentioned here that the then Chairman and Managing Director of CMWSSB,
Ms. Shanta Sheela Nair understood these results and backed the RWH movement fully.
In a 2006 publication [6] Prof. Vaidyanathan and his colleague, J. Saravanan summarized the
action of the government as follows: ―In Chennai, the capital of Tamil Nadu, the growing
dependence on groundwater since the 1970s is evident in the sinking of increasing numbers
of open wells and deep bore wells. This trend, a symptom of the increasing water scarcity in
the city, led to a progressive decline in groundwater levels as well as seawater intrusion in
coastal aquifers. Faced with this crisis, the State government passed the Chennai
Groundwater Regulation Act in 1987, which sought mainly to curb the commercial
groundwater exploitation within the city limits. In 2001, rainwater harvesting (RWH) became
mandatory in multi-storeyed buildings. The unprecedented and severe droughts in the ensuing
two years intensified the groundwater crisis to such a degree that, in August 2003, the
government passed an ordinance making RWH mandatory for all buildings (existing and
new) in the city and throughout the State. It further set a deadline of October 31, 2003 for this
process to be completed.
A vigorous publicity drive convinced the public that the government was serious about
implementing the programme and providing technical advice and help in the design and
construction of RWH structures. This led to unprecedented activity across the towns and
cities of the State, especially Chennai city, and the programme was seen as successful. In this
endeavour, however, very few turned to the municipal corporation, private consultants or
NGOs with the relevant expertise for assistance in designing and building their RWH
structures. Most relied on plumbers or their own expertise. Independent experts pointed out
several problems with the programme, noting that
a) the time given for the implementation of this ordinance was too short;
b) there were far too few professionals with the knowledge and experience needed to
design appropriate systems for the widely varying conditions;
c) the supply of trained and skilled labour to implement the works was also inadequate
to cope with the scale and speed of the programme;
d) the availability of quality materials for implementation was also inadequate; and
e) there was hardly any systematic follow-up to check the quality of the works reported
to be completed.
There were widespread but unverified reports that, simply in order to meet the stipulations,
grossly inadequate RWH structures had been put in place; the capacity as well as quality of
design and implementation leaving much to be desired.
This was an instance of decentralisation that, despite the presence of a ―felt need‖, occurred
without adequate consultation. The legislation in regard of RWH was welcome but the actual
programme was poorly implemented and monitored. Although the programme applied to all
classes of housing, it ignored those living in informal settlements such as slums within the
city limits. These areas could have benefited from RWH in public building and public spaces
— an aspect that received very little attention. Moreover, no steps were taken under this
programme to reclaim tanks and wetlands in the city that, in the past, not only functioned as
recharge structures but were also used as sources of domestic water by communities.‖
16
The Government has since 2009 been working towards cleaning up the waterways of
Chennai. This effort has seen the government draw on municipal corporation, private
consultants and NGOs with the relevant expertise to work on this massive effort. There is a
project with an outlay of Rs 1,400 crore (approx US $300 million) to make the city floodfree[7].
In March 2010 the Chennai Metropolitan Development Authority held a Seminar on
Waterways in Chennai. The proceedings [8] contain a list of 36 recommendations and some
of them are re-produced here:
1. The sequence of actions to tackle the problem may be –
(a) flood alleviation
(b) prevention of pollution to the waterways
(c) cleaning up of the waterways by removing encroachments & obstructions
(d) restoration / improvements to the waterways and its continued maintenance.
2. Floods are opportunities to augment ground water recharge to be facilitated by construction
of check dams, filter wells, and underground tunnels/storage reservoirs, if the soil conditions
and slopes permit.
3. Flood plains should be developed along the waterways in the areas outside the towns and
cities, adopting the retention model, as a solution against flood hazards; these flood plains
could be developed as parks or green belts for recreation such as camp sites.
4. Eco-engineering should also be adopted as a solution to bring nature back and rejuvenate
the rivers.
5. It is recommended that corporate sector participation, and general public participation, in
planning and improvement of lakes and rivers should be encouraged. Cleaning up of rivers
and conservation of water bodies should be thought of as a movement with the participation
of all stakeholders including the general public.
6. Adequate public awareness about the hazards of pollution of water bodies and the remedial
measures has to be created by organizing community education campaigns. Getting the
citizens involved is important, ‗Saving Waterways‘ should become a
people‘s movement.
7. Use of sewage for power generation and recycling of waste water should be encouraged.
8. Area development plans prepared at micro level, such as Detailed Development Plans,
should contain plans for ground water recharge, at least in large premises such as schools and
public places. Sustainability measures should form part of the Integrated River Restoration
Plans.
What is evident here is that the outcomes of studies take time to percolate down to the
agencies mandated to make the changes required for sustainability. It also requires a good
amount of political will. Much of the change of attitude of governmental institutions can also
be traced backed to strong political thrust to implement the changes.
Results
Data on change in groundwater quantity and quality has to be presented here, mostly based
on media stories. Some researchers feel that the effects of rain water harvesting and
subsequent ground water recharge are so noticeable that quantifying is not a priority. The
Table below (Figure 3) shows the number of rain water harvesting structures built by the
Corporation of Chennai, as reported on its website.
17
Rain Water Harvesting done by Corporation of Chennai
Corporation owned buildings
1344 Structures
Flyovers and Bridges
29 Structures
Open low-lying areas
242 Structures
Road Margins
945 Structures
Corporation Streets
2698 Structures
Corporation pond
1 No.
Temple Tanks
16 Nos.
Residential / Commercial / Institution Buildings
329959 Buildings
Figure 3[9]
An article published in a leading daily in Chennai, The Hindu, dated January, 31 2009 had
many interesting points to make about the results of RWH and ground-water recharge.[10]
―The CMWSSB study of 759 RWH observatory wells shows that ever since the installation
of RWH structures in about 500,000 of its consumer households was made mandatory in
2004, there has been a 50 per cent rise in the water level. According to the CMWSSB
officials, over the last five years, the water level across the city has gone up by three to six
metres. Similarly, the water quality in several areas has also showed improvement. The
sustained normal rainfall since 2004 and the proper maintenance of RWH structures in most
households have been the principal reasons.
Following the drought period in 2003, when Chennai received only about 690 mm of rainfall
as against its normal of 1,200 mm, the water table had receded and, on an average, was at 7-8
metres below ground. In many places it was at 10 m depth and, in some, it was at 10 m.
Following a good monsoon (2,064 mm) in 2005 and rainwater harvesting, the ground water
table saw an appreciable rise in several areas and the water table reached 1 m depth below
ground.
The total dissolved solids (TDS), which were earlier as high as 4,900 parts per million (ppm)
in some areas, dropped to permissible levels of 500 ppm, greatly improving the quality of
water (see Figure 4).
Figure 4[10]
18
―Before the onset of every monsoon, Metrowater officials conduct a random check of the
RWH structures for their maintenance and create awareness about the need to keep these in
good shape. Harnessing of rainwater that gets collected in storm water drain network would
help reduce the inundation on roads and large volumes of water draining into sea every
year….. Unless rainwater runoff in both public and private spaces in the city is harnessed,
Chennai may lose out on the precious resource and may end up with water problems during
the summer months,‖ note rain-water harvesting experts.
Conclusions
This presentation has tried to show that it takes many years of persistent effort to address a
problem in civil society. In Chennai, and indeed the whole of Tamil Nadu, the problem was
one of water stress. Research showed that the available rainfall could help people cope but
fresh water from the rain was being lost to the sea. Based on this, a proposal was made that
ground water recharge was a viable, low-cost solution. This proposal had to be championed.
Prof. Vaidyanathan and the then Chairman of CMWSSB, Shanta Sheela Nair, did just that.
They showed with great determination and several pilot studies that rain water harvesting
would be viable and worthwhile.
They managed to convince the government of this, and RWH became a statutory requirement
for all buildings in the state. Monitoring the quantity and quality of the ground water has
shown the significant changes this legislation has brought in.
As a side-effect a greater understanding of the need to clean, preserve and secure all types of
fresh water bodies has prevailed among the political circles, bureaucracy, NGOs and civil
society. The people have also shown great resolve in implementing the solution since it
directly affects their lives.
The type of study conducted by MCRC and CSE can be a methodology to assess the water
sources, consumption pattern, per capita availability and requirement particularly in
developing countries. This way the water supply system can be better planned and
implemented to be sustainable.
REFERENCES
[1]http://www.rainwaterharvesting.org/Crisis/Urbanwater-scenario.htm
[2]Balakrishnan, T., Technical Report Series District Groundwater Brochure, Chennai
District, Tamil Nadu. Central Ground Water Board, South East Coastal Region, Chennai,
Ministry of Water Resources, Government of India, November 2008. Published by Regional
Director, CGWB, SECR, E-1, Rajaji Bhavan, Besant Nagar, Chennai -600090, Tel:+9144
24912941/24914494, Fax +9144 24914334 Web: www.cgwb.gov.in email [email protected]
[3]Thomas, Joseph, Sustainable Fresh Water Supply for Madras (now Chennai) City, India
(Contract No.S$P/95/0042) Final report submitted to UNICEF, 73, Lodi Estate , New Delhi
110 003, Printed by Shri AMM Murugappa Chettiar Research Centre, Tharamani, Madras
(now Chennai), Tamil Nadu, India 600 113, May 1997.
[4]A. Vaidyanathan & J. Saravanan, Chennai‘s Water Supply Problems and Prospects (A
background paper) National Water Harvestors Network –Tamil Nadu Unit, Centre for
Science and Environment. (undated circa 2000)
[5]http://www.manage.gov.in/managelib/extdig/Jul99Water.htm
19
[6]Vaidyanathan, A. with Saravanan, J. ‗The Urban Water Scene: A Case Study -Water
Situation in Chennai City‘ in A. Vaidyanathan, India‘s Water Resources: Contemporary
Issues on Irrigation. New Delhi, Oxford University Press, 209-247 (2006).
[7]http://www.business-standard.com/india/news/tn-govt-to-takers-1400-cr-flood-controlproject/397769/
[8]http://www.cmdachennai.gov.in/pdfs/SeminarOnWaterways/1.pdf
[9]http://www.chennaicorporation.gov.in/departments/storm-water-drain/introduction.htm
[10]http://www.hindu.com/pp/2009/01/31/stories/2009013150010100.htm
20
A SUSTAINABLE AND ROBUST MEMBRANE WATER TREATMENT
UNIT FOR POTABLE WATER PRODUCTION IN REMOTE RURAL
AREAS
V L Pillay1* and Alex Kalu2
1*
Dept of Chemical Engineering, Durban University of Technology, Durban,
[email protected], and 2Center for Advanced Water Technology & Energy Systems,
Savannah State University, Savannah Georgia, USA. [email protected]
Key Words: Rural household water treatment, floods and disaster relief
Abstract
Ingestion of impure water is a major contributor to the downward spiral of poor health and
high mortality rates in African and other developing countries Raw water treatment
technologies developed for advanced industrialized economies are often not sustainable in
developing economies, particularly the remote rural areas, for several reasons. This
correspondence reports a successful effort launched in South Africa by Durban University of
Technology (South Africa), and Savannah State University (USA) to address the potable
water problem in impoverished remote rural communities. A simple water treatment system
for remote rural households which overcomes the limitations of existing systems is developed
based on a unique and robust microfiltration membrane module developed at DUT using
components engineered in Africa. Operation of the system is very simple: Raw water is
poured into the feed tank, and the product is withdrawn through an outlet tap. The
membranes remove all suspended solids, colloids and most of the pathogens. Independent
laboratory trials indicate that system performance is more than adequate for the target
application. The System has potential applicability in potable water provision for displaced
populations, rural households/ schools and during flood emergencies. This paper describes
the system, its economics and applicability in developing economies.
INTRODUCTION
U.N. statistics show that nearly half of all people in the developing world suffer
diseases like cholera and diarrhea as a direct result of consuming bad water and that a
significant improvement in the quality of drinking water could reduce diarrhea diseases by
90%, [8]. These waterborne diseases are the leading cause of death for children under five,
killing more than 2.2 million children each year, on the average [8, 6]. Today contaminated
water kills more people than HIV/AIDS, tuberculosis and malaria combined [8]. But
portable water could be taken for granted in developed countries. Today, no one in developed
economies is subjected to the consumption of raw untreated water. Many advances have been
made in effluent and environmental treatment technologies, over the years, albeit developed
primarily for ―first world‖ economies.
However, raw water, effluent and environmental treatment technologies developed for
advanced industrialized economies are often not sustainable in developing economies due to
cost factors, limited skills base, and availability of spare parts. More so, the provision of
potable water to rural areas in developing economies poses unique challenges. These
impoverished communities are usually off-grid and thus can not use systems powered by
conventional electricity. Their homes are also not equipped for running water and thus
filtration/purification systems that require pressure from pipe borne water are not applicable.
These communities also suffer from severe and chronic skilled manpower shortages, since
skilled individuals often tend to migrate to the greener pastures of urban centers. This
proposition thus challenges the scientific community to come up with appropriate
21
(indigenous) technologies for portable water provision suitable for developing economies‘
rural and farm communities with limited expertise and skill base, as well as limited ability to
pay high equipment costs.
Several efforts including most recent works by Mikkel Frandsen, Kuennen, Roy W.,
et al, and James R. Marrusek [7, 2, 4] have been made to address the potable water problem
for developing economies and farm/off grid communities. These, however have resulted in
water purification systems with certain drawbacks when their application in the communities
with the aforementioned attributes are considered. These drawbacks include:
Cost – Many existing systems are simply too expensive for the dollar-a-day income
individuals of rural communities. The discouraging high cost compels them to stick to their
unhealthy choices.
Flow Rate: Ceramic filters while affordable have shown to be very successful but its
agonizingly slow (dripping) flow rate makes it impractical for portable water provision for a
household.
Chemical Treatment: This produces good results except that often supply is limited and lack
of access to remote villages makes it unreliable. Furthermore, there is the risk of wrong
titration and water consumers may prefer the untreated water with latent problems to treated
water chemical odor.
Maintenance: Many of the current systems require maintenance which is beyond the skills of
the communities that use them.
In developed countries, there has been a major swing towards membrane technology
for water treatment. The advantages of membrane technology, particularly microfiltration
(MF) and ultra filtration (UF), over conventional chemical treatment methods for the
production of potable water from raw waters are well known. A comprehensive review of the
applications of membrane technology in water purification with their advantages and
limitations has been compiled by S. Mameni [3]. Similarly, an earlier work by Shoichi
Kunikane, et al [9] documents a comparative study on the application of membrane
technology to public water supply. Also, a more recent work by Catherine Charcosset, [10],
presents a review of membrane processes for potable water production.However, until now, it
has not been possible to implement these technologies in remote rural regions, due to the
challenges identified above.
An effort to address this problem using membrane technology by engineers and
scientists from Durban University of Technology, South Africa and Savannah State
University, USA has produced a sustainable and robust water treatment system that is
affordable and produces high quality drinking water for remote rural households faced with
all the constraints alluded to above. This new technology, termed the Remote Rural Water
Treatment System (RRWTS) differs in one or more significant ways from any existing
technologies, both currently on the shelves, and emerging. Most importantly, the RRWTS
described herein is foolproof and designed to mesh with the cultural norms of the targeted
communities and would not require any change in the lifestyle of the people, whatsoever.
This characteristic is lacking in most other existing systems. This paper describes the
development of the RRWTS, its performance, and outlines its various merits in bringing safe
drinking water to poor rural communities of developing countries.
22
Considerations and Choices in the Design and Development of the RRWTS
The issues considered in the development of the design criteria for the water treatment
unit are derivatives of the aforementioned obstacles which have made it difficult for existing
water treatment systems to penetrate remote rural communities. This system is designed
specifically to overcome those obstacles. To achieve this broad objective, the following
choices were made to cultivate the design philosophy.
Target Market: Rural communities can broadly be divided into two categories – those with
piped water, albeit of poor quality, and those that have to fetch water from a local river or
dam. This system is aimed at the latter category, i.e. where users currently fetch water from a
local river or dam in 15 L to 20 L containers and carry this back to their households for
consumption. The majority of rural Africa and villages in other developing economies fall
under this category. Hence, the RRWTS is designed to handle 15 L to 20 L at a time, and
should be easily transportable so that it could be used by a single household or shared by a
few households.
Required Product Quality: A multi-barrier membrane system guarantees all pathogen
removal, but will obviously increase the cost of the system substantially. The question here
is, what minimum number of units in cascade would give an acceptable water quality to rural
users? The RRWTS is designed to produce an adequate water quality for the target market
using one compact rig. Water providers have indicated that, irrespective of the water quality
produced by a water treatment device, it will still be essential to add a residual disinfectant to
cater for contamination of the vessels used for storage, drinking and cooking. In view of this,
it is not necessary that the RRWTS produces a top quality product. Instead system optimality
should produce a product free of suspended solids, colloids, and most pathogens, and that can
be easily disinfected, at low cost.
Scale of operation: The scale of operation is based on the target market. It is assumed that
each user will purify 15 L to 20 L at a time. In order to make the treatment unit attractive to
the user, to prevent ―user fatigue‖ that may cause reverting to using the untreated raw water,
it was decided that this volume should be produced in less than one hour. Hence, the scale of
operation is that the unit should nominally produce 20 L/hr, adequate for an average
household of 4 per day. Obviously, at the high flow rate of 20L/hr, greater demands can be
easily met.
Cleaning and Maintenance: Most membrane systems require periodic chemical cleaning or
high pressure back flush. This would obviously be unsustainable in rural environments.
Fortunately, the woven fiber micro-filtration (WFMF) system can be cleaned by drying or
scrubbing, obviating this problem. Also to be considered is the frequency of cleaning. If a
treatment unit has to be cleaned very frequently, this may result in ―user fatigue‖, and the
user may consequently revert to drinking raw water rather than using the water treatment unit
(WTU). Hence, it was decided that the RRWTS should require cleaning only once a month.
Construction: The construction of the RRWTS must be robust, yet inexpensive. It was also
decided that only off-the-shelf components should be used. This would prevent the situation
where the technology may be held back because significant capital is required to start
production of units. High priority is given to the use of indigenous materials and parts, not
only to reduce cost but to ensure availability and easy access.
SYSTEM DESIGN AND FABRICATION
The Water Treatment Unit
The essential features of the RRWTS are the membrane and module. The membrane
is a flat-sheet woven fiber micro-filtration fabric produced locally in South Africa (Figure 1).
The module consists of three elements: a PVC frame that incorporates a permeate outlet; two
sheets of fabric glued to either side of the frame; and a spacer between the sheets of fabric to
23
facilitate fluid flow to permeate outlet. The modules are approximately A4 size (Figure 2).
Multiple modules are held together by threaded rods inserted through holes drilled in each
module to form a membrane pack of fifteen modules (Figure 2). Below the pack is the
permeate collection manifold. The individual modules are connected to the permeate
manifold by silicone tubing (Figure 2).
Figure 1: Microfiltration Fabric
Figure 2: Membrane pack
The water treatment unit consists of a 30 L tank into which the membrane pack (the
microfiltration rig) is inserted. The permeate manifold protrudes through the tank wall, via a
seal, and has a product tap at the end. The tank is also equipped with a drain valve (Figure 4)
for removal of tail products and residue
Operation
Operation of the RRWTS is simple and requires no skills. Raw water is poured into
the tank (Figure 3); a few drops of liquid disinfectant are added to a 5 L product container;
the product valve is opened and the permeate (treated water) is collected in the product
container. Periodically, usually once a week, residue and tail products are flushed out
through the drain valve.
.
Figure 3: Rural Water Treatment Unit and Its Operation
Maintenance
The only required maintennance is periodic cleaning of the modules and occational
flushing of the tank. This routine maintennance requires no skill and can be done in-situ, at a
frequence which depends on the turbidity of the raw water. Fouled modules are cleaned by
simple brushing/scrubing using a bottle brush as shown in Figure 4. The spacing between the
modles provide ample pathway for this purpose. Occasionally, the tank is flushed out with
clean water via the drain valve. Field tests at target market locations indicate that cleaning the
unit once a month produces optimum system performance.
Figure 4: Cleaning the modules by brushing
24
Performance
The RRWTS has been tested in University laboratories and independent laboratories
[1] to determine its performance characteristics. Extensive field tests have shown that it
produces portable water of adequate quality for remote rural communities. It is practical and
can produce water of very high quality at locations where no other technology is applicable.
Water Quality : In field tests, the RRWTS consistently produced a product of < 1 NTU, for
raw feeds ranging from 20 NTU to > 300 NTU. The permeate turbidity was not affected by
feed turbidity, runtime, or permeate flux.
The acid test of any water treatment system is whether it can consistently remove
dangerous bacteria from the raw water. The ability of the RRTWS to remove E.Coli, an
indicator organism for contamination of water by pathogens, was evaluated by Umgeni
Water, and is summarized in Table 1.Typical feed and permeate samples are shown in Figure
5.
Figure 5: Typical feed and permeate samples
Water
Source
E.Coli in
raw water
(counts/100 ml)
River 1
River 2
River 3
4838
8160
11191
E.Coli in
permeate from RRWTS
(before
exposure
to
disinfectant)
(counts/100 ml)
980
185
23
E.Coli in
product container
(counts/100 ml)
0
0
0
Table 1: Quality of raw and treated water
The membranes remove about 95 % of the bacteria, and the remaining bacteria are
completely destroyed by the disinfectant in the product container. Even for raw waters with
very high levels of contamination, the RRWTS produces a final product that is completely
safe for human consumption.
Product Flow Rate
A RRWTS unit containing 15 modules can produce 60 Liters per hour (60 l/hr) on the
first day of use, and about 15 l/hr after one month of use, if used once a day, without
cleaning. The system can therefore provide a household with 30 liters of water each day, for
one month without cleaning, depending on the feed turbidity. The above flow rates were
obtained using raw water with a turbidity of 60 NTU.
Cleaning Periodicity, Efficency and Regimen
Depending on the raw water quality, the RRWTS will operate effectively for a month
before cleaning is required. For the water tested above, a unit used by a single household to
25
provide 30 L per day can operate for up to thirty days before cleaning is required. The system
will continue to run but the flow rate progressively decreases if not cleaned, eventually
forcing the user to take corrective action. Simply brushing the modules with a bottle brush is
all that is required to clean the membranes (Figure 6). No chemical cleaning is required. The
modules may also be cleaned by air-drying. This technique however offers no advantage
over brush cleaning and may require a skilled technician to disassemble the rig from the tank.
When the unit is fouled, the modules can be cleaned by any of the two techniques mentioned
above by (i) a roving technician exchanges the fouled unit for a clean unit, and transports the
fouled unit to a central service center for cleaning; (ii) the user exchanges the fouled unit for
a clean one at a central service center, or (iii) the user cleans the unit by brushing the modules
in-situ with a bottle brush.
ECONOMICS
If the RRWTS shown in Figure 5 is mass produced, the estimated cost of production
would be around USD 30 to USD 50 per unit, depending on scale of production. For a
minimum lifespan of five years, and no components that need to be replaced on a regular
basis, as would be the case with other systems, e.g. the ceramic cartridges used systems.
There is also no maintenance cost. It emerges that the RRWTS can provide sufficient amount
of potable water of adequate quality to a rural household for less than USD 10 a year, with an
additional USD 0.50 only a week if the family uses the services of a service center to clean its
unit at the cost of USD 2 a month.
SYSTEM LIMITATIONS, AND CONCLUSIONS
The RRWTS overcomes several of the limitations of other existing methods for
providing potable water to remote rural communities. Though the system produces water of
adequate quality for the target communities, its pemeate does not meet international water
standards. To attain international standards a disinfection module must be added. The
development team is currently investigating various techniques for delivering disinfectants
which will neither escalate unit cost nor require user special skills. Several existing
technologies, including the recent work by Nguyen, et al [5] are being studied.The
development team beleaves that if the unit is equipped with in-line disinfection then the
RRWTS would be the ultimate choice since it is cheaper, more robust and user friendly and
has substantially higher flow rates than many of the ceramic based systems that are currently
aimed at this market.
To arrive at the system design philosophy, the design team has studied a myriad of
commonly available water treatment techniques and devices. These include, but not limited
to, activated alumina; activated carbon; aeration; anion exchange; chemical precipitation;
chlorination; distillation; ion exchange; other mechanical filtration; neutralizing filters;
oxidizing filters; ozone treatment; reverse osmosis; and ultraviolet treatment. For the target
market, none of these technologies would suffice due to high cost, energy requirement and
required expertness. It has also been determined that the cost of existing products which
could be easily adapted in the rural environments are not within the reach of the
impoverished communities the RRWTS is designed to serve. Furthermore, should these
products be deployed in the remote rural areas to be fed with raw waters from ponds and
rivers, they would need pre-filtration system in order to survive the environment.
26
Acknowledgements
Many agencies provided support for this project over the years. Currently and particularly
noteworthy are the supports from South African Water Research Commission, Umgeni
Water, and NCIIA. The development team is grateful to all our supporters.
REFERENCES
[1] A Report from Umgeni water, A South African Utility Company, June 2009
[2] Kuennen, R. W. et al; Gravity Feed Water Treatment System International Application
No.: PCT/US2010/020728; International Filling Date: 12.01.2010 Publication Date:
22.07.2010
[3] Madaeni, S. S., ―The application of membrane technology for water disinfection‖ Water
Research, Vol.33, Issue 2, February 1999, Pages 301-308
[4] Marusek, J. A.
―Gravity Fed Water Treatment System – Mod 1*‖
http://www.breadandbutterscience.com/GFWTS1.pdf; Accessed January 10, 2008
[5] Nguyen T. P. et al « Fabrication of antibacterial water filter by coating silver
nanoparticles on flexible polyurethane foams‖ 2009 J. Phys.: Conf. Ser. 187 012079
[6]. Steripen ―Global Water Situation,‖ http://www.steripen.com/global-water, Accessed July
30, 2010
[7]. Thangham, C. V. ―$3 Water Filter gadget for a year without spare parts, electricity or
maintenance‖ Digital Journal Jun 12, 2007, http://www.digitaljournal.com/article/194901;
Accessed July 15, 2007
[8] United Nations; Int‘l Decade for Action, A UN Publication Water for Life, 2005 – 2015
http://www.un.org/waterforlifedecade/index.html; Accessed August 1, 2010
[9] Kunikane, S., et al, A comparative study on the application of membrane technology to
the public water supply, Journal of Membrane Science
Volume 102, Pages 149-154, 15 June 1995
[10] Charcosset, C, A Review of Membrane Processes and Renewable Energies for
Desalination, Desalination, Volume 245, Issues 1-3, July 2009
27
APPROPRIATE TECHNOLOGY AND WATER: ROLE OF
INSTITUTIONS OF HIGHER LEARNING IN FINDING SOLUTIONS
FOR A THIRSTY PLANET
1
Gate T, 2Karambakuwa RT and 3Chigunwe G
Bindura University of Science Education, Human Resources Department and Department of
Economics, Bindura, ZIMBABWE
Zimbabwe Open University, Faculty of Social Sciences, Bindura, ZIMBABWE
Email: [email protected]
Key Words: Appropriate Technology, Universities, Water Education, Clean Water
Abstract
Lack of clean water is one of the leading problems resulting in hunger, diseases and high
death rate in many developing countries. Over the years Zimbabwe has faced water
shortages with cholera outbreak causing high sickness and death rate from 2008-2009.
Disputes between Zimbabwe National Water Authority and residents were witnessed in urban
areas over water allocation and supply. As an important resource for people‘s survival and
growth, water needs to be guarded jealously. Water education is the key to solve water
shortages on our thirsty planet. Policies that aide in reducing water conflicts have to be
instituted. This paper therefore seeks to show how Universities as institutions of higher
learning can contribute towards finding solutions to the water problems that have rocked the
country by facilitating water related education, promoting meaningful research and
technological transfer on water related issues. They can transfer knowledge and empower
communities on how to develop appropriate technology for sustainable water use. Technical
education can be provided on water conservation. Community outreach programmes
pertaining affordable and efficient methods of providing clean water even in the most remote
parts of the country need to be carried out. Resources mobilization ensures that this comes to
fruition.
INTRODUCTION
Clean water resources are getting scarce all over the world. Zimbabwe like any other
less developed country is experiencing persistent clean water shortages, while facing the
challenge of global climate change. Communities have to be sensitised on how to identify
and make use of appropriate technology to access clean water. Such technology will be that
which requires fewer resources and is easier to maintain as well as calling for the sustainable
use of water resources. The focus is on how education and training programmes can be
implemented to achieve sustainable use of water resources. The paper therefore analyses how
universities can transfer knowledge and empower communities on how to develop
appropriate technologies that are beneficial even to the most remote areas of the country.
Universities as transferors of knowledge have a major role to play in finding solutions to a
thirsty planet. Technological innovations that can deal with problems of water shortages need
to be put in place. The role of Universities in working towards identifying technologies that
address the problem will be addressed. Water is life and water education is the key to solve
water issues on a thirsty planet.
Background
Water is a ubiquitous resource needed by everyone for ―survival, growth and prosperity‖
(Byron). [1] Though being ubiquitous, different areas have different quantities and quality of
the resource due to a number of reasons such as climate change, migration, urbanisation,
28
industrialization, drought and land degradation. The negative impact of agriculture is
deforestation which in turn influences the water cycle and patterns of rain received in an area.
On the other hand, it appears that urbanisation and migration disturbs the availability of water
since the few technological resources that ensure water availability such as pipes are strained.
In Zimbabwe it has been observed that industries and mining activities lead to water pollution
as companies dump waste materials in water reservoirs since they lack technology to get rid
of the waste properly. For instance, it was observed in July 2007 that there was too much raw
sewage spilling into Lake Chivero, Harare‘s main water source. [2]
Thus problems of a thirsty planet call for solutions that appropriately tally with the area of
concern. Civic education and awareness campaigns on community participation on water
conservation and technological innovations are key solutions. Technological innovations
must be spearheaded by the local people who should contribute to the technological process
of their area much more than outside experts. [3] In this regard, universities play a critical
role in helping local people identify technological innovations necessary to meet their needs.
They should come up with strategies and recommendations that can assist people and make
the world a better place to stay with clean water resources.
The need to educate people on how to solve problems of a thirsty Zimbabwe is very vital.
Workable approaches have to be well thought out towards conservation of water resources.
Universities have to carry out research as well as establish research links and collaboration on
finding appropriate technology to water solutions. Sustainable management of water
resources is a major thrust necessary for changing people‘s mind set and cultivates the culture
of sustainability. Universities and research institutions should ensure that policies on water
conservation are properly instituted. Participatory research and publications with
communities can promote proper implementation by those involved. However this requires
finances, technical expertise, and equipment which at times are scarce. Providing water
needed to feed a growing population and balancing this with all other demands on water is
one of the great challenges of this century. [4] The purpose of this paper therefore is to show
how Universities as institutions of higher learning can contribute towards finding solutions to
water problems by facilitating water related education, promoting meaningful research and
technological transfer.
Zimbabwe water situation – challenges
Over the past years Zimbabwe has been affected by warming. This has been a result of the
negative Indian Ocean Dipole (IOD) which has led to changes in rainfall patterns in the
country causing incessant droughts and floods, making the demand for clean water high.
(Manatsa) [5] This has also resulted in poor harvests in most parts of the country. As a result,
there is inadequate food leading to high incidence of malnutrition and deaths. Recently it has
been reported that about two million people will require food aid to augment the little
harvested food in the country [6]. These shortages have also been caused by poor water
management practices.
It appears that population growth, climate change, water pollution and low technological
advancement are major sources of lack of clean water in many developing countries. Lack of
clean water is one of the leading problems resulting in hunger, diseases and high death rate.
Approximately 2.2 million people die of waterborne diseases each year (Mintz, Bartram,
Lochery and Wegelin). [6] These waterborne diseases include cholera, diarrhoea and bilhazia.
Stagnant, polluted water provides breeding ground for mosquitoes that cause the deadly killer
disease, malaria. This implies that clean water is crucial for people‘s survival and reduction
29
of mortality. Population growth and migration strain existing water and sanitary infrastructure
in Zimbabwe‘s urban centres.
This scenario is worsened by increasing water pollution in Zimbabwe‘s reservoirs especially
for urban centres. The country has experienced dwindling water resources such that most
water reservoirs have drastically dropped to alarming levels caused by the many competing
uses of water. These are being triggered by the pro rata increase in population, urbanization,
agricultural and industrial activities. Water is mainly being used for irrigation of agricultural
activities taking place in many parts of the country to meet the demands of the growing
population. Most industrial activities are polluting water bodies because of the weak
enforcement of legislation governing the pollution. This is mainly because the fines for
polluting the environment are very low and industrialists choose to pollute and pay the cheap
fines.
More so, Winpenny [7] highlighted that water provision in developing countries has led to
deadlocks. These deadlocks have been witnessed too in Zimbabwe‘s urban centres where
residents have failed to reach agreements with Zimbabwe National Water Authority
(ZINWA) and Local Municipal Authorities over water provision. Due to water shortages
Local Authorities embarked on water rationing which further reduced water allocation and
supply to residents in urban areas. This led to disputes between ZINWA and residents.
Residents in most towns teamed up and formed Combined Residents Associations aimed at
putting pressure to ZINWA, Government and Local Authorities to improve service delivery
on water and waste management.
Conflicts have also erupted among residents over water in both urban and rural centres where
boreholes that provide clean water are few. A significant part of population in Zimbabwe
resides in rural areas where infrastructure is not well developed. Due to the limited numbers
of boreholes, women and children both in urban and rural areas travel for long distances to
fetch water in nearby streams causing a health hazard since these water sources are
unprotected and often susceptible to pollution. Searching for water is a burden for most
African women who suffer physically and have psychological stress of having to travel for
long distances carrying water, some with children on their backs.
In some residential areas like Zimre Park in Harare there is virtually no water which comes
from the taps and the residents rely on boreholes and wells. In other residential areas water
pours from the taps in the morning and in the evening for one to two hours only, in each
instance. Thus, in the afternoon it is rare to see water flowing from the taps. Local
municipalities are struggling to acquire chemicals to treat drinking water, which comes from
the highly polluted reservoirs. As a result of this, there was cholera out break which caused
high sickness and death rate during the period 2008-2009. Such observations really call for
appropriate technology to improve access to clean water as well as proper water preservation
methods.
Role of universities in water education
Institutions of higher learning have a responsibility to reach out to the world with the
knowledge they possess to enlighten the people on how to access clean water. The need to
train staff and community to save water and have mechanisms of sustainability such as water
management, waste and disposal management is paramount in developing countries.
Universities can join hands and put in place policies for sustainable use of water. For instance
30
they can integrate water sustainability into their curricula making it part of the educational
experiences.
The academic world has to create awareness through offering courses and carrying out
community outreach on appropriate technology for water conservation and purification. An
example of the initiative made by University of Colorado, Boulder can be adopted. It
established a Centre for Appropriate and Sustainable Technology (CAST) aimed at
developing internationally responsible students who can create sustainable technologies and
business solutions applicable to development problems faced by poor communities around
the world. [8] This was a step in the right direction through which students have to focus on
research and development that bring out new ideas and technologies. Though noble, this is in
conflict with Troy‘s [3] assertion that planners have to involve local people in the early stages
of planning for appropriate technology so that those who understand their problems and
needs better than anyone else can be in a position to invent the necessary technological
innovations to meet their needs. Rubber stamping ideas from outside by outsiders may cause
insensitivity to the real problem on the ground as well as resistance from the local people.
Universities therefore have to empower the local people with knowledge to identify a
problem, finding solutions to the problem and planning the appropriate technology as well as
implementing the innovations.
Information gathered from three Universities in Zimbabwe to assess whether water education
is being offered is shown in the table below:
Table 1: Institutions offering water education in Zimbabwe
INSTITUTION
Bindura University
Science Education
DEPARTMENT
of Environmental Science
University of Zimbabwe
Environmental Science,
Agricultural Engineering
Midlands State University
Land and Water resources
management
Examples of Courses offered
-Water Resources Management
- Water Pollution
- Watershed Management and Land
use planning, etc.
-Environmental Management,
Monitoring, principles and methods,
Waste management,
Sustainable use of Natural Resources,
etc
-soil and water conservation
-irrigation
engineering
theory,
methods and applications, etc.
It shows that water education is being offered in a variety of areas and efforts to equip
students with information pertaining water resources are being made. It was also observed
that very little activities on appropriate technology were being done. Of importance to
mention, were the strides taken on water purification where mini water purification projects
are being explored at one university. Machines that are less expensive to acquire and cheap to
maintain such as hand pumps, bush pumps and bio sand filters are being developed. The
same university has a Life Long Learning Centre offering consultancy in relation to water
management, rural water supply, sanitation and hygiene (WASH) in the surrounding urban
and rural farming Communities. This is a commendable step for Universities in which they
are practically orienting the education they provide to meet people‘s needs.
The United Nation Committee on Economic Social and Cultural Rights under scored that
access to clean water is a fundamental right to which Bordhiharma [4] reiterated that the
31
world is currently failing to meet this goal. There is need therefore to ensure that Universities
educate society at large in order to achieve better conservation measures and sanitation
Universities need to participate in monitoring consistency between national monitoring
methodologies and policies as well as resource management decision-making bodies as
monitoring of ecological integrity and biodiversity is of great concern. [9] A national
template to coordinate monitoring has been suggested where the role of universities is to
develop such national templates or guidelines for a set of environmental indicators to be
monitored at town, national or regional levels (Ward). [10] These indicators must be capable
of showing the relationship between human activity and the effects on natural resources.
Universities play a vital role in promoting the right economic framework which improves the
allocative efficiency of water. The economic allocative efficiency can be improved by
allocating certain water quotas to certain users as well as formulating strategies for
implementing the quotas. [11] The strategy includes the use of taxes, subsidies, regulations,
technology changes and also requires coordinated planning involving a number of
stakeholders. In Zimbabwe, for instance, the stakeholders include Government Regulatory
Authorities like ZINWA, relevant Government Ministries like the Ministry of Health Child
and Welfare (MHCW), Ministry of Agriculture (MOA), Ministry of Local Government
(MLG), Ministry of Environment and Natural Resources Management (MENRM), other
relevant Government Departments and Agencies such as the Environmental Management
Agency (EMA), Water Associations, Catchment Councils, Traditional Authorities and
Leaders. All these can embark on a multi - disciplinary and integrated approach on
appropriate techniques for water management.
Powerful water coalitions among engineers, financiers and politicians are necessary to
increase water supply as each stakeholder plays its role effectively. [12] Participatory
approaches have to be adopted to ensure that all stakeholders are involved in finding
solutions to a thirsty planet. The Universities should make strategic partnerships for
educating influential stakeholders on water conservation. Some outreach programmes are
being made by lecturers educating farmers on the effects of certain practices that lead to
water scarcity such as deforestation and stream bank cultivation so that they implement
conservation agriculture. Community can also be taught how to use chemicals, solar
disinfection and safe water storage in order to make drinking water safe as well as promote
behavioral change through theatre. The need to produce handbooks to ensure that water
education trickles down to all concerned people becomes vital. Hence universities have a
major role to play in promoting production of the handbooks.
University curricula and methods of training have to be reviewed. There is need for
interaction among Universities on how best to develop suitable curriculum. For instance at
one university lecturers have attended curriculum review, teaching and learning workshops
geared towards improving water education offered at the university. More so, universities can
develop partnerships with engineering companies (locally and internationally) to help in
skills development, thus promoting sharing of ideas. The writers observed that lecturers were
getting the opportunity to further their studies at PhD and Masters as well as attending a
variety of short courses, conferences and workshops both locally and abroad.
Universities can advance research on technology that can be used to access clean water. After
the research, they can also transfer contemporary and emerging water resources issues to the
community. Education and research provide information to people thereby developing
capacities of people. A variety of research projects by both students and lecturers were in
32
progress on waste management – reduction of pollutants, conservation agriculture, as well as
cheap to buy and maintain water purification methods such as hand pumps, bush pumps and
bio sand filters. Public seminars on global climate change were hosted at one university.
Challenges faced by Universities
Universities have challenges in changing perceptions of people especially in developing
countries that fetching clean water is a responsibility of women. Therefore there is need to
create awareness that appropriate technology is a problem for both genders. There is also a
donor dependency syndrome by most communities which usually thwarts the development of
an initiative mind among local people.
Planning and construction of water infrastructure is impeded due to lack of finance. Due to
poor remuneration, most universities have experienced high turnover of staff in the
engineering field, as they move to other countries. This is a major drawback in efforts to
educate people on appropriate technology. As a result there is lack of necessary skills to steer
ahead technological programmes that may be initiated.
Lack of proper and friendly legislation is also a challenge. For example in Zimbabwe one
needs police approval to form a gathering thus affecting outreach programmes. The laws
should be flexible to allow efficient outreach programmes. It seems there is lack of law
enforcement when it comes to limiting pollution in most developing countries where the main
polluters are large industries. These industries pollute the environment because of their ability
to pay the cheap fines.
Lack of efficient transport systems among universities has also proved to be a hindrance for
community engagements efforts especially in remote areas. Another contributor to this is the
fact that some communities are generally ignorant of the importance of conserving water
resources such that they can be adamant to change. Hence there is also a great challenge for
university personnel in identifying appropriate techniques for imparting knowledge to such
communities. As a result one university has started an Environmental Action Awareness Club
for the purpose of outreach programmes. In addition all the Universities were hosting Public
lectures and Seminars on water related topics to educate communities.
Way forward
The vision of the writers is to see universities on the centre stage of developing appropriate
technology for use in finding solutions for a thirsty planet. Their activities in teaching,
community service, research and project development, management and implementation
should be harnessed towards developing capacities of local people.
The graduants when churned out of the universities should be in possession of appropriate
technology skills as clear testimony of the education they have gone through. Hence they
should demonstrate the knowledge and skills gained by being in a position to develop
appropriate technology using local resources for the local people. Again through community
participation, students, lecturers and communities can work hand in hand in identifying water
related problems, solutions to the problems as well as planning the interventions to
appropriately solve the problems of a thirsty planet. Major input by universities is to provide
knowledge and technical support as well as empowering the local people to use their local
resources.
33
The vision also is to see resourceful students, lecturers and communities that are equipped
with relevant skills. Such skills may promote team work for solutions to problems facing the
country. Hence people may not rely on prescribed solutions that in many cases fail due to
lack of involvement of the local people. Awareness campaigns should be carried out by
universities to ensure understanding of appropriate technology even by those who have not
attended training. This can be done using public media, workshops, theatre and visits to
remote areas. These activities can go a long way in enhancing communities with knowledge
and skills disseminated in simple terms. Grants from Government or donors to support the
initiative to solve water shortages can also make this possible.
Most Universities in Zimbabwe have farms which lecturers and students can use for
experiments to test new ideas and innovations on water conservation and issues concerning
agriculture and water. Communities must be equipped with knowledge and skills on
agricultural methods and crops that need less water. Use of demonstrations for early adopters
to new technologies is therefore very essential. However, a lot of funding and personnel with
requisite skills are required for demonstrations to be successful.
The Government must ensure that there is water conservation both at household and
institutional levels and that there are strict laws to control water pollution. Waste water
reclamation and recycling programmes can be implemented. In addition, ground water
mining in form of boreholes and rain water harvesting in form of gutters and infiltration tanks
can be encouraged.
Conclusion
Education on environmental conservation is crucial for long term and short term solutions to
water shortages on our thirsty planet. Through research universities can come up with
fundamental concepts for managing and monitoring water use and preservation. Curriculum
on water education has to be adopted by all universities. This may enable technological
advancement among graduands who are the future community. Capacity building is therefore
a collective proposal for further development. There is need for knowledge sharing among
universities so that communities have maximum benefit on water conservation and
management. It is important to note that ―the water we pollute today maybe the very water
for our future requirements‖, [13] Hence the need for collective efforts by all concerned to
ensure that environmentally friendly measures that allow proper usage and saving of the
scarce resource are put in place.
Acknowledgements
We would like to acknowledge with heartfelt gratitude Conference organisers, Mrs. L
Mujuru, Ms. E Madungwe (Bindura University of Science Education), Mr. M Shumba
(Midlands State University) and Mrs P Gandidzanwa (University of Zimbabwe) for their
advice, support and valuable suggestions that made this paper possible. Our deepest gratitude
also goes to our families and to God who made all things possible.
REFERENCES
[1] Byron, J (2007). Water Wars: The Need for a National Water Policy.
http://handle.dtic.mil/100.2/ADA469088. Accessed 11 June 2010
[2] Herald 31 July (2007) Kwidini, T. The Herald July 31, 2007 Water Shortages in Capital
Leave Residents Desperate
[3] Troy, S. What is Appropriate Technology? Jade Mountain Inc.
http://www.gdrc.org/techtran/appr-tech.html. Accessed 8 July 2010
34
[4] Bordhiharma 6th Century (2006) All know the way, but few actually walk it.
http://www.unesco.org/water/wwap/wwdr/wwdr2/pdf/wwdr2_ch_15.pdf Accessed 15 June
2010
[5] Manatsa D (2009) Seasonal Forecasts:-Decoupling Of The Primary Predictors From
Regional Rainfall In The Recent Decade, Unpublished Paper presented at a Land Use
Science Workshop at Bindura University of Science Education on 2-4 November 2009
[6] Mintz E, Bartram J, Lochery P and Wegelin M (2001). Not just a drop in the bucket:
Expanding
access
to
Point-of-Use
Water
Treatment
Systems.
www.guardian.co.uk/news/datblog/2009/mar.../access-water
[7] Winpenny, J.T. (2002), Powerless and thirsty? The out look for energy and water in
developing countries. Utilities Policy, Volume 2, Issue 4, pp290-295
[8]University of Colorado at Boulder- Creating Appropriate Technologies for
Developing World. nciia.org/node/917 Accessed 10 June 2010
[9] Bryman, A. and Cramer, D. (2000) Qualitative Data Analysis for Social Scientists.
London Routledge
[10] Ward, J.C. (2002) Environmental Indicators for State of the Environment
Reporting, Information Paper No. 21, Centre for Resource Management, Lincoln
University Canterbury NZ
[11] Mohamed, AS and Savenije, HHG. (2000) Water demand management; Positive
incentives, negative incentives or quota regulation? Physics and chemistry of the Earth
Part B Hydrology, Oceans and Atmosphere. Volume 25 Issue 3, pages 251-258
[12] Gumbo, B. and Van Der Zaag, P. (2002), Water Losses and the Political Constraints
to Demand Management: The Case of the City of Mutare, Zimbabwe
[13] Kanda A (2009) Land use Science and Water Resources, Unpublished Paper
presented at a Land Use Science Workshop at Bindura University of Science Education on 24 November 2009
35
AN APPROPRIATE TECHNOLOGY CHECKLIST
Charles C. Verharen* and John Tharakan
Departments of Philosophy and Chemical Engineering, Howard University,
Washington, DC, USA E-mail: [email protected]
Key Words: Ethics, rationality, appropriate technology, checklist
Abstract
The protocol for the International Network on Appropriate Technology (INAT) defines the
objectives and methods of globally sustainable and equitable technology. This essay
provides a checklist for INAT members to use in assessing the merits of proposed
technologies. Checklist items serve as reminders of steps to be taken while engaged in lifecritical measures. The checklist focuses on three aspects of proposed projects: their
rationality, ethicality, and compatibility with key features of appropriate technology.
Justification for the first two sets of checklist items flows from the origins of rationality and
ethicality in evolutionary processes. The rationale for the last set evolves from historical
applications of appropriate technology.
INTRODUCTION
The protocol for the International Network on Appropriate Technology (INAT) defines the
objectives and methods of globally sustainable and equitable technology. This essay
provides a checklist for INAT members to use in assessing the merits of proposed
technologies.
The checklist model derives historically from aviation [1] and more recently from hospital
practice [2, 3]. Checklist items serve as reminders of steps to be taken while engaged in lifecritical measures. Two points are key in using checklists. First, careful use of the checklist
does not always guarantee successful outcomes. The items must be applied in the context of
collective professional practices. Second, correct use of the checklist items is a matter for
professional judgment rather than algorithmic rule application.
In the context of the INAT protocol, not only scientists and engineers but also social
scientists, ethicists and members of the communities in which appropriate technologies are to
be deployed should use the checklist for collective decisions. Where practical, social
science professionals should include economists, political scientists, psychologists,
anthropologists, sociologists, and social workers. Physical science specializations will vary
according to the nature and environmental context of potential projects, but at the very least
biologists, chemists, physicists, and environmental (including earth and atmosphere)
scientists should be on call. Participation of ethicists with field experience is critical.
The checklist focuses on three aspects of proposed projects: their rationality, ethicality, and
compatibility with key features of appropriate technology. Justification for the first two sets
of checklist items flows from the origins of rationality and ethicality in evolutionary
processes. The rationale for the last set evolves from historical applications of appropriate
technology.
36
RATIONALITY
Defining rationality is the first step in constructing a checklist. Rationality is our
capacity to select and carry out our goals. Before rationality became self-conscious or
reflexive, goal selection and execution were automated processes. Goals unencumbered by
humanity‘s capacity to construct mythical goals were survival and flourishing, set within the
limits of the environment. Humans share these goals with other organisms.
Because our large brains have given us the capacity for massive abstraction and
imagination, we can now change the environment to suit our goals in ways that other animals
do not. Our rationality now includes not only goal selection but the capacity to alter
―naturally ordained‖ goals through rationality‘s reflexive function.
Like language [4] and morality [5], rationality is both genetically and culturally
endowed. As humans are capable of speech and moral behavior, so they are also capable of
expressing rationality in the form of science. Here I use science in the sense of abstracting
from experience to form guiding generalizations. (Experience includes mental as well as
sensory phenomena—even the most theoretical mathematics is, after all, an experience.) As
those generalizations begin to conform more precisely to the constraints of rationality itself,
science begins to take on its modern mathematical form.
Rationality‘s constraints follow from its evolutionary function. The complex brain
and its capacity for imagination and abstract thought augment our capacity for survival. A
brain mapping and basing its behavior on selected patterns in its environment has a better
chance of survival than an organism that reacts ―blindly‖ to its circumstances through
chemical signals or purely automated stimulus-response mechanisms.
Humans are gifted with the ability to externalize their mapping functions through the
use of symbols. Symbols express their own survival capacities by triggering emotional
responses that move us to replicate them—the memetic process. Symbols have emotional as
well as semantic and syntactic meaning. We select symbol sets, theories, in part by reason of
their capacity accurately to reflect our experience. Culture, education, and other experiences
shape our rationality.
RATIONALITY CHECKLIST
Item 1: Semantic And Emotive Meaningfulness
We are prompted to ensure the emotive, semantic, and syntactic force of the symbols we use
to ―re-present‖ experience (the first presentation was through the senses). Symbols used to
present candidates for appropriate technology must in their net effect be emotionally
compelling. Their semantic meanings, the networks of relations that tie them to experience,
must be clearly understood. The ambiguity of symbols flows from their very etymology:
―symbols‖ are literally ―throwings together.‖ Symbols acquire their meanings through
(initial) acts of choice. The nature and limits of choices of symbols must be continually
reviewed.
Item 2: Correspondence Between A Technology’s Theoretical Aspects And Its Tested
Results
Every proposal for an appropriate technology is conveyed through symbols, whether they are
elements of ordinary spoken language or graphic representations such as blueprints. Those
symbolic representations of a technology and its predicted consequences must be carefully
mapped onto experience. The correlation of symbolic representation and experience is
enshrined in what is called the correspondence theory of truth. One of the primary functions
of the brain is to establish correlations between its states and those of the environment.
37
Item 3: Non-Contradictory Character Of A Technology’s Theoretical ElementsA third
prompting insists that theoretical proposals for appropriate technology cannot offer
contradictory representations of experience. The primary instrument of rationality is reason.
Reasoning most simply defined is the process of connecting experiences by means of abstract
patterns. It would be ―irrational‖ to claim that a thing ―x‖ is connected to something else ―y,‖
and at the same time in the same way is not connected. This ―law‖ of non-contradiction is so
important in the history of thought that it serves as the foundation of the coherence theory of
truth.
Item 4: Practicality or Effectiveness Of A Technology
A technology that cannot execute the purposes for which it is designed is an unacceptable
project. Thinking itself has evolved by reason of its practical nature. The practicality of
proposed projects is enshrined in the pragmatic theory of truth. This theory holds that it is
never possible to know the truth in any absolute way. The best we can achieve is to hold
beliefs that yield the consequences we aim to achieve.
Item 5: Widest Possible Application Of A Technology
A fifth prompting demands that proposals for appropriate technology have the widest
possible application. A technology that can perform multiple functions is to be favored over
one that can execute a single function, other things being equal. This prompting follows from
the conviction that our theories or technical proposals should cover the widest possible range
of experience. The evolution of computers from calculating machines to multi-tasking
devices is an example of this principle in action.
Item 6: Simplicity Or Economy Of A Technology: “Doing The Most With The Least”
A sixth prompting is the truest test of the intellectual power of a technology proposal: KISS,
or Keep It Simple, Solomon. An engineer who can streamline a device so its every part is
indispensable to its function is simply a genius. Thinking is itself the art of abstraction.
Abstraction in its original sense is literally a ―pulling apart‖ of a pattern from an experience.
The simpler the pattern, the higher its degree of abstraction. The test of a pattern‘s simplicity
is the number of symbols required for its representation. The fewer symbols required for a
proposal‘s representation of experience, the more abstract the proposal.
Item 7: A Technology’s Capacity To Stimulate Reexamination
The seventh and final prompting springs from the conviction that no matter how good a
technology is, there must be some way to improve on it. Technologies that by their very
nature induce us to rethink the ways we think exemplify this checklist item.
APPLYING THE CHECKLIST: RULES NOT INCLUDED!
None of the seven items on the rationality checklist are ―make or break‖ items Compliance
with checklist items cannot guarantee a technology‘s ―perfect‖ rationality. For example, the
theories underpinning a technology may be false, even if the technology itself works perfectly
well. A proposal to drain a swamp to stop malaria‘s spread might follow from the hypothesis
that ―bad air‖ (the roots of the term mal-aria) is the cause of the disease. If the swamp is in
fact the exclusive breeding ground of the anopheles mosquito, the technology would be
practical. But the underlying theory would be false.
Rationality is a function of connectivity. The rationality of a technology can be measured by
the numbers and kinds of connections that issue from its guiding principles. A technology
may fit several items on the checklist and fail utterly on others. The items are intended as
38
reminders rather than as strict rules for a technology‘s compliance. Particular evaluation
metrics may not be pertinent in some cultural contexts and applications [6].
ETHICALITY
Ethicality first requires its own definition. Ethics has acquired the sense of a field distinct
from morals. Morals refers to behavior that is customary or acceptable in a given society.
Ethics means the study of morals and more deeply the study of value itself. What is valuable
is what is desired or, more strictly, what is desirable given some set of fundamental
assumptions.
At its most basic level, ethics considers appropriate mechanisms for choosing principles or
values to guide our lives. Rationality and ethicality are analogous in the sense that both are
complex phenomena that cannot be given a single-factor analysis. Both are indispensable for
choosing the directions of our lives. We draw an analogy between tests for rationality and
ethicality. Just as rationality cannot have a single defining criterion, so ethicality is expressed
through a basket of values.
Philosophers like Plato, Aristotle, and Kant have exaggerated rationality's importance,
declaring it to be the primary human value. However, rationality itself depends on our
survival for its exercise. Pleasure also drives us toward survival, as do love, caring, and
community bonding in our lives. Freedom, happiness, and meditation as well are close allies
of survival. Nevertheless, survival cannot be given a role as the preeminent value because
many humans whom we respect and cherish over the ages have sacrificed their own survival
for the sake of values they deemed more important than survival—love in the case of Christ,
duty for Socrates, satyagraha for Gandhi.
Item 1: Survival
Does the proposed technology promote the survival of those for whom it is intended? Over
the past five thousand years of recorded human experience, no debate has been more
contentious than the question of an ultimate value: does some single value serve as the
foundation for all other values? The most brilliant philosophers have proposed a wide range
of answers to that question. One fact overrides all ethical controversy: to be good is first of
all to be. Unless we exist, unless we survive, all reflection on value is impossible.
Item 2: Flourishing Or Happiness
Does the proposed technology promote the flourishing of those for whom it is intended? The
concept of ―flourishing‖ takes its meaning from biology. We speak of organisms as
flourishing if their basic needs beyond mere survival are met. The conditions for basic
human survival are air, temperature control, hydration, nutrition, health care, and education.
Given the prospect of global climate change, we must deploy technologies that are additive
with respect to the environment (cf. the cradle to cradle configuration of industrial ecology,
McDonough and Braungart [7])
Item 3: Rationality
Does the proposed technology execute the seven checklist items for rationality in the most
appropriate ways? From the vantage point of evolution, rationality is the instrument that has
driven the human population from a handful 200,000 years ago to nearly 7 billion strong
today.
39
Item 4: Community Solidarity
Does the proposed technology promote community solidarity in the best possible ways?
Philosophers like Mo-Ti and Christ in East and West Asia have claimed that love or the
bonding power of any community whether large or small is the primary human objective.
From an evolutionary viewpoint, humans are incapable of surviving without community
support.
Item 5: Freedom Or Creativity
Does a proposed technology enhance the freedom of the communities in which it is to be
deployed? Here we use the term freedom to mean ―freedom of choice.‖ We have choices
because of our rationality, our power to abstract from unique experiences to form
generalizations. Generalizations allow us to predict and thereby control the future. From an
evolutionary point of view, freedom as the ability to create variation in our lives is a primary
guarantee of our survival.
Item 6: Pleasure
Does a proposed technology enhance the pleasure of the communities in which it is to be
deployed? We can give an evolutionary explanation of pleasure by saying it is the driving
mechanism that points us in the direction of the behaviors necessary for the survival of the
species.
Item 7: Meditation Or Contemplation
Does a proposed technology enhance the capacity of its users to think about their thinking?
Central and East Asian cultures affirm that meditation is a primary value.
Meditation is
perhaps best defined as the control of the attention by the attention. Our survival depends on
paying attention to the right thing at the right time. Organisms that can control their attention
through rational reflection can exert some measure of control over their survival
APPLYING THE CHECKLIST: CAN ETHICAL VALUES BE RANKED?
The separate checklist values have their champions in the history of philosophy. Each great
philosophical tradition makes a case for a single value‘s having overriding status. Can these
disparate values be ranked or does each hold an independent status, as is the case with the
basket of values comprising rationality? Survival may under certain circumstances trump all
other values—particularly for communities or for the whole earth population when survival is
at risk
APPROPRIATE TECHNOLOGY EVALUATION AND IMPACT ASSESSMENT
Appropriate technology has been a contentious issue since Schumaker [8] decried megaprojects as the only route to improving the quality of life in the ―third‖ worlds of the sixties.
Developing the concept that ―small is beautiful,‖ he focused on community level needs. He
proposed small scale, affordable technologies that would have an immediate impact on
improving the health and well being of under-developed communities. Rybczynski [9] and
others have debated appropriate technologies‘ contributions to sustainable development.
While appropriate technology is not a panacea, it has demonstrated its potential to improve
the quality of life when developed with community members as key players throughout the
process.
In this community development context, it is important to frame a set of questions that help
evaluate the effects of a proposed technology. These questions should set a standard
comparable to the environmental impact assessments that are now de rigueur for the
40
implementation of any project. The questions must not be restricted to any particular set of
issues. This open-ended approach will ensure that all issues that may be important in any
given application context will be considered. Table 1 lists a sample set of questions.
TABLE 1
Checklist for Appropriate Technology Evaluation and Impact Assessment
1. Does the project require small or large amounts of capital?
2. Does the project emphasize the use of locally available materials?
3. Is the project going to be relatively labor intensive or is it going to be capital
intensive?
4. What is the scale and affordability of the project/technology? Can individual
families in the community afford it?
5. Does the context of the project require a scale that is local or global?
6. Is the project/technology understandable without high levels of training? Can
it be controlled and maintained by local community members without
specialized education?
7. Can the technology be produced in villages and/or small shops?
8. Will the project contribute to community members working together to
improve the quality of life/standard of living?
9. Does the technology/project process include local communities in
technology/project innovation, modification and implementation?
10. Is the technology adaptable and flexible? Can it be adapted to different
places and changing circumstances?
11. Will the technology/project have an adverse impact on the environment?
12. Is the technology/project sustainable, both with respect to the environment
and to technology repair and replacement when and if skilled professional
support is no longer available?
13. Does the project/technology offer the opportunity and have the potential to
enhance local, national, and global justice and equality?
The rationale for appropriate technology assessment springs from several perspectives. First
and foremost, appropriate technology permits local needs to be met more effectively as
community members become involved in identifying and addressing local community needs.
Appropriate technology also implies that tools are developed to extend human labor and
skills within the community, not to replace or eliminate them.
Furthermore, appropriate technology, relying on local materials and skills, represents a scale
of activity that is comprehensible and controllable at the community level. Appropriate
technology permits a more economical technology development and implementation process
by eliminating long-distance transportation costs. In the same vein, it makes expensive, and
sometimes unavailable, financial, transportation, education, advertising, management, and
energy services unnecessary.
With its emphasis on empowering local communities, appropriate technology helps establish
a self-sustaining and expanding reservoir of skills within the community it seeks to serve,
thus lessening economic, social and political dependency.
Appropriate technology is always situation-specific, depending on local community desires,
geography, culture, location, availability of materials and other factors. Economic
41
considerations are also critical. Judging appropriateness must reflect overall costs and
benefits, including beneficiaries and payees.
However, non-economic criteria must play a large role in choosing appropriate
technologies. The empowerment specified in the INAT protocol demands that technological
choice be localized. And caution must be exercised with respect to institutional prejudices
influencing technology choices.
*Portions of paper adapted from Verharen 2008, 2006.
REFERENCES
[1]Turner, T. 2001. Controlling pilot error: Checklists and compliance. New York:
McGraw-Hill Professional.
[2]Provonost, P. and Vohr, E. 2010. Safe patients, smart hospitals: How one doctor‘s
checklist can help us change healthcare from the inside out. New York: Hudson Street Press.
[3]Gawande, A. 2009. The checklist manifesto: How to get things right. New York:
Mtropolitan.
[4]Chomsky, N. 2000. On nature and language. New York: Cambridge University Press.
[5]Hauser M. 2006. Moral minds: How nature designed our universal sense of right and
wrong. New York: Harper Collins.
[6]Tharakan, J., M. Castro, J. Trimble, D. Schwartzman, B. Stephenson, T. Broome, and C.
Verharen. 2005. Diversifying Engineering Education: A Seminar Course on the Ethics and
the Philosophy of Appropriate Technology, Global Journal of ngineering Education 9:2,
2005, 111-119.
[7]McDonough, W., and M. Braungart. 2002. Cradle to cradle: Remaking the way we
make things New York: North Point Press.
[8]Schumaker, E.F. 1989. Small is Beautiful. New York: Harper Perennial.
[9]Rybczynski, W. 1980. Paper heroes: A review of appropriate technology. New York:
Anchor/Doubleday.
[10]Verharen, C. 2008. Survival Ethics: Consequences for Appropriate Technology.
Proceedings of the 3rdInternational Conference on Appropriate Technology. Kigali, Rwanda:
Ministry of Science and Technology, 2008, 268-274.
[11]Verharen, C. 2006/08. Sage Philosophy, Rationality and Science: The Case of Ethiopia.
Ethiopian Journal of the Social Sciences and Humanities 4:2, July 2006 (published March,
2008), 13-32
42
Placer Mining and the Guyana Environment
Dalgety W. T.
Director, Guyana Geology and Mines Commission GGMC, Georgetown, GUYANA
Key words: placer, sluicing, tailings, solid waste and sanitation, process, reclamation.
Abstract
This paper is prepared by a Director on the Board of the Guyana Geology and Mines
Commission (GGMC) based on his visits to gold and diamond mining operations in rivers and
riversides in Guyana. Gold mining is an important source of income for small and medium
scale producers and the nation. The paper gives an overview of gold mining operations,
challenges and the approach to solutions to these challenges. This includes a discussion of
tailings management; solid waste management and sanitation; process improvement;
reclamation. The international call to desist from the use of mercury gives rise to the need for
greater consideration of all factors that lead to sustainability. Greater collaboration between
West African and Guyanese miners is recommended based on shared geological history when
millions of years ago the Precambrian Shield of Guiana and south West Africa was one land
mass.
INTRODUCTION
One of the most striking physical features of Guyana which occupies the North Central
corner of South American is its rivers. Most of Guyana‘s main rivers either flow East such as
the Potaro, Mazaruni and Cuyuni rivers; or they flow North such as the Essequibo, Demerara
and Berbice rivers. Geologically, Guyana is on the northern province of the Amazon Craton
or land mass.
Gold is a heavy mineral with a specific gravity of 19.3. It occurs in all of Guyana‘s rivers
that flow east from the Pakarima Mountain range to the Essequibo River - notably the Potaro
and Mazaruni rivers and their tributaries. Placer deposits are observed on most of the main
rivers draining the greenstone terrain which hosts the majority of the primary gold. Lode
gold is frequently found in Precambrian terrains [1]. The Precambrian rocks are metavolcanic and meta-sedimentary. A compilation of 135 types of deposits worked and observed
in Guyana by Bernard (1990) showed that within the major gold occurrences in parts of
Guyana (Barama-Mazaruni terrain):
40% of the mineralised area lodes are within greenstones and meta-sediments
30% of the in-situ deposits are near granite-greenstone contact zone
20% of the placer deposits occur over greenstone regions
10% are in other deposits including alluvial deposits and lodes in granitic and gneiss
rock [2].
Guyana‘s rivers became waterways for gold-seeking ‗pork-knockers‘ (small scale
operators working cooperatively) immediately on Emancipation of African slavery in 1838.
Hassan Arero, Curator, Africa, Oceania and the Americas Collection, British Museum
mentions how highly gold is esteemed by Africans not only for status and wealth but also as a
symbol of mental, physical and spiritual protection. Guyanese esteem gold similarly –
protection, wealth, status, power, and bonding of the genders [3].
43
Guyana has six mining districts. W. T. Dalgety was appointed on February 26, 2004 to be a
Director on the Board of Directors of the Guyana Geology and Mines Commission (GGMC).
He then began visiting gold and diamond works of native miners. He has visited operations at
Frenchman Creek, Mahdia and Omai in Potaro Mining District #2, Puruni, Oranapi and Aruwai
in Mazaruni Mining District #3, Groete River and Aurora in Cuyuni Mining District #4, and
Purple Heart Gold Mine in Arakaka in North West Mining District #5.
This paper presents an overview of gold mining in Guyana, some challenges caused
by mining operations and the numerous ways these challenges are being addressed. This
includes a discussion of tailings management; solid waste management and sanitation;
process improvement; reclamation. The basis for establishing relations with West African
gold miners is also discussed.
OVERVIEW of GOLD MINING IN GUYANA
Figure 1, Cutterhead
Figure 2, Suction Dredge (Missile)
In Guyana, gold is mined by two methods: river dredging and land dredging. River dredging
technology is described as cutterhead, suction, and missile. All three employ the force of
suction to transport gravel from river bed to the surface for processing. Cutterhead is a
mechanical cutter used to disintegrate compacted gravel before it is sucked to the surface
(figure 1). Suction dredging involves a diver on the river bed with flexible hose to suck up
loose gravel, sand and mud. Missile dredging uses a diver-less nozzle to suck up
unconsolidated gold bearing gravel (figure 2). Land dredging technology is subdivided into
a) hydraulicking (or jetting), b) dry mining. Dredge sizes range from 3 inch to 14 inch and
this represents the diameter of the gravel pump feeding the ore to a sluice box. The popular
size is the 6 inch. The process technology used to recover gold by either river or land
dredging is called sluicing.
River Dredging:
A river dredge is a floating gold processing plant. First, a pontoon is constructed of wood,
empty oil drums, or steel. The pontoon supports equipment. The essential equipment is a 6cylinder engine, an impeller pump, cutterhead, suction nozzle, or missile nozzle, a sluice box
fitted with fur mat, expanding metal and magic mat, a lavador, a battel, a gold retort, a gold
scale and mercury. Nearly all river dredges are designed and fabricated in Guyana. In
addition to the essential equipment, the pontoon supports kitchen and living space for
workers.
In river dredging, the ‗tailings‘ is deposited into the river. However, direct discharge of
tailings into a river or creek without the permission of the Commissioner of the GGMC is an
offence because this redistribution of tailings can cause navigational problems if not
adequately managed. The critical turbidity of a river in Guyana is 30 NTU (Nephelometric
turbidity Unit). However, ―operators shall ensure that discharge from a tailings pond or a
44
dredge into any river or creek shall not exceed 100 mg/L or 50 NTU,‖ Reg.240 (3)(b)(i) and
(ii)/2005 [4].
Land dredging:
Hydraulicking (or jetting) operation: The essential equipment in hydraulic mining (jetting)
is two 6-cylinder diesel engines, a gravel pump, a pressure pump, hoses, a sluice box fitted
with fur mat, expanding metal, and magic mat, a lavador, a gold scale, a battel, a gold retort,
and mercury [5].
Two engines are used in this method of mining. One engine is used to pump water from a
river, creek or stream to the mining site and the other engine is used to suck ore from a sump
called the ―marack hole‖ to the sluice box. With one engine, high pressure water jets are
directed to the gold bearing earth. These jets disintegrate loose material like sand, loam, clay
and gravel making it ―slurry‖. This slurry is channelled into the ―marack hole‖. From there,
the second engine with the gravel pump ―sucks up‖ the slurry onto the Sluice Box where the
gold is trapped. The washing cycle called ―wash down‖ follows.
Dry mining operation: Dry mining equipment includes excavators, bulldozers and loaders.
Excavators and bulldozers are used to transport the gold bearing earth towards
Surface Grading (Gold)
1.2m Grading Gravel (Gold)
1.8m Sandy Gravel (Gold)
2.7m Formation of fine Stringers (Gold)
6.1m Large Stringer Formation mixed with a Black rock that has gold.
The stringer stones are good for crusher.
12.2m Large Brown & white reef stones (very wide) - these are the ones broken
with sledge hammers for the mill.
18m Below 18m there is a yellow rock which is the real pay (3-4 dwt per battel)
30m Presently Purple Heart (May) is about 30 meters deep. At this dept
GGMC says it`s too dangerous for hydraulicking (Jetting).
Figure 3, Profile of the claim “May” (Purple Heart)
the ―marack hole‖. This mining method allows for several choices because not only loose
material is mined but also indurate cemented material. A profile of the Purple Heart mine
which includes ―hard rock‖ dredge mining is shown in figure 3. The Higgins family who
own Purple Heart Mine in Arakaka, Mining District #5, has overcome several challenges
since 1983 when the mine began production. There, gold was recovered from within the first
45
two feet of the ground, then in the sand, gravel, saprolite, and indurate cemented rock. Stone
was broken by men using sledge hammers. A hammer mill is employed to crush stones and
extract gold from them.
In other dry mining processes different from Purple Heart, the pay gravel is generally
stockpiled and washed into the ―marack hole‖ via a washing plant. Washing plants are
vibrating screens fitted with transverse jets or jetted manually by miners. A back hoe feeds
the screen with pay gravel. The washing plant is normally very near the ―marack hole‖.
After this stage is the sluicing operation.
Sluice Box Processing i.e. ―wash down‖: Since the 1850s, sluicing has been the preferred
method of capturing gold in Guyana. According to Karen Livan, ―The sluice box is
essentially an open section of a box with a sloping channel and some form of riffling or
matting to collect the concentrate. Sluice boxes are of low capital cost and require low
operating costs and simple to construct. The gold is trapped on the matting at the bottom of
the sluice box. A pre-concentrate from the sluice box is gained by washing the mats in water
and collecting the concentrate in a container. The pre-concentrate from the sluice box is
further upgraded using a battle or gold pan‖ [6]. The concentrate from the gold pan / battel
is upgraded by amalgamation with mercury. The final concentrate which is amalgamated
gold (amalgam) is then transferred to a cotton cloth. The cloth is squeezed to recover excess
mercury leaving the amalgam. The squeezed amalgam is transferred to a retort and heated to
recover gold as a residue.
CHALLENGES and DISCUSSION OF APPROPRIATE SOLUTIONS
In land dredging where ancient river beds are mined with water in a tropical rainforest
environment there are many challenges. Karen Livan wrote, ―In a small scale operation
alone, a single land dredge in Guyana moves about 130 tons of material daily. At about 1000
operating dredges in the country, about 130 million tons of alluvial is moved daily during the
mining of gold and diamonds. At most of these operations, often there are no adequate
tailings management plans and hence much of the fine particles from the materials moved by
the dredges end up in the creeks, streams, and rivers‖.
The challenges caused by handling and processing such large quantities of mud, sand and
stone for gold include siltation of rivers, turbidity of waterways, navigational problems and
mercury contamination of potable water. These may result in depletion of fish stock and
diseases. The responses to these challenges are proper tailings management, proper solid
waste management with enforceable sanitation regulations, improved processing and
retorting, and reclamation. Urgently, sustainability has to be the watchword to ensure
livelihoods are sustained while wealth is pursued.
GGMC is working towards sustainable mining. GGMC describes sustainable mining as
―present mine development that does not compromise the resources that are available to
present and future generations‖ [7]. GGMC identifies elements of sustainable mining to
include: exploration, feasibility study or assessment, environment and social impact
assessment for large scale mining operations, environmental management systems for large
and medium scale operations, mine planning, environmental management planning, mining
with environmental management, mine site reclamation and closure‖.
The mineral licence holder in Guyana sets up operation to make money. Unless he/she is
made aware and convinced of the short and long term social and environmental dangers
46
based on traditional practices, and made to consider them, he/she would cut corners for an
extra dollar. Licence holders need to be persuaded to want to change. The regular science
and legal staff of GGMC cannot systematically monitor practises at all locations. In 2002
there were about 1000 operating dredges but by the end of 2009 the number had increased to
about 2400. Visits made by W. T. Dalgety reveal the need for improvements in tailings
management, solid waste management and sanitation, processing and retort technology and
reclamation.
Tailings Management: Tailings discharges for more than 2000 operating dredges places an
environmental stress on Guyana‘s waterways. In 2008 a mining manual was prepared and
distributed by Guyana Environmental Capacity Development (GENCAPD) giving a guide to
water management, pond development and design features, self-monitoring and guidance on
how to make and use a simple turbidity tube for water quality testing [8]. The Mining
(Amendment) Regulations 2005 spell out requirements for managing tailings, turbidity
including daily monitoring of turbidity of tailings discharge. Tailings should not be directly
released into streams, creeks and rivers unless the Total Suspended Solids (TSS) is below
100mg/l. Suspended solids absorb heat from sunlight making the waterways warmer – thus
reducing the oxygen available for living things. Suspended solids can also destroy the
habitats of spawning fish and pose severe hardships for communities that live down river
from mining communities. Many Small and Medium Scale miners must be commended for
the innovative ways to successfully contain and clarify tailings and recycle tailings water.
This includes use of sand bags, setting up silt fences and planting on the silt fences. Some
recommendations of the 2008 manual have been used at Gloria Creek in Potaro Mining
District#2 and have caused a reduction of pollution levels by approximately 40%.
Solid Waste Management and Sanitation: Lack of solid waste management and
inadequate sanitary facilities exposes miners and visitors to an unhealthy camp environment.
Many camps do not have sanitation facilities or solid waste disposal pits. There is need for
community mass education to allow all the population to understand the dangers of poor
sanitation. Many young persons leave the cities and villages to get quick money in the mines.
They rarely stay beyond a few months. One assumes that if sanitary conditions were better,
family members could visit camps thus causing greater stability of the work force. Better
waste management could also release space for games and recreation.
On June 30, 2010 W. T. Dalgety wrote the Hon. Prime Minister of Guyana Samuel A. Hinds
who has responsibility for GGMC and the mining sector. The letter describes conditions
concerning water and sanitation observed at two miners‘ camps in Groete River on the 22nd
June 2010. Dalgety wrote, ―I walked around two camps. The water for both locations was
pumped from Groete River. The sanitary conditions at the camps were unacceptable. Toilet
facilities are non-existent. Garbage is strewn in the surrounding space. This space is
adequate for recreation after work if solid waste management is employed. Dalgety noted
that there was an abundance of water but little was directed towards recreation and sanitation.
We must insist and regulate mining camps to be fit for grandmothers in the march of
progress‖.
The letter also went on to state that ―it should not cost a licence holder G$100,000.00
(US$500.00) to install a modern toilet that can be moved from one camp site to another‖ and
it ended by stating that ―many licence holders visit their properties but consider it
unimportant to improve conditions under which their male miners work. It is our concern in
the peopling of our country‖[9].
47
The Prime Minister fully supported the thrust of the letter. His response was that ―camps can
and ought to be improved – visits of family members of workers in the camps should be
facilitated‖. He was ―100% in agreement‖ that modern toilets should be installed at camp
sites to accommodate significant females. Improved sanitation in mine camps was addressed
by a GENCAPD draft proposal in early 2010. The design of GENCAPD toilets for
adaptation by miners (Figure 4) was recently posted at main mining locations. These toilets
could be erected at an estimated cost of about G$125,000.00 (US$625.00) [10].
Figure 4, Flush Toilet Design for Miners
Process Technology: Improvements in process technology will help to reduce waste and the
level of contaminants entering the environment. The Shaking Table fed by a Vibrating
Screen process to optimize gold recovery without mercury use is being demonstrated in
mining districts throughout Guyana. Other equipment beyond the sluice box used to increase
recovery of gold includes the pinched sluice (called ―warrior‖ locally), centrifugal
concentrators, and jigs. Although these technologies are in use by some miners they are not
in widespread use. A closed retort system should be the norm. In this system mercury
vapour is captured during the final processing stage and recycled. This ensures that mercury
is not being released to the environment.
Reclamation: GGMC recognises that successful reclamation of mined out areas provides the
best legacy the gold mining industry can leave for future generations of Guyanese.
Reclamation was successfully demonstrated at some mined out areas where pastures for small
ruminants, lime, acacia and fast growing Paulownia trees were established. The Paulownia
could be harvested for timber, energy, paper pulp and forage as a second career for exminers. Reforestation of mined out sites is consistent with Guyana‘s Low Carbon
Development Strategy (LCDS) as it increases standing forest while rehabilitating sites
disturbed by mining. GGMC has a plant nursery at Mahdia, Potaro mining district #2,
providing seedlings for mine site reclamation.
48
GUIANA and WEST AFRICAN MINERS COLLABORATION
Written in the GGMC ‗The Mining Sector In Guyana 2010‘ report is the following: ―Guyana
lies within the Amazonian Craton. The Amazonian Craton is subdivided into two geographic
shields, the Guiana Shield in the north (in which Guyana is situated) and the Central Brazil
(Guapore) Shield in the south. The Amazon Craton shows striking similarities to the West
African Shield. Both connected and formed part of a larger continent, prior to the opening of
the Atlantic during the Mesozoic period‖.
With this similar geology, figure 8 shows a number of gold mines and gold occurrences in
Venezuela, Guyana, Surinam, French Guiana, Ghana, Guinea, Mali, Burkino Faso, Ivory
Coast, Liberia, and Nigeria [11]. Small and Medium Scale miners of all these countries
should associate and take advantage of their endowment. The heritage of courage and motive
to search for gold needs accelerated action to be more affective and beneficial to the African
Diasporas in gold mining. A congress jointly organised by Guyana and West African mining
associations should be held as soon as possible to address this goal.
Figure 8, Guyana shield and West African craton
CONCLUSIONS and RECOMMENDATIONS
1. GGMC is moving generally in the right direction in terms of tailings management;
solid waste management and sanitation; improved processing and retorting; and
reclamation.
Academically capable Guyanese should perceive a career as miners. Two-thirds of
gold mining is done by persons with little secondary education and technical training.
This needs to change. A lot more has to be done in the education of miners. In
addition to mining manuals other means should be made to educate miners in the
basics of tailings management, solid waste management and sanitation, processing
including retorting and reclamation.
2. A lot more has to be done with respect to collaboration among West African gold
miners and African gold miners in the Diasporas – in Guiana and Guyana particularly.
3. A West Africans in the Western Hemisphere conference in mines management should
be held as soon as possible.
49
REFERENCES
[1] GGMC, The Mining Sector in Guyana, p4, 2010
[2] Kantharaja D C, Gold (Au) in Guyana, p1, 2006
[3] Arero H, Gold and Silver links, p1, (unpublished)
[4] GGMC, Checklist for GGMC Determination of Forest Clearing by Mining for
MRV/LCDS, Education and Awareness and Technical Assistance to Miners, Environmental
Monitoring, Compliance Enforcement, and Geological Mapping and Exploration Campaign,
February to March 2010, p8, 2010
[5] Johil Commercial & Transport Agency, 6‖ Gold Quotation, 2010
[6] Livan K, Environmental Management in Small-Scale Mining, Swiss Agency for
Development and Cooperation, 7, 267-269, 2004
[7] GGMC, Almanac 2010
[8] Hutson P, Miners Manuel: A Guide to Management and Self Monitoring, 2008
[9] Dalgety W T, Letter to Prime Minister of Guyana, 2010
[10] Hutson P, Sanitation in Mining Camps, GENCAPD Mining & communities, p4, 2010
[11] Guyana Goldfields Inc, Aurora Resource & Geology, www.guygold.com, 2-3, 2010
50
HOUSEHOLD WILLINGNESS TO PAY FOR IMPROVED SOLID
WASTE MANAGEMENT IN OSUN STATE, NIGERIA
1
Adepoju, A. A., and 2Salimonu, K. K
1
Department of Agricultural Economics, Ladoke Akintola University of Technology, Ogbomoso Oyo
Nigeria. E-mail: [email protected]
2
Department of Agricultural Economics, University of Ibadan, Ibadan, Oyo Nigeria.
Key words:
willingness to pay, solid waste, improved service, Osogbo metropolis
Abstract
Environmental quality value can be estimated from what people are willing to pay (WTP) to
improve or to restore their environment, using valuation techniques which measure peoples‘
preferences. The study examined the general features of the existing solid waste management,
household willingness potential for improved waste disposal, identified the socio economic
variables and other factors influencing WTP for improved waste disposal services. Primary
data collected from 120 households in Osogbo metropolis, was analysed using descriptive
statistics and logit regression model. The result reveals that 65 percent of the respondents
are male while 67 percent are married with an average household size of 4 members.
Majority of the respondents are in their active age with mean age of 42 years. Most of the
respondents have formal education, the average years of education is 5 years. Fifty-three
percent of the respondents are engaged in the civil service as their primary occupation.
About 37 percent of the households dispose their solid waste through burning, while 60
percent claim to dispose off their waste on a weekly basis. Irrespective of non-reliability of
waste vendors, 52.5 percent of the respondents paid between N400- N600 monthly to dispose
waste. Majority of the households (87 percent) are willing to pay for improved waste services
while most of the respondents will be willing to pay less than 5 percent of their monthly
income on waste management services. The logit result reveals that sex, household
expenditure and years of education are statistically significant at 10, 5 and 1 percents
respectively while other factors are insignificant statistically. It was recommended that
programmes that will facilitate investors (private sector) in waste disposing be initiated while
payment for this service should be made affordable to encourage those households that are
willing to pay.
INTRODUCTION
Solid wastes by definition include refuse from households, non-hazardous solid waste from
industrial and commercial establishments, refuse from institutions market waste, yard waste,
and street sweepings [7 and 4]. Broadly, Household wastes otherwise known as residential or
domestic wastes are made up of wastes that are consequences of household activities. These
according to [6] include food preparation, sweeping, cleaning, fuel burning and gardening
wastes old clothing, old furnishings retired appliances, packaging and reading materials, and
where diapers or bucket latrines are used, household waste include faecal material.
In Nigeria, many metropolises are faced with the problems of rapid expansion due to
population increase and this, no doubt, brought increasing strain on urban infrastructure
facilities. One area in which this strain has become obvious is in waste management where
the existing system appears to be incapable of coping with the heap of waste generated on
51
daily basis. The urban centers are experiencing an increased rate of environmental
deterioration, with refuse dumped along drainage channels. Most cities in Nigeria are faced
with waste management problems, and Osogbo is not exempted.
Attempts have been made by scholars, researchers, consultants and government to determine
the actual amount of waste being generated in Nigeria in general [3]. In a survey carried out
by [6] on waste generation in Nigeria. The study shows that the volume of wastes generated
by all the states increased over the period between 1994 and 1996. It was estimated that by
the year 2010, Nigeria will generate about 3.53 million tonnes of solid waste, based on a per
capita solid waste generation of 20kg per year [3].
Nigerian cities have been described as some of the dirtiest, the most unsanitary and the least
aesthetically pleasing in the world [4]. This is because some individuals are dirty, this
evidence can be seen everyday by way of indiscriminate discharge of garbage into drains and
the highways. About 75 percent of solid waste collected in most Nigerian cities is disposed in
open dumpsites. This method which is rampant is improper as it is not aligned to the sanitary
landfill recommended. It marginalizes the urban environment as a result of the negative
externalities it generates [17 and 2]. In corroborating this assertion, [6], stated that the
decomposition of wastes on dumping grounds emit intolerable smells and attract potential
diseases. The dumpsites, which are poorly maintained, are also a source of pollution and a
cause of poor urban aesthetic [6].
The economic importance of waste management on the quality of life cannot be overemphasised. Wastes that are not well managed can affect the environment in terms of the
contamination of the atmosphere, soil and water. This can cause severe problems for humans
and animals population. It can also affect human health in particular by causing convulsion,
dermatitis, irritation of nose/throat, anaemia, skin burns, chest pains, blood disorders,
stomach aches, vomiting diarrhoea and lung cancer which may lead to death [4]. It is worthy
to note that it breed flies (which carry germs on their bodies), mosquitoes, and rats which aids
salmonella, leptospirosis and other diseases they cause by biting and spoiling millions of tons
of food. Lastly, is the social effect where flood may occur as a result of dumping of refuse in
drainage especially during the raining season; an example of this is the recent flood which
happened in late July 2010 in Osogbo metropolis. Lives and properties worth millions of
naira were lost in this July flood [10].
Problem Statement.
Collection of waste used to be the responsibility of municipal authorities in the past [9],
hence, waste collection is a service for which local government is responsible [7]. In short,
waste collection is the constitutional responsibility of the local government. This
responsibility is not mutually exclusive, because, there is no local government area in Nigeria
that can afford the huge financial, technical, administrative and human resource requirements
to effectively carry out this constitutional responsibility [4]. The collection of solid wastes in
many Nigerian cities has always until very recently, been dominated by government
agencies; it has been concluded that it is the responsibility of government to solve the waste
collection problems, as part of government obligations to the citizens.
An explanation for the inability of the government to manage solid waste collection
effectively arose perhaps from the misconception of this task as a public good. Irrespective
of the fact that government gave waste collection a priority in their development objectives,
their ability to curtail the problems of waste collection deteriorates with time, due to rising
52
capital costs for plant and equipment, increasing operation and maintenance costs.
Considering the rapid spatial and population growth of most urban areas with decreasing
coverage levels, and with increase in level of waste generated, confronted by increasing
public demand for improved services [12 and 13], the need arises for the involvement of the
private sector and the civil society in the provision of municipal solids waste service. It
should be noted, however, that it is only in the large urban centres of Nigeria e.g. Lagos,
Ibadan, Warri, Suleja amongst others that the activities of formal private sector are recorded
[4]. In majority of the secondary cities such as Osogbo, they are neither totally absent or
being substituted with the informal refuse collectors such as cart pushers. This therefore gives
rise to the need to evaluate the household willingness to pay for improved solid waste
disposal services in the study area. Specifically the study examined the general features of the
existing solid waste management, household willingness potential to pay for improved waste
disposal, identified the socio economic variables and determine the factors influencing WTP
for improved waste disposal services.
Methodology
Data collection and sampling technique: The study was carried out in Osogbo metropolis.
Osogbo is the capital city of Osun State, Nigeria. It is therefore a centre of administration.
Two major local government areas (LGAs) are located in Osogbo namely Olorunda LGA and
Osogbo LGA. The third, however, is Egbedore LGA having about two-fifth of its land
coverage within the Osogbo metropolis. Osogbo metropolis has a population of
approximately 350,000 people according to the 2006 National population census. It lies on
the tropical rainforest with both favourable rainfall and adequate soil. It has an annual rainfall
of about 1130mm covering a period of 200-220 days each year. The study area was selected
because it is the centre of administration of Osun state and by this status has experienced
expansion due to population increase.
The study used primary data. The data were collected with the use of structured
questionnaires. A two stage sampling technique was used to select households used for the
study. The first stage involves stratifying the entire study area into new and old areas. The
study covers three locations in each of the two areas. The locations covered in the new area
include Agunbelewo, Odekale and Ataoja Estate while locations covered in the old area are
Oke-onitea, Jaleyemi and Dada Estate. Twenty households were randomly selected from each
of the locations and this forms the second stage. A total of 120 households were sampled
from both areas, i.e. sixty households from the old area and sixty households from the newly
developed area.
Descriptive statistics such as frequency distribution tables, mean and standard deviation were
used to analyze the socioeconomic characteristics of the respondents. The logit model was
used to determine the mean willingness to pay for improved waste disposal service by
households. The logit model which is based on the cumulative probability function was
adopted because of its ability to deal with a dichotomous dependent variable on a well
established theoretical background. Logistic regression, according to [11] is a
uni/multivariate technique which allows for estimating the probability that an event will
occur or not through prediction of a binary dependent outcome from a set of independent
variables. The model specified by [8 and 15] was adopted for this study as used by [5] in a
study on willingness to pay for improved conservation of environmental species in the USA
and [17] on willingness to pay for improved household solid waste management in Ibadan
North Local Government Area, Oyo State.
53
Willingness to pay(WTP) of the households for improved waste disposal services
The logit regression model specified below was used to obtain the willingness to pay of the
households for an improved water supply. The coefficient estimates obtained were then used
to calculate the mean willingness to pay of the households as used by [1].
Pi
E (Y
1/ X i )
1
1
e
(
0
1X i
1
)
Where Pi is a probability that Yi = 1
Xi is a set of independent variables
Y is dependent variable
ß0 is the intercept which is constant
ß1 is the coefficient of the price that the households are willing to pay for improved
water supply
Mean willingness to pay for improved waste disposal by households was calculated using the
formula derived by [3] and given as:
MeanWTP
1 * In
(1 exp
/ 1/
0
)
2
where ß0 and ß1 are absolute coefficient estimates from the logistic regression and the Mean
WTP is the mean for the improved waste disposal by households.
Factors influencing willingness to pay by household: To identify the factors influencing
willingness to pay for improved waste disposal by households, the household responses to the
WTP question was regressed against the households WTP potential and other socioeconomic
characteristics of the household. The regression logit model is specified as:
Y
1
1
exp z
3
Where Y = responses of household WTP which is either 1 for Yes and 0 for No
Z= 0
1 X1
2 X 2 ..........
7 X7
Z = ß0 + ß1 X1 +ß2 X2 +……………+ß7 X7
X 1= Sex (Dummy: Male=1, Female= 0)
X2 = Age (yrs)
X3 = Educational level (number of years spent in the school)
X4 = Marital status. Dummy variable (married =1, single=0)
X5 = Household size (number)
X6 = Percentage WTP from income (number)
X7 = Household expenditure (N)
The pseudo-R square and the chi-square were used to measure the goodness of fit of the
model and the significance of the model used.
Discussion of the Results
The socio economic characteristics of the respondents are presented in table1. The male
accounted for 65 percent while 35 percent were female. The high percentage of the male is as
a result of sampling of the household heads. The proportion of the married in the study area is
67 percent which may therefore encourage the willingness to pay for improved solid waste
considering the volume of waste from members of the household. The household size
distribution showed that 70 percent of the respondents have between 1-5 household members
while only 5 percent represent those that have above 10 members. The mean household size
of the respondents is 4 members. The age range with the highest frequency is 41 – 50 years
54
which accounted for 35 percent of the respondents while those above 60 years accounted for
3.3 percent. The average age in the study area is 42 years. This implies that respondents are in
their active age and therefore can work to earn, more income which can affect their decision
to pay for improved waste services.
About 10 percent of the respondents represent those without formal education while only 5.8
percent of the respondents had post graduate education. The mean years of education in the
study area is 5years. This revealed that a typical household in the study area had at least 5
years of formal education. Education helps to enlighten the respondents on the need to keep
our environment clean, free from germs and healthy for all. The primary occupation of the
respondents revealed that 54.2 and 20 percents engaged in civil service and trading
respectively while only about 7.5 percent were involved in other income activities such as
transportation, attendants in eatery, fuel stations etc .
Household expenditure on food and non-food was used as a proxy for income s most
respondents would otherwise not divulge the real value of their monthly income [1]. The level
of household expenditure is generally low, about 51.7 percent of the respondents spent on a
monthly basis about N20,000 or less as household monthly expenditure while about 12.5
percent spent over N60,000 as monthly expenditure. The average household expenditure was
about N26,655, with the lowest and the highest being N6,800 and
N108,500/month/household respectively. The result reveals the level of earnings of
respondents as they are not likely to spend above their income. As the level of income
increases, the probability that households would adopt improved waste disposal services will
also increase.
Table I: Socio economic characteristics distribution of the respondents
Socio economic
Sex
Male
Female
Marital Status Married
Single
Household Size 1-5
6-10
Above 10
Age (yrs)
≤ 30
31- 40
41 -50
51- 60
above 60
Education (yrs) None
1-6
7-12
13- 18
>18
Pry Occupation Civil service
Farming
Trading
Artisans
Others
Monthly expenditure <20,000
20,001- 40,000
40,001- 60,000
Above 60,000
Frequency
78
42
81
39
84
30
6
24
40
42
10
4
12
54
27
20
7
65
10
24
12
9
62
25
18
15
Percentage
65.0
35.0
67.5
32.5
70.0
25.0
5.0
20.0
33.3
35.0
8.3
3.3
10.0
45.0
22.5
16.7
5.8
54.2
8.3
20.0
10.0
7.5
51.7
20.8
15.0
12.5
55
Mean value
4
42
5
N26,655
The general method of disposing waste, its reliability as well as the frequency of waste
disposal is presented in Table II. The result revealed that 37.5 percent of the respondents
claimed to dispose their waste through burning which helps to keep the environment clean.
On the reliability of use of this method, 80 percent attested that it is a reliable means of
disposing their waste. On another hand, 35 percent of the respondents dispose their waste by
dumping it on the roadside, at a dump site, or a nearby bush. However, 54.8 percent of this
category indicated that it was not a reliable means of disposing their waste. Twenty five
percent of the respondents used waste vendor (waste collector) by paying a token to dispose
their refuse, but 63 percent of this category also claimed that was not a reliable means of
disposing waste because of the limited number of waste vendor. Lastly, only 2.5 percent of
the respondents bury their waste in the soil and they all claimed that the method is reliable to
dispose their household waste.
The frequency of disposing waste showed that while 14 percent dispose waste daily, about 60
percent of the respondents dispose their waste on a weekly basis and only 2.5 disposed
occasionally. With the knowledge that keeping household waste in the house for a week long
has its health implication because it can harbour germs, breed rats, mosquitoes, cause air
pollution amongst others. Given this result, households may be encouraged to pay for
improved, prompt and regular waste disposal through the private sector.
Table II: Method of Solid waste disposal, reliability of methods and frequency of disposal
Variable
Method Burning
Use Of Waste Vendor
Dump Nearby
Bury In The Soil
Total
Reliability Of Method (Yes=1)
Burning
Use Of Waste Vendor
Dump Nearby
Bury in The Soil Frequency
Of Disposal
Daily
Weekly
Bi-weekly
Monthly
Occasionally
Total
Frequency
45
30
42
3
120
Percentage
37.5
25.0
35.0
2.5
100
36 (9)
11 (19)
19 (23)
3 (0)
80 (20)
36.7 (63.3)
45.2 (54.8)
100 (0)
17
72
12
16
3
120
14.2
60.0
10.0
13.3
2.5
100
Figures in parenthesis represent the claim that the methods are unreliable and the corresponding percentage
Table III present the distribution of the current expenditure on waste disposal and the
willingness to pay potential of the household. The result revealed that 52.5 of the respondents
spend between N400- N600 on waste disposal per month. While 7.5 percent claimed to
dispose waste at no cost, only 3.3 percent spent above N 800 on waste disposal. This is an
indication that majority of the respondents are already expending money on solid waste
disposal and therefore may be WTP for improved services. A binary response to household
willingness to pay for improved services showed that 87.5 percent are willing to pay.
However, 71.4 percent of this category of respondents are willing to pay only less than 5
percent of their monthly income to waste collectors while only 3.8 will be WTP above 10
percent of their income if the need arise. The mean value of the percentage of income the
respondents are WTP is 3 percent. Given the advantages of improved services, most
56
households in the study are WTP a proportion of their income, to sanitise their immediate
environment.
Table III: Household Current and Proposed Expenditure on Waste Disposal
Expenditure
Current
(N)
None
<400
401- 600
601- 800
above 800
Total
Household WTP Yes
No
Total
WTP Potential < 5%
5-7.5%
7.5- 10%
above 10%
Total
Frequency
9
29
63
15
4
120
105
15
120
75
21
5
4
105
Percentage
7.5
24.2
52.5
12.5
3.3
100
87.5
12.5
100
71.4
20.0
4.8
3.8
100
Determinants of WTP for improved waste disposal services: Table 4 presents the logit analysis of the
factors that determine the willingness to pay for improved waste disposal services. The results showed
that respondents‘ age, marital status, household size and percentage household WTP potential do not
significantly influence the willingness to pay for improved waste disposal. However, sex, educational
status, and monthly expenditure of households are statistically significant at P < 0.10, P < 0.1 and P <
0.05 respectively. Educational level is positively related to WTP for improved waste disposal
services. This indicates that as level of education increases the tendencies to adopt and pay for
improved disposal services will also increase. The coefficient of household expenditure, a proxy for
income is also positive, an indication that increase in income will increase the probability that
households would be willing to pay for improved disposal services. This is confirmed by [14 and 16],
The result reveals that the marginal effect on probability of households paying for the service
with respect to household monthly expenditure is 0.46776. This implies that for every N1
increase in household monthly expenditure, the likelihood of paying for improved refuse
collection and disposal increases by 0.46776.
Table IV: Multivariate Logit Regression.
Marginal effect on probability of willingness to pay
Variable
Coefficients
Standard Error
Z-statistics
Constant
8.18259
1.510
0.3112
Sex
-2.25270
-1.827
0.0677*
Age
-9.82100
-1.159
0.2463
Educational level
0.33107
3.105
0.0019***
Marital status
0.96002
0.924
0.3554
Household size
0.53208
1.782
0.0747
WTP Potential
0.18453
1. 245
0.2133
Expenditure
0.46776
2.185
0.0289**
*** Statistically significant at 1%
Chi-squared (LR statistic)
22.36494
**
Statistically significant at 5%
Degree of freedom
7
*
Statistically significant at 10%
Significance level
0.00000
Log likelihood
-20.84719
Restricted Log likelihood
-32.03139
Conclusion and recommendations
The study revealed that payment for waste disposal is not a new idea in the study area,
however, majority of the respondents were willing to pay for an alternative waste disposal
services, particularly when it is going to be an improvement on the existing means of
57
services. Sex, education and household expenditure were discovered to be determinants of
household WTP for improved disposal services in the study area. It is recommended that
programmes facilitating investors in waste disposing be initiated while payment for this
service should be made affordable to encourage those households that are willing to pay. In
addition, public enlightenment campaign through mass media could also be adopted in order
to properly inform the citizens on the need to patronize the solid waste disposal investors.
REFERENCES:
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Supply in Osogbo Metropolis; Osun State, Nigeria. Research Journal of Social Science,4:16
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landfill facility in Ojo LGA, Lagos State‘. Unpublished MURP Dissertation. Centre for Urban
and Regional Planning, University of Ibadan.
[3] Agbola, T (2001). ‗Turning Municipal Waste into Compost: The Case of Ibadan‘. In Drechsel, P.
and D. Kunze (eds), Waste Composting for Urban and Peri- Urban Agriculture Closing the
Rural-Urban. Nutrient Cycle in Sub-Saharan Africa, International Waste Management Institute,
Food and Agriculture Organization of the United Nation, CABI publishing, OXon, UK,pp. 69-81.
[4] Alabi, M (2004): Waste Products Survey For Identification and Quantification Of Different
Wastes Generated In Nigeria. An Unpublished PhD Thesis in the Dept of Geography, University
of Ibadan
[5] Branka T & Kelly G. [2001]: Contingent valuation willingness to pay with respect to
Geographically nested samples: Case Study of Alaskan Steller Sea Lion‖. 2001 W-133 Western
Regional Project Technical Meeting Proceedings. pp 2-4.
[6] CASSAD (Centre for African Settlement Studies and Development) (1998). Workshop on Turning
Waste to Weath-Strategies, Options, Appropriate and Affordable Technology for Waste
Management, Training Module Prepared Course Codes CASTWW/98 April
[7] Cointreaus-Levine, S. (1994). Private Sector Participation in Municipal Solid Waste Services in
Developing Countries Volume 1. The Formal Sector. Published for Urban. Management
Programme by The World Bank, Washington, D.C.
[8] Hanemann M. [1989]: Welfare evaluations in contingent valuation experiments with discrete
responses data. American Journal of Agricultural Economics 71(Nov.):1057-61.
[9] Harris, PJC, M. Allison, G. Smith, HM. Kindness and J Kelley (2001). ‗The Potential Use of
Waste –stream Products for Soil Amelioration in Peri-urban Interface Agricultural Production
Systems‘. In Drechsel, P. and D. Kunze (eds), op.cit., pp. 1-28.
[10] Osun mail (2010): Flood of Tears in Osogbo. An Authoritative Weekly Newspaper in Osun
State. www.osunmails.com/?p=848
[11] Roopa KS [2000]: Qualitative choice and their uses in environment economics. Land Economics
90 (4):499-506.
[12] Salifu, L (2001). ‗An Integrated Waste Management Strategy for Kumasi‘ In: Drechsel, P. and D
Kunze (eds), op.cit., pp. 112-114.
[13] Sule, RAO (1981). ‗The Deterioration of the Nigerian Environment Solid Waste Disposal in
Metropolitan Lagos, Geojournal, 3: 57-77.
[14].Wasike WSK, and Hanley N. [1998]: The pricing of domestic water services in developing
countries: A contingent valuation application to Kenya. Monograph.
[15] Whittington D., Briscoe J., Mu X. and Barron W. [1990]: Estimating the willingness to pay for
water services in developing countries: A case study of the use of contingent valuation surveys in
Southern Haiti. Economic Development and Cultural Change 38 No.2 (January) 293-311.
[16] World Bank Water Demand Research Team. [1993]: The Demand for Water in Rural Areas;
Determinants and Policy Implications. In The World Bank Research Observer, 8 (1) 47-70..
[17] Yusuf, SA, Ojo, OT & KK (2007). Households‘ Willingness to pay for improved household solid
waste management in Ibadan –North LGA of Oyo State, Nigeria. J. of Environmental Extension
University. of Ibadan. Vol: 6 pp 57-63.
58
WASTEWATER MINIMISATION IN THE PRODUCTION OF
KENKEY (A TRADITIONAL GHANAIAN CORN MEAL PRODUCT)
1
N.D.K. Asante. 2A Amponsah, 1N.K. Owusu-Brafi
2
B. Amoa, and 2F.K. Saalia
5
Food Process Engineering Department, Faculty of Engineering Sciences, University of Ghana,
Legon, Accra, GHANA, Email: [email protected] ; 2Department of Nutrition and Food
Science, University of Ghana, PMB, Legon, Accra, GHANA
Key words: Water Minimisation, Reuse, Recycle, Waste Management, Corn Steeping
Abstract
Kenkey is a traditional Ghanaian corn meal product produced on a micro to small scale in a
process that includes corn steeping, with the spent steep water generally being discarded
without treatment. The increasing number and scale of Kenkey producers, implies that the
environmental impact of this wastewater discharge cannot be ignored. There are however
major economic and technical obstacles to the traditional solutions of either requiring the
Kenkey producer to treat the waste, or central collection and wastewater treatment. The
reuse of spent steep water in Kenkey production was investigated as an alternative approach
to handling this wastewater problem. Potential modifications to the traditional steeping
process were considered, including the addition of SO2 to the steep water. Samples of
products from reuse were subjected to physical, sensory and microbiological analysis to
determine the impact of the reuse. Results obtained indicate that under certain conditions,
spent steep water can be reused in the steeping process to yield Kenkey that is acceptable to
consumers and not significantly different from traditional Kenkey.
INTRODUCTION
Kenkey is a traditional corn meal product native to the coastal region of Ghana including the
capital, Accra. It is produced primarily on a micro to small scale in a process that includes
corn steeping, with the spent steep water generally being discarded without treatment. This
practice of discharging waste without treatment is common to almost all traditional food
production in Ghana, with varying severity of impact on the environment.
With the dramatic increase in the population of Accra over the last decade, the number and
scale of artisanal production is reaching a point where the pollution they create is no longer
insignificant. There are however major economic and technical obstacles to the classic
solutions of either requiring the producers to treat their waste prior to discharge, or to the
municipal authorities collecting the wastewater and treating it centrally. Municipal
authorities are focussed on dealing with the growing crisis related to the collection, treatment
and disposal of solid domestic waste, and Kenkey producers do not generally have the
financial or technical foundation to treat their waste prior to discharge. Thus, whilst central
treatment of this liquid waste may be the long term solution, it is not a viable short or
medium term solution.
59
As an alternative to the classic solutions to waste
management, this research sought to determine the
extent to which principles of water reuse and recycle
could be employed to significantly reduce or even
eliminate the wastewater produced. The objective of
the study was therefore to identify modifications of
the the Kenkey production process that would reduce
or eliminate the production of wastewater whilst
maintaining a product acceptable to consumers,
without compromising on product safety.
Whole Maize Kernels
Add
water
Clean/wash
Discard water
Washed kernel
Add water
Steep (48 hrs)
Wet maize
Discard
steep water
PROCESS ANALYSIS
Sources and Sinks
The first stage of the study was to identify
opportunities for water reuse and recycle, as a means
of reducing water usage and wastewater generation.
Water Pinch techniques [9] were adapted for this task
to identify the water using steps (i.e. water sinks) and
water generating or rejecting steps (i.e. water sources)
of the process. The process for Kenkey production
[4] is illustrated in Figure 1, showing where water is
used and discarded within the process.
Mill
Coarse mill
Add water
Dough
Ferment (48 to 72hours)
Fermented dough
Raw dough
A key step in water pinch analysis is to determine the
quality constraints for water usage within the process,
as well as identify the quality characteristics of all the
water that is discarded within the process. This is
used to identify and eliminate infeasible reuse options,
reducing the number of options for further
consideration. The Kenkey process does not however
have defined quality constraint for water usage, and as
such all options had to be considered.
The sources and sinks identified
production are shown in Table 1.
in
cook & stir
Mix (dumpling)
Shape
Wrap in corn sheath
Add water
Steam to cook (2-3 hours)
Kenkey
KENKEY
Figure 1: The Kenkey
Production Process
Sinks
Sources
Corn washing
Corn Steeping
Dough making
Cooking dough portion (aflata)
Kenkey cooking (steaming)
Wash water
Spent steep water
Table 1: Water Sources and Sinks in the Kenkey Production Process
60
Add
water
Although there is some water left over from the cooking process, this water can be considered
to be a by-product of the Kenkey production process and was not therefore considered for
reuse.
Identification and Screening of Reuse Options
The initial list of reuse options is generated by matching all sources with all sinks, as shown
in Table 2, followed by screening to eliminate infeasible or undesirable options.
Source of water
Wash Water
Spent Steep Water
Sink (reuse target)
Corn washing
Corn Steeping
Dough making
Cooking dough portion (aflata preparation)
Corn washing
Corn Steeping
Dough making
Table 2: Reuse and recycle possibilities in the Kenkey production process
The wash water was considered unfit for reuse for any purpose other than washing, because
by definition it would contain dirt and other substances deemed to be undesirable in the final
product. The reuse of the wash water in any subsequent processing steps would re-introduce
this dirt into the product. Elimination of the wash water from consideration leaves the reuse
options listed in Table 3.
Source of water
Sink (reuse target)
Wash Water
Corn washing
Spent Steep Water
Corn washing
Corn Steeping
Dough making
Table 3: Screened reuse and recycle possibilities
EVALUATION OF STEEPWATER REUSE OPTIONS
The screened opportunities for reuse and recycle thus identified were subjected to further
analysis to determine their viability. As this is a food product, a number of laboratory
experiments were required to determine the impact of the proposed reuse options on both the
final Kenkey product as well as some intermediate products in terms of physical, chemical,
microbiological and sensory properties. Due to the large number of experiments required, the
only options covered in this paper are the reuse of the spent steep water for corn steeping and
for dough making. These steps in the process have been demonstrated by previous
researchers [5,6,7] to have a significant impact on the quality and properties of the resulting
product.
61
Evaluation Procedure
100g of washed maize was steeped at a constant steeping time of 24 hours. The spent steep
water from this first batch of corn was reused to steep two further batches of 100g of washed
maize, so as to produce three types of steeped grain as follows:
Fresh
First generation
Second generation
– corn steeped with fresh water.
– corn steeped with steep water from fresh sample.
– corn steeped with steep water from first generation sample
An additional variable included was the use of 0.2% SO2 in the steep water as a means of
inhibiting the growth of undesirable microorganisms – a practice long employed for steeping
in the corn wet-milling industry [3].
Each of the steeped corn samples was then milled and made into dough, using both fresh
water (the normal process), and spent steep water from a batch of corn steeped with fresh
water. The dough was then left to ferment for 24 and 48 hours.
Various properties of the resulting fermented dough were measured, including pH, total
titrable acidity and pasting characteristics, to determine if there was any discernible impact
from the reuse of steep water. Finally, each of the 24 hour fermented dough samples was
mixed and stir cooked into aflata using fresh water, and then used in the preparation of
Kenkey for consumer acceptability tests. To reduce variability in the product, an experienced
commercial Kenkey processor prepared the aflata and Kenkey after the dough had been
produced in the laboratory.
Sensory analysis was conducted using untrained consumers randomly recruited from the
University of Ghana campus. Criteria for recruitment were that panellists were regular
consumers of Kenkey and were familiar with the characteristics of Kenkey.
Results and discussion
A detailed presentation and discussion of the results of the experiments is presented
elsewhere [1], and only the highlights are provided here.
Impact on Steep Water
The water discharged from the steeping of unwashed grain was measured to have a BOD5
ranging between 300 and 340 mg/l, which is significantly above the Ghana Environmental
Protective Agency discharge limit of 50mg/l.
It was observed that with the addition of SO2, the steep water was cleaner in appearance
compared to steep water without SO2 which appeared cloudy after second generation
steeping. Steep water without SO2 tended to develop a foul odour during and after second
generation steeping, however with the addition SO2, this foul odour development was
significantly reduced. This indicates that water without SO2 can be reused for steeping other
batches of maize only up to first generation steeping. Based on this finding, second
generation steep water without SO2 was eliminated from further consideration, leaving a total
of ten different process options (including the control consisting of the traditional Kenkey
product) to be analysed.
62
Effects on corn dough quality
The pH and titratable acidity of dough prepared from each of the water reuse treatments
followed the same trend as the control:- pH decreased with increasing fermentation time, with
a corresponding increase in titratable acidity for all the samples. These results (especially
those from corn dough prepared from steep water containing SO2) indicate that the
fermentation proceeded as in normal corn dough, and that SO2 had little or no adverse effect
on the desired activities of the microbial flora of the dough.
The effect of the different dough treatments on pasting characteristics (i.e. pasting
temperature, peak viscosity and setback viscosity) were also determined to provide a measure
of the performance of the dough [8]. Pasting temperatures did not vary significantly with the
steeping treatment or the type of water used in the preparation of the dough. Pasting
temperatures observed ranged between 79oC and 83oC, with the control sample having a
pasting temperature of about 80oC. Peak viscosity was not significantly affected by water
reuse, but rather by the presence of SO2. Peak and setback viscosities increased whenever
steeping of the maize kernels was done in the presence of SO2. This may be due to the action
of SO2 in releasing the starch granules during the steeping process [2]. Peak and setback
viscosities however decreased when steep water without SO2 was used in the preparation of
dough. This could be due to the activities of microorganisms that were already present in the
steep water added during the preparation of the dough.
The results above demonstrate that the use of steep water in dough preparation does not
adversely affect the quality of the dough in terms of pH, titratable acidity and pasting
characteristics, provided SO2 is added to the steep water. Without SO2 addition however,
reuse lowers peak and setback viscosities.
Effect on Kenkey Product
The level of preference in terms of taste, smell, colour, texture and overall acceptability of
Kenkey produced from each of the 24-hour fermented corn dough as well as traditionally
prepared Kenkey was analysed. A selection of the rank sums indicating the degree of
preference are shown in Table 4.
Sample
Sum of Ranks
Order of Ranks
st
1
Control (traditional process)
116.7
1
2
First Generation Steepwater
121.8
2
3
First Generation Steepwater + SO2
129.0
3
4
Fresh with steepwater reuse for dough
152.5
4
5
Second Generation +SO2 and reuse for
dough
221.1
10
nd
rd
th
th
Table 4: Selection of Friedman sensory ranking scores for overall preference of Kenkey
samples
With respect to taste, samples 2, 3 and 4 in Table 2 were not significantly different from the
control (sample 1 – traditional process). Texture, was the attribute that varied the least
among the samples and this implies that the different treatments given to the maize and
dough did not significantly influence the texture of the resulting product.
63
Smell, colour and overall acceptability of the different Kenkey samples were however
significantly affected by the treatments given to the maize and dough. This suggests that the
primary concern in steepwater reuse would be the development of undesirable odour or
aroma in the Kenkey product. It is important to note however that the development of such
undesirable odour is a significant risk in the preparation of the traditional Kenkey product
itself.
CONCLUSIONS
The feasibility of reuse of spent steep water for steeping and for dough preparation in Kenkey
production has been demonstrated. The primary obstacle to the reuse of steep water appears
to come from the foul odour that develops with time due to activity of bacteria in the steep
water. The development of foul odour can however be mitigated by the introduction of SO 2
in the water used for steeping, and this does not prevent the activity of the lactic acid bacteria
required for subsequent fermentation.90
The presence of SO2 during steeping and the reuse of steep water for steeping other batches
of maize did not affect the quality of dough and the consumer acceptability of Kenkey
produced. Kenkey prepared using dough made from maize that had been steeped in reused
steep water had sensory attributes not significantly different from traditionally produced
Kenkey. The use of steep water in dough preparation for Kenkey was however not acceptable
to consumers. Results obtained from sensory analysis indicate that spent steepwater can be
reused for steeping a second batch of corn with or without the addition of SO2 to the water,
and the resulting Kenkey produced is acceptable to consumers.
This study demonstrates a potential approach to mitigating the environmental impact of
traditional artisanal food production in developing countries, until suitable municipal waste
management is effectively implemented.
ACKNOWLEDGEMENTS
This research work was funded by a grant from the University of Ghana Research Fund,
whose support is gratefully acknowledged.
REFERENCES
[1] Amponsah, A. (2010). The Ga kenkey production process- investigating opportunities
for water reuse and identification of sources of product quality variability. M. Phil Thesis,
Department of Nutrition and Food Science, University of Ghana, Legon.
[2] Eckhoff, S. R. and Tso, C. C. (1991). Wet milling of corn using gaseous sulfur
dioxide addition before steeping and the addition of lactic acid on steeping. Cereal
Chemistry 68:248-251.
[3] Greenfield, R. E., Cornell, G. N., and Hatfield, W. D. (1947). Cornstarch processes.
Ind. Eng. Chem., 39, 583-588.
[4] Halm, M., Amoa-Awua, W. & Jakobsen, M., (1996). Kenkey, an African fermented
maize product. In: Handbook on fermented foods and beverages science and technology
(eds) Hui, Y.H., Toldra, F., Nip, W.K. and Meunier-Goddik L. Marcel Dekker, New
York, pp 799-818.
[5] Nche, P. F., Odamtten, G. T., Nout, M. J. R. & Rombouts, F.M. (1994). Dry milling
and accelerated fermentation of maize for industrial production of Kenkey, a Ghanaian
cereal food. J. Cereal Sci, 20, 291-8.
64
[6] Nche, P. F., Odamtten, G. T., Nout, M. J. R. & Rombouts, F.M. (1996). Soaking
determines the quality of aflata for kenkey production. J. Cereal Sci., 24, 291-297
[7] Nout, M.J.R., Kok, B., Vela, E., Nche, P.F., Rombouts, F.M. (1996). Acceleration of
the fermentation of kenkey, an indigenous fermented maize food of Ghana, Food
Research International, Vol. 28, No. 6, 599-604.
[8] Shuey, W.C. and Tipples, K.H. (1982). The amylograph handbook. 2nd edition. The
American Association of Cereal Chemists, St. Paul, Minnesota, USA. 1 -31.
[9] Wang, Y.P. and Smith, R. (1994), Wastewater Minimisation. Chemical Engineering
Science, 49: 981-1006.
65
Potentialities of contemporary earth construction addressing urban
housing crisis in Africa – A lesson from Zimbabwe
1
1
Zami M. S.
University of KwaZulu Natal, School of Architecture, Planning and Housing
Howard College Campus, Durban 4041, South Africa
Key words: housing crisis, earth construction, appropriate technology, urban.
Abstract
Several studies have shown that contemporary earth construction has the potentials to
address the urban housing crisis in the developing countries. On the other hand there is a
wrong perception among the users and the professionals that, ‗earth houses are only used by
the poor people‘. In this regard political support would help to overcome people‘s wrong
perception, citing the example of existing earth houses in Africa. This paper identifies and
discusses the potentialities of contemporary earth construction to address urban housing
crisis in Africa in the light of the successful examples.
Introduction
Hundreds of millions of people in the world today live in poor housing under adverse
climatic conditions that stress their undernourished bodies toward the limits of human
endurance and occasionally beyond (Shearer, 1986). There is an urban housing crisis in most
of the developing countries and this is largely attributed by the rapid urbanisation (Dwyer et
al, 1981, 33). According to Kamete (2006), the housing crisis is often sold and pushed onto
the agenda in pre-dominantly quantitative terms and the mismatch between supply and
demand is perhaps the scariest indicator used by proponents of increased housing delivery.
The majority of the urban local authorities and central governments did and do not have a
tradition of providing shelter to a large permanent population; there has been a lag of supply
to demand of urban housing (Zami and Lee, 2007). According to UN Habitat (1996), housing
shortage in African cities ranges from 33% to 90%. To meet housing needs, many people
have resorted to renting backyard shacks and squatting on illegal land. According to the
South African census report of 1996, 1,049,686 households lived in informal dwellings.
People reside in squatter settlements, where there are no provisions for social services and
utilities. UN Habitat (1996) also estimates that approximately 60% of the African population
resides in shantytowns, slums and uncontrolled settlements. The unprecedented boom in the
construction industry since independence resulted in the high demand of building materials
that superseded the production capacity of the manufacturing sector in most of the African
countries (Zami and Lee, 2008). A house is composed of several materials such as brick,
cement, timber, window frames and several other building materials and the use of bricks as a
standard building material began in the early 1900s in most of the African countries. Brick,
cement, sand and timber are the major construction materials in Africa up to date which is
unaffordable nowadays and an appropriate building material and construction technique
needs to devise to solve the urban housing crisis. For example, ‗earth‘ can be used as an
appropriate construction material in Africa. The aim of this paper is to evaluate earth as an
affordable alternative material to housing in such a way, that if compared to established
materials, it should prove to be an ideal alternative. The experiences and example of practice
of using the earth construction will be borrowed from other societies and countries and
demonstrate the dynamism of the material and construction in Africa.
66
Historical background of earth as a construction material in Africa
It is essential to look at historical evidence of the success of earth construction. It is currently
estimated that over one third (Dethier, 1981) to over one half (Smith and Austin, 1989) of the
world‘s population lives in some type of earthen dwelling. The history of earth building lacks
documentation, because it has not been highly regarded compared to stone and wood
(Houben and Guillaud, 1989, p8). There are cities built of raw earth, such as: - Catal Hunyuk
in Turkey; Harappa and Mohenjo-Daro in Pakistan; Akhlet-Aton in Egypt; Babylon in Iraq;
(Easton, 1998, p3). ―30% of the world‘s population, or nearly 1,500,000,000 people, live in a
home built in unbaked earth. Roughly 50% of the population of developing countries, the
majority of rural populations, and at least 20% of urban and suburban populations live in
earth homes‖ (Houben and Guillaud, 1989, p6). Figure 1 illustrates the world geographic
locations of where earth structures are used and Figure 2 shows the spread of different kinds
of earth structure being used by different regions of the world.
Figure 1
Geographic locations of earth structure.
Source: Houben and Guillaud, 1989, p6.
Figure 2
Different forms of earth structure being used by
different region of the world.
Source: Houben and Guillaud, 1989, p12.
In Africa, the Egyptian civilisation provides abundant evidence of the use of earth in building
as found in the early human settlements at the Merimd and Fayum sites in the Nile delta,
which dates from the fifth millennia before Christ. The dominance of the Egyptian dynasty
promoted buildings of prestigious structures made of brick from the Nile clay, desert sand
and straw from the grain fields. These bricks were made by hand and dried in the sun before
the development of the mould. The excavation at Saggarah and Bbydos show the use of
bricks which were covered by stone. The art of brick vaulting was also developed in the
lower Nubia, between Luxor and Aswan (Rastorfer, 1985, 32).
The Egyptian architect, Hassan Fathy devoted himself to housing the poor in developing
nations. According to Iskander (2005), Fathy aimed to create affordable and liveable spaces
suitable to the surrounding environment, thus improving the economy and the standard of
living in rural areas. His buildings were surprisingly inexpensive. He encouraged local
materials and saw a more appropriate method of building in the Vernacular Architecture of
the Nubians (region of southern Egypt). Nubian craftsmen were masters at constructing
domed and vaulted roofs of mud brick which they also used for the walls. While
implementing the Nubian building techniques, he aimed to train Egyptian craftsmen to build
their houses using mud brick or Adobe, which was ideally suited to the local conditions of
Upper Egypt (Serageldin et al, 1985). In eastern Africa, movements by the Indian Ocean, the
migrating Kushites and the influence of the Axum Kingdom (3rd to 8th BC) from Nubia as far
back as Kenya have spread the use of sun dried bricks. As a result there was a great change in
the architecture of the surroundings with the introduction of mosques. These were mainly
67
built of earth using local expertise. In Zimbabwe, building in earth dates back as far as the
12th century when Great Zimbabwe was built and earth has been used progressively mainly in
the rural areas (Mubaiwa, 2002, p10). Existing urban structures of earth can be seen mainly in
the houses of the Crainbone suburb of Harare and in Bulawayo‘s Sourcetown suburb.
Figure 3
Seismic regions of the world.
Source: Houben and Guillaud, 1989, 306.
Figure 4
Storm regions of the world.
Source: Houben and Guillaud, 1989, 320.
Figure 5
Flood regions of the world. Source: Houben and Guillaud, 1989, 324.
According to Denyer (1978), ―earth architecture should not of course be considered a
miraculous solution to neither all our housing problems, nor one which can be applied
successfully anywhere, everywhere.‖ Before any building is constructed with earth, it is
essential to identify the soil to be used. The identification process involves various tests,
which need the use of a laboratory. Apart from the laboratory identification process, local
knowledge of the soil and traditional skills are necessary. In Africa, suitable soil is found in
most of the countries. According to Houben and Guillaud (1989, p305), in 1976 alone
seismic activity in the Philippines, Indonesia, Turkey, Italy and China caused the loss of more
than 500,000 lives. Figure 3 shows the seismic areas of the world; most of the countries in
Africa are not within seismic area. Figure 4 shows storm regions of the world and the whole
of Africa is almost out of storm area except Madagascar. Flood is another form of natural
68
disaster which causes many deaths. Figure 5 shows the flood areas of the world in which it is
very clear that Africa is less affected by flood. So, from the above discussion it can be posit
that earth construction is safe in terms of natural disasters in majority countries in Africa.
The benefits of earth construction
The advantages of a mastery of earth construction are multiple and complementary and are as
follows summarized in Table 1: Benefits
Author
1. Earth construction is economically Lal, 1995; Easton, 1998; Minke, 2006; Zami and Lee,
beneficial.
2. It requires simple tools and less skilled
labour.
3. It encourages self-help construction.
4. Suitable for very strong and secured
structure.
5. It saves energy (low embodied energy).
6. It balances and improves indoor air
humidity and temperature.
7. Earth is very good in fire resistance.
8. Earth construction is regarded as a job
2007; Morton, 2007; Kateregga et al, 1983; Cassell,
1993; Walker et al, 2005; Hadjri et al, 2007; Morris
and Booysen, 2000; Adam and Agib, 2001, p11;
Maini, 2005;
Kateregga, 1983; Easton, 1998; Minke, 2006, p15;
Hadjri et al, 2007; Morris and Booysen, 2000; Adam
and Agib, 2001, p11; Maini, 2005;
Kateregga, 1983; Minke, 2006, p15;
Lal, 1995, p119; Houben & Guillaud, 1989; Walker
et al, 2005;
Morton, 2007; Lal, 1995, p119; Minke, 2006; Hadjri
et al, 2007; Adam and Agib, 2001, p11; Maini, 2005;
Cassell, 1993; Howieson, 2005; Alphonse et al, 1985;
Minke, 2006; Kateregga et al, 1983; Lal (1995,
p119); Walker et al, 2005; Hadjri et al, 2007; Adam
and Agib, 2001, p11;
Alphonse et al, 1985; Walker et al, 2005, p43; Hadjri
et al, 2007; Adam and Agib, 2001, p11;
Adam and Agib, 2001, p11;
creation opportunity.
9. Earth construction is environmentally Minke, 2006; Easton, 1998; Walker et al, 2005;
Hadjri et al, 2007; Adam and Agib, 2001, p11;
Maini, 2005; Ngowai, 2000.
10. Loam preserves timber and other Minke, 2006, p15.
organic materials.
Cassell, 1993; Minke, 2006;
11. Earth walls (loam) absorb pollutants.
12. Easy to design with and high aesthetical Morton, 2007; Houben and Guillaud, 1989; Walker
et al, 2005; Hadjri et al, 2007.
value.
13. Earth buildings provide better noise Kateregga, 1983; Alphonse et al, 1985; Hadjri et al,
2007;
control.
14. Earth construction promotes local Frescura, 1981.
culture, heritage, and material.
15. Earth is available in large quantities in Adam and Agib, 2001, p11; Easton, 1998; Lal, 1995;
Hadjri et al, 2007; Morris and Booysen, 2000; Adam
most regions.
and Agib, 2001, p11;
sustainable.
Table 1
Bnefits of earth construction. Source: compiled by author, 2009.
69
The drawbacks of earth construction
The following are drawbacks of earth (un-stabilised) in building construction: Drawbacks
Authors
1. Less durable as a construction material Kateregga, 1983; Lal, 1995, p119; Cassell, 1993;
compared to conventional materials.
2. Earth construction is labour intensive.
Blondet & Aguilar, 2007; Maini, 2005; Morris
and Booysen, 2000; Hadjri et al, 2007; Adam and
Agib, 2001, p11; Minke, 2006; Walker et al,
2005, p13;
Lal, 1995, p119; Cassell, 1993;
3. Mud houses behave poorly in the event Blondet and Aguilar, 2007;
of earthquakes.
4. Structural limitations.
5. Need high maintenance.
6. Professionals make less money from
earth building projects.
7. Special skills needed for plastering.
8. Loam is not a standardised building
material.
9. Need higher wall thickness.
10. Suitable only for in situ construction.
Maini, 2005; Hadjri et al, 2007;
Hadjri et al, 2007;
Robinson, 1939.
Hadjri, et al, 2007
Minke, 2006.
Walker et al, 2005.
Walker et al, 2005.
Table 2
Drawbacks of earth construction. Source: compiled by author, 2009.
Success of contemporary earth construction in Zimbabwe – a lesson for Africa
Initially Zimbabwean professionals did not recognise the use of earth for construction of
‗descent‘ shelter for the urban environment (Mubaiwa, 2002; Kannemeyer, 2006; Zami and
Lee, 2007). The recognition of stabilised earth construction was expedited by the adoption of
Zimbabwe Standard Code of Practice for RE structures which was first published in 1996
(Kannemeyer, 2006) and included in the Zimbabwe Model Building Bylaws in 2004. The Insitu Rammed Earth Company (ISREC) founded by Mr. Rowland Keable who has over 15
years‘ experience working with RE in Africa, Australia and the UK, initiated the request to
the Standards Association of Zimbabwe (SAZ) and was seconded by the then newly formed
Scientific and Industrial Research and Development Council (SIRDC). Mr. Rowland Keable
pioneered many RE projects in Zimbabwe; among them some of the first officially
recognised in Zimbabwe since the country‘s independence and worked largely in conjunction
with the SIRDC in the late 90s to revive RE construction in Zimbabwe.
The performance of experimental RE and CSEB construction in Zimbabwe is a great success
to date (Mubaiwa, 2002; Kannemeyer, 2006). One of the first stabilised earth projects was the
British government‘s Overseas Development Administration (ODA) funded, the DfID School
block at the SIRDC centre, Hatcliffe, Harare, Zimbabwe. This project was mainly constructed
to demonstrate that RE could successfully support a roof span of 8m whilst at the same time
being a test bed for the publication of RE Structures: A Code of Practice. The building was
inexpensive, and showed that wide span roofs are possible with the technology, important for
classrooms and clinics. In the Hatcliffe building, concrete was used for the foundations. This
house/classroom block built on SIRDC premises attests to the versatility of RE construction.
The construction cost of this block was 60% cheaper than the traditional concrete brick and
blocks construction. The ISREC also carried out a number of RE projects in the country
70
among some of them were a private house in Bonda, Manicaland commissioned by
pioneering passive solar architect Mick Pearce in 1997, Office and housing in Chimanda on
the North East border with Mozambique (Zami, 2010).
SIRDC built a RE teacher‘s house at Rukanda Secondary School in Mutoko. The house‘s
appearance is impressive. Costs incurred in building the two roomed Rukanda teacher‘s
house shows that construction using RE and roofing with MCR (micro-concrete roofing) tiles
resulted in a low cost of 18 million Zimbabwe dollars compared to $45 million when using
conventional technologies. An important point to note is that a good part of the $18 million
was used for peripheral expenses such as transport, accommodation and allowances of
SIRDC technical staff who supervised the project. Besides making housing affordable to the
majority of the population, these two SIRDC initiatives have the added advantage of
employment creation amongst young people (the same as the Mutoko project).
The use of CSEB construction is fairly new in Zimbabwe (Zami, 2010). The Chitungwiza
House is one of the few known buildings made of CSEB. This was a deviation from fired
bricks or cement bricks/ blocks and asbestos roof used for most of the low income houses in
Zimbabwe. This pilot project by the Intermediate Technology Group (ITG) was implemented
with the participation of the Chitungwiza municipality in 1993 as a low income house. The
aim of this project was to evaluate the response of the people towards earth structure and the
performance of low tech and sustainable materials used in the construction of low cost
housing. The use of local labour and the absence of imported materials sent a message to the
local communities that the solution of affordable sustainable and low cost housing is possible.
Until now this structure stands as a success to all participants working in the housing industry
in Zimbabwe. Therefore, all the experimented low cost stabilised earth construction housing
projects have been a success. Surprisingly stabilised earth construction technology has not
been adopted to address the low cost housing crisis in Zimbabwe despite the fact that the
experimental projects are successful (Zami, 2010). Therefore, it is essential to investigate the
factors influencing the widespread adoption of contemporary stabilised earth construction.
Conclusions
Earth is affordable and available and would be appropriate in the case of low cost house
construction in Zimbabwe and as well as in many African countries. This paper has argued
the promotion and implementation of earth as an alternative material is worthwhile. It is
possible to use un-stabilised raw earth as rammed earth or compressed earth blocks; but the
stabilised form is more suitable for the African situation in terms of by-laws and housing
standards. The only challenge that prevents earth becoming the preferred choice of building
material amongst the general population is the acceptability of this material by that same
population. An awareness and understanding by people to environmental issues such as air
pollution, deforestation, land degradation and energy conservation would help them change
their attitudes and views towards earth building. The flexibility and simplicity in technology
incorporated in earth building affords adaptability and easy transfer of knowledge between
different stakeholders in the building industry. Individuals and community as a whole can
easily participate in building their own homes in affordable ways.
71
REFERENCES
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[7] Dwyer, D. J. (1981). People and Housing in Third World Cities, perspectives on the
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Junction, Vermont, USA.
[9] Frescura, F. (1981). Rural Shelter in Southern Africa. Ravon Press, Johannesburg, RSA.
[10] Hadjri, K., Osmani, M., Baiche, B. And Chifunda, C. (2007). Attitude towards earth
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[11] Houben, H. and Guillaud, H. (1989). Earth construction. Intermediate Technology
publications 1994, London.
[12] Howieson, S. (2005). Housing & Asthma, Spon Press, ISBN 0-415-33646-5.
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Fathy. http://www.touregypt.net/featurestories/newgourna.htm.
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cost housing. Appropriate Building Materials for Low cost Housing, African region.
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SPON, London, New York.
[15] Kamete, A. Y. (2006). Revisiting the urban housing crisis in Zimbabwe: some
forgotten dimensions? Habitat International, 30, 981-995. Elsevier Ltd.
[16] Kannemeyer, H. S. (2006). Towards sustainable low-cost housing through green
architecture: a look at rammed earth housing in Zimbabwe. Undergraduate Dissertation,
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New Delhi, India.
[18] Maini, S. (2005). Earthen architecture for sustainable habitat and compressed
stabilised earth block technology. Programme of the city on heritage lecture on clay
architecture and building techniques by compressed earth, High Commission of Ryadh
City Development. The Auroville Earth Institute, Auroville Building Centre – INDIA.
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strategies for a sustainable Built Environment, Pretoria, 23-25 August.
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72
Technique. International Symposium on Earthen Structures, Indian Institute of Science,
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principles and examples with reference to hot arid climate. The University of Chicago
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[28] Smith, E. W. and Austin, G. S. (1989). Adobe, pressed earth, and rammed earth
industries in New Mexico. New Mexico Bureau of Mines and Mineral Resources,
Bulletin 127, USA.
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and Construction Guidelines. BRE Bookshop, UK.
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sustainable low cost housing in Zimbabwe. The 7th International Postgraduate Research
Conference. March 28 – 29, 2007, The Lowry, Salford Quays, Salford, Greater
Manchester, UK.
[32] Zami, M. S. and Lee, A. (2008). Forgotten dimensions of low cost housing crisis in
Zimbabwe. The 8th International Postgraduate Research Conference. June 26 – 27, 2008,
the Czech Technical University of Prague (CVUT), Czech Republic.
[33] Zami, M. S. (2010). Understanding the factors that influence the adoption of stabilised
earth by construction professionals to address the Zimbabwe urban low cost housing
crisis. PhD thesis submitted to University of Salford, UK.
73
THE ROLE OF ADVANCED CONSTRUCTION TECHNOLOGIES IN
PROMOTING SUSTAINABLE SHELTER, WATER AND DEVELOPMENT IN
SOUTH AFRICA
Kuchena Jabulani Charles6, Chakwizira, James7, Usiri Paul8
1
Csir – Built Environment, P.O. Box 395, Pretoria 001, South Africa
Phone: +027 12 841 3830; Fax: +027 12 841 3539; Cell: +027 76 852 7127; Email:
[email protected] ; [email protected]
2
Venda University, Faculty of Natural and Applied Sciences, P/Bag X5050, Thohoyandou,
0950, South Africa; Phone: +027 15 962 8585; Fax: +027 15 962 8597; Cell: +027 76 387
7814; Email: [email protected]; [email protected]
3
Palace Technologies, Postnet Suite 405, Private Bag X9924,Sandton, Johannesburg South
Africa; Phone: +027 11 783 2792; Fax: +027 11 783 2789; Cell: +027 72 822 6043
Email: [email protected]; [email protected]
Key words:
Advanced Construction Technologies, Next generation materials, Modular houses, Housing
and Shelter, Water, Sanitation, Development, South Africa
Abstract
This paper presents a brief overview of the role and contribution of advanced construction
technologies (hereafter ACTs) in promoting the provision of sustainable shelter, water and
development in South Africa. South Africa faces acute shelter, water and sanitation
challenges as a result of partly rural-to-urban migration, legacy of apartheid, geography and
climatic zone. This paper traces the origin and development of ACTs, which is largely
attributable to advances in material science, building components production and assembly
technologies. In the process, issues are highlighted while potential solutions are discussed.
The paper is evidence based making use of primary and secondary data/information
examples of shelter and sanitation backlogs and challenges in areas such as Western Cape
(Cape Town); Mpumalanga (Mbombela formerly Nelspruit), Province of the Eastern Cape
(Buffalo city) and Limpopo Province (Capricorn & Vhembe District Municipality). The
evidence is analyzed with ACT indicators taking into account the sustainable shelter and
water sector requirements. The analysis is further situated within the overall context of
desiring to promote sustainable and productive housing settlements that are a pleasure in
which to live, recreate and produce in. The paper further argues and confirms that ongoing
commercialization of ACTs technologies in the shelter and water sector will lead to a
significant improvement in building performance, reduce environmental impact and provide
a better framework for guiding the growth and development of sustainable human
settlements. The next-generation of construction materials will most probably be mainly led
by polymeric-fiber based products, light-metals alloys, with high performance with qualities
such high tensile and compressive strengths.
INTRODUCTION AND BACKGROUND
About one billion people in the developing world (40 - 50 percent of the total world urban
population) dwell in shacks or squatter camps. These settlements are generally defined as
informal settlements or slums. In the Southern African Development Community (SADC)
region alone, South Africa (SA) has an estimated informal settlement population of 4.5
million [4][7]. The South African government‘s housing statistics backlog is estimated at
6
Author for correspondence
74
approximately 3 million [3][5][8]. As an example, the Eastern Cape Province (one of the ten
provinces constituting South Africa) has an estimated backlog of about 800 000 units. In
Cape Town (SA) informal settlements are growing at an estimated rate of approximately 10%
each year [15].Contemporary water supply and sanitation in South Africa is still
characterized by both achievements and challenges since the advent of democracy in 1994. In
1994, about 15 million people were estimated to be without access to safe drinking water and
at least 20 million were without adequate sanitation services [8]. South Africa is one of the
few countries in the world that formally recognize water as a human right. The country has
established a national water and sanitation program, which is undergirded by the following
principles and values, namely rights based water supply and provision philosophy, basic
needs provision and delivery of sanitation services pathway approach and public-private
partnerships in South Africa . While encouraging evaluations that point to improvements in
housing, water and sanitation in South Africa since 1994 exist, the major headline issue
remains the backlogs and service gaps that still need attention [8, 18].
Purpose of the Paper
This paper presents a brief overview of the role and contribution of advanced construction
technologies (ACTs) in promoting the provision of sustainable shelter, water and
development in South Africa. The paper‘s departure point is that the demand for innovative
and appropriate construction technologies for shelter, sanitation and development places great
responsibility on alternative shelter, water construction, service delivery and deployment
technologies.
Linking Water and Sanitation Gaps with Housing Challenges
Sustainability challenges exists in present day SA regarding not only water and sanitation but
also housing delivery, which are driven by economic, social and environmental factors as will
be discussed in sections that follow.
Housing Backlog in South Africa
Housing backlog can be said to be higher than official count of 2.2 million due to increased
inter-regional migration from neighboring Zimbabwe, Botswana, Angola, Mozambique,
Zambia up to Nigeria, Kenya, India, Ethiopia and Somalia. Inadequate supply of low cost
Reconstruction Development Programme (RDP) housing accompanied by poor service
delivery is largely credited to the xenophobic attacks on foreign nationals experienced during
the early periods of the year 2008. This resulted in huge internal population displacement of
foreigners and long term effects much of which is still felt today.
Electricity Supply and Demand
Currently, SA and SADC regional countries have a huge energy supply side deficit in terms
of electricity generation. In 2008 Electricity Supply (ESKOM) the SA power utility supply
company introduced electricity load-shedding. Statistics for SA reveal that the country needs
41 539 mega watts (MW) of electricity by 2013. Renewable energy supply projections are
estimated to provide 1 667 MW (4%) by 2013. About 44% of SA households do not use
electricity for cooking but fossil fuels such as wood and about 20% of SA households do not
use electricity for lighting [15].
Water Supply and Demand in South Africa (water stress)
South Africa is also experiencing water stress. The following quote illustrates this:
―Up to 1000 people from informal settlements in South Africa are estimated to be
using contaminated water for domestic purposes. Greenbelts, dams, wetlands and a canal that
75
hundreds of people in informal settlement use for washing, have been identified as
radioactive or toxic, especially those located within 100 kilometers of South Africa‘s biggest
cities such as Johannesburg, Tshwane (Pretoria), eThekwini (Durban) and Cape Town.
Fifteen sites close to Johannesburg have been named in a 210-page report as being toxic.
Some of these sites register a radiation levels above 200 times the legal limit. Long-term
exposure to toxic chemicals and radioactivity has serious health side effects and may cause
cancer (Source). However, the pollution could be far worse than the report suggests, and
perhaps the document should be used as a basis for further studies.‖ This is according to The
Sunday Times, South Africa, 19 July, 2009 [8,18].
Global Warming Impacts on South Africa
Climate change causes less precipitation generally in some parts of SA but also increased
rainfall with flash flood in some. Informal settlements especially along the coast e.g. in Cape
Town suffer perennial flooding and destructions of their shacks. Other factors such as land
distribution, legislation, standards and norms and political and economical instability in form
of war, famine and flooding affect sustainability [12].
Table 1: Sample of Low Cost Technologies in Zimbabwe and SADC Region
SYSTEM
1. Frametech
2. Frametech
3. Frametech
4. Wood Cabins
5. SSB / CB
6. SFB
7. Rammed Earth
8. MCR Tiles
9. Earth Domes / Vaults
10. Reinforced Earth
11. Concrete Blocks
COMPOSITION
Gypsum panel boards
DIS/ADVANTAGES
Standards
/
Easy,
fast
construction
Concrete / Wire Mesh Standards
/ Easy, fast
(durawall)
construction
Wood panels
Standards
/
Easy,
fast
construction
Wood planks / boards
Standards
/
Easy,
fast
construction
Earth cement / Earth
Quality of product
Earth, Agric waste, (Saw Quality / Easy, fast construction
Dust, Bagasse, cement,
Pozzolana)
Earth / Cement
Quality / Easy fast construction
Cement, Sand, BFS
Quality, Cheap
Earth Bricks
Quality, Climate Stability
Grass, Bamboo, Wood, Standards,
Easy,
fast
Earth
construction
Cement, Sand, PFA
Quality / Easy, fast construction
Source:[9][11][12]
Current ACTs Delivery Methodologies and Technologies
There are basically three different ways to classify building of houses including Toilets,
namely: Conventional, Elemental or panel prefabrication, and Modular also known as
volumetric units prefabrication. Table 1 that follows summarizes existing technologies in the
SADC region with particular referencing to South Africa, which have to date, for a number of
reasons have failed to adequately achieve desired housing delivery. These are mostly a
mixture of the conventional/traditional and elemental prefabricated technologies. Industrial
product driven technologies are less applied relative to distances from the cities or reliable
trunk road networks.
76
Appropriate Sanitation Technologies
A range of toilet technology types are currently used in South Africa, including: buckets,
chemical toilets, simple pit toilets, ventilated improved pit toilets – with the possible addition
of micro-organisms to reduce cleaning frequency. On average VIP‘s are unsuitable in most
parts of the major cities in South Africa due to the prevalence of generally high water tables.
Consequently dehydrating and composting toilets, vacuum technology toilet systems,
anaerobic toilets, aqua-privies, flush toilets with septic tanks, flush toilets with conservancy
tanks, flush toilets with small bore solids free sewers, and flush toilets with full waterborne
and central treatment works are the more popular option. Table 2 presents levels of service
for sanitation, Mbombela (formerly Nelspruit).
Table 2: Levels of Service for Sanitation, Mbombela (Nelspruit) South Africa.
Sanitation Types
Connected to sewer
Septic Tank
VIP
Other, bucket
2004
21,935
500
2009
24,329
500
2,325
46,446
30,127
Source:[2]
It is however important to point out that the choice of technology is influenced by many
factors, including the following criteria:
1. Affordability to the household.
2. Operation and maintenance (O&M) requirements. High service levels, such as flush
toilets, have onerous and costly O&M requirements. Local community members can
readily undertake maintenance of on-site toilets.
3. Sustainability: The system should be manageable making use of the local community and
be sustainable over the long-term. ―The sustainability of a sanitation system is usually
the most important consideration when selecting a specific technology option for a
community. Sustainability not only refers to measures to minimize breakdowns and costs
in the operation of a scheme, but also to measures taken to maximize its positive social
impact while minimizing any negative environmental impacts.‖[8]
4. Anchoring healthy and sustainable communities in terms of overall improvements to
health of community members in particular and the community health in general.
5. Sustainable environmental development and exploitation of resources. This can be
measured in terms of the level of compliance with existing environmental protection
regulations.
6. Inclusive small contractor empowerment and development programs. This relates to the
ability of community based contractors to implement water, sanitation and housing
technology interventions for example. (Table 3 presents sanitation service levels for the
city of Cape Town)
77
Table 3: Sanitation Service Level Categories for the City of Cape Town
Service Level
Hierarchy
Inadequate
Observation and Comment
•
•
•
•
Essential
•
Basic
•
Full
•
•
No or limited access to sanitation
Residents share sanitation facilities with other residents, supplied at
a basic or full level of supply
Residents self-provision of sanitation facilities – often through
unhygienic means.
In many instances Residents are being serviced by the CCT through
the weekly removal of 20 litres open stercus ―black bucket‖
containers, a service to be replaced.
Partial access to sanitation (more than 5 households per toilet), as
dictated by site-specific constraints (e.g., high dwelling densities)
The provision of a shared toilet (at a ratio of not more than 5
families per toilet) which is safe, reliable, environmentally sound,
easy to keep clean, provides privacy and protection against the
weather, well ventilated, keeps smells to a minimum and prevents
the entry and exit of flies and other disease-carrying pests; and
The provision of appropriate health and hygiene education.
On-site Waterborne, Conservancy Tank or Suitable Waterless
Technology
Source:[6]
STRUCTURE AND ORGANIZATION OF PAPER
The paper is organized in four sections. Section one has provided the introduction and
problem setting. Section two explains the research methodology. Section three discusses the
major issues regarding water and sanitation and advanced construction technology
interventions interface. Section four is dedicated to the conclusion and recommendations
emanating from this article.
RESEARCH METHODOLOGY
This paper draws heavily on creative secondary analysis of existing literature regarding water
and sanitation, housing and advanced construction technology interventions in South Africa.
In addition the authors draw from over fifty years experience shared working in the water,
sanitation, and housing and construction industry in Europe, Asia, Latin America and Africa
for different research and development institutions, universities, consultancies and
engineering firms.
FINDINGS AND RESULTS OF SUSTAINABLE SHELTER, WATER AND
DEVELOPMENT IN SOUTH AFRICA
The CSIR study spot check assessment report for the Department of Water Affairs and
Forestry [8]carried out in the year 2007/8 compared study results with those of the pilot study
in 2006/7. The rationale behind spot checks is that they are carried out randomly thereby
assisting in validating and verifying existing programme /project data in order to promote
lesson learning and assist in the identification of challenges and problem areas so as to
provide timeous solutions and corrective measures and/or interventions. Some of the results
and findings are summarized as follows.
Household water projects
The completed rural household water projects that were assessed are generally non-compliant
to the water and sanitation programme specifications. A number of problem areas should be
78
addressed to ensure higher compliance levels with technical design standards. These include
water metering, leakages, the non-existence of tap mechanisms, poor piping, poor tap stands,
and the many households that have not received any training in good water use or in the
operation and maintenance of their taps. Using a scorecard scale rating scale technique with
A being compliant and F being non-compliant, a C scorecard rating was achieved for this
category. This evaluation technique is applied throughout the analysis of section 3.1 to 3.4 of
this article. A positive finding is the lack of vandalism counter-balanced however, by a
worrisome indicator in terms of the number of illegal connections that have been identified,
perhaps evidence of the inadequate water and sanitation delivery in rural households. The
incomplete rural household water projects that were assessed are generally partially
noncompliant mainly due to problems with tanks, water meters and taps. Illegal connections
are prevalent at 7% of projects even before the project has been completed and
commissioned.
Bulk sanitation projects
Completed rural bulk sanitation projects that were assessed are generally partially
noncompliant. Attention should be focused on a variety of aspects to improve the daily
functioning and operation of treatment works, also ensuring the safety of personnel. A B
scorecard rating category was attained. The incomplete rural bulk sanitation projects that
were assessed are generally non-compliant. Though nearly a third of the projects were
compliant in terms of health and safety, about a fifth is extremely non-compliant (F),
suggesting urgent rehabilitation. All three types of treatment works scored low compliance
ratings on their technical design standards, a major indication that intervention and
restoration are needed, before projects are commissioned, to ensure future sustainability.
Household sanitation projects
The results highlight a range of components that are problematic (therefore the C rating of
non-compliant) for the completed rural household sanitation projects that were assessed.
Most critical is the lack of communication with the communities and beneficiaries on
sanitation, hygiene and the operation and maintenance of their newly built toilets. A
worrisome observation is the non-availability and non-use of hand washing facilities (soap
and water) and also problems identified on technical design standards regarding the safety
aspects of walls, roofs and floors, the accessibility of pits for cleaning purposes, the condition
of vent pipes of VIP toilets, the installation of proper sewer systems and the maintenance of
cisterns for flush toilets. The incomplete rural household sanitation projects that were
assessed obtaining non-compliant C ratings mainly due to problems with the floors being
lower than the surrounding ground, roofs with holes and not secured well, walls that are not
durable, doors that are broken, damaged or cannot lock, poor quality pedestals and inadequate
sewer systems for Flush toilet projects, as well as the pit lining and collar, the pedestals and
the vent pipes of VIP toilets. Intervention, restoration and rehabilitation are widely needed to
ensure the future sustainability and the physical safety of the beneficiaries before these
projects are handed over to them.
Comparison of MIG-funded Water supply and Sanitation Projects
The Overall Compliance ratings for the MIG-funded rural water supply and sanitation
projects that were assessed show no difference between the ratings for 2006/07 and 2007/08
79
when all MIG funded water and sanitation projects are grouped together - these projects
generally remained within the partially non-compliant category (B) for both years [7].
CONCLUSION
This paper has confirmed that ACT has a role to play in improving housing, water and
sanitation infrastructure and services especially with special emphasis in rural areas, periurban areas, and informal settlements. However for the full potential of ACT to be realized it
is essential that research and development (R and D) support and funding be channeled in this
important area.
Recommendations on contribution and application of ACTs: Some perspectives
Emanating from this review, the major recommendations regarding tackling the headline
issues in the water, sanitation, and housing and construction industry include some of the
under-listed.
Simulation and prospecting on the next-generation of construction materials that can be
used in addressing the water, sanitation and housing infrastructure backlogs in South Africa
point in the direction that this will most probably be mainly led by polymeric-fiber based
products, light-metals alloys, with high performance with qualities such as high tensile and
compressive strengths.
The learning outcomes of the demonstration projects and trial houses at test sites in South
Africa such as the CSIR should be keenly investigated with a view to incorporating the
outcomes for rolling out of the successful ACT model in the country. The existing ACTs
Strategy for SA leans on the ECT (European Construction Technology) and is carried under
the ACTP (European Construction Technology Platform) a national project under CSIR since
2007. Various technologies are conceptualized, adopted and tests within the ACTP laboratory
are shown in Figure 1.
Figure 1: Open Building Manufacturing, ACT for SA
Sources: [1][15][16]
The spirit and purpose of the ACT Vision should be continuously promoted and perhaps
seriously jealously guarded if greater impact and influence is to be realised from this
discipline for enhanced construction outcomes. This vision is reconfirmed because of its
importance in the wider debate of alternative building materials and technologies to address
the construction industry challenges. The vision is to create ―A future where customers will
be able to purchase high quality manufactured buildings having a high degree of design
flexibility and at low cost compared to today‖ Current Material Research Areas being carried
out focus on advanced light metals, thin concrete and fibre composites using advanced
80
production technologies, logistics, LCA and ICT. Funding and support for the continuous
development and improvement of these areas remains a continuing challenge and lasting
requirement.
This paper’s review has further confirmed and corroborated results of surveys, assessments
by many organizations in SA which have indicated that the current approach or methodology
is insufficient to remove the housing, water and sanitation backlog, leading to sustainable
development. Current methods of construction of both entities until now are not
conceptualized in such ways as to ensure quality, safety and rigid structures which will be
easy to maintain. Commercialization of ACT technologies for shelter and water offer not only
a missing link but is perhaps the ultimate solution, albeit under current conditions.
REFERENCES
[1] Ballad, G. & Howell, G. (2006). Introducttion to Lean Construction: Work Structuring
and Production Control, Lean Construction Instituite, www.leanconstruction.org
[2] Bender P & Gibson S (2010). Mbombela (Nelspruit) Water and Sanitation Concession,
South Africa, January, 2010
[3] Bikam, P. & Chakwizira, J. (2006). Emerging trends and challenges in the rural urban
divide: a case study of Harare city in Zimbabwe and Thohoyandou town in South Africa,
Planning Africa Conference 2006, Conference Proceedings, ISBN 0-620-36402-5
www.saplanners.org.za
[4] Chakwizira J & Bikam P (2007) ―Sustainability and Construction Materials in Housing
and Infrastructure: A Pro-poor Approach‖, Journal of Construction, 1 No. 1
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Transport and Poverty Country Study, DFID-UK http;//ifrtd.qn.org/new/proj/zim
transport fin.doc
[6] City of Cape Town (2008) Water and Sanitation Preliminary Draft No. 2, Cape Town, SA
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and Forestry ―Spot Check Assessments of Rural Water and Sanitation Services for Water
Sector 2007/08‖, October 2008
[8] DWARF (2007) South Africa , Sanitation Technology Options, Pretoria, South Africa
[9] Kuchena, J.C. & Chakwizira,J.,(2004). Appropriate Low Cost Building Materials in
Zimbabwe, Paper Presentation, International Conference on Appropriate Technology,
NUST, Bulawayo, Zimbabwe
[10] Kuchena, J.C., Chaparanganda E, Masvaure B, Mangeya S, Usiri P, Mutasa M, Hapazari
I & Chakwizira J (2001). Zimbabwe Standard Code of Practice for Rammed Earth
Structures, Standards Association of Zimbabwe, SAZS 724 :2001.
[11] Kuchena, J. C.& Manjate, R. S (2007). National Report, National Project ―Project for
Investigation of Local Materials for Construction (Edifacações)‖, Ministry of Science
and Technology, Ministry of Public Works and Ministry of Natural Resources, Council
of Ministers Proceedings, Republic of Mozambique
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Case Study Mozambique, Proceedings of the 11th Interantional Conference on Nonconventional Materials and Technologies, NOCMAT Bath UK.,Sept. 2009
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Communities: Lessons in Local and other developing World Cases‖, Journal of
Construction Management and Economics, 28, Issue 5, 433-499
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[15] Van Wyk, L.& Kuchena ,J. (2008). Low-income Housing and Sustainability in South
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[18] www.mvula.org.za accessed 14 August 2010 20h42
82
Enhancing Crop Production in Zimbabwe Through the use of Information and
Communication Technology
1
Nleya S.M, 2Nyathi.T.V. and 3Kokera.N.
Computer Science Department, National University of Science &Technology, Box AC 939,
Ascot, Bulawayo, Zimbabwe
Tel: 263(9)282842, Fax: 263(9)682803
{Snleya1957, tvnyathi} @nust.ac.zw&[email protected]
*1Nleya S.M for Correspondence
Key words:
Agriculture, crop, production information system, competency
Abstract
Agriculture forms the backbone of Zimbabwe‘s economy and accounts for 17% of the GDP.
Agricultural production is ideally considered to be the gate-pass to food security .The
National Information and Communications policy encourages the adoption and use of
Information and communications Technologies as a way of contributing directly to food
security at national and household levels. In this paper we demonstrate how crop
production can be enhanced through the use of Information and communication using a
prototype web based crop information system which implores internet web technologies to
deliver information and services to users. The web based information system empowers the
resource poor farmers with up to date knowledge and information on crops and their
varieties to be produced in each of the five farming regions by farmers. The system also
provides information about agricultural technologies for crop improvement, pest control,
soil and climatic requirements, best practices, markets, sources of finance and related
inputs. The system thus improves the competency of the farmer by speeding up the
circulation of agricultural information, affording easy access to systems of technology by
the farmer, production efficiency resulting in a quality crop as well as access to national
and international markets. The system is easily affordable to both the large and small scale
farmer
Introduction
Agriculture forms the backbone of Zimbabwe‘s economy and accounts for 17% of the GDP
[7].A major challenge to the farmers both commercial and small holders is that of lack
resources when it comes to the production of food crops[4]. The government has through the
National Information and Communications policy [15][17] encouraged the adoption and use
of information and communications technologies as a way of contributing directly to food
security at national and household levels. In this paper we demonstrate how crop production
can be enhanced through the use of Information and communication technology using web
based crop information system[16] which implores internet web technologies to deliver
information and services to users. The web based information system provides information
about technologies for crop improvement, pest control, soil and climatic requirements, best
practices, markets, sources of finance. The system is serves also serves as a decision support
tool for the farmers. The rest of the paper is follows section 2 gives an overview of the
theoretical background of crop production in Zimbabwe, section 3 deals with the
methodology and section 4 presents the design of the web based crop information system,
section 5 shows the implementation and finally section is a Discussion.
83
Background
Agricultural production is ideally considered to be the gate-pass to food security [2], but this
has not been the case due to a series of challenges such as low produce, pre-harvest losses,
climate changes, disasters and poor information and knowledge links [11]. The Food and
Agricultural organisation sites have used ICTS by installing agricultural information systems
such as Food security statistics [9], Famine early warning systems [8], Global information
and early warning system [10], Agricultural knowledge and information systems for rural
development [1], farmer information and network for agricultural and rural development [3].
In Zimbabwe agricultural information has been made available through the Agricultural
research extension services (AREX) which falls under the Ministry of Agriculture,
Mechanisation and Irrigation Development[14][13] .Arex provides professional agricultural
services, research, extension and farmer training, advisory and technical support to farmers.
Arex is also involved in agricultural information production, analysis and promotion. The
shortage of manpower, transport and a constrained budget has been the main challenges that
have hampered Arex. The government of the day has tried to go round this challenge by
trying to provide the bulk of agricultural information through print and electronic media.
This has had its own pitfalls as it has proved difficult to reach the majority of rural farmers
who have no access to both radio and television transmission.
The government of Zimbabwe has also embarked on some ICT driven projects to promote
agriculture such as Zarnet [12] which is an initiative of the research council of Zimbabwe. A
local company has developed a software package e-Hurudza [6] to help support government‘s
agrarian reform. This software package provides agricultural information for all regions,
tutorial on how to grow crops, planting methods, information on inputs, farm equipment and
is also concerned with livestock.
Methodology
The incremental model was adopted because of its advantages such as report back facility,
resource management and early functionality. For the documentation and representation of
the system the unified modelling language was used. The proposed system is then developed
using PHP which is a server-side scripting language that can be used on a host of web
platforms and HTML.A database server is developed using MySQL and Apache is used for
the web server. The data used to design the information system was obtained through
interviews granted by the Ministry of Agriculture, Mechanisation and Irrigation and staff at
the Matopo research centre. The questionnaire contained information such as farm locations,
sources of information and crops grown.
Design
We propose a web based crop information system which comprises of the following basic
elements, a database, and a user interface. We begin our design process by presenting a
sequence diagram of the overall web based crop information system in figure 1 followed by
that of a Database which is the heart of the system in figure 2.(Application software,
Database, hardware). The sequence diagram of the proposed information system is a kind
of interaction diagram that shows how processes operate with one another and in what order.
84
Farmer
AgricOfficer
:main menu
Administrator
Database
send Requests
enquiry details()
send responce
confirmation()
save account details
confirmation()
process request
approval details()
capture user details()
request account
send confirmation
save user details
Figure 1: Proposed Information System
It also shows how the system is triggered and what iniates activity in the system, the type of
processing and the changes that occur as well as the outputs produced at the end of the
system. The system comprises the farmer who is the targeted user, the main menu which is
also the user interface that allows the user to interact with the system database. The system
database is depicted in figure 2 and contains the following tables
Login table- holds details about the system users, their username and passwords and
access level. This table is accessed every time a user logs or attempts to log on. All
this information is encrypted.
Details table contains the detailed information about the system users, who happen to
be the farmers and agric officers
Crops table contains crop information and their characteristics, regions where they
are grown, their pests and their diseases.
Crop variety table records all the crop varieties of the selected crops and their
characteristics, soil type and region names
Region table holds details about all the regions in Zimbabwe and their characteristics,
cities, provinces and farming systems found in each region
85
Region
PK
Regionname
Annual_rainfall
Temperature
Soiltype_name
Areas
Provinces
Farming_system
Financiers
PK,I1
FinancierID
FK1
Type
LoanRepaymentPeriod
MonthlyPayments
SOF_ID
SOF_ID
Crops
Cropnumber
Amount
Cropvarieties
PK
PK
Cropname
Crop_variety_number
PK
MarketID
CropID
ProductPrice
Location
Best Practices
PK
Help
PK
PK
Name
Idnumber
email
date
responce
question
Request
Cropnumber
Cropname
Croptype
Maturityperiod
Regionname
Pests
Diseases
Market
Crop_variety_name
Soiltype_name
Regionname
Maturityperiod
Disease_tolerant
PK
InputsID
CropNumber
Inputs
InputDesciption
Quantity
Source_of_finance
PK
PK
PK
Inputs
PK
PK
IDnumber
Bestpractices
CropID
RegionID
Best_Practices_Description
Details
PK
IDnumber
Name
Surname
Address
City
Province
Regionname
Country
Farming_type
Jobdescription
Name
Surname
Jobdescription
Approved
Grant
Login
PK
Username
Password
AccessLevel
Figure 2: Proposed Database
Implementation
The prototype system has been designed and is ready for implementation. The following are
presented as case scenarios in the testing of the system.
Figure 3: Home page
Figure 2 shows the screen shot for the home page of the web based crop information system.
A registered user can sign in. The user is at this stage able to view information on where they
can either buy or sell the produce and inputs. They are also a search facility for searching
86
other related information. The system also provides information on crops which have been
classified as cereals, legumes, oilseed and others. Particular choices of crop will advice the
user on the best area in terms of the region to grow the crop as well as the associated
conditions in that particular region.
Figure 4: screen shot for farmer‘s home page
Figure 5: Interactive page (posting questions)
The system is also interactive meaning farmers are able to post questions on the web as
shown in figure 5.
87
Conclusion
The use of Information and communications technology in farming improves the competency
of the farmer by speeding up the circulation of agricultural information especially with the
deployment web based crop information system. The availability and exchange of
information also leads to increased production efficiency as farmers are exposed to
information on the high yielding varieties, sources of inputs, finance improved management
practices, pest management crop health, crop diversification and adoption of integrated crop
production technologies. The system also exposes and gives the farmer access to national and
international markets as well as easy access to the systems of technology. The web based
crop variety information system is also easily affordable to the both the large and small scale
farmer as it is not expensive to access the web. Crop production is challenged by factors such
as lack of infrastructure and power supply in some remote parts, population growth and land
scarcity, Global warming and sea level rise which may still threaten food security
Acknowledgements
The authors would like to acknowledge assistance from Matopo Research Station and the
Ministry of Agriculture for their knowledge on crops.
REFERENCES
[1]Agricultural Knowledge and Information Systems for Rural Development (AKIS/RD),
http://www.fao.org/sd/exdirect/exre0027.htm: accessed on 01/08/10
[2]Alampay E(2005). Beyond access to ICTs: Measuring capabilities in the information
society. International Journal of Education and Development using ICT. 2(3) pages 422.
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Balaba P and Nakagwa A(2004). Bridging the Information and Knowledge Gap between
Urban and Rural Communities through Rural Knowledge Centres: Case Studies from
Kenya and Uganda.
[4]Bertolini R(2004). Making ICTs work for food security in Africa. IFPRI 2020 Africa
Conference Brief 11/Issue Brief 27.
[5]Crowder L and Rudgard S. Research, Extension and Training Division (SDR) World
Agricultural Information Centre (WAICENT). Available at:
ftp://ftp.fao.org/sd/farmnet.pdf: accessed on 02/08/10
[6]E-Hurudza, http://www.jawbone.org.zw/hurudza.htm: accessed on 04/08/10
[7]Economy of Zimbabwe, en.wikipedia.org/wiki/Economy_of_Zimbabwe: accessed on
28/07/10
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02/08/10
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on 02/08/10
[10]Global information and early warning system,www.fao.org/giews/english/giews_en.pdf:
accessed on 02/08/10
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[12]Kundishora s.m,siteresources.worldbank.org/CMUDLP/.../Role_ICT_paper.pdf: accessed
on 02/08/10
[13]Kassem M(2005). Strengthening Information and Communications linkages between
Research and Extension (ARENET) NAADS reports-Uganda.
[14] Ministry Agriculture, Mechanisation and Irrigation,
www.moa.gov.zw/ accessed on
02/08/10:
88
[15]Ministry of Information and Communication Technology,
www.ictministry.gov.zw/mictstrategicplan.pdf accessed on 05/08/10:
[16]Kokera N,Nleya S M and Nyathi T V(2010).Information System for Crop
Varieties,BSc(Hons)Thesis, Computer Science Department, National University of
Science and Technology.
[17]Zimbabwe e-Readiness Survey Report (2005). Information and Communications
Technology, Harare, Ministry of Science and Technology.
89
BUSINESS SOLUTIONS FOR SMALL SCALE IRRIGATION
TECHNOLOGIES: MEDA’S EXPERIENCE IN ZAMBIA
1
Manje L. and 2Snelgrove A.
Mennonite Economic Development Associates (MEDA),
Plot 3B/25A, Off Roan Road, Kabulonga, P.O Box 33870, Lusaka, Zambia
Phone: +260 977 87 1427, Email: [email protected]
2
Mennonite Economic Development Associates (MEDA),
155 Frobisher Dr., Suite 1-106, Waterloo, ON N2V 2E1, Canada
Phone: + 1 519 725 1853 extension 37, Email: [email protected]
9
Key words:
Smallholder farmers, irrigation technologies, water utilization, smart subsidies, market
development model, Zambia
Abstract
In developing countries, access to water during the dry season presents a viable solution for
increased farm enterprise income and cash smoothening for smallholder farmers who often
rely on rain-fed agriculture. However, smallholder farmers typically do not have access to
appropriate and affordable irrigation technologies and rely on ineffective irrigation
techniques. To address this, a number of non-governmental organizations have introduced
irrigation technologies to smallholder farmers through free or highly subsidized distribution.
With this approach, outreach is limited and issues around quality and limited after-sales
service often arise. Mennonite Economic Development Associates (MEDA) in Zambia took an
alternative approach of developing the supply chain for appropriate irrigation technologies.
Using a demand stimulant and building the capacity of irrigation technology suppliers on
marketing and distribution, MEDA‘s experience highlights successful market development
strategies. Evidently, farmers have shifted from ineffective irrigation practices to more
labour saving, water saving, effective and efficient irrigation technologies. Smallholder
farmers can be direct, paying costumers of appropriate irrigation technologies and likely to
maintain a technology they have paid for. The paper argues that addressing poverty and
improving rural livelihoods requires business solutions that create sustainable access to
irrigation technologies that leads to increased productivity and improved water utilization.
Introduction
In many developing countries, low income households often do not have access to reliable
sources of water for either household consumption or productive purposes, such as farming.
In rural areas, the situation is exacerbated for those who do not live near natural water
sources such as lakes, rivers or favourable water tables. Since agriculture is major source of
income for most rural households, a number of investments have been made in promoting
small scale irrigation schemes. Common interventions are community or collective
ownership of irrigation schemes or provision of small scale irrigation technologies through
grants or free distribution. The result is typically limited in scale and outreach; impact is
further diminished due to failed irrigation schemes owing to challenges of collective
ownership and management.
This paper presents Mennonite Economic Development Associates (MEDA)‘s alternative
approach of promoting a commercial solution of building a sustainable supply chain of
*9 Author for correspondence
90
affordable and appropriate irrigation technologies for small scale technologies in Zambia.
The paper starts by providing a background context on the situation in Zambia. A brief
description of the technologies promoted is offered, with the factors that influenced the
choice of technology including cost, durability, effectiveness, performance and
environmental concerns. The paper then proceeds to provide an overview of MEDA‘s
approach to accelerate supply and demand for selected technologies. The paper concludes
with a discussion of the results and project challenges, including competition from NGOs
facilitating free distribution and slow responsiveness by private sector. The paper highlights
that it is possible to pursue and implement solutions that lead to both economically and
environmentally sustainable access to water for rural populations. The typical assumption is
that the poor cannot pay for technologies means that organizations turn to strategies which
involve free distribution and collective ownership; yet these approaches are not sustainable.
Alternatively, commercial responses have greater potential of creating sustainable solutions;
however challenges arise due to interventions by donors, governments and development
practitioners with contrary approaches.
Background and Country Context
Zambia is a landlocked sub-Saharan country with a total surface area of 743,390 square km,
thus ranking among the smaller countries in South Central Africa (World Bank). The
population of Zambia at the end of 2008 was estimated at 12.6 million (World Bank). On the
Human Development Rankings, Zambia ranks 164 out of 182 countries (UNDP, 2009). On
crucial socio-economic indicators, the 2006 census showed that overall poverty is at 64%
(CSO 2006). Formal employment only absorbs 18.3% of Zambia‘s working population.
Forty percent (40%) of the working population is engaged in the informal economy, with the
balance either unemployed (primarily in urban areas) or involved with subsistence agriculture
(CSO 2000).
The Food and Agriculture Organization (FAO) estimates that only 6.4% of the arable land in
Saharan Africa is irrigated (Frenken, 2005). This is far lower than Asia which has 35% of
irrigated land. Zambia is one of the Sub-Saharan African countries blessed with abundant
natural sources of waters. However, small scale farmers, even those that live near these
natural sources of water still struggle with means to access water with one of the major
challenges the availability of water technologies. MEDA‘s assessment (MEDA 2007)
indicated that most of rural households in Zambia were not aware of affordable
microirrigation technologies. Further, those who had accessed them through free distribution
were not using them, often due to frequent breakdowns. Acquisition did not include access to
spare parts and after-sale service support, as they were received for free, farmers did not
appear to care about continued functionality.
Micro irrigation technologies; Access, Appropriateness and Affordability
Considerations
Generally, conventionally available irrigation technologies and methods are expensive and
often far out of reach of the poorest smallholders. The majority of Zambian farmers therefore
resort to traditional irrigation techniques such as bucket irrigation which is cheap but labourintensive; this often limits cultivation area size and yields, resulting in continued low
production. Other conventional irrigation systems, such as channel irrigation and wild
flooding are inefficient, leading to high levels of water loss and soil erosion.
Around the world, low-cost irrigation technologies such as treadle pumps and drip irrigation
systems are proving to be effective water solutions for small scale farmers and rural
households with increased access and usage of these technologies one way to address
91
poverty. According to the FAO, small scale irrigation can increase yields for most crops by
100 to 400% (FAO, 2006). Irrigation enables small scale farmers to smoothen their cash
flow. A typical farmer normally focuses on rain-fed agriculture; income is therefore only
received at one time during the year. With appropriate irrigation technologies, farmers
generate income year round and can switch from subsistence production to market-oriented
production, with higher yielding and higher-value crops.
In the search for appropriate irrigation technologies, MEDA looked at other possible
irrigation technologies. MEDA‘s decision was to promote irrigation technologies that provide
a strong return on investment and are environmental friendly, specifically treadle pumps and
drip irrigation systems. Drip irrigation systems are a series of pipes with a water storage
device or reservoir that facilitate direct watering of plants; emitters allow for water to be
dispersed at the root of the plant thereby reducing water wastage and improving yields.
Treadle pumps are manual pumps that allow farmers to manually draw water from shallow
water tables or rivers and streams; these technologies are less-labour and resource intensive
and are effective in drawing water with minimum wastage. Research on these technologies
indicates through the adoption of these technologies farmers, on average; earn an additional
$100 in net income per annum (Frausto, 2000). The main question was how to create a
sustainable solution to improve availability of these technologies for millions of farmers in
rural areas of Zambia.
The experiment: Accelerating the supply chain for affordable and appropriate water
technologies in Zambia
In response to the need of appropriate and affordable water technologies, MEDA designed
and implemented a market development program to accelerate supply and demand for these
water technologies without dependency while strengthening local businesses to ensure their
long term viability and sustainable reach to underserved rural populations in Zambia. The
water technologies promoted, namely treadle pumps, hip pumps and drip irrigation systems
were not new technologies in Zambia. Distribution, however, was focused on sales to NGOs
who then provided the technologies to farmers for free or highly subsidized basis. Unlike the
common response by NGOs for free distribution, MEDA experimented with commercially
driven model using a discount promotion strategy through technology suppliers. The project
goal, approach and strategy are summarized in Figure 1.
Figure 1: Project goal, approach and strategy
Project Goal
Accelerating the
demand and supply
for appropriate and
affordable water
technologies.
Project Approach
Using a discount
voucher as a market
catalyst
Building the capacity
of water technology
suppliers and dealers
to serve farmers
better.
92
Project Strategy
Pure market
development
facilitation.
Invisibility of
MEDA for effective
market sustainability
and project exit
strategy.
Based on a market facilitation strategy, MEDA employed a model which included both
supply and demand side interventions, as outlined in Figure 2. MEDA focused its activities
on implementing a voucher program and training suppliers while working with partners to
ensure farmers were trained on appropriate techniques.
Figure 2: Voucher Program Market Development Model
KEY
Agri-business
support
organizations
Direct market transactions
Market facilitation interventions
Irrigation training
Technology demonstrations and
promotions
Discount voucher promotions
Orientation and
capacity
building on
market
development
facilitation
MEDA
WATER TECHNOLOGY MARKET
Smallholder
farmers
Transactions on water technologies
Technology demonstrations and
promotions
Discount voucher promotions
Water
technology
suppliers and
dealers
Capacity building on
innovative marketing and
outreach strategies
Central to the project was the introduction of a voucher scheme, offering farmers a
promotional discount off the price of the technology. MEDA worked with suppliers to
promote direct sales to farmers through technology demonstrations and irrigation best
practices promotion with training sessions, agricultural fairs and other information sessions.
These sessions were organized by technology suppliers and MEDA‘s NGO partners. Farmers
received a discount voucher in the form of an irrigation training certificate upon completion
of a training or attendance at a technology demonstration. The discount vouchers were
assigned a unique random number from a mobile phone ‗short messaging service‘ (SMS)
application which provide real-time monitoring of voucher issuance and redemption. Farmers
would then present the discount voucher and required top-up cash to purchase technologies
from the registered retail outlets. Retailers would redeem the discount vouchers, again using
SMS technology to verify the vouchers while working out their profit margin. All voucher
transactions are therefore conducted electronically and conveniently through a mobile phone
application. Figure 3 outlines the process.
93
Figure 3 Market Stimulation Model

Farmers get trained on
irrigation technologies and
practices or attend a
technology demonstration
session.

Farmers receive discount
vouchers upon training
completion or technology
demonstration.
2
3
1

MEDA reimburses
manufacturers and
distributers

Farmers use their top-up
cash and vouchers to
purchase technologies
from the technology
dealers or retailers.


Technology manufacturers
and distributers submit
vouchers for
reimbursement to MEDA
Retailers restocks
inventory from
Manufacturers using
vouchers (and own money)
5
4
5
The program commenced in 2008; at project launch the discount voucher value was set at a
fixed amount of USD50, regardless of the price of the water technology the small scale
farmers chose. To acquire a water technology, the average and highest top-up amounts were
USD 85 and USD140 respectively. In the second year, the discount promotion was changed
to a variable voucher with a discount of 40%; this was subsequently reduced to 30% and 20%
in the third year as part of the project‘s exit strategy. To arrive at the discount value, MEDA
worked with suppliers to look at the market conditions, indicative willingness-to-pay, and
incentive structure that would stimulate demand. However, flexibility was applied to ensure
that promotion responded to the market changes. In the final year, the discount amount is cost
shared between water technology suppliers and MEDA as part of the exit strategy.
Results, Outcomes and Challenges
Contrary to expectations by most NGOs who opt for free distribution, the discount promotion
for water technologies in Zambia has enabled over 1,400 small scale farmers to acquire water
technologies. Discount vouchers served as an incentive to reduce risk aversion among
farmers, investing in a new technology. Technology demonstration led to increased sales as
most farmers saw firsthand the environmental and financial benefits of the owing these
technologies. The vouchers also served as an incentive to draw irrigation suppliers into the
rural areas.
The discount voucher approach used by MEDA as an alternative to the handout approach has
revealed a number of lessons for commercially driven strategies aimed at stimulating input
supply or technology markets. Table 1 presents some comparisons between commercial
model and handout model for introducing irrigation technologies to small scale farmers.
94
Table 1: Comparisons between Commercial model and Handout model
Lens
Product
Demonstration
Access
Ownership
Promoting
Economic Choice
Commercial Model
Product demonstration is
conducted by technology
suppliers; good start of
supplier-buyer interactions.
Provide equal and wide access
to farmers who would like to
acquire the technologies.
Promotes individual ownership
and responsibility.
Entrepreneurial
Spirit
Farmers are able to select
technology based on needs and
preferences.
Strengthens entrepreneurial
spirit among technology buyers
After-sales service
support and access
to spare parts
Farmers more concerned about
after-sales service support and
availability of spare parts.
Supplier-buyer
linkage
Good prospects of ongoing
interactions between suppliers
and farmers.
Good prospects of developing
a sustainable supply chain.
Supply Chain
Development
Handout Model
Product demonstration is usually provided
by the NGO.
Access limited to the provider‘s target
group, normally selected by an NGO.
Technologies mainly provided under
collective ownership and hence do not
promote individual ownership and
responsibility.
NGO selects technology and provides to
farmers.
Does not promote entrepreneurial spirit as
there is no financial commitment of the
technology recipients.
Farmers usually do not know where they can
obtain after-sales service support or
purchase spare parts as acquisition is not
directly through the technology supplier or
dealer
Farmers normally have no direct linkage to
suppliers.
There is often objective of developing
supply chain; often disruptive to efforts to
build a commercial supply chain.
The monitoring and evaluation surveys conducted by MEDA has also revealed that while the
vouchers are effective in stimulating demand, in a very weak supply market, complementary
activities, such as training of suppliers on marketing, support for farmers to access new
markets, and financial services linkages are critical in developing a sustainable and dynamic
supply chain. As the demand for the technologies grows, suppliers often fail to service the
effective demand. From a pure market development approach, supply-side capacity building
interventions should be restricted to business demonstration of what works in terms of retail
supply network development. In Zambia, the proactive and entrepreneurial suppliers have
invested in lead-farmer agent networks in order to bring water technologies closer to the
farmers. MEDA‘s experience in Zambia shows the benefits of using a market catalyst in form
of a smart subsidy to develop a very weak supply chain. Box 1 summarises the lessons
learned in stimulating the irrigation technology supply chain using a discount voucher as a
smart subsidy.
95
Box 1: Lessons from stimulating markets using vouchers as smart subsidies
Vouchers do not hide the real cost of the technology. Farmers are aware that the discount
provided is in fact a price reduction (which is viewed as being offered by the suppliers).
The voucher is offered as a clear one-time cost reduction. This is not an ongoing price
subsidy but rather a promotion to allow farmers to try the technology. Each farmer has six
months in which to redeem their voucher, after which the voucher expires.
Research has shown that farmers are more likely to apply and use technologies when
purchased as opposed to being provided for free. As such, they also serve to automatically
direct the limited subsidy to farmers who are most likely to use the voucher efficiently.
Farmers are still required to pay for the majority of the technology cost. As farmers are
rational consumers, it can therefore be expected that only those who want to enhance their
production under irrigation will take up the offer.
Vouchers create demand that draws a commercial network into rural areas, increases the
capacity of retailers to invest in inventory, and strengthens the technology market for
future clients.
By enticing suppliers to enter the market, after-sales service is now available for
technology users. This was not the case when technologies were distributed for free as
maintenance services and spare parts markets were not developed.
Source: Snelgrove and Manje 2009
Figure 4: Impact causal effects from adoption of irrigation technologies
Moderating factors
Moderating factors
Access to markets
Level of investments in
other required inputs
Level of
entrepreneurship
Investments in proper
Market demand for
crop management
crops harvested
Choice of crops
Increased
productivity
Livelihood
improvement
Increased
production
Household
assets
acquisition
Adoption of
irrigation
technology
Labour
saving
Moderating factors
Choice of
technology
Effective use of
technology; benefit
maximization
Increased in
cultivation
area
Investments
in other
projects
Increased
income
Business
assets
acquisition
Increased
savings
Source: MEDA 2010
96
MEDA‘s impact evaluations show that use of appropriate water technologies can
substantially increase the income of a rural household. However, there are a number of
moderating factors which include quality of technology, proper usage and maintenance,
family involvement, choice of crops and access to markets. Figure 4 summarizes the multiple
impact causal effect relationships that have emerged from the MEDA project in Zambia.
Private sector responsiveness proved to be one of the major challenges for this program.
MEDA‘s program design required private sector water technology suppliers to be proactive
in direct marketing and selling of the water technologies. This entailed investments in
technology promotions, marketing campaigns and retail networks closer to farmers. After the
first year, it was clear that water technology suppliers needed to invest in dynamic retail
networks that reach farmers even in the remote rural areas. Since most of the suppliers were
used to NGO sales which did not require them to directly interact with farmers, jumping at
this opportunity and innovatively implementing marketing and sales strategies was
challenging. For this reason, water technology sales were low in the first year; only 500 water
technologies were sold directly to farmers under the discount voucher promotion. However,
with additional coaching and by seeing the ability of farmers to purchase technologies,
suppliers eventually started investing in marketing and by the second year over 1,300 sales
had been made.
It is important to note that vouchers were used as a short-term strategy to kick start the
market for irrigation technologies. Suppliers and buyers in weak markets are not likely to
respond to new market opportunities independently. The vouchers acted as a short-term
incentive to catalyse the market while complementary, longer term solutions, such as access
to financing, were developed.
Conclusions
MEDA‘s experience in Zambia presents evidence that it is possible to stimulate sustainable
access of agricultural inputs and technologies; in this case, it has been possible to accelerate
the supply and demand of improved and efficient water technologies for small scale farmers
and rural households. Sometimes, assumptions made of poor rural households are untrue.
Rural households are not homogenous; most of the households are willing to invest in a
technology that breaks them out of the poverty cycle. Commercially driven or business
solutions can create sustainable access of desired technologies and inputs for farmers in rural
communities. Free distribution or handout often creates a dependency syndrome that presents
challenges of successfully implementing a commercial model and indeed developing
sustainable solutions to developmental problems.
REFERENCES
[1] Central Statistical Office, 2000, Government of Zambia, Census
[2]Central Statistical Office, Zambia Website. Accessed August 12, 2010.
http://www.zamstats.gov.zm/lcm.php
[3] CIA World Factbook
[4] FAO (2006) Monitoring progress towards hunger reduction goals of the World Food
Summit
[5] Frausto, K. (2000) ‗Developing Irrigation Options for Small Farmers‘ Prepared for World
Commission on Dams.
[6] Frenken, Karen. 2005. Irrigation in Africa in Figures: AQUASTAT Survey –
2005. Rome, Italy: Food and Agriculture Organization, FAO Water Reports 29.
97
[7] MEDA 2010, Internal Monitoring and Evaluation Report, MEDA Zambia, Prosperity
through Innovation project
[8] MEDA 2007, MEDA Zambia, Project document- Prosperity through Innovation Project
[9] Snelgrove A and Manje L, Catalysts of Agricultural Supply Markets: Case for Smart
Subsidies in Zambia , Enterprise Development and Microfinance Journal, Volume 20,
Number 2, June 2009
[10] United Nations Development Program Human Development Report Website. Accessed
August 12, 2010. http://hdr.undp.org/en/statistics
[11] World Bank Website accessed August 12, 2010.
http://data.worldbank.org/country/zambia
98
INNOVATION IN ENGINEERING EDUCATION: THE MOBILE
STUDIO
Peter Bofah, Mohamed Chouikha
Department of Electrical and Computer Engineering
Howard University, Washington, DC 20059
[email protected], [email protected]
Key words ---- circuits, digital, electronics, examples, mobile studio, tablet PC, I/O boards, outreach, survey
Abstract
Most departments of electrical and computer engineering traditionally offer courses in several
areas by separating the courses and the accompanied required labs. This approach always
presents difficulties to the average student bridging the gap between the course and the related
lab even though the objectives and Accreditation Board for Engineering and Technology (ABET)
requirements are met. Lectures and labs become difficult to follow. Concerns about labs related
to the theory may not be readily available. The lab instructor may be different from the course
instructor. Thus further chaos is created for the student. These labs are equipped with bulky
expensive equipment. Thus few stations will be available to a group of students. Each station
may accommodate 5 or 4 students per group creating calamines since very few of the students
can actually conduct the experiment due to the limitation of space. The rest are mere observers
or reporters just recording the data. Recently, the Department of Electrical and Computer
Engineering at Howard University together with participating universities has introduced the
mobile studio approach. It combines hands on and lectures simultaneously.
The mobile studio is a lab on ―wheels‖. Each student has his/her own work station that
consists of: (a) a Tablet-PC (lap top) with special software that mimics instrumentation and
other features. (b) input/output I/O board that consists of dc power supplies, function generator
and it can be used for analog or digital experiments. (c) A bread board that contains the
hardware set up for the hands on approach. It is connected to the I/O board that is connected to
the Tablet PC via a USB cable. The instructor also has a similar set-up for demonstration. It
combines lectures, labs and demos in one package. Presently, the mobile studio approach is
being implemented in circuits, digital and electronics courses with success. In future, the mobile
studio concept will be extended to other courses. The studio has motivated students‘ interest in
the courses and performance have improved immensely. Examples are provided using the mobile
studio. A survey is conducted at the end of each semester. It covers use of the I/O boards, course
content, format setting, and perceptions of engineering and ABET assessment. The department
uses the mobile studio in conducting high school outreach programs as a motivation to do
engineering.
INTRODUCTION
Generally, medium of instruction of courses with accompanied labs are offered separately. This
approach creates problems for students as well as the instructors. Lectures and labs are taught at
different times, on different days and even sometimes both are taken in different semesters, and
also sometimes by different instructors. Thus students find it difficult to understand theory as
well as the lab hands on. In order for students to fully understand the lectures material and labs
as proof of theories, there is a great need to offer ‗hybrid ‗courses that consist of lectures and
labs at the same time.
Additionally, traditional labs are equipped with bulky work benches and large expensive
instruments and other equipment (such as large function generators, oscilloscopes and power
99
supplies) sources that consume appreciable amount of electric energy for operation at this time
of the world‘s dwindling energy sources. Due to limitation of space and bulky equipment
students work areas are limited and thus they are forced to work in overcrowded groups. It
contributes to a few number of students in a group that can actually participate in performing
hands on the tasks required for the lab under investigation. The rest only act as recorders. They
hardly participate or contribute to the success of the lab.
Due to recent advances in technology (nanotech) and miniaturization, a great deal of work for
miniature devices have been developed. Large size instrumentations have been reduced to palm
sized computer notebooks. The miniature instruments (Tablet PC) is interfaced with input out
I/O boards that series as source of power supply and function generators for analog and digital
labs. The circuit under test is on a bread board is connected to I/O board. This unit (tablet PC,
I/O board, bread board system) is known as the mobile studio. It occupies rather a small portable
space (much less than a cubic foot). The cost is rather low, less than $1000 per station. There is
available mobile studio for each student in a course as well as one for the instructors.. The
mobile studio provides the functionality of a regular lab in a portable package. The instructor, as
well as students, work in synchronism to provide lecture and hands on experience at the same
time. Data collection at the PC is made easy. The PC acts as instrumentation (ammeter,
voltmeter, oscilloscope with basic two-channels) as well as the control panel for the labs.
The mobile studio-based classes have been used in courses in the department for over four years
now. Initially, the department started with a few stations on experimental basis with networks
(circuits) courses. Students enthusiasm motivates the department to get more and expand the
concept to several courses at different levels from freshman through senior levels. The concept
has also been introduced in our ―Smart Lighting‘ high school outreach programs with great
success.
The ―Smart Lighting‖ program provides students motivation to pursue engineering profession.
The program consists of lecture series and it is coupled with hands on approach since engineering
involves data collection and analysis leading to evaluation.
THE MOBILE STUDIO CONCEPT
The mobile studio teaching concept that is a normal practice of other departments (such as
architecture, arts) has been adopted by engineering departments due to advances in technology
and miniaturization. It consists of a Tablet-PC that acts as instrumentation and input/output I/O
board that serves as computer interface via USB cable [1, 2]. Thus, the usual old fashioned
laboratory setup (as shown figure 2) that
Figure 1.Compact Mobile studio lab
Equipment
Figure 2.
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Old Fashion Traditional Lab Concept-Bulky
includes separate oscilloscope, multi-meter, power supply, function generator and others has
been replaced with the ‗portable‘ mobile studio (shown in figures 1 and 3) setup that consists
of a breadboard, Tablet PC and an I/O board that is a small hardware platform. The entire
setup occupies small space. It can fit in a backpack and carried home. .
Tablet PC
USB sync
cable
I/O board
Breadboard
Figure 3. MOBILE STUDIO STATION
Figure. 4 below shows the I/O board instrumentation panel displayed on the tablet PC
screen. The I/O board emulates a function generator, oscilloscope, voltmeter, Spectrum
analyzer, ±4.5V DC power supply and is capable of digital operations.
Oscilloscope display
Oscilloscope Trigger
Function Control
Figure 4. THE I/O BOARD INSTRUMENTATION PANEL ON THE TABLET-PC
101
The portable nature of the mobile studio setup means that there is far greater student
interaction with the equipment since there is a workstation for each student. The instructor
and the teaching graduate assistants also have a similar set up. The students are encouraged to
individually explore the characteristics of the demonstrated circuit under several conditions.
Occasionally, a graduate teaching assistant may contribute to monitoring the students‘
progress and offer assistance to ensure that all of them understand the topic before resuming
the lecture. They also use the mobile studio for projects, homework, labs, and designs.
MOBILE STUDIO-BASED COURSES
The mobile studio concept has been in use for the past four years. The Department initially
started with a small scale tablet-pcs (as a test bed) with circuits courses by combining
lectures with labs at the sophomore level [1]. It became a great success and students interest
in electrical/computer engineering increased. Students could save data gathering time using
the mobile studio. They could obtain plots instantly (instead of traditional write down data,
and plot graphs on paper by hand or other means later.
Additional tablet pcs have been obtained with improved voltage supply and more features. Thus
the concept has been extended to electronics and digital courses as well as to capstone design
projects. It has also be introduced in freshman introduction to engineering courses.
EXPERIENCE WITH THE MOBILE STUDIO
Unlike separate classes and labs, combining both lectures and labs has greatly improved the
attention of our students through hands on approach. They are able to discuss results with
other students instantaneously. They correct each other. Our students work on assignments
with the mobile studio. One can observe them with serious concentration and overall
enthusiasm. Their mobile studio work coupled on the spot with comments from the
instructor, enhances the individual‘s understanding of the subject both theory and practice
(through experimentation).
SAMPLE OF STUDENTS MOBILE STUDIO APPLICATIONS
Samples of students use of the mobile studio are presented below.
Compound Amplifiers: Students study characteristics of compound differential, Darlington
and cascode amplifiers using PSPICE simulation and comparison with experimental results
using the mobile studio
Problem Statement
a. Differential Amplifier: Set up Circuit as shown in Figure 3, obtain waveform and
determine: the common mode voltage gain, the differential mode gain, and the
common mode rejection ratio, (CMMR)
b. Darlington Pair: connect the circuit as shown in Figure 4, add the Darlington pair to
the output and measure the gains.
c. Cascode Amplifier: Connect the circuit as shown Fig. 3 right, determine the upper
half frequency of the cascade amplifier, Find the upper half frequency of the resulting
common emitter amplifier
Differential Amplifier: The differential amplifier amplifies the difference between the two
input signals V1 and V2 by some the differential gain, Ad. Thus its output is proportional to
the difference between its input voltages.
. They are often used when it is
102
desired to null out noise or bias-voltages that appear at both inputs, a low common-mode
gain is usually considered good. This is because they are less sensitive to noise and
interference than the single ended amplifiers. It consists of two transistors whose emitters are
connected together. The output can be taken either as a single ended or double ended with a
dc bias current source, I. The differential mode voltage gain, Ad, and the common mode
voltage gain Acm are determined from small signal analysis. The common mode rejection
ratio (CMMR) is a measure of how well the amplifier amplifies differential mode and
common mode signals.
. Ideally, this value is infinite ( ).
Darlington Pair: The Darlington pair is an extremely useful direct coupled amplifier
configuration. It is often found in the output stages of power amplifiers so as to reduce the
required base drive. It can be thought of as a variation of the CC-CE circuit with the collector
Q1 connected to that of a Q2. It is used to implement a high performance voltage follower.
Its current gain of β = β1β2, where β1, and β2 are the current gain of the two transistors.
Cascode Amplifier: A common-base amplifier stage is in cascode with a common–emitter
amplifier stage to form a very useful and versatile amplifier circuit. This configuration is
known as the cascode. It combines the high input resistance and large trans-conductance
achieved in a common-emitter with the current-buffering property and the superior highfrequency response of the common-base circuit. It can be designed to obtain a wider
bandwidth and also increase the dc gain while leaving the bandwidth product unchanged.
The BJT cascade has high input resistance and it improves input-output isolation (or reverse
transmission) as there is no direct coupling from the output to input [3-5]
Figure 5.
a. Differenetial amplifier:-
b. Cascode amplifier circuit
A.
Differential Amplifier
Experimental Results (from figure 5a)
1. Set Vi1 = Vi2 = 0, results: Bias currents, I c1
2 A , I c2
2 A , I c3
2. Set Vi1 = Vi2 = 1V at 1 KHz. Determine the common mode gain
Avcm
1.05
0.4
0.26nV / V
3. Set Vi1 to 50mV peak to peak at 1khz, ground Vi2,results in mV
In decibels, CMMR = 20 log
= 32.3db
103
2 A
B. Comments: Both the experimental and PSPICE simulation results did not produce accurate
results because of the lack of a potentiometer.The Darlington Pair Effect
Figure 6a. Circuit with Darlington Pair
Figure 6b. Circuit Without Darlington Pair
Experimental Results
Table 1. Connect circuit without the Darlington pair (from figure 6a, b)
Amplifier
Load
Vs
Vo
Voltage gain Av
Without Darlington pair
RL = 110Ω
50mVpp
19.5mVpp
0.39V/V
With Darlington pair
RL=110 Ω
50 Vpp
2.89 Vpp
57.8 V/V
Simulation Results
Gives, RL = gain = .36V/V, RL= 110, gain = 62.3 V/V, similar results
Comments: The results from the experiment differ from that of the simulation because the
limitation of the IO board makes it impossible to produce a 4V at Vdd.
C. Cascode Amplifier
Results
Table 2. Connect the circuit as shown and measure the collector current and voltage
across collect
Results
Ic1
Ic2
Vceq1
Vceq2
Experimental
7.4mA
7.4mA
3.7V
2.1V
Simulation
7.38 mA
7.438 mA
3.736 V
2.33
1. Cut-off (lower and the upper half ) frequencies of the cascade amplifier
Lower 3-db frequency fl = 1.07 KHz, mid-band gain 18.8 V/V, upper 3-db frequency, fh = 75
MHz
2. Cut-off (lower and upper half) frequencies of the common emitter amplifier.
Fl= 1.07 KHz, midband gain = 18 V/V, fh = 75 MHz
Comments: The Cascode amplifier increased the bandwidth of the amplifier the mid band
gain same.
104
Figure 7. Simulation of cascode amplifier
Conclusion: The experiments give properties of several configurations of amplifiers. The
errors in the experiment are due to the limitation of the I/O board to supply a voltage of 4v.
Reference: Sedra S. A., Smith, K. C. Microelectronic Circuits. Fifth Ed. New York. 2004
THE OUTREACH SUMMER PROGRAM
The program emphasizes electrical and computer engineering and it is designed to provide an
exciting, hands-on, design-centered introduction to engineering design using smart lighting
projects and the mobile studio. Howard University is committed to providing an education
environment that is accessible to all students. The School of Engineering consists of the
following departments: chemical, civil, mechanical, electrical and computer engineering, and
systems and computer science options. We explain the role of each area. Such as: electrical
engineering that involves: devices generating, control or using electricity, communications,
radio, television, cell phones, video games. Computer engineering also encompasses several
areas including digital systems (hardware and software).
SAMPLE PROJECT: The design of optical-emitter
Design: Smart Lighting: A team is asked to build an optical emitter (transmitter) and a
receiver. The systems is demonstrated with a music source to be received by an amplifier
and converted into sound using a loudspeaker. It works.
Figure 8
a. Optical receiver project
b. Nanotechnology lecture by Prof Gary Harris
SURVEY ON USE OF THE MOBILE STUDIO
A survey of the students‘ reaction to the use of the mobile studio that combines lectures and
labs is conducted every semester based on the outline below.
Frequent use of I/O boards in class, lab and homework, I/O board usage in course
content, instructor and teaching assistant, format setting, supplementary material
105
Use of I/O boards integration-development of students confidence
Students approve the use of the mobile studio. However, they want to see the I/O board with
improvements in increase of voltage supply above the available 4.5 volts.
CONCLUSION
The department has successfully implemented the mobile studio approach (while satisfying
ABET requirements) in teaching the courses circuits, electronics and digital courses and
laboratory hands on by combining lecture, labs, recitation and homework projects. Students
participating in the High school summer engineering outreach programs show great interest
and appreciation in the use of the studio. Typical students‘ examples using the mobile studio
have been discussed. Their confidence levels have increased unlike the earlier traditional
methods (class lectures separate from labs). The survey for assessment of the mobile studio
concept by the students is very overwhelming and encouraging. We hope colleges in
appropriate technology adopt the mobile studio concept. It saves money and space. In the
high school ‗Smart Lighting‘ outreach program, we demonstrate how students can be
exposed to several areas of engineering profession and practice through hands on approach..
Acknowledgement
Thanks to the high school students participants, and to the students and faculty who have
contributed to the continuous improvement of the studio based courses.
REFERENCES
[1] Peter Bofah, Mohamed Chouikha, Jan Jerry, ―Mobile-Based Electronics Courses‖, ICEE
Proceedings, 2009, Seoul, Korea.
[2] Don L. Millard, ―Expanding the benefits of Mobile Studio Classroom‖, http://mobile
studio.rpi.edu/Project.aspx, 2007.
[3] S. Joust and D. Dibasic, ―Experiencing Learning Environments: Do they prepare Our
Students to be Self-Directed?‖ Journal of Engineering Education, July 2006.
[4] Ralph M. Ford, Chris S. Coulston, ―Design for Electrical and Computer Engineers,
Theory, Concepts and Practice‖, McGraw-Hill, 2008.
[5] Adel S. Sedra & Kenneth C. Smith, ―Microelectronics Circuits‖, Holt, Rinehart and
Winston, Saunders College Publication, Sixth Edition, 2010
106
Using Business Rules Standards to Advance E-Governance
John Trimble, Harry Keeling and Mugizi Robert Rwebangira
Systems and Computer Science Department, Howard University
Washington DC 20059, USA, (202) 806-4822, [email protected]
Key words: e-governance, e-government, business rule standards. Knowledge management
Abstract
The business community has played a leading role in establishing standards for sharing
knowledge across computing platforms. Developments in e-commerce have led to
developments in e-governance and e-government. One of the latest efforts to standardize
electronic communication in the business community is the development of international
business rule management standards. This study focuses on an examination of one of the
most popular business rules standard – Semantics of Business Vocabulary and Business
Rules (SBVR). Standards in the e-governance arena will not only facilitate the expansion of
e-governance within nations, but also greatly facilitate e-governance in the international
arena. Standards across national boundaries are of particular importance to Africa as the
African Union (AU) seeks to implement continental unity. E-governance is viewed as a
particularly effective approach to using information and communication technology (ICT) to
empower the general citizenry. This makes the expansion of e-governance a key concern of
appropriate computing. This effort concludes with suggestions for further research efforts in
standardizing and advancing the utilization of e-governance across national boundaries.
INTRODUCTION
―In poll after poll, citizens want their governments not only to fix economic problems, but
also to be active in almost every domain‖. A 2008 survey involving 50,000 people across
60% of the world indicated that over 87% of people want governments to provide food to the
hungry, health care and public education to all citizens [1]. As populations become more
literate, countries become more economically and industrially developed and communication
technology advances the expectations of government increase. The ability for governments
to use technology to both assist its citizens and involve its citizens has greatly increased for
both developed and developing countries. This sets the stage for advances in e-government
and e-governance.
Advances in the ICT sector in Africa have set the climate for the private sector, civil society
and government sector to improve service delivery. ―Africa‘s telecoms sector is the most
rapidly growing of any in the world. With many markets globally at saturation point, the
opportunities for expansion in the continent are plentiful. But only those investors who
understand the complex dynamics of Africa and the unique challenges it throws up will
succeed in realizing the immense potential. With three submarine cables now installed, the
availability of cheaper broadband connections and the Internet could transform
communications in Africa. Mobile banking is already doing so in the financial sphere‖ [2].
With the connection of submarine cables to fiber cables across Africa, broadband speed has
greatly increased while reducing in cost significantly. Fiber is replacing the slower and more
costly satellite connections. The global reach and financial potential of telecom advances in
Africa is apparent in the following report: ―Safaricom, in Kenya, has a service called M-Pesa
that lets the cell work as an ATM; … Cellphone minutes are traded by phone as a cash
substitute. Credit card payments are mad by cellphone. Remittances from relatives overseas
come by cellphone. (Amounting to about $350 billion a year these days, remittances are
expected to reach $1 trillion soon; in some developing countries, the remittance total is
already higher than foreign aid and foreign investment combined.)‖ [3]
107
African e-government
African countries have embraced the utilization of information and communication
technologies to reduce disparities among its citizens. Some such as Rwanda [4] have been
very aggressive in planning and implementing ICT based projects. Earlier initiatives dated
back to 2000 initiated government backed national internet access projects, Government
website, computerization of ministries, a national GIS applications project, as well as a effort
to establish a comprehensive computer-based information system to deliver government
services. In 2005, Rwanda extended on these efforts with twenty new initiatives outlined in
Table 1 below.
Project
Purpose
Document Tracking &
Workflow Management
The Citizen‘s Guide to
Governmental Procedures
Rwanda National Portal
To provide a system that can be used in any Ministry, agency, or large
organization to track the progress of documents through their life cycles.
To define and document all procedures that the citizen or the private sector needs
to interact with the public sector.
To develop an official Rwandan gateway to all governmental and nongovernmental information and procedures.
To allow preparation of detailed Government budget lines and to manage budget
execution.
To provide a tax management system integrated with other public accounting
applications.
Management of development projects, integrated definition of public projects and
development budget, and financial execution of projects as development budget
execution.
To establish a Public Accounting Planned Action that collects financial data from
revenue collection, budget execution and central bank data, and presents them in
accounting terminology, running various financial reports on the State finances.
To support the Immigration and Emigration Departments.
To provide every citizen with a Smartcard based on a national ID. It will include
additional information that is useful to various entities such as health, traffic, etc.
To modernize the Post Office in order to provide a more efficient service to the
people of Rwanda. This is to be achieved through a widespread automation of the
postal services.
To provide valid and robust information for use in decision-making by key central
authorities.
To develop strategic plans for ICT in each Ministry and Agency.
To provide information for planning, monitoring and evaluation of donor projects
across Rwanda.
To introduce the citizen to the ways in which their representatives work in
Parliament.
To assist the management of Parliament in all administrative procedures as well as
to provide other services such as web casting of sessions and scheduling of
meetings.
To automate all procedures and systems related to transportation and which are
currently under the Ministry of Infrastructure.
To establish a National Computer Center that has the responsibility of providing
technical support to all Ministries and public institutions.
The unit that processes national data. It will be in the responsible position of
collecting national data, analyzing it and disseminating it.
Introduce a Management Information System in RITA.
This project assigns clear, usable street names in all towns and cities in Rwanda.
Budget Management
System
Tax Management System
External Finance Inflow
Management System
Public Accounting
Border Control and Visas
National ID and
Smartcard System
Automation of Postal
Services
Information Decision
Support Center (IDSC )
Ministry and Agency ICT
Donor Coordination
Network
The Citizen‘s Guide to
Parliamentary Operations
Parliament Management
Automation
Transport Management
Information System
The National Computer
Center (NCC )
Establish the National
Information Center (NIC )
MIS in RITA
Automate Street Names
Table 1: Rwanda’s NICI 2010 E-Government Projects (source [4])
These projects illustrate the potential of e-government. They range from projects focused on
enhancing the information technology capacity of individual agencies (MIS in RITA) to those
108
that will impact the country‘s whole population (National ID and Smartcard system). The
broad coverage of these projects can serve as a model for other countries as well as a starting
point for an Africa-wide initiative.
E-government as Appropriate Technology
The core concept of appropriate technology is ‗technology to empower people‘ [5].
Electronic governance and electronic government can be designed to empower people by
structuring greater involvement in the governing process. E-government enables users to
take advantage of automated government administration processes accessible on-line. Egovernment involves government to citizen, government to government, and government to
business interactions. All three types of interaction can empower the individuals involved.
Government to business interaction enables greater business productivity, contributing to the
country‘s economic productivity. Government to government interaction should result in
greater governmental efficiency, consistency and transparency. It is the 3rd type of
interaction – government to citizen – that most empowers the individual. It reaches out to the
total citizenship of a country. This e-government effort is most pervasive when it maximizes
the number of citizens involved and addresses the populations most in need of assistance.
[6] points out that ―The public awareness, in general, of the potentials of the advances in ICT
has led to increased expectations of government efficiency and access. This will serve to
increase pressure on policy makers to make e-governance more people-centered.‖ With that
in mind [6] recommends a framework that emphasizes decision support processes involving
knowledge development and sharing from the highest leadership to the common citizen.
These decision support processes must build on the knowledge repositories from the local to
global levels.
Knowledge management and Decision support
Electronic government projects build on existing information systems and government
communication processes. Knowledge management is a valuable concern of government.
The identification of ‗best practices‘ across different government agencies is a starting point.
The capture of these ‗best practices‘ in a knowledge representation standard and placement in
a knowledge management system widely assessable is the next step. The potential users of
this knowledge management system must be properly educated on usage of the system,
particularly accessing knowledge relevant to their responsibilities and needs. The knowledge
management system should be complemented with decision support tools that allow for
effective manipulation and alteration of the stored knowledge artifacts as well as information
stored by the government. This decision support tool set should consist of standard popular
software (with a focus on open source software) as well as customized software developed to
address particular needs of the particular communities and circumstances. These computerbased tools must be well integrated with a broader set of decision support techniques that are
people-centered.
Need for multi-national approach to e-government
Globalization has created a reality where citizens and businesses have a need to conduct
varied and regular interactions across national boundaries. Governments can facilitate these
interactions by extending e-government operations beyond their national borders. This can
best be achieved by multi-government web-based efforts. Multi-national e-government
broadens the opportunities of citizens and businesses. This larger e-government effort
requires standards that address the decision processes and knowledge representation that is
critical.
109
Semantic web and Pan-European e-government
The European Union recognized the need for a multinational approach to e-government and
launched a program to deliver pan-European e-Government services in 2005. This five-year
program was to deliver services to public administrations, businesses and citizens. ―Overall
the evaluation (after 5 years) concludes that the programme is in line with the e-Government
Policy priorities of the European Commission, plays a unique role within the European
instruments to foster the integration of Europe through interoperable public administrations
and is on track in the implementation of actions [7].
―When moving the focus from national to Pan-European e-Government Services (PEGS),
additional challenges appear mainly due to the existing inconsistencies amongst the
administrative systems. Apart from problems of multilingualism, the clients have to
overcome a series of difficulties such as different names for the same services provided by
different administrative levels, and providers; different titles, names of documents and their
structure; extensive use of different administrative and legal terms; different communication
patterns must be followed when interacting with different PAs‖. To solve this a conceptual
model is developed that depicts infrastructure levels such as service requestors, front-office
applications, application layer and service providers where the underlying transport network
is facilitated by the Trans-European Services for Telematics between Administrations
network [8]. This addresses some of the ontology needs of e-government system
standardization. However, addressing the decision process standardization requires rule
standardization. Production Rule standardization is particularly important. Production rules
allow the representation of a wide variety of decision processes that reflect the following
structure: (conditions + constraints imply actions).
Business Modeling Knowledge standards
In most cases the business sector is more advanced than the government and civil society
sector in developing international standards.
This naturally follows since the
internationalization of commerce has been a driving economic force for centuries. Political
or governmental cooperation has largely served to facilitate economic forces. In recent years
e-commerce has played an important role in this global economic drive. This is the situation
with regards to establishing standards for knowledge representation and decision-making.
Rule based systems have flourished for years and the business community has dominating in
their utilization. Three of the most prominent business modeling knowledge representation
standards are analyzed and compared [9].
Howard University (HU) researchers devoted significant effort to survey three major business
knowledge representation standards, SWRL (Semantic Web Rule Language), SBVR
(Semantics of Business Vocabulary and Business Rules), and XBRL (eXtensive Business
Reporting Language). ―These are standards and mechanisms used by industry organizations,
such as Object Management Group (OMG), World Wide Web Consortium (W3C), as well as
various business rule management system (BRMS) vendors. Semantic Web Rule Language,
or SWRL, was developed by the W3C to be the rules language for the semantic web. It is
essentially a combination of OWL and RuleML and thus supports both a sophisticated
ontology and a strong system of rules. Semantics of Business Vocabulary and Business
Rules, or SBVR, is a standards product of the OMG. The standards group started work on
SBVR in 2005 and the first public release was Version 1.0 in January 2008. The eXtensible
Business Reporting Language, or XBRL, is an open standard approved by XBRL
110
International that is now widely adopted by over 400 organizations in 11 global jurisdictions,
including 19 stock exchanges and 10 country-wide taxing authorities.‖ [9]
The table below Table 2 compares the strengths and weaknesses of the three standards. This
is based on a study done to determine which standard is most appropriate for a particular
business environment. However the results are very helpful in establishing suitability in the
e-government setting.
STANDARDS SWRL
SBVR
XBRL
--It is very expressive,
Flexibility of expressing
--SEC approved and
Advantages
Disadvantages
essentially being able to
express all of first order logic.
--It has facilities to allow easy
calling of external programs
(e.g. querying databases).
--It has extensive academic
interest and there are a number
of open source rule engines.
--The standard is so expressive
and powerful, that only a subset
can be used. Otherwise
inference will be undecidable.
--Does not natively support
natural language statements.
rules in:
-Natural language (such as
English, German, Dutch)
-Specialized terminology
(such as that used by
lawyers or engineers)
-Constructed language (such
as the UML)
--Does not directly address
linking to other knowledge
sources such as Oracle or
SQL databases.
--The absence of a
traditional object-attribute
representation can be a
shortcoming.
recommended
--Addresses
financial knowledge
representations
--Lack of a flexible,
comprehensive rule
representation
--Limited
ontological
knowledge
representation
capabilities
--No consideration
by industry leading
vendors
Table 2: Comparing SWRL, SBVR and XBRL (source [9])
SBVR
―SBVR is appropriate to be used by business experts, since it allows the representation of
business vocabulary and rules using controlled natural language‖ [10]. SBVR may prove the
best standard to pursue in a broader e-government effort. SBVR presents the strongest case
of knowledge representation flexibility. Users do not have to be skilled programmer analysts
to express their domain knowledge. This opens the development process to a wider
community. This is important with e-government and e-governance. The potential pace for
development and the involvement of stakeholders, decision-makers and citizens is important.
The basic components of SBVR constructs are the Noun and Verb concepts. They are used
to construct simple as well as complex facts. Noun and verb concepts are used to build the
fact knowledge base for the domain, instead of less readable object-attribute constructs.
There are two types of rules in SBVR: structured rules and operative rules. Structured rules
are logic rules that are unbreakable. They are used to present complex relationships in the
domain that help define both static and dynamic structural realities in the domain.
Operational rules are action-oriented and are breakable (i.e. they need to be enforced) [11].
Pan-African e-government
The African Union has established processes that are designed to lead to the full integration
of African states politically and economically. A continental electronic governance system
would both facilitate the integration of government processes across borders. It would allow
for greater shared administrative resources. This is particularly important given the limited
expertise in information and communication technologies. The best practices of the stronger
111
and more developed states in Africa such as South Africa and Egypt can be used to accelerate
development in smaller less developed states. The potentials for citizen users are even
greater. Best governmental practices will be made available to citizens in their local
communities at a much quick pace given the standardization facilitated by user-friendly
international standards such as SBVR. Citizens will have much better access to opportunities
on a continental scale through a well-planned Pan-African e-government structure. This
ranges from improved access to visas and travel opportunities to access to jobs across Africa.
Conclusion and future research
This initial study concludes that a nexus of conditions exist for the advancement of a PanAfrican e-government and e-governance initiative. This effort can link not only the 53
independent African countries but also the various African communities in the Diaspora.
Technology advances in telecommunications and computing have set the stage for a wide
range of advances in global connectivity for business and government. Initially information
and communication technology was strictly the domain of the most developed countries.
Technology transfer to the developing countries has accelerated in recent years. The
projected impact on Africa will lead to advances in commerce as well as democratization.
The business community is taking the lead in developing standards for knowledge
representation and the exchange of knowledge artifacts. These are international standards
that can apply not only to the business communities but are well suited for government
efforts. SBVR has emerged as a leading candidate in the standards development efforts. The
strength of SBVR is its flexibility for expressing rules, particularly its use of natural language
constructs. This can open doors to rapid development of internet-based knowledge
management decision support systems across national boundaries. The authors plan to extend
this research in two directions: 1) expand the examination of rules standards and rule
development tools; and 2) engage researchers from different countries in this effort.
1) Identify best projects for empowering people. These should be projects that have the
broadest impact on the most disadvantaged communities and effect the largest populations.
2) Identify cross-national linkages. These may be sister agencies in difference countries
such as: social security agency or motor vehicle authority.
3) Replicate projects across national boundaries. This may be as simple as utilizing the
same website templates or may involve complex linkage of knowledge structures across
national boundaries
4) Further investigation of SBVR as a standard for e-government efforts. Several issues
must be addressed including the role of UML models and how will Production Rule
Representation (PRR) and Rule Interchange Format (RIF) be used in development efforts
5) Planning for the human resources needed to implement a comprehensive Pan-African egovernment effort in terms of immediate needs and long term development.
6) Address the required network infrastructure development needed. This must
particularly address end delivery points such as: mobile, portable PC-based, telecenters
(public, private, and PPP), home based access
7) Address connecting Pan-African e-government to Asia, Europe and the Americas.
8) Develop a process of continuous assessment. Measuring effectiveness across
boundaries and over time and making the necessary adjustment is key.
Table 3: Starting points for comprehensive plan of action
Initial multi-national efforts at e-government have been initiated by the European Union.
They focus on using Semantic Web Service (SWS) specifications [8]. This study finds
SBVR to be a more expressive and powerful candidate for extensive e-government
112
development. The application of this e-government development process across Africa can
have an even greater human impact because it addressed the most disadvantaged populations
and the structurally weaker government. This can be a truly effective approach to reducing
the ‗digital divide‘. One key to implementing these ideas is how completely the African
Union and its member states embrace this effort. A comprehensive plan of action is needed.
Table 3 above outlines points that should be addressed in such a comprehensive plan. This
will be the starting point of our continued research effort.
Acknowledgements
The authors would like to acknowledge the support of the National Science Foundation for
supporting our research on business rule standards through NSF Program: 05-605.
REFERENCES.
[1] Patel, Raj, The Value of Nothing: How to reshape market society and redefine
democracy, Picador, New York, 2009
[2] Seymour, Richard, ―Telecoms in Africa: The new era begins‖, African Business, no.
364, IC publications, London UK, p. 12-22, May 2010
[3] Brand, Stewart, Whole Earth Discipline An Ecopragmatist Manifesto, Viking Penguin
publishers, New York, 2009
[4] Government of Rwanda, An Integrated ICT-Led Socio-Economic Development Plan
for Rwanda 2006-2010: The NICI – 2010 Plan, 2005
[5] Trimble, John, ―The Historical Development of ICAT – International Conferences on
Appropriate Technology‖, Proceedings of 3rd ICAT, p. 9, Kigali, Rwanda, Nov. 12-15,
2008
[6] Trimble, John, A. Nyamvumba, ―A National Framework for Infusing Information
Technology in the Decision Support Process‖, Proceedings of 3rd ICAT, p. 151-158,
Kigali, Rwanda, Nov. 12-15, 2008
[7] Commission of the European Union, ―Final evaluation of the implementation of the
IDABC programme‖ Brussels, May 29, 2009
[8] Vitvar, Tomas, A. Mocan, V. Peristeras, ―Pan-European E-Government Services on
the Semantic Web Services‖, WWW2006, Edinburgh, UK, May 22-26, 2006
[9] Keeling, H, J. Trimble, M. R. Rwebangira, Interim Report NSF Program: 05-605,
―Research and Design of Efficient Solutions for Portability of Regulatory Knowledge
Base Products‖ August 12, 2010
[10] Araujo, Bruno de Moura, E. A. Schmitz, A. L Correa, ―A method for Validating the
Compliance of Business Processes to Business Rules‖ Proceedings of 2010 ACM
Symposium on Applied Computing, p.145-149, March 2010
[11] Object Management Group Inc, ―Semantics of Business Vocabulary and Business
Rules (SBVR), v1.0‖, http://www.omg.org/spec/SBVR/1.0/PDF, January 2008
113
Partnering Universities and Communities in ICTs for community development:
Case of Masendu Community, BulilimaMangwe District, Zimbabwe
Kudakwashe Madzima1, Isaac Nhamu2
Computer Science Dept, University of Swaziland, P.Bag 4, Kwaluseni, Swaziland
Phone: +268 518 4011 ext 2560, +268 6645231, Email: [email protected]
2
Polytechnic of Namibia, Windhoek, Namibia, Email: [email protected]
1
Key words: Community development, ICT, Rural development, Digital divide, Knowledge
management
Abstract
In this paper we summarize our experiences in working on a rural ICT initiative with the
Masendu Rural Community in Bulilima-Mangwe District, Matebeleland South Zimbabwe.
The objective is to demonstrate the impact of incorporating ICT centers as sub projects in
rural development programs. The project also intended to enhance access to developmental
information in Bulilima Mangwe District through the provision of relevant knowledge
management skills. The center is solar powered and the Internet connection was via a radio
link between Masendu Primary School and the National University of Science and
Technology. The project was developed based on available technologies and cost
consideration. Activities for the project helped us realize that with careful planning, such a
project is economically feasible & self-sustaining. Results from the project indicate that it is
possible to incorporate information and communication technology (ICT) centers as part and
parcel of rural development projects.
1. INTRODUCTION
Community Development is concerned with building the capacity of people to define and
address their problems and visions within the context of their own culture. Good community
development is action that helps people to recognize and develop their ability and potential
and organize themselves to respond to problems and needs which they share. It supports the
establishment of strong communities that control and use assets to promote social justice and
help improve the quality of community life. It also enables community and public agencies
to work together to improve the quality of government. [3]
Experiences around the world show that, if used for the right purposes, ICT can play a key
role in national development strategies. Countries have pursued diverse strategies: some have
focused on developing ICT to boost exports, or to build domestic capacity, or other countries
are pursuing strategies which seek to use ICT as an enabler of a wider socio-economic
development process. [Aloyce R. Kaliba, 2003]
The unique characteristics of ICTs are derived from the fact that ICTs are crosscutting.
Encouraging information sharing among people fosters community empowerment and
participation. Communities can share and exchange information on mutual interest,
strengthen their collective power, and shape their own development solutions. [13]
Knowledge management has become central to the achievement of developmental aspirations
of various communities worldwide. Generally, access to information and the means to
communicate play a strategic role in attaining food security, resource mobilization, job
creation and rural development. The need to empower people in Bulilima-Mangwe through
the provision of information can be seen as in line with Article 19 of the Universal
114
Declaration of Human Rights which has a provision of access to information and
communication services to all without discrimination.
Part of ICTs‘ potential is to transform the landscape of social and economic development in
poor communities. In recognition of that potential, attention has been focused on how to
eliminate the ―digital divide‖ – the gap between the levels of hardware and software
resources that are available to poor communities and to more affluent sectors of society. Far
less concern has been devoted to two equally important questions: How well are low income
communities able to take advantage of ICTs once they have them? And what difficulties and
opportunities face these communities when they try to make innovative use of ICTs? [6]
Many policy questions center on two points: access to data transit portals and computer
access for the poor. Unfortunately, the dialogue does not go very far beyond these two points.
Concentration on these two issues, while important, directs attention away from potentially
creative uses of information technology to help revitalize communities. There have been
infrastructure assessment studies of what it would take for poor communities to access the
"information super highway". What is lacking is an assessment of the challenges,
opportunities and best practices using technology to accomplish community revitalization. [3]
We believe that by examining areas of community capacity to undertake development and
use of the Internet to foster economic development, we can more effectively judge the impact
of IT on community change.
- In determining the activities for this project we considered the following important points:
- Building human capacity of individuals through knowledge creation and acquisition is an
influential factor in sustainable development that should not be overlooked;
- The low penetration of ICT is related to poor infrastructure and/or the cost of services;
- Knowledge resides in each community. It can be created, shared and utilized in each
community.
- Sustainable ICT projects should be locally owned and accompanied by human capacity
development.
- Capacity in effectively using ICTs for development is often the main constraint, not
equipment.
- For ICTs to have a positive development impact, the various social groups must have equal
access to them, particularly disadvantaged groups such as the poor, children and indigenous
people.
The paper is organized as follows. The following section presents a brief about BulilimaMangwe district; the section that follows will present an overview of the ICT situation in
Zimbabwe. The objective of this section is to give the highlights of what is happening in
terms of infrastructure development, capacity building and policy changes. In the subsequent
sections we then present the project methodology and challenges before presenting the
results, lessons learnt and conclusions in the last sections.
1.1 Bulilima-Mangwe District
The population of Bulilima-Mangwe is estimated to be approximately 225 900.
The population in the district is extremely youthful, with some 51% under 15 years of age
and 43% within the economically active category. Only 6% are beyond the age of 65%.
There is also a predominance of females over males especially the young adults age groups,
mainly due to the high rate of out-migration to South Africa and Botswana by the young
adults males. The percentage of women in the district is estimated to be at 53%.
115
The district is made up of 35 wards of which 29 are within communal and Resettlement
Areas. The whole district is under the jurisdiction of Bulilima-Mangwe Rural District
Council. In the communal and Resettlement Areas of the district, committees are responsible
for the management of natural resources in their areas.
Major economic activities in the district consist of agriculture, wildlife utilization, commerce,
social services, light industries, public services and informal sector. Irrigation schemes in the
district are inadequate due to shortage of dams. There are only two schemes in the District
and these are Moza (55 hectares for 149 plot holders) and Ingwizi (45 hectares for 100 plotholders). Cattle rearing appear to be the main agricultural activity in the District although
there is a critical shortage of grazing land. Unemployment and underemployment are major
problems. The unemployment are much higher due to an increase in school-leavers, which
was not complimented by an equal number of employment opportunities.
Activities for this project were conducted in the Masendu ward. The project centre was
located at Masendu primary school. Some activities of the project were also carried out at the
National University of Science & Technology (NUST) in Bulawayo.
2. ICTs in Zimbabwe
The role of ICTs in development has been recognized by the Zimbabwean government
through such landmark measures as the e-Readiness Survey (2004), and the National ICT
Policy Framework (2007) that recommended the institution of a National Information and
Communication Technology Authority and a Converged Regulator. This has led to the draft
ICT Bill which sets out the key legislation and regulation framework regarding the access and
use of ICTs in Zimbabwe. The Ministry of ICT was set up to oversee all ICT issues in
Zimbabwe. The Ministry has already drafted its Strategic Plan in which it spells out some of
the critical issues (short and long term) that need to be addressed in the area of ICT in
Zimbabwe. This visionary Strategic Plan of the Ministry of ICT guides and consolidates the
priorities to transform Zimbabwe into a knowledge society, and pulls the entire nation around
a single game plan for execution. [9]
The synopsis of the ICT indicators for teledensity, mobile access, internet access and number
of PCs per 100 people for the SADC region shows that the environment is challenged, where
the average teledensity and average mobile access levels of SADC region is half of the Africa
average. The Government of Zimbabwe is geared to rectify this developmental anomaly
through the implementation of the National ICT Policy Framework and the Strategic Plan
spearheaded by the Ministry of ICTs. Tremendous opportunities abound in Zimbabwe in
ICTs for development with respect to the following areas which at best can be addressed
through collaboration, consultation and smart PPPs: Infrastructural facilities for connectivity
and equitable access; A common electronic–business framework; Information and content
development and sharing platforms;e-Government platform that serves Government and
citizens; A conducive enabling political, legal and technical environment; ICTs industry and
support services and; human resource development. [12]
One of the major functions of the Ministry of ICT is to develop supportive and enabling
infrastructure to ensure equitable access to ICTs by all citizens including disadvantaged
groups and rural communities. The Ministry of ICT in its Strategic Plan 2010-2014 identifies
the issue of Communications Infrastructure as one of the projects that can be implemented in
a short space of time subject to availability of resources (Quick wins).
116
Communications Infrastructure – There is need to develop a communications master
plan to ensure reliable and efficient communication and applications development in
Zimbabwe. The project covers the entire country and will be executed in phases. Access to
the Internet backbone through the current gateway has serious capacity challenges and
therefore development of an optic fibre link between Harare and Mutare is important in view
of connecting to the undersea cables (EASSy and SEACOM) in the Indian Ocean through
Beira. An alternative route is to lay an optic fibre cable from Harare to Beitbridge for the
same purpose and to facilitate fast and reliable communication between our country and
South Africa. The optic fibre is a cost effective solution compared to the costly VSAT
communication link. [12]
Work on the proposed project to connect to the undersea cable (EASSy and SEACOM) in the
Indian Ocean through Beira, Mozambique has already been started. This has also been
complemented by similar projects inside Zimbabwe being done by Network Operators,
ECONET and Tel-One. ECONET embarked on a project where they laying fibre cables
linking major cities (Harare-Gweru-Bulawayo-Plumtree) within Zimbabwe.[8] These
measures provide for an enabling ICT environment for business, public administration and
services delivery, education, and communications.
2.1 Internet Access:
In Zimbabwe just like most African countries most people who access the internet do so via
Cyber cafes, colleges, varsities, work place an some at home. The limiting factors are
basically cost and unavailability. Most urban dwellers either can‘t afford it or the ISPs
serving them are out of capacity
Internet Usage Statistics in Zimbabwe
1,481,000 Internet users as of December 2009 13.0% of the population, according to ITU.
YEAR
Users
Population
% Pen.
Usage Source
50,000
14,712,000
0.3 %
ITU
2000
500,000
13,874,610
3.6 %
ITU
2002
820,000
12,247,589
6.7 %
ITU
2005
1,351,000
12,382,920
10.9 %
ITU
2008
1,481,000
11,392,629
13.0 %
ITU
2009
Table 1: Zim. Internet Usage and Population Growth.
Source: Zimbabwe Internet Market and Telecommunications Report, Internet World Stats: Usage and
Population Statistics. [11]
Zimbawe just like most African countries basically faces a number of hurdles in order to roll
out effective computing technologies to the general population. Rollout issues and
challenges do include but not limited to: cost of computers and equipment, inadequate access
technologies (data & voice), inadequate electricity, poor national & international bandwidth,
Regulation and licensing, Censorship and control, brain drain & lack skilled manpower &
I.T. certifications, egov [12]
2.2 Similar Initiatives promoting ICT usage in schools
In Zimbabwe there are some similar projects that have been initiated in schools to allow
school pupils access to computers. These initiatives have however been based more in urban
areas where electricity readily available. The programs include
The WorldLinks program mainly focused on schools (both primary and secondary) –
mainly located in urban areas and at growth points (district centers) - Sponsored by the World
Bank.
117
SEITT (Science Education In-service Teacher Training) program mainly targeted
training science teachers on the use of computers and internet for research purposes.
President‘s office initiative. During the period 2003-2008 President R.G Mugabe was
donating 10 computers per school (Official figures as to how many schools benefited, not
available).
3. Project Methodology
Many ICT for development projects fail because they are technology-led rather than
development-led or people-centred. To be successful and sustainable, projects must be
tailored to a community's needs and ways of working. Development agencies should be
analysing, and mapping, social network structures. This would help them understand
communities' socio-cultural contexts and provide a guide for introducing ICTs in a sensitive
way. [1]
We started by conducting a baseline study to identify developmental issues in the Masendu
community, the challenges faced and possible ways of intervention. The baseline study
helped us to establish that there was limited access to information essential for development
due to the absence of local radio (ZBC) and television signals (ZTV) resulting in the local
community not benefiting from developmental programs broadcast and telecast by the
national broadcaster. We also found out that the local community was experiencing problems
in sharing developmental news from their own area with other communities in Zimbabwe. In
baseline study, we engaged communities in interactive group and individual discussions
which saw the communities cataloguing their general problems and developmental needs.
Indications were that there is generally an information blackout in the district with villagers
being the worst affected. Villagers have problems accessing various newspapers. The
community was also experiencing problems of communication, for example with other
communities in Zimbabwe and the outside world in terms of mobile and fixed lines. The
community had access to the Botswana‘s Orange Cellphone Network service which was
expensive and unreliable. They had no access to local mobile networks.
It was against this background that we saw this project as a potent instrument in empowering
the Masendu community in accessing vital information for their developmental needs as
development is enhanced if communities are able to share developmental news. When used
effectively, information and communication technologies can have a positive impact on
development. [5]
The baseline study was then followed by a needs assessment study which helped us focus on
ways of intervention through a series of activities.
3.1 Project activities
The activities of this project involved mainly setting up the tele-center and skills training for
the youths, the community and teachers at the school. Initially we intended to source funding
for 15 computers to start with but we were lucky to get a donation of 25 Computers. With
funding sourced from Integrated Rural Development Program (IRDP) and National
University of Science and Technology (NUST) we managed to purchase 2 printers, 2
scanners a photocopier, a fax machine and networking equipment. We also used the same
funding for the purchase and installation of a solar system to power the computers and all
other equipment. NUST also made available their internet link. So a radio link was setup
between Masendu primary school and NUST to allow access to the Internet via NUST
network infrastructure.
118
Masendu ward consists of 6 villages. We started by training 3 teachers from Masendu
primary school and 6 youths per village. The youths and the teachers would in turn help us
train the school kids and the community. Skills included basic computer operation, word
processing, spreadsheet, database management, internet usage and basic computer
maintenance. The youths also received basic news gathering and newsletter editing training.
These youths were then given a special name in the community, Knowledge Workers. These
Knowledge Workers would gather developmental data, eg records of livestock per household,
number of people per household, dipping schedules etc in their respective areas and maintain
a database of that data. The 6 youths per village were then responsible for maintaining and
updating their village‘s database. They would also gather community news, eg cattle sales,
cultural events, health news etc, and other general interest news and publish this in the
Masendu community newsletter.
3.2 Centre management
The center is managed by a team of 9 people that comprises of 2 teachers, 6 village youths
(one per village) and one community leader.
3.3 Services offered at the center
Computer Applications Training, Secretarial/Typing and printing services, IT Consultancy,
Internet and Emails, Photocopying, Scanning, CD Burning, Video hire/shooting/show
(seeking video cameras, etc.), Fax and Telephone and Access to village data
4. Challenges
The sustainability of the project (during the start) was very difficult due to a number of
factors that included poor telecom infrastructure (Telephone connection), availability of
power, language barriers, few computers while we have a large population to serve and
operating space (small and crowded room)
5. Results
We managed to establish an ICT telecenter with 25 networked computers is now operational
at Masendu primary school. Regardless of our poor computers at the center, we managed to
train a total of 120 youngsters, 3 Teachers, 89 women and 58 men. Many NGO personnel,
working in the area, use the telecenter as a reliable source of village data; they also use it for
printing and typing their works and for communication. The center has attracted great
attention from the community and all are asking to train their kids and family members. We
have received numerous requests from different parts of the district requesting us to establish
similar projects. 29 youngsters out of the 120 trained have secured places for studies in
institutions of higher learning (11 in universities, 7 in Polytechnic Colleges, 6 in Teacher
training colleges and 5 are doing nurses training ) while 23 have secured employment
elsewhere. 21 women out of 89 trained have secured employment at the District center and
elsewhere. A village bulletin Masendu community Newsletter, Masendu Bhalule-Ngina
KaMasendu was launched. The school teachers and the community youths we trained, are
providing training to the local people in other villages.
Government departments, the rural district council, Ministries and community development
organizations/agencies like ADRA, CRS, CARE, and World Vision that work in the area are
finding the data maintained to be very useful for their planning and for implementing their
own programs.
119
5.1 Users of the center by age group
Fig.1 shows that there are more users in the age groups
INTERNET USAGE BY AGE
below 30 years of age. This is the more active part of the
GROUP
rural population that includes youngsters that are still in
Under 18 years
primary and secondary school and those that have just
21-30 years
finished their secondary school education and are still
31-40 years
looking for something to do.
41 years and
above
Fig.1: Internet Usage by age group
5.2 Centre Usage by Gender
Internet Usage by Gender
Number per age group
35
30
25
20
Male
Female
15
10
5
0
Under 15 yrs
16-40 yrs
41 yrs and above
Fig.2 shows that to a large extent there are more females
who use the center. This possibly is due to the fact that
most of the male in the age groups 15 – 40 have left the
area to look for employment elsewhere in South Africa and
nearby Botswana, mainly because of the economic
problems prevailing in the country during the period
covered by the project.
Age groups
Fig 2: Internet Usage by Gender
5.3 Factors that contributed to the success
Accountability/Good Management Team, Community Participation, Good policies, Services
that address community needs, Use of volunteers from local community mainly the youth,
Good Customer Care, are the main factors that contributed positively to the successful
implementation and completion of the project. Obviously we cannot forget the unwavering
support we got from community leadership, the National University of Science and
Technology, IRDP and the Bulilima-Mangwe Rural District Council (RDC).
6. Lessons learnt
We observed that the factors that mainly affect the uptake of ICTs in rural communities
center around issues of social behavior, infrastructure, inadequate skills and lack of
awareness. Partnerships between community groups and institutions of higher education
appear to be a promising way to foster IT innovation. But in general community groups,
which have many competing claims on their budgets, and lack of adequate skill, find it
challenging to take the step of adopting new technologies because skills shortage and high
costs – both the direct costs of purchasing applications and the indirect costs of securing the
technical assistance to support their use. Funders, institutions of higher learning and
intermediaries can play important roles in helping community groups meet these challenges.
Through the project implementation we noted that governments can use ICTs to balance
sustainable economic growth with social empowerment.
120
8. Conclusions
In our view this project is a success story and we would therefore want to see it continue to
grow. Now that the construction of Masendu Cultural Centre has been completed, there may
be need to move the telecentre from the school to the cultural centre. Our main goal was to
bring ICTs as an enabler of Community development closer to hands of people (especially
rural areas and marginalized groups) and let them exercise and use it. The main factors
limiting the innovative uses of ICT in community development is lack of awareness,
knowledge management skills and lack of access to training. Institutions of higher learning
can make positive contributions by way of developing customized training programs and
technology models that suit the conditions and the people in rural communities.
From our experience working on this project we noted that ICTs have yet to transform the
field of rural community development in Zimbabwe. We noted during the project that the
people in the area have embraced the idea of community-based tourism, and we think this can
actually become a pump-primer for introducing the telecentres into rural communities.
Telecentres that target income-generating opportunities from the onset are more likely to
survive after the initial start-up funding dries up. Above all there is need to incorporate
information and community centers as part and parcel of rural development projects.
Output indicators such as the number of subscribers are easy to measure but do not report on
what the technology is being used for, who is using it or how it is helping to improve
livelihoods. More complex analysis is needed that considers impact on money, skills,
motivation, confidence, trust and existing knowledge. We feel that a lack of action, risks
increasing the digital divide and losing out on sustainable development opportunities offered
by ICTs.
Acknowledgements
We are very grateful to the Bulilima- Mangwe Rural District council, the National University
and Technology, Integrated Rural Development Program (IRDP) Africa, Masendu
Community, Masendu youth organizations for the unwavering support they gave us.
REFERENCES
[1] Burke, A (1999). ‗Communications and Development – a practical guide. DFID.
www.dfid.gov.uk/Pubs/files/c_d.pdf‘
[2] Callon, M. and Law, J. (1997). After the individual in society: Lessons on collectivity
from science, technology and society. Canadian Journal of Sociology,
[3] Chapman, R & Slaymaker, T (2002). ICTs and Rural Development: review of the
literature , current interventions and opportunities for action. ODI. WP 192. London.
[4] Davies, S (2009). ICT projects to improve access in Pacific, presentation made at the
Pacific ICT Ministerial Forum, 17-20 February, 2009.
[5] Gollakota, G (2008). Using Information and Communication Technology (ICT) in Rural
India: Case of EID Parry
[6] Makoni, M (21 April 2010). Zimbabwe aims for ‗Knowledge Society‘ with ICT Bill.
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[7] OECD (2003). Integrating ICTs into Sustainable Community Development
[8] Ndlovu, R (23 March, 2009). Zimbabwe‘s ICT guide 2009 – Part 1,
www.zimdaily.com/news/ict7.7023.html
[9] Seedco (March, 2002). The Evolving role of Information Technology in Community
Development Organizations.
121
[10] Zunguze, M (2009). Contextualizing ICT for development in Zimbabwe (ICT4D),
www.thetha.org
[11] Internet World Stats: Usage and Population Statistics (June, 2010). Zimbabwe Internet
Market and Telecommunications Report. www.internetworldstats.com/af/zw.htm
[12] Zimbabwe, Ministry of ICT (MICT) Strategic Plan 2010-2014, www.ictministry.gov.zw
122
Is COTS10 an appropriate technology?
Gada Kadoda11
Department of Computer Science, University of Khartoum, Khartoum, Sudan.
Key words: COTS-Based System Development, Software Acquisition, Software
Development
Abstract
This paper is based on a case study on software procurement guidelines that is supported by
the National Information Centre (NIC) in Sudan as part of their efforts to regulate
information technologies development and purchase in the public sector. The approach to
software acquisition in government has traditionally been building software components and
their implementations. More recent IT policies show increased interest and commitment to
exploiting the market place of software products because of their functional and economical
advantages. This, by and large, is a global move that brings anticipation as well as concern
for governments in particular such as change to established processes and the adoption of
standard interfaces. I discuss in this paper a number of concerns that must be considered in
examining the appropriateness of a COTS-based solution in the context of a developing
country.
1. INTRODUCTION
The approaches to acquiring software can be broadly grouped into developing a tailored-toneed or procuring an off-the-shelf product. The IEEE further classifies off-the-shelf into
COTS which is defined as ―a software product that is driven by market-need and commercially
available and whose fitness have been demonstrated by a broad spectrum of commercial user‖ and
MOTS12 which is ―... already developed or available, usable either ―as is‖ or with modifications‖
[6]. The spectrum of COTS-based systems ranges from COTS-solution systems (single
product from one vendor that can be tailored to need e.g. CRM); to COTS-aggregate systems
in which many disparate products (from different and sometimes competing vendors) are
integrated to provide a system‘s functionality [5].
This paper is based on a case study (that is built on a previous project [1]) on software
procurement guidelines. The project is supported by the National Information Centre (NIC) in
Sudan as part of their efforts to regulate information technologies development and purchase
in the public sector; as well as a response to recent changes in government IT policies that
aim at exploiting the market place of software products because of their functional and
economical advantages. I discuss in this paper a number of concerns that must be considered
in examining the appropriateness of a COTS-based solution in the context of a developing
country.
In the following two sections, I give a background to the case study in (2) and the
components of the guidelines proposed for inclusion in government practice in their purchase
of software products in (3). Sections (4) and (5), respectively, highlight some of the
implications of adopting a COTS-based system development approach; and the areas that
require policy making at a national level for adopting the approach – argued in this paper as
critical to COTS being the appropriate solution. The final section concludes with a set of
broader issues on COTS-based development from a developing country perspective.
10
Commercially-off-the-shelf Software Products.
11
Member of the Software Engineering Committee at the NIC. She conducted this project as a consultant
for the NIC.
12
Modified-Off-The-Shelf Software Products.
123
2. Background to Case Study
The main objective of the study is to recommend a set of best practices that can be used by
government agencies in their procurement of software products. The NIC requires that these
recommended practices be based on current international standards and best practice as well
as allow for the incorporation of government purchase procedures and regulations. At the
onset of the case study, the scope of the work was established to focus on COTS and MOTS
products and to distinguish between procurement and acquisition that are sometimes used
interchangeably to name the process of software purchase. The case study adopted the
broader view of acquisition suggested by Meyers and Oberndorf in [13] where they defined
acquisition as the ―set of activities performed to procure, develop and maintain the system‖
that involves issues of software product development and maintenance and covers technical
(e.g. requirements specification, testing) and management activities (e.g. project planning,
contracting).
The case study was carried out during the period of March – July, 2010, and conducted as a
research project that involved an extensive literature review on issues pertaining to software
acquisition and related international standards, and interviews with key informants from the
NIC, IT Units at Federal Ministries and IT Management in the Banking sector. A committee –
that included members of the Software Engineering group at the NIC and one member from
the Ministry of Finance – acted as peer reviewers of progress reports that were produced in
the course of the case study. The group consensus process that was followed included review
meetings and written evaluations by committee members, and feedback was incorporated in
the final set of recommended practice.
In the next section, an overview of the recommended practices is given and the rationale used
to select the set. While many organisations do attempt to undertake the development of
processes under the best practices frameworks described in section (3), many organisations
do not succeed in this goal either due to deliberate divergence from the best practice in order
to accommodate organisational realities or because of inability to reach the best practices
condition for another reason – managerial or technical such as lack of standardised
procedures, business strategy or resources. According to information obtained from
interviews, in extreme scenarios of software acquisition project failure, the reasons behind the
divergence is due to lack of domain knowledge or malicious intentions (corruption). A
number of examples of costly failures was cited by Professor Ali13 in the consultative
meeting held at the NIC to review the output of the case study. These challenges by and large
remain to be addressed by implementers of the recommended practices to yield their
anticipated benefits and those of the commercial market of software products.
3. The Proposed Set of Best Practices
The acquisition process consists of technical (e.g. requirements specification, testing) and
managerial activities (e.g. scheduling, budgeting) that must be accounted for by the
acquisition strategy adopted to achieve the goals of a project. The management aspects of the
proposed set are based on the IEEE 1062 (Recommended Practice for Software Acquisition)
which describes a generic nine-step process recommended for use in acquiring COTS and
MOTS, in addition to fully-developed or custom-built software. Technical aspects focused on
off-the-shelf products and incorporated best practices from areas of project initiation and
planning [7, 8], COTS selection and evaluation approaches [2-5, 9-19, 21, 22], and software
process improvement [20].
13
Vice Chancellor of El-Nileen University in Khartoum and Senior Consultant at the NIC. This meeting
was held on August 8th, 2010 which reviewed an approved the case study recommendations.
124
Management aspects:
The model consists of seven phases and each phase is composed of a number of steps. It
encloses the five phases of the IEEE 1062 which includes planning, contracting,
implementation, acceptance and follow on activities and recommended for acquiring tailored
and off-the-shelf software products. These phases are preceded by an acquisition project
initiation phase and followed by a set of steps that facilitate the start of a new project to
improve the organisation's acquisition process. Some phases have a longer duration or
involve more activities than others. The phases are broadly defined by a set of milestones that
establish the beginning and end of each phase. They represent the software acquisition lifecycle – considered as the period of time that begins with an idea (identified need) for a
software system and ends when the software is in use by the acquirer's organisation and the
lessons learnt from the acquisition project are identified. Based on learnt lessons, the final
phase in the model involves a decision process that may lead to the initiation of an
improvement programme to the organisation's acquisition practices. Additional guidelines on
performing the steps within the phases, as well as methods, tools and templates that can be
used to produce the specified outputs (work products) are included in the model description.
The rationale for including an initiation phase is two fold. First, to support the organisation in
developing the project idea into a defined proposal that has scope, objectives, overall strategy
and team. Secondly, to accommodate government financial and project approval procedures.
In the context of government procurement, an important element is the tender process that is
facilitated through requests for proposals (RFP) which entails the separation of requirements
definition and products evaluation. The final phase in the model (process improvement) is
included to stress the importance of continuous feedback to the process model after
implementation – seen as mandatory in the context of newly established processes.
Technical aspects:
Technical activities elaborated on COTS and MOTS acquisition. This is achieved by
adjusting the steps in the IEEE standard that deal with defining requirements and evaluating
proposals from potential suppliers to incorporate best practices on COTS-based system
development. The two processes are seen as necessarily intertwined in COTS-Based system
development where a number of approaches have been proposed e.g. Off-The Shelf Option
[10], Comparative Evaluation Process [3], COTS-based Requirements Engineering [2],
COTS Acquisition Process [16], Socio-Technical Approach to COTS Evaluation STACE
[11], PECA [5], COTS-based Integrated System Development (CISD) method [21], PORE
[15] and CARE [4], where they combine the processes of COTS matching and evaluation.
The latter three approaches specifically address the processes of requirements gathering and
specification using a goal-oriented requirement engineering approach (high-level
specification of requirements). This involved incorporating two iterative processes in the
model – the first is similar to the CISD method and deals with establishing software
requirements in a way that considers the need to negotiate requirements (to ensure matching)
and to define requirements (to enable tendering); and the second iterative process is based on
the SEI's PECA process and deals with RFP and product evaluation.
Implementation and tailoring of the software acquisition process model (see Annex A for
graphical representation of process model) to suit the acquisition project or the acquiring
organisation require organisations (1) to establish their own acquisition process and strategy
based on the recommended practice and (2) to select appropriate approaches/tools from the
toolboxes and templates that accompanied the model. The acquisition process will specify the
set of activities and work products while the strategy identifies the capabilities and
responsibilities of supplier/acquirer as quality characteristics that in turn will establish the
acquisition approach, operational practices and contractual terms.
125
4. Challenges in COTS-Based System Development
An important aspect of shifting from the build philosophy, where by an organisation is
developing a custom system, to the buy mentality, where by the problem shifts to one of
identifying, buying and then integrating implementations that are built by others, is the loss of
control over the product implementation and the adoption of standard interfaces based on
COTS market. This shift requires organizations to have an understanding of the capabilities
and limitations of products and standards in their domain, conduct market research and
product evaluation to select products, and involve different kinds of expertise such as
business analysts and legal consultants in the acquisition process. A simultaneous exploration
of the system context, potential architectures and designs, and available products in the
marketplace, and negotiation of the organisation's requirements with available functionality;
replace traditional requirements specification where the requirements' engineer must accept
product limitations (and excesses) and that there are requirements that cannot be met by any
available products.
Even though there is great anticipation from using commercial software (wherever possible)
because of the gains that can bring in terms of functionality and/or cost, it is still important to
make a carefully reasoned decision based on what is available and the immediate and long
term needs of the particular project. The changes that come with buying software stem from
the shift to the consumer model that may alter organisational processes or require new
acquisition strategies and capacities; as well as necessitates a thorough approach to market
research and policy development/implementation. This is due to a number of reasons:
The need to negotiate requirements and products' functionality – this is one of the
biggest challenges in using commercial products of realising that they are created on the
basis of the developer's assumptions about the environment in which they will be
deployed. Among those are assumptions about architectures and requirements, especially
built-in notions of what processes the user will use and how the user will use the product
to support those processes. This is why a rigid top-down approach to requirements may
make it impossible to find a product that can fulfil the need. It is therefore important to
understand the relative importance of the various requirements (sorting and ranking
essential and desirable features of required system); that the capabilities of available
products may influence the final set of requirements; and that there are some essential
requirements that simply cannot be obtained be satisfied by any product. A careful
approach necessitates generating (at the beginning) a general tentative specification that
determines the kinds of products to look at, and involving stakeholders in the requirements
negotiation to turn the notional requirements into a set of requirements that can be fulfilled
by the marketplace.
The approach to testing and evaluation – this involves determining whether and how
well the implementations and the overall system serve their purpose and satisfy
requirements. These implementations being based on standards will make it easy to test
them individually (usually confined to black-box testing), however integration testing
becomes more complex which entails creating and maintaining an ongoing test capability,
being aware of test certifications, and giving special consideration for factors such as
interoperability, portability and scalability. In addition, final acceptance a product is
associated with the level and cost of customisation required. This entails defining a
strategy and developing skills on analysis of risks of the various kinds of customisations,
and acceptable integration techniques (e.g. filters, wrapping).
The change in system support and maintenance – maintenance planning and support
may change due to the fact that the implementation of a product is controlled by the
vendor. The vendor can modify the product without notice, a standard may change, or
126
support may be discontinued for old versions of products. Planning for system evolution
will involve selecting new products or upgrades to existing products instead of developing
new implementations. On the other hand, the marketplace will force some component
changes that may be unnecessary and as the system becomes dependent on vendor
extensions, moving to another product may be very difficult. Routine market assessment to
keep abreast of upgrade opportunities is useful to manage the turnover in the marketplace.
Commercial software products implement particular technologies – doing market
research, which is the first kind of evaluation that is conducted to determine suitable
products in the marketplace, must examine competing technologies before competing
products. A technology, such as distributed object technology, may have more that one
approach (e.g. DCOM or CORBA), each of these are implemented by a number of
products from various vendors. This has implications on current and future e-government
projects and requires planning for multiple generations of hardware and software to keep
them synchronised with each other and across government offices.
The level of flexibility in contracting – The variation in approaches to develop a contract
when acquiring a system is about spreading the risks and responsibilities among those
involved in the acquisition process. Five contracting strategies are discussed in [13] that
vary in the level of responsibility placed on contractor and acquirer. For example, strategy
1 gives the acquirer full control over requirements specification and product selection, and
therefore places a heavy burden with respect to risk and responsibility and strategies 4 and
5 shift a large share of that burden to the contractor and encourage the use of integrated
project teams. The choice of strategy influences how the request for proposals are written
because it determines the contractors responsibilities and risks in the project. Other
common risks such as continuity of vendor/product and third-party contractor that are of
particular relevance in the local context must be addressed in contractual terms (e.g. using
escrow accounts).
5. Concluding Remarks
This recommended practice can be applied to software that runs on any computer system
regardless of the size, complexity, or criticality of the software. However, acquirers will need
to identify the classes of software to which the recommended practice applies and the specific
quality characteristics and activities that need to be included in the acquisition process.
Generally, success in acquiring high quality products and services from software suppliers
can be achieved by doing the following things [6]:
1. Identifying quality characteristics necessary to achieve the acquirer's objectives.
2. Including quality considerations in the planning, evaluation, and acceptance activities.
3. Developing an organisational strategy for acquiring software.
4. Establishing a software acquisition process using the recommended practice as a starting
point.
5. Putting the defined process into practice.
6. Conducting process reviews and improvements.
Even though these six points can achieve best practice they assume transparency and a
developed culture of information that imply the need for fundamental changes in the way we
do things. More specifically, there are number of salient issues in government practice that
need to be addressed to enable implementation of the process model that include:
1. The derived process model assumes an intertwined technical and financial evaluation
process during the first three phases. This is different from existing government practice
that uses separate teams to perform the technical and financial analyses.
2. Follow-on procedures are not enabled in government practice. This information can only
127
be obtained at service level. Without enacting the role of IT management Units in
Ministries and creating mechanisms to accumulate acquisition projects experience,
information gathering activities during the final two phases of the model cannot be
realised.
3. The decisions on which strategies will be used in government acquisition, which practices
are possible and those that are not, affect planning, selection of products and services, and
the nature of control and influence in the acquisition of systems.
4. Assigning a process supervisory role within the NIC (or any other implementing agency)
is useful to ensure that the process is followed; that the work products meet the defined
standards; and that lessons learnt are analysed and incorporated for future acquisition
projects.
5. Equipping acquisition team with necessary skills to carry out management activities such
as project planning and technical activities such as product testing in addition to involving
external expertise in business and legal aspects of acquisition.
There are a number of imposed constraints on the selection of software products by political
sanctions that limit availability or increase acquisition costs and by the fact that most
government IT projects are sponsored by donor grants which sometimes involve restrictions
on selection of suppliers to those suggested by the donor. Other constraints will stem from
choices that are made by the government on overall acquisition strategies that include:
Choosing between a closed or open path to develop and maintain system determines
whether product choices will be based on the standards they implement. This decision has
implications for how much emphasis is put on changes introduced by marketplace and
influences system development and evolution.
Choosing an open source route mandated strategy for governments in some developed and
developing countries (e.g. EU, Peru, Malaysia, South Africa). The elements of an OSS
strategy may include the decision factors suggested by the OSS Advisory Committee that
include the readiness of the OSS, the commitment to open standards, and consideration of
hidden costs of OSS (e.g. using third-party support and maintenance).
Choosing between sub-system integration approaches which determines whether
integration will take place at the level of implementations (point-to-point) or standards or
architectures; where architectural integration gives the most leverage to system integration
and evolution while point-to-point can handle special requirements but can become
uncontrolled.
These choices require establishing long term and broad IT strategies with implications on the
ongoing e-government project. At the time of conducting this case study, high-income
ministries such as Energy are more independent in their decisions on software purchases than
others who are not income generating ministries such as Health. Also, there is wide gap
within the set of organisations that are targeted with the recommended practice, in levels of
readiness and commitment to adoption of standards and software-based systems and
experience of IT personnel for different reasons related to how ―important‖ they are. For
example, the Aviation Authority are fluent in implementation of standards and keen on staff
training, while the Ministry of Urban Planning is devoid of any specialised software as a GIS
and the National Archives still uses a manual cataloguing system.
The recommended practices that came out of this case study have been approved and
disseminated by the NIC and are now under consideration by the National Standards and
Measurements committee to be followed by translation into Arabic language and training of a
core set (trainers-of-trainers) from NIC personnel on the guideline and associated tools and
techniques. This is expected to be followed by putting the guideline into practice using one of
the established and joint software project need by NIC such as an ERP system. Nevertheless,
128
without addressing the challenges and areas of concern discussed to enable and plan for
change across the spectrum of stakeholders, these kinds of initiatives by the NIC (a
regulatory body) to develop standards have less room to succeed and flourish into an IT
renaissance.
Acknowledgements:
The author wishes to thank all colleagues from the NIC and participating government organisations,
Universities of Khartoum and Elneelen who either provided information, shared their expertise or
acted as peer reviewers for the work.
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and Instructions for Testing. 2006.
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Annex A: Graphical Representation of Process Model (adapted from IEEE 1062, SEI
PECA)
Tailoring Guide
Key
Custom
Project Idea
COTS
MOTS
INITIATION
Step
Defining Project/Business Problem
COTS-Step
Decision
Analysing Potential Solutions
Recommending Solution
Alternate
Solution
Project
Charter
Approved?
PLANNING
Evaluate
Contracting
Practices
Planning Organisational Strategy
Determining Software
Requirements
Implementing
Organisation's
Process
Matching Requirements
Market
Research
Balancing Requirements
Alternate
Product
Requirement
s
Matched?
Identifying potential
Suppliers
Preparing Contract
Requirements
Evaluating Proposals and Selecting Supplier
Analysing
Data
Planning
Evaluation
Collecting
Data
Establishing
Criteria
IMPLEMEFOLLOW
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Charcoal as an Alternate Energy Source among Urban Households in
Ogbomoso Metropolis of Oyo State
Esther Okunade [Ph.D]
Department of Agricultural Economics and Extension
Ladoke Akintola University of Technology, Ogbomoso
E-mail: [email protected] , [email protected]
Tel. No: 08035029438, 08078002006
Key words:
Energy, Charcoal, Households
Abstract
The study was conducted to examine the current use of Charcoal as an alternate energy
source among urban households in Ogbomoso metropolis of Oyo state. The types of energy
sources available, reasons for the use of charcoal, frequency of charcoal use and constraints
to the use of charcoal were determined. All households in the three urban local Governments
constitute the study population. Thirty households were randomly selected from the three
LGAs to give a total of ninety households. In all ninety women were randomly selected from
the household chosen. Information was gathered through the use of a well structured
interview schedule. Data were described using frequencies, percentages while regression was
used to determine the relationship between socio-economic characteristics and frequency of
use of charcoal. The results shows that majority of the women regardless of their economic
status combine the use of charcoal with other source of energy in their household, most of the
women found charcoal convenient, cheap and neat as source of energy. However, they
experienced hike in price and scarcity as constraints especially during the rainy
season.There are significant relationship between occupation[β= 0.572], family size
[β=0.39]), years of schooling [β= 0.129], age [β= -0.08]) and frequency of use of charcoal.
The implication of the result of the study is that the use of charcoal has become an
established trend among the urban residents in the study area.
INTRODUCTON
Women as the primary consumer of energy at household level undergo a lot of drudgery due
to the use of bio-fuels, walking kilometers to collect fuel-wood and expended time and
energy in the fuel-wood collection and transportation [7]. Household energy use for cooking
happens to be exclusive responsibility of the women folk in traditional African households.
As energy consumers, women are important stakeholders in the design and choice of
household energy technologies. This informs their important roles in the development of
cooking equipment such as earthen cooking stoves, kerosene stoves, charcoal pot etc. hence
for energy sustainability appropriate technology must be put in place for the usage of the
primary consumer [3]. Energy is an essential ingredient for socio-economic development and
economic growth and the provisions of energy services are pre-requisites for economic
development and an improved standard of living. [1&6]. A rapidly increasing population,
increased urbanization, rapid industrial and economic development and an increased drive
towards rural development are some of the factors responsible for the increase in energy
consumption [1]. The household sector is the largest energy consumer in the economy,
accounting for about 90% of the traditional fuels, especially fuel wood, and 25% of the
commercial energy [4]. In many developing countries, particularly in rural areas, traditional
fuels, such as fuel wood, charcoal and agricultural waste, constitute a major portion of total
household energy consumption [4]. He further stressed that efficiency of a traditional fuel
wood cooking stove is as low as 10 - 12 percent, compared with a Liquefied Petroleum Gas
132
[LPG] stove efficiency of more than 40 per cent. The key determinants of energy demand in
the household sector include: Prices of fuels and appliances; Disposable income of
households; Availability of fuels and appliances; Particular requirements related to each; and
Cultural preferences.
The urban household energy use patterns in Nigeria as found out by [2] with respect to
income groups, fuel preferences, sources and reliability of energy supply and expenditure was
found to be LPG, kerosene, fuel wood, charcoal and electricity. Dependence on biomass fuels
is rapidly giving way to the use of fossil fuels [especially LPG and kerosene] and electricity
in urban households, the reasons been that of convenience, cleanliness and social status. He
further stressed the dominance of kerosene, LPG and electricity in all the high income
groups, while fuel wood is used mostly in the low-income groups. Although with increase in
disposable income and changes in lifestyles, households tend to move from the cheapest and
least convenient fuels [biomass] to more convenient and normally more expensive ones
charcoal, kerosene] and eventually to the most convenient and usually most expensive types
of energy [LPG, natural gas, electricity]. However, due to the inability of the refineries to
operate at full capacity since 1993, because of poor maintenance, there are frequent shutdowns leading to crippling shortages. Marketers regularly take advantage to hike the prices of
fuels by 300-500%. As a result, most households have to fall back to using charcoal and
sawdust. Hence, this study examined the use of charcoal among urban households in
Ogbomoso Area of Oyo State and provides answers to the following questions:
[i] what are the socio- economic characteristics of the respondents,
[ii] what are the types of energy available to households,
[iii]what is the frequency of use of charcoal among the households,
[iv] what are the reasons behind the use of charcoal and
[v] what are the constraints to the use of charcoal in the study area.
Objective of the Study
The general objective of the study is to investigate the use of Charcoal as an Alternate Energy
source among Urban women in Ogbomoso Metropolis of Oyo State. The specific objectives
are to:
[i] identify the socio- economic characteristics of the respondents,
[ii] examine the types of energy available to households,
[iii] investigate the frequency of use of charcoal among the households,
[iv] examine the reasons behind the use of charcoal and
[v] determine the constraints to the use of charcoal in the study area.
Materials and Method
The study is carried out in Ogbomoso area of Oyo State. Three Local Governments was
purposively selected because of its urban nature. Multi- stage sampling technique was
employed for the study. Simple random sampling technique was used to select 30 households
each from the 3 LGA using the list of household register to give a total of ninety households.
From each of the household selected, one woman was interviewed to give a total of 90
respondents in all. A well-structured interview schedule was used to collect information from
women in the household. Statistical tools used in analyzing the data included the frequency
counts, mean, weighted mean scores, percentages and regression.
133
Measurement of Variable
The dependent variable of the study is the frequency of use of charcoal among the households
while the independent variables are socio-economic characteristics of the respondents, types
of energy available to households, the reasons behind the use of charcoal and the constraints
to the use of charcoal in the study area. The dependent variable was measured using three
point Likert Scale to measure the frequency of use: very frequent [3 points], frequent [2
points] and fairly frequent [1 point]. The maximum score for frequency of use is 18 points
while the minimum scores is 0 points
Result and Discussion
Socio-economic characteristics
The data in Table 1 presents the socio-economic characteristics of respondents. The
result shows that about 42.2 percents of the respondents are between 31 and 40 years, 27.8
percent are in the range of 21-30years, 17.8 percent are between 41-50 years, 6.7percent fell
between 51-60 years, 4.4 percents are 61 and above years while only 1.1 percent is 20 years
and below. About 60 percent of respondents are Christian 37.8 percent are Muslims while
only 2.2 percent are traditionalists
Majorities [72.2%] of the respondents are married, 8.9 percent are widowed, 3.3 percent each
are separated and single respectively, while only 1.1 percent is divorced. About 27.8 percent
of the respondents are teachers, 17.8 percent are artisans, 16.7 percent are civil servants, 14.4
percent are traders, 5.6 percent are bankers while 4.4 percent are farmers.
About 40 percent of the respondents have family size of 3-4 members, 33.3percent have
between 5 and 6 family members, 13.3 percent had between 7-8 members, 6.7 percent had 2
and below family members while only 4.4 percent had 9 and above family members. About
24.4 percent of the respondents have their average income between N1000-10000, 22.2
percent each of the respondent had between N21,000- N30000 and N11,000-20,000
respectively. About 11.1 percent had between N 31,000- N40,000, 7.8 percent each had
between N41,000- N50,000 and 61 and above respectively while 3.3 percent had between
N51,000- N60,000.
About 35.6 percent of the respondents had their years of secondary schooling between 13-16
years, 20 percent had years of schooling of 17years & above and 10- 12 years respectively,
16.7 percent had between 1-6 years while only 6.7 percent had their years of schooling
between 7-9 years.
About 36.7 percent of the respondents had years of experience in the use of charcoal between
6-10 years, 30 percent had between 1-5 years, 20percent had between 11-15 years,8 .9percent
had been using charcoal between 16-20 years, 4.4 percent had 26 years and above while only
1.1 percent had experience between 21-25 years.
The result of the study conforms to [2] that charcoal use cut across all income groups but
high percent of users was more prevalent among low income groups. The educational status
of the respondents notwithstanding, cut across the different educational levels.
134
Table I: Distribution of respondents by socio-economic characteristics
Social-economic characteristic
Age
≤20 years
21-30
31-40
41-50
51-60
61 years and above
Religion
Islam
Christian
Traditional
Marital Status
Married
Separated
Widowed
Divorced
Single
Occupation
Civil servant
Teacher
Trader
Farmer
Artisan
Banker
Family size
≤2
3-4
5-6
7-8
≥9
Income
1000-10000
11-20000
21-30000
31-40000
41-50000
51-60000
61 and above
Years of schooling
1-6years
7-9years
10-12years
13-16yaers
17 years and above
Years of experience on the use of charcoal
1-5years
6-10years
11-15years
16-20years
21-25years
26 years and above
Frequency
1
25
44
20
6
4
Source: Field Survey, 2010
Sources of Energy to Household
135
Percentage
1.1
27.8
42.2
17.8
6.7
4.4
34
54
2
37.8
60
2.2
65
3
8
1
3
72.2
3.3
8.9
1.1
3.3
15
25
13
4
16
5
16.7
27.8
14.4
4.4
17.8
5.6
6
36
30
12
4
6.7
40.0
33.3
13.3
4.4
22
20
20
10
7
3
7
24.4
22.2
22.2
11.1
7.8
3.3
7.8
15
6
18
32
18
16.7
6.7
20.0
35.6
20.0
27
33
18
8
1
4
30.0
36.7
20.0
8.9
1.1
4.4
The data in table II shows the distribution of respondents by sources of energy available for
household use. The result shows that a hundred percent each of the respondents claimed
kerosene and charcoal as their energy source to their households. About 83.3 percent claimed
firewood as one of the energy source available, 55.6 percent claimed electricity, 50 percent
claimed gas while 35 percent claimed sawdust as one of the energy source to household use.
The result implied that all these sources are available for use but the use of any is dependent
on the preference of the user and availability of each. This result is in accordance with [3] and
[4] that most household in developing countries rely on fuel-wood, charcoal and agricultural
waste as their energy source.
Table 2: Distribution of respondents by sources of energy to household
Sources of energy
Fire wood
Charcoal
Kerosene
Gas
Electricity
Saw dust
Frequency
75
94
98
45
50
35
Percentage
83.3
100
100
50.0
55.6
38.9
*Multiple Response
Frequency of use
The data in table III shows the ranking of respondents by frequency of use of the energy
available. The result shows that charcoal ranked highest with Weighted Mean Score [WMS]
of 2.05. This is followed closely by kerosene with WMS of 2.04. Next in the order is
firewood with WMS of 1.2. Others are in the following order: electricity [1.04], Gas [0.6] and
sawdust had been the lease with WMS 0.33.
The result implied that charcoal is the most frequently used energy among the household in
the study area. This is probably because of its relative availability and cheapness compared
with other source of energy. This conforms with [2] that most households are fallen back to
using charcoal and sawdust except that only few of the respondent in this study made use of
sawdust probably because of the difficulty involved in making it or that the increase in the
disposable income and changes in lifestyle have affected the decision taken.
Table 3: Rank order of respondents by frequency of use of energy source
Frequency of use of energy
WMS
Fire wood
1.2
Charcoal
2.05
Kerosene
1.57
Gas
0.6
Electricity
1.04
Saw dust
0.33
Source : Field Survey, 2010
Reason for the use of charcoal
The data in table IV shows the distribution of respondents by reasons for the use of charcoal.
The result shows that majority [93.3%] of the respondents use charcoal because it is cheap
relative to other energy source. About 46.7 percent use because it makes the pot neat and not
blackened like others, 43.3 percent use it for is relative availability, 32.2 percent use it
because to them it is easy to make and once made you have no business remaking until the
whole thing is burnt out while 20 percent use it because the food cooked on charcoal is more
136
tender or well cooked. This result confirms the earlier studies [2] and [4] that the usage of
energy is dependent on a number of factors that the consumers have to make.
Table 4: Distribution of Respondents by reasons for the use of charcoal
Reason for charcoal use
Frequency
Percentage
It is easy to make
It is cheap
It makes the pot very neat
It is readily available
Food cooked on charcoal is tender
29
84
42
39
18
32.2
93.3
46.7
43.3
20.0
Source : Field Survey, 2010
Constraint to charcoal use
The data in table 5 shows the distribution of respondents by the constraints faced. The result
shows that majority [93.3%] of the respondents confirmed that charcoal is very laborious to
set it on fire at the initial. About 88.9 percent said it requires some technicality to set the
initial fire on before use, 77.8 percent complained of its scarcity and high price at raining
season while 48.9 percent expressed its not been readily available because of the competition
for its use nowadays. The result implies that despite its constraints, its use still ranked
highest, it means that the regular hike in the prices of other fuels coupled with the irregularity
and erratic supply of electricity notwithstanding, respondent found it easier to cope with the
constraints experienced with charcoal use.
Table 5: Distribution of respondents by constraints to the use of charcoal
Constraints to the use of charcoal
Not readily available
Very expensive
It is laborious to use
It requires some technicality before use
Frequency
44
70
84
80
Percentage
48.9
77.8
93.3
88.9
Test of Hypothesis
The data in Table 6 shows the relationship between socio- economic characteristics and
frequency of use of charcoal. The result show that there is a positive and significant
relationship between occupation (β= 0.572), family size (β =0.391), education (β = 0.129)
and frequency of use of charcoal. There is a negative and significant relationship between age
(β = -0.081) and frequency of use of charcoal. However, a positive and insignificant
relationship exist between years of experience (β= 0.069) and a negative and insignificant
relationship between marital status (β= -0.086) and frequency of use of charcoal. The result
implied that there is greater tendency for larger family to use charcoal for cooking because of
the volume of food to cook and the frequency of cooking. However, the positive relationship
of occupation and education with use of charcoal is unexpected but it might be due to
inconsistency or erratic supply that is the order of the day in the supply of other sources of the
available energy. The negative relationship of age implies that the older you are the less the
energy and appetite to eat hence the less desire to cook therefore the greater tendency to
change to other source of energy that are easy and more convenient to use.
137
Table 6: Relationship between socio-economic characteristics and charcoal frequency of use
Unstandardized
Coefficients
B
Std. Error
[Constant]
6.468
2.215
Age
-.081
.042
m. status
-.086
.363
Occupation
.572
.227
family size
.391
.193
Income
-1.10E- 005
.000
Yrs of school
.129
.073
yrs of exp
.069
.057
MODEL
Standardized
Coefficients
Beta
-.242
-.025
.280
.228
-.064
.208
.147
T
B
2.921
-1.932
-.236
2.521
2.020
-.603
1.757
1.204
Sig.
Std. Error
.004
.056
.814
.013
.046
.548
.082
.232
Conclusion and Recommendation
Majority of the respondents are in their active years of life with mean age of 38years. About
72.2 percent are married with majority of them with good education. The result of the study
shows high usage of charcoal and kerosene among the other energy sources which are in
accordance with the national energy policy recommendation. Although, recommendation was
also made in favour gas and electricity but there usage is still very low probably because of
the initial cost of its appliances and its unsafe characteristic nature. Now that the shift has
been towards charcoal and kerosene, it is recommended that people should be encouraged in
the rural areas to grow more trees to serve as replacement to avoid deforestation which could
bring charcoal out of the reach of the masses again. Functioning and efficient regulatory body
should be put in place to monitor the activities of the marketers to stop their exploitation on
the public on the other sources of energy. Also appropriate equipment should be designed and
made available, affordable and accessible to the general masses for usage.
REFERENCES
[1] Adegbulugbe et al [1992] : Energy Master Plan for Rural Development; Nigeria case study, Vol.IIV. Study report of EEC project submitted to the EEC delegation in Nigeria
[2] Adegbulugbe et al [1995]: Urban household energy use patterns in Nigeria. Natural Resources
Forum Vol 19 No 2 pp. 125-133
[3] Elizabeth Cecelski (2000): The Role of Women in Sustainable Energy Development Energy,
Environment & Development Germany. Sub Contractor Report National Renewable Energy
Laboratory
[4] Olajide,J.O and Odugbenro, P.O.[ 1999]: Urban Household Energy and Food Preparation in
Nigeria Issue 44 [1999] Fuel options for household energy Oleg Dzioubinski and Ralph Chipman
[1999]:Trends in Consumption and production: Household Energy Consumption , Economic and
Social Affairs DESADiscussion Paper No. 6
[5] Sambo, A.S [2005]: Renewable Energy For Rural Development : The Nigerian perspective,
Science and Technology Vision, Vol, 1 pg 12 – 2
[6] Vijay Laxmi, Jyoti Parikh, Shyam Karmakar and Pramod Dabrase (2003): Household energy,
women‘s hardship and health impacts in rural Rajasthan, India: need for sustainable energy
solutions in Energy for Sustainable Development Volume VII No. 1
138
A BOTTOM-UP APPROACH TO ENERGY POLICY PLANNING IN
WEST AFRICA: THE CASE OF DISTRIBUTED GENERATION OF
RENEWABLE ELECTRICITY
Ogundiran Soumonni
School of Public Policy, Georgia Institute of Technology
685 Cherry Street, Atlanta, Georgia 30332-0345, U.S.A.
Key words:
Distributed Generation, Appropriate Technology, Intermediate Technology, Energy Policy, African
Epistemology, African Environmental Ethics
Abstract
Africa‘s quest for economic development will require the increased availability and use of its
abundant energy resources. However, most of its rural population remains without access to
modern energy services, and urban residents typically only enjoy an intermittent supply of
electricity. Nevertheless, the dominant approach to energy planning continues to be top-down
and centralized, emphasizing electricity generation from large dams or fossil-fueled plants
and subsequent grid extension to reach more customers. The purpose of this paper is to
compare the current ―Master Plan‖ of the West African Power Pool (WAPP) with
Distributed Generation (DG) as an alternative paradigm for electrification in the subregion.
The ―Master Plan‖ addresses subregional power supply shortage through centralized
planning, while ―DG‖ offers a more democratic approach, and stresses small-scale, on-site
generation of clean power from the sun, wind, or biomass. First, the paper analyzes the two
approaches with respect to three of the main characteristics of Appropriate Technology as
outlined by E.F. Schumacher14, namely: resource sustainability, suitability as ‗intermediate
technologies‘ and ownership. In the context of resource sustainability, it also evaluates the
two approaches with respect to their demand for water, which compete with other uses such
as irrigation, drinking, and sanitation. Finally, the paper explores the dominant
environmental values in traditional West Africa such as ‗eco-bio-communitarianism‘ or the
‗ethics of nature relatedness‘, implying a communal societal ethos and a quest for balance
with the environment. The main policy recommendation is that the adoption of DG
technologies should be grounded in these values, which can provide an ethic, an internal
logic, and an epistemological basis for energy planning in the subregion.
INTRODUCTION
Distributed generation (DG) refers to a set of small-scale technologies and approaches to
energy management that generate power in close proximity to its point of consumption, and
renewable energy technologies generate electricity from the sun, wind, waste or biomass [1].
Together, they can help reduce greenhouse gases and other harmful byproducts of traditional
sources of power such as oil, natural gas, coal or nuclear energy, and offer many other
advantages in large part due to their flexible nature. A wide range of synonymous terms have
been used to describe the concept of DG in the literature such as ―distributed power‖,
―distributed resources‖, ―embedded resources‖, ―micro-power‖, ―modular power‖, ―on-site
generation‖ and ―self generation‖. It is also used reciprocally with ―combined heat and
power‖ (CHP), ―cogeneration‖ or, ―trigeneration‖ because they generate electricity near the
site of its use [1].
14
Schumacher, E.F., Small is Beautiful: Economics as if People Mattered (Vintage Books, 1993)
139
However, the concept is not new and was discussed in the U.S. under the term ―soft energy
path‖ in the 1976 essay by Amory Lovins entitled ―Energy Strategy: The Road not Taken‖,
which offered a radical shift and a mutually exclusive path from traditional, centralized,
fossil-fueled generation which he called the ―hard energy path‖ [2]. Lovins, who was
influenced by the concept of Appropriate Technology, held that the two energy paths were
distinguished by their antithetical social implications and provided technical arguments to
show that the more socially attractive system is also cheaper and easier to manage [3].
Similarly, in a keynote address at an international symposium in Kinsasha, Zaire (now the
Democratic Republic of Congo) in 1985, the late Senegalese Professor Cheikh Anta Diop,
cited the early evidence for anthropogenic climate change and outlined the future potential of
clean energy in the form of thermonuclear energy, hydrogen energy or centralized solar
power on the African continent[4] Nevertheless, he insisted that it was imperative for African
engineers to master the construction of small hydroelectric dams, bioenergy for rural
industrialization and the decentralized use of solar and wind power in order to meet the
immediate challenges of healthcare and food security [4]. This conceptualization corresponds
to what is known within the Appropriate Technology literature as ―intermediate technology‖.
Background:
The West African subregion is comprised of 16 independent states which established a
community in Lagos, Nigeria in May 1975 known as ECOWAS (Economic Community of
West African States), cutting across linguistic, historical and cultural differences for the
purpose of economic integration [5]. Only about 20% of West African households have
access to electricity and the per capita electricity consumption is 88 kWh per year as
compared to 11,232 kWh in the U.S. with 100% electrification, that is, more than 120 times
as high [6].
ECOWAS has established two flagship energy programs in order to meet the expected
increase in demand in the region, namely: 1.) The West African Power Pool (WAPP), which
in its primary document known as the ―Master Plan‖, states that its role is to integrate the
national power utilities into a unified regional electricity market, to quadruple interconnection capacities within the next 20 years, and to generate additional electricity capacity
[7], and 2.) The West African Gas Pipeline (WAGP) whose purpose is to construct a 600 km
pipeline to transport natural gas from Nigeria to Benin, Togo and Ghana for electricity
generation and industrial purposes [8]. ECOWAS also recently created the Regional Centre
for Renewable Energy and Energy Efficiency (ECREEE) in Cape Verde in July 2010, which
is intended to create markets, formulate policy, and build capacity for the deployment of
energy-efficient and renewable technologies [9].
The Master Plan identifies oil, gas and hydropower as the primary energy resources in the
region and selects natural gas as its choice for new power generation [7]. In addition to new
power generation, the focus of the WAPP is on building a robust grid that facilitates long
distance transmission as a viable solution for energy-scarce landlocked countries, and the
regional integration of national markets that can provide economies of scale for countries that
are too small to justify large scale generation plants such as Togo, Benin, Burkina Faso and
Niger [8]. The WAPP model divides the states into two zones in order to implement its
proposed developments through 202015, each of which has a few main suppliers. In Zone A,
Ghana has two hydroelectric power plants, the large Akossombo dam and the smaller Kpong
15
Zone A includes Nigeria, Niger, Benin, Togo, Ghana, Côte d‘Ivoire and Burkina Faso, while Zone B consists
of Mali, Mauritania, Senegal, Gambia, Guinea, Sierra Leone, Liberia and Guinea Bissau.
140
dam, along with one thermal plant. Côte d‘Ivôire has a large thermal plant at Vridi and five
hydroelectric dams, while Nigeria has dams at Kainji, Jebba and Shiroro. In Zone B, Mali has
the Manantali dam, while Senegal has the Diama dam. Construction began for the Felou
hydroelectric project in Mali in 2009 [10].
The only mention of a DG technology cited in the Master Plan is that cross-border
transmission is more beneficial than ―local generation from relatively inefficient small-scale
diesel generator sets‖ [7]. All the same, a few country-level electrification schemes based on
DG are underway. In Ghana for instance, the government has been reported to be installing
photovoltaic (PV) and hybrid PV/diesel systems as part of its commitment to bring electric
service to every community of 500 or more people by 2020 [11]. However, most of such
initiatives are not the result of direct government or utility policy, but pilot projects which
have been funded by non-governmental organizations or multilateral organizations [12].
Centralized versus Distributed Generation: Which is more “Appropriate”?
This section first compares the different types of technologies with respect to the technical
characteristics and costs. Table 1 below shows the efficiency characteristics of DG and
conventional technologies as well as their respective technical challenges and advantages.
Table 1. Characteristics of some Distributed Generation and Conventional Technologies[13]
Technology
Characteristics
Capacity
Challenges
Advantages
Wind Turbine
Thermal
Efficiency
N/A
1 kW – 5MW
Intermittency
Solar PV
(Individual Cell)
Biomass
Generator
Small Hydro
7 – 17 %
1 W – 10 kW
40%
20 - 50 MW
N/A
200 W 10MW
Large Hydro
N/A
Intermittency, low
capacity, high cost
Air pollution, low fuel
energy density
Low storage capacity,
seasonal
High capital cost,
biodiversity loss,
displacement of people
Transmission losses,
GHG emissions, price
volatility
Free fuel, declining
production costs
Free fuel,
compactness
Widely available
fuel
Free fuel
Natural Gas
25 – 30%
10 – 14,000
MW
200 – 1000
MW
Inexpensive fuel
(but can be
competitive)
Burns more
efficiently than
coal or biomass
Table 1 above shows that although natural gas plants are more efficient than solar PV, they
emit greenhouse gases and the price of the fuel is volatile. Conversely, though wind and solar
are intermittent, they are more compact and the fuel is free. Biomass generators create some
air pollution but generating energy from waste is preferable to the methyl halide emissions
from widespread domestic burning[14]. The high capital cost of DG is usually cited as an
impediment to its adoption but an analysis of the levelized cost of electricity (LCOE) in the
U.S., i.e. the total cost over the lifetime of a plant which includes initial investment and
operating costs, reveals that DG technologies such as wind and landfill gas are actually
cheaper than some conventional technologies such as coal, nuclear, or an integrated
gasification combined cycle run on either natural gas or coal [13].16 Both the centralized and
distributed approaches are further explored below with respect to three of the main
characteristics of Appropriate Technologies outlined by E.F. Schumacher:
16
LCOE ($/kWh) in 2005: Wind =0.03; Landfill gas = 0.03; Natural gas = 0.04; Nuclear = 0.04; Biomass =
0.05; New hydro = 0.06; Solar, PV_30% = 0.24. [13]
141
1. Resource Sustainability:
The WAPP Master Plan emphasizes new electricity generation from two fossil fuels, oil and
natural gas, and one renewable source, hydropower. Despite their abundance in some
countries in the subregion, both oil and natural gas are non-renewable, fossil-based energy
sources that will be exhausted long before they can be replenished. This situation will
become more acute given the rise in global demand, which is also bound to ultimately
increase the prices. As a former U.S. energy secretary is reputed to have said, ―making
electricity from natural gas is like washing your car with champagne‖ [15]. Secondly, even
though natural gas burns much cleaner than coal or oil, it still releases carbon dioxide and
nitrogen oxides as well as methane if it burns incompletely, thereby causing air pollution and
contributing to climate change [16]. Thirdly, electric power production from nuclear and
fossil-based plants consumes a significant amount of water for power plant cooling that is
usually drawn from rivers and lakes, and sometimes degrades water quality [17]. This
competes with vital needs like drinking, fishing, or irrigation. Renewable energy systems, on
the other hand, typically have little or no need for water for cooling purposes. In addition,
low power solar PV has been shown to be important for water purification as well as for
pumping water in Sokoto, Nigeria [18]. Distributed generation in the form of transitional
technologies that are built at an appropriate scale can use fossil fuels for a short time in order
to serve as a bridge to an economy based on energy income, i.e., based on renewable energy
[2]. Examples of such technologies include the use of industrial waste heat for generation in
CHP systems or hybrid PV/diesel systems. These would also minimize water use.
Hydropower is considered a renewable resource but this can sometimes depend on whether it
is generated from small or large dams. Large dams, which are capital-intensive, tend to
radically change the flow of the dammed river leading large areas of land such as wildlife
habitats or farms to be flooded and displacing local peoples [19]. For instance, despite the
positive impacts on the economy, industry, tourism, fishing and so on, since the construction
of Akossombo dam in Ghana, there has been an increase in water-borne diseases such as
malaria, the loss of land and property and the breakdown of some traditional practices linked
to submerged sacred places [20]. Small dams or run-of-the-river schemes, on the other hand
are inexpensive, only divert part of the river through a turbine and harness the natural gravity
of a river flow to produce electricity from the upstream part which then flows back into the
river thereby reducing the land-use impacts [19]. While small dams are more typical of an
appropriate technology, it is also possible for large dams to be managed more appropriately.
A useful example can be drawn from the emergence of the ancient civilization of Egypt
(~3300 B.C.-525 B.C), which experienced an annual flooding of the Nile River that had an
overwhelming effect on any one of the small, independent nomes (provinces) that later made
up the kingdom. As a result, its citizens were forced to overcome their individual, tribal and
clanic allegiances, and to unite under a supranational authority in order to coordinate their
work, constructing the famous hydraulic projects for irrigation and water storage that
protected them from natural disasters such as floods or droughts, and permitted the culture to
flourish for 3,000 years [21-22]. If, for example, both the people living upstream (where the
dam is constructed and floods its reservoir area), and those who live downstream (where
future impacts occur) along a river are informed continuously about the potentially negative
impacts of a dam, are compensated adequately for any loss, and are involved in the project
from the beginning, then a better argument can be made for the ―appropriateness‖ of such
large infrastructures [23]. Furthermore, hydrological studies have observed a ‗climatic
anomaly‘, characterized by low rainfall in Benin, Togo and Ghana since the 1980s, leading to
142
low seasonal capacity and reduced lake levels [24]. This situation affects electricity output
and calls for alternative energy options to be pursued intensely.
2. Suitability as Intermediate Technologies:
An intermediate technology can be defined as one that is fairly simple, understandable and
suitable for repair on the spot [25]. It is more productive than most indigenous technology but
is also much cheaper than highly capital-intensive technology. As a result, it lends itself
better to providing meaningful employment, especially in rural areas, and is the precondition
of capital, goods, or wages, which are the touted goals of development policy [25]. In
deploying DG, the widely cited problem of storing electricity in DG is primarily a
consequence of attempting to improve, recentralize and redistribute inherently diffuse energy
flows such as sunlight or wind [2]. While it is true that storage is difficult on a large scale, if
done on a scale that matches most end-use needs, then daily or seasonal storage of low or
medium-temperature heat should be straightforward with water tanks, rock beds or fusible
salts at the point of use [2]. Another way of addressing this problem is through the use of
hybrid devices such as solar-wind devices which combine a micro-wind hydraulic system and
solar collectors and optimize their efficiency where both sources are available intermittently
[2, 26]. All the energy from these sources need not first be converted into electricity in order
to be useful to a given household or community. Windmills would work well for directly
pumping water to irrigate the soil and supplying water to cattle in impoverished and semiarid
regions [27]. Similarly, solar energy can be used for water heating, drying and other
applications.
DG technologies would also promote technological learning in the rural and peri-urban areas
which would increase the penetration rate of the technologies, reduce cost and encourage
innovation [28]. One example of this is the development of Vertical Axis Wind Turbines
which offers portability and can take advantage of local materials e.g. bicycle parts for all
rotating parts and PVC pipe for blades, and skills such as carpentry or metal working that are
locally available and accessibility [2, 26].
3. Ownership:
The issue of ownership is very important in West Africa due to its status as an impoverished
and economically dependent region. The roots of this dependence lie in the integration of
Africa‘s economies into the global economic system in a subordinate position, thereby
leading to extroverted economic activity [29]. In the last two decades, the focus on electricity
reforms on the continent has been on privatization of the national utilities in the context of the
market reforms promoted for the region by the International Financial Institutions (IFIs) [30].
An excellent treatment provided by Pineau (2008) shows that the majority of the funding
secured for ECOWAS will be spent through ―International Competitive Bids‖ (ICB), which
give local firms only a very small chance of competing with Western companies. For
instance, out of $125 million earmarked for the Zone B-WAPP project, 85% (about $ 106
million) will be spent through ICB [31]. The WAPP funds are to be secured through large
loans at least for the planned duration of the project and beyond, making it likely that the
countries of the region will become even more indebted than they previously were unless the
ensuing economic growth compensates for this situation [31].
In contrast to the capital intensive and costly large plants, distributed generation offers much
more flexible financing options that could lead to ownership of the projects within a short
period of time as opposed to a debt burden that could last for several decades. For instance,
143
the micro-credit approach developed by the Grameen Bank, has been demonstrated to be a
cost-effective way of funding these initiatives for the rural poor in Bangladesh [32].
Furthermore, off-grid solar home systems in rural Ethiopia have been demonstrated to be
more profitable in terms of pay-back period than both the kerosene lamps that are typically
used and on-grid PV installations in many industrialized nations [33]. In East Timor, a model
which subsidized capital costs of solar PV but sought to recover operating costs was
demonstrated to be more effective than a purely market-driven approach at increasing rural
electrification rates [34]. ECOWAS could also take on the role of helping to secure funding
for incubators where universities and technical schools collaborate with regional or
international experts - an initiative that should lead to skilled personnel taking over the
system, thereby allowing external sponsorship to be phased out within five years or less [11].
Toward an Epistemology for an African Energy Policy:
In discussing underlying values of different economic systems, Schumacher argued that ―no
system, or machinery or economic doctrine stands on its own feet: it is invariably built on a
metaphysical foundation, that is to say, upon man‘s basic outlook on life, its meaning and its
purpose‖ [25]. In the same vein, many scholars have called for a more contextual deliberative
policy analysis to counter the traditionally linear, positivistic, and technocratic analyses that
appear to provide only value-neutral solutions [35].
In agreement with this context-oriented perspective, energy planning in West Africa should
also be epistemologically rooted in the philosophies and the best of the cultural traditions on
the continent. The moral ideal in Ancient Egypt, known as Maat, was based on a sense of the
unity of being of the universe, and required respect for nature, the shared heritage of the
environment with other humans, and a moral obligation of restoration, that is, healing and
repairing the world [36]. The main value system in traditional West Africa has been
described as eco-bio-communitarian, implying a communal societal ethos and a quest for
balance with the environment [37]. Another ethical paradigm, known as the ―ethics of care‖
or ―ethics of nature relatedness‖, like the other two, is anthropocentric but recognizes that
humans depend on nature for their survival [38]. When applied to energy policy, this ethic
could inform the increased adoption of energy efficiency measures, energy conservation, and
the promotion of benign technologies or ‗technology with a human face‘ in Appropriate
Technology parlance.
Conclusions:
West Africa has sufficient renewable energy sources that could power all its needs [39].
Furthermore, it is a tropical region and therefore has abundant sunshine particularly in the
Sahelian or semi-arid parts. Its long coast line makes it suitable for wind generation and it has
waste biomass from its extensive agrarian base [27]. In order to fully harness this energy, the
subregion would have to transition its economy to one that is based on energy income rather
than depletable fossil fuels, thereby conserving its increasingly scarce water resources.
Based on the analysis presented in this paper, one recommendation is that in order to
encourage resource sustainability, the countries in West Africa should leapfrog the
conventional technologies by adopting renewable DG technologies [40]. The WAPP should
first try to improve rather than expand the current grid, with respect to managing large dams,
for instance, and then seek ways to reliably incorporate DG into it. It can simultaneously
expand electrification by installing off-grid applications in remote areas and could develop
special micro-grid networks in order to allow for the harmonization of these novel
technologies in cities or denser areas [19]. However, these initiatives should emphasize the
144
use of local skills and materials as much as possible with a view toward creating work
opportunities rather than a disproportionate emphasis on efficiency, technical sophistication
or profits. In addition, many policy incentives can be adopted to promote renewable DG such
as subsidies for families and poorer communities, as well as encouraging community-based
or traditional financing mechanisms in order to promote widespread ownership.
Finally, the theory and praxis of energy policy in West Africa should be systematized based
on an explicit set of enduring values, ideas and commitments, and an epistemology that is
easily recognizable and generally accepted by the residents of the subregion.
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146
DESIGN OF PV SOLAR HOME SYSTEM FOR USE IN URBAN
ZIMBABWE
J Gwamuri*17, S Mhlanga1
Applied Physics and Radiography Department, Faculty of Applied Sciences, National University of
Science and Technology, Bulawayo, Zimbabwe.
Email: [email protected]/ [email protected]
Key words: Photovoltaic modules, insolation, charge controller, system sizing, continuous
wattage, surge wattage.
Abstract
Zimbabwe is currently experiencing daily load shedding as the utility power company; the
Zimbabwe Electricity Supply Authority (ZESA) is failing to cope with the ever increasing
energy demand. Selbourne Brooks is one of the new up-market suburbs in the city of
Bulawayo where residents have been waiting to be connected to the grid for more than five
years. A feasibility study was conducted in the area to establish the status and potential of
Solar Home System (SHS) as an alternative source of energy for urban dwellers in
Zimbabwe. This paper explores the issues mainly related to system requirements and
availability, policies, standards, awareness, participation and investments all of which are
major ingredients of sustainable implementation of the solar project in Zimbabwe. Insights
into how system sizing can help in implementing PV Systems in Africa in a sustainable way
are also included in the analysis. An energy audit was carried out in both the high density
residential areas and low density residential areas. It was established that in Zimbabwean
urban areas, on average, households in the high density areas were allocated 1.7kVA while
those in the Low density suburbs were allocated 13.5kVA. Energy consumption differed from
household to household as it was mainly influenced by both the number and the type of
appliances per individual household. A system capable of supplying energy of 13.5kVA was
designed and component sizing was carried out. Major system components such as the
photovoltaic modules, the charge controller, battery array and inverter are specified
assuming insolation levels of eight average sun hours per day. An estimate of the total
system costing is included together with the possible ways of lowering system costs without
compromising on the total system performance.
INTRODUCTION
Zimbabwe is geographically located in the Savanna region and this implies that solar energy
systems would be very efficient in this part of the world. Most areas in this country, both in
urban and rural areas have not been connected on the utility grid due to a number of
challenges including lack of funds for government to implement such projects. However, for
even some of the urban dwellers who can afford the cost of installing the systems, awareness
and inaccessibility of reliable and sustainable systems has been the major setback in the
adoption of Solar Home Systems (SHS) as an alternative solution to their energy crisis.
Available systems have very limited applications such as lighting, mobile handsets charging,
powering radio and television sets. These systems are viewed as ideal for rural households
and have been adopted widely in some rural areas of Zimbabwe. The ever intensifying energy
crisis in Zimbabwe have seen the majority of urban dwellers turning to Green House Gases
(GHGs) emitting generators to meet part of their essential energy demand. The designed
systems were based on general energy demands of urban consumers.
*17
Corresponding author
147
When designing a solar system, the essential issues to consider are the sunlight levels in the
area i.e. (insolation) and the total power requirement. The optimum performance of a
photovoltaic panel is obtained when it‘s correctly aligned to the sun i.e. when the sun is
directly overhead. This usually equates, as a fixed mounting, to an alignment of around
latitude ±15 degrees[1]. There may only be around eight hours of full sun, due to reflection
off the panel and the amount of atmosphere the light has to pass through. This will naturally
be least when the sun is directly overhead which is often termed solar noon. When selecting
the site for the PV array, a spot should be considered, that is un-shaded between the hours of
10 a.m. to 2 p.m. on the hemisphere‘s shortest day since the seemingly inconsequential
shading from a tree branch can cause a substantial reduction in generated power. To offset
the effects of low insolation, additional panels or larger panels with a higher output or panels
designed to track the sun‘s passage across the sky may be installed, this helps in maximizing
on correct orientation (although the depth of the atmosphere cannot be overcome).
Concentrator panels, with a lens arrangement designed to better concentrate weak sunlight
onto the cells are another alternative option. Unfortunately these options introduce one of the
biggest constraints on a system‘s size that is system costs. Solar panel output is measured in
watts and is usually supplied at a nominal 12V although this may well be up to 17V effective
output. Panels can be wired in series (+-+-) to increase voltage, parallel (++--) to increase
amperage. A series/parallel wiring, where sets of panels already wired together in series are
wired together in parallel may also serve to increase both voltage and amperage. The distance
between the various components of the system should also be considered when choosing the
nominal DC voltage. The greater the distance, the greater the voltage drop and a higher
voltage will travel further than a low one around the same cabling. 24V or 48V nominal
systems will avoid having to use more efficient cabling, especially if the batteries are a
considerable distance from the solar panels.
System Description
Solar home system is generally designed and sized to supply DC and/or AC electrical
appliances. This consists of PV solar module connected to solar charge controller, inverter
and a battery/ or battery bank. The generated DC power is stored into batteries through a
charge controller and converted to AC power by the inverter for supplying AC loads. The
renewable electricity is produced as Direct Current (DC). The DC electricity from the panels
passes through a grid-interactive inverter, which converts the DC electricity into Alternating
Current (AC). The AC electricity is then used by the appliances operating in the house. If
more electricity is produced than the house needs then the excess will be fed into the main
electricity grid. Conversely, when the renewable system isn't generating enough electricity to
power the house, the house will draw power from the grid. Grid interactive systems eliminate
the need for a battery backup for when the sun doesn't shine [2]. In effect, the grid serves as
your battery. The major components are briefly described below.
The PV modules
Solar panels generate free power from the sun by converting sunlight to electricity with no
moving parts, zero emissions, and no maintenance. The solar panel, the first component of an
electric solar energy system, is a collection of individual silicon cells that generate electricity
from sunlight. The photons produce an electrical current as they strike the surface of the thin
silicon wafer. The most efficient and expensive solar panels are made with Mono-crystalline
cells. These solar cells use very pure silicon and involve a complicated crystal growth
process. Polycrystalline cells are a little less expensive and slightly less efficient than
Monocrystalline cells because the cells are not grown in single crystals but in a large block of
many crystals [3].
148
The Batteries
Batteries are rated by the amount of current they can supply over a period of hours i.e. in
ampere hours (Ah). The design should ensure enough Ampere-hour capacity to take account
of any bad weather periods. An additional one-fifth capacity is thought to be sufficient to
cover this eventuality.
The Inverter
The inverter should be capable of coping with the power surges caused when starting certain
appliances, especially those incorporating high-power. The minimum surge rating will be
roughly twice that of the continual wattage the system is calculated at.
Methodology
The study involved field visits to the sites (Selbourne Brooke residential area (low density)
and Emganwini residential area (high density)). Three households were selected randomly for
the energy audit. The most common household appliances were listed together with their
power ratings. Interviews were conducted to establish the number of hours the different
appliances were most likely to be kept on. A desk study was also carried out to obtain
technical information from the utility company (ZESA) related to the generation and
distribution of electricity to consumers in different residential zones in the city of Bulawayo.
Using data from both the technical visits and the desk study, a generalized list of household
appliances was drawn. The list was then used to come up with a general charge utilization
table which was then used for system sizing.
System Sizing
The first step to sizing a solar electric system is to determine the average daily energy
consumption. The average daily energy consumption should be as accurate as possible, and
ways to conserve power should be considered as well because the total energy consumption
will determine the size of the system.
The PV Solar Array Sizing
Two important factors in solar array sizing are the sunlight levels (i.e. insolation values) of
the area and the daily power consumption of your electrical loads. Taking the peak insolation
of 8 hours for Zimbabwe, and assuming also that the battery efficiency is 80% and Panel
Efficiency is also 80% then the Panel Catalogue Power was determined using the following
relationship;
Therefore numbers of 235 W (or/ higher) Mono/Polycrystalline panels that will be required
were evaluated.
Charge Controller Sizing
The controller size was determined as follows;
149
Inverter Sizing
Inverters are rated in continuous wattage and surge watts. To properly determine inverter
size, the power requirements of the appliances that will run at the same time are summed up
and 25% - 30% of the sum is added for safety reasons.
Battery Sizing
The size of the battery bank required will depend on the storage capacity required, the
maximum discharge rate, the maximum charge rate, and the minimum temperature at which
the batteries will be used.
The battery should supply the required load plus the distribution losses. It should also supply
the load for 3 days of autonomy in the absence of the sun. Therefore, the required battery
Ampere-hour was also evaluated.
Therefore the batteries ampere-hour required and total voltage they must supply to the
inverter including the total power rating was determined.
RESULTS AND DISCUSSION
Charge Utilization Table
The following charge utilization table was used to keep track of each appliance to be powered
by the system and the amount of time it will be in use.
Table 1: Charge utilization Table
Appliance
CD/ DVD player
Fan
Kettle
Desktop Computer / Laptop
Hair Drier
Iron
Microwave
Refrigerator
Toaster
Colour T.V.
20 HB LEDs
Stove
Satellite dish Decoder
TOTAL WATTAGE PER WEEK
AVERAGE WATTAGE PER DAY
Power
Rating (W)
35
40
1000
170
1000
1000
1000
150
900
150
11
2000
30
Number of usage
hrs per Week (h)
35
28
7
12
3
7
7
70
3
35
56
16
35
Table 2: Summary of Specific System Components
18
DC Value for HB-LED not used in calculations
150
Watt-hours per
Week (Wh)
1225
1120
7000
2040
3000
7000
7000
10500
2700
5250
12320*18
32000
1050
72885
10412
Component
Solar Array Size
Charge Controller Size
Inverter Size
Battery Load
Total Battery Amp-Hr
Battery Bank Size
Quantity/ Rating
9
60 Amp
13.5 kW
200 Ah
1627 Ah
16
The batteries required should be 200AH, and should be wired in such a way that they supply
24 Volts to the inverter with a rating of 2035 AH. Therefore 16 200AH, 12 Volts connected
in a series/parallel connection are required.
Table 3: System Cost Evaluation
COMPONENT
235W Mono/polycrystalline PV Modules
Heavy Duty Solar Mountings(Row of 9 Panels)
12V 200Ah Batteries
13.5 kW Inverter
60 Amp Charge Controller
TOTAL COST
UNIT
COST
QUANTITY
US$
553
9
621
1
524
16
7932
1
563
1
TOTAL
US$
4977
621
8384
7932
563
22477
Conclusion and Recommendations
This study has presented the components required for the design of a stand-alone
photovoltaic system that will power all electric appliances at a medium-energy-consumption
residence in Selbourne Brooks in Bulawayo. The factors that affect the design and sizing of
every piece of equipment used in the system have also been presented. Over and under-sizing
have also been avoided to ensure adequate, reliable, and economic system design.
A cost estimate for the whole system is also provided. The same procedures could be
employed and adapted to applications with larger energy consumptions and could also be
employed for other geographical locations, however, the appropriate design parameters of
these locations should be employed. The capital cost of such systems is relatively high and
the payback periods are more than 10 years, however, the benefits and the environmental
impact should not be underestimated.
The recommendation would be that, the governmental role has to be present and influential in
encouraging people to turn to such alternative energy systems. This role should encourage
and support renewable energy research and should provide technical assistance to potential
users. Another way would be through facilitating the import of the equipment used to
construct such systems, especially the import of low dc-voltage appliances, that are still
absent from the local market. New energy policies should be endorsed that allow tax
exemption and rebates or at least minimal taxes on equipment used in photovoltaic systems.
In addition, policies that allow utility-interactive systems are needed to enable the purchase of
surplus solar energy from users. The national utility company should adopt the smart grid
technology and publish feed-in tariffs which will encourage the adoption of the solar home
151
systems. Furthermore the private sector must be encouraged to invest in this market in return
for exemption and other benefits.
REFERENCES.
[1] Allen Barnett et al, ―Milestone toward 50% efficient solar cell modules‖, presented in
22rd European Photovoltaic Solar Energy Conference, Milan, Italy, 2007
[2] Dunn, PD, Heffers Renewable Energy Sources, Conversion and Application, Peter
Peregrinus Publishing Ltd, Cambridge, 1986.
[3] W. H. Bross, Advances in Solar Technology Volume 1, Pergamon Press publishing,
1987.
Appendix
Continuous wattage is the total watts the inverter can support indefinitely.
Surge wattage is how much power the inverter can support for a very brief period, usually
momentary.
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DESIGN OF A SIZE-ADJUSTABLE SURGICAL SHOE:
PROMOTING OPTIMAL ASEPSIS COMFORTABLY
Jason Atike1 and Elsie Effah Kaufmann2
Department of Biomedical Engineering, University of Ghana, Legon—Accra, Ghana
Mobile Phone Number1: +233 27 4201771
Email addresses: [email protected], [email protected]
Key words
Aseptic Technique, Ventilation pores, Velcro®, Toughness, Quarter, Spandex®, Rack and
pinion gear system, Shock and Impact loading
Abstract
Surgical shoes are essential to the surgical world as far as optimal asepsis remains an
unassailable factor to ensure successful surgery and after-care. In addition to the surgical
shoe‘s main function of isolating users‘ feet from the sterile environment of surgical
departments, designers are expected to provide for users, comfort and other relevant needs.
A market survey conducted identified several problems associated with the commonly used
surgical shoes in Ghana. Among the problems were insole discomfort and unavailability of
certain shoe sizes at most hospitals. Also, some interviewees complained about excessive
heat generated at the vamp area of the shoes. While some users habitually draw out their
feet from slipper-like clogs, others do so in response to insole discomfort, fatigue and wet
toes.
Following a formal Engineering design process, a size-adjustable surgical shoe with
comfortable insole has been designed to address the problems identified. The design employs
a tough hence shock-absorbing polyimide insole to significantly improve insole comfort. It
also uses spandex (polyurethane-polyurea copolymer) and rack and pinion gears systems to
be adjusted three dimensionally to suit a wide range of foot sizes (US Men shoe sizes 10 to
12.5 were chosen for the preliminary design but the same mechanisms could be employed to
produce different size ranges). Each shoe is designed to have a quarter (enclosing the ankle
and back part of the foot) with Velcro® fasteners to prevent users from unrightfully drawing
out their feet from the shoes when in use. Additionally, ventilation pores have been provided
to aerate the vamp area of the shoe, while optimal asepsis is still maintained.
The work done is significant and the product may be commercialised and produced locally in
Ghana to provide much needed comfortable surgical shoes in a wide range of sizes at an
affordable price.
Introduction
Until the introduction of the principles of aseptic technique in the late 1800s pioneered by
Joseph Lister,[1,2] surgeons conducted operations in the centre of amphitheatre-style rooms
while their audience sat in the surrounding seats and witnessed the surgeons wearing apparel
akin to a butcher‘s apron to protect their clothing from stains. Surgeons operated with their
bare hands using non-sterile surgical instruments and supplies. ―Surgery was successful but
patient died‖ was the common report from surgeons as infection contributed immensely to
deaths after surgeries. Lister‘s research, articles, and life work led to the rise of sterile surgery
and now the environment and procedures used in modern surgery are governed by the
Principles of Aseptic Technique. Surgical staff must wear sterile attire (scrubs, a scrub cap,
sterile gloves and a surgical mask) and surgical shoes and must scrub their hands and arms
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with an approved disinfectant before each procedure because microorganisms will always be
in or on the human skin, even after conducting strict hygienic and sterilisation procedures[3].
Surgical shoes or clogs like any other shoe must be aesthetically pleasing and comfortable to
wear in addition to their foot isolation function. Some designers consider attributes like easyto-clean, ventilation ports and skid-free outsole, but in spite of all the attributes to be preconsidered, most commonly used surgical shoes are designed mainly to achieve asepsis and
there are currently problems of insole discomfort which were first identified on a field trip to
the National Cardiothoracic Centre, Korle-Bu, Accra, Ghana. It was also noticed that certain
sizes of surgical shoes were not available. A formal Engineering design process was thus
followed to better understand the problems and provide a suitable solution[4-6].
Understanding the Problems
Efforts to understand the problems began by clearly stating all problems and determining the
objectives of the design. The life cycle and functions of the design were also analysed to
develop design specifications following several interactions with end-users.
Problem Statement
Discomfort is experienced by users of commonly available surgical shoes in
Ghana due to the nature of the insole material of these existing surgical shoes
Certain sizes of surgical shoes are not available in most hospitals
Excessive heat is generated at the vamp area of the shoes, contributing to the
discomfort experienced by users
Project Objectives
End-users of the surgical shoe were concerned about the performance, affordability,
durability, aesthetics (appearance) and safety of the product. To ensure that the needs of the
end-users are met, the objectives of the design were developed and organised as shown in the
Objective Tree in Figure 1.
Figure 1: An objective tree for the design of a size-adjustable surgical shoe
Life Cycle of Proposed Design
Figure 2 shows that the proposed product could be purchased from the market or directly
from manufacturers. At the hospital, it will be used iteratively from the sterilisation room, to
the dressing rooms then to the theatre or ICU until it is no longer useful. Right from the
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dressing room to the theatre or ICU, the product plays the most significant role of its lifecycle as elaborated in the Functional Analysis of Figure 3.
Figure 2: The proposed life cycle of the design (a size-adjustable surgical shoe)
Functional Analysis
The functional block in Figure 3 graphically describes how the product is intended to take
unsterilised feet of users (as input) and then comfortably isolate and protect them from the
surgical environment in order to achieve optimal asepsis at the end.
Figure 3: Functional block of the design (size-adjustable surgical shoe)
Design Specifications
For each desirable product attribute obtained from customer interactions, functional and life
cycle analyses, engineering characteristics (technical requirements) were derived based on
calculations and approximations. Appropriate handbooks were also used to develop
specifications for the design as shown in Tables 1 and 2.
Solving the Problems Identified
To address the problems identified, selected concepts for each sub-function were combined to
arrive at the final design. The concepts were evaluated based on customers‘ needs, the design
specifications, feasibility and personal judgement. Analyses of the performance requirements
of each design part helped select materials for the parts as shown in Figure 4. Velcro®
fasteners (nylon and polyester fibres) and Spandex® (polyurethane-polyurea co-polymer) are
incorporated as purchased components. The other polymers are to be injection moulded into
desired shapes while polymer welding and gluing will be employed to join the parts together.
The tanned hides (leather) will be cut and sewed together. The entire product would be best
cleansed by chemical disinfection. The cost of a pair of shoes (including a profit margin of
GH¢8 per pair) has been estimated to be GH¢86 ($60), which is more affordable than
currently available non-adjustable options being sold between $64 and $70.
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Table 1: Specifications table for a Size-adjustable Surgical Shoe
Requirement
Shoe size
Origin
Designer
Demand/Wish
Wish
Importance
High
High
High
High
Medium
High
High
High
High
High
High
S.I. Unit
US shoe size
system
cm
kg
kg.m-³
MPa
MPa
GPa
GPa
Target value/ range
Men = 10 to 12.5
Women = 12 to 14.5
33.1 * 13.4 * 15.0
< 0.8
640
≤7
1 per package
1 per sale/request
68.75*10-3
68.75*10-3
6.9
0.7*10-3
Dimension (maximum)
Low mass
Low density
Steps to operate
Instruction manual
Instruction poster
High (compressive) strength
High tensile strength (adhesive)
High stiffness (outsole)
Moderate stiffness
(insole/midsole)
Toughness (maximum)
Thickness of sole
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Demand
Demand
Demand
Demand
Demand
Wish
Demand
Demand
Demand
Demand
Low cost of materials
Low production cost
Low maintenance cost
Designer
Designer/
Customer
Designer
Designer
Designer
Demand
Demand
High
High
kJ.m-2
cm
68.4
≤ 2.5
Wish
Wish
Wish
High
High
High
10
50
2
Wish
Demand
Wish
Demand
Demand
Wish
Wish
Demand
Demand
Wish
Wish
Demand
Demand
Demand
Wish
Demand
Medium
Medium
Medium
High
high
Medium
Medium
High
High
Medium
Medium
High
Medium
High
Medium
High
GH¢/kg
GH¢/product
GH¢/product/
week
months
%
cm2
mm
Maintenance steps
Few number of joints
Guarantee period
No sharp edges
No allergic reaction
Shape
Colour
Few number of parts
Percentage foot isolation
Number of ventilation pores
Size of ventilation pores
(High) wear resistance
(High) weather resistance
(High) chemical resistance
Number of temporary fasteners
Surface roughness
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
≤ 7 (per product)
≤ 10(per product)
3
0
No visible reaction
Polygonal
Green, blue, black
≤ 7 (per product)
≥ 75
(15 - 25) per shoe
1
Excellent
Excellent
Excellent
≤ 4 (per product)
1.0 - 3.0
Table 2: Specifications table for rack and pinion gear system
Requirement
Origin
Demand/Wish
Importance
S.I. Unit
Number of teeth (pinion)
Number of teeth (rack)
Length of rack
Diameter of pinion
Pitch of pinion
Thickness of rack
Thickness of pinion
Height of gear rod
Diameter of gear rod
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Designer
Demand
Demand
Demand
Demand
Demand
Demand
Demand
Demand
Demand
High
High
High
High
High
High
High
High
High
mm
mm
mm
mm
mm
mm
mm
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Target
value/range
32
31
62
30
26
15
8
8
4
The design: Parts and Functional description
The design is a size-adjustable surgical shoe for men from shoe sizes 10 to 12.5 (or women
from shoe sizes 12 to 14.5 theoretically) and has improved comfort due to its tough polyimide
insole.
The design basically can be divided into two parts; the sole and the upper. The upper
consists of the vamp (toe region isolator), the quarter (ankle and back region isolator), a
couple of spandex and extra isolators as well as Velcro® fasteners to fasten the various parts
together.
The spandex stretches in response to the size of the user‘s feet so that the width and height
adjustment of the shoe can be considered automatic. The vamp is made up of two layers of
leather with ventilations pores on each layer such that the holes on the upper layer do not
coincide with those on the lower layer providing users with indirect ventilation to aerate the
toe region while at the same time maintaining optimal isolation of users‘ feet from the sterile
environment. A central anchor (flap of leather) connects the quarter to the back sole as
shown in Figure 4.
Figure 4: Annotated sketch of the Final Design showing the materials used for each part
The sole can be divided into the front (stationary) and back (movable) parts. With the help of
the rack and pinion gear system, the back sole is manually slid in and out of the hollow part
of the front sole to obtain the desired shoe length. The stationary sole as well as the movable
sole is divided into the upper sole (insole) and lower sole (outsole). Polyimide is used for the
upper sole to provide cushioning and comfort to the user while polytetrafluoroethylene
(PTFE) is used for the lower sole and all parts likely to undergo significant wear. The PTFE
is expected to prevent skidding and resist wear. Figure 5 explains how the gears or pinions
(to be rotated by the user manually) combine with the toothed rack part of the back sole to
achieve the length adjustment function of the shoe.
Figure 5: How the rack and pinion gear system works to (a) increase the length of the shoe
towards the largest size and also (b) decrease the length of the shoe towards the smallest size
Procedure for the Use of the Product
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The product can be operated in five simple steps. When the shoe is not in use the default size
recommended is the smallest one (in this case, US Men Size 10). Hence:
 The user first unfastens all Velcro® fasteners.

From the side of the sole, the gears are rolled (in the direction towards the toes) to
increase shoe size to the desired shoe length unless the default size fits the user perfectly
well. There are marks on the sole that represent the respective shoe sizes; the first mark
represents size 10.5 followed by 11.0, then 11.5, 12.0 and finally 12.5.

The user then wears the shoe to check if the new length fits perfectly. Since the
adjustment is continuous, all foot sizes within the range (10 – 12.5) will be catered for.

The user may go back to the second step to readjust the size until he is comfortable with
the shoe length. He can then fasten the Velcro® straps of the quarter and then that of the
vamp.

Finally, the user must check for optimum foot isolation before leaving for the theatre or
ICU; this implies that the extra isolation flaps should be placed under the foot to cover all
openings as much as possible.
Conclusion
Now the surgical world in Ghana (and elsewhere) can expect a guest; a size-adjustable
surgical shoe with ventilated vamp, a quarter and comfortable sole intended to solve the
problems of insole discomfort as well as unavailability of certain sizes of shoes at various
surgical departments.
Each pair of shoes is to be packaged with an owners‘ manual, wall poster and twelve
maintenance report sheets. The owners‘ manual describes the entire package and is intended
to guide users through the use of the product. An educational poster is also available for the
walls of dressing rooms to direct users on how to wear the product in five steps. The
maintenance report sheets are to be filled by maintenance personnel. Completed maintenance
report sheets will be analysed periodically to determine ways in which the quality of the
product may be improved.
REFERENCE:
[1] Newsom S.W.B., Pioneers in infection Control, Journal of Hospital Infection, Volume
55, Issue 4, December 2003, Pages 246-253.
[2] Nikrom R.A., Dr. Joseph Lister; the founder of antiseptic surgery, Primary Care Update
for OB/GYNS, Volume 10, Issue 2, March-April 2003, Pages 71-72.
[3] Surgical Gowns: Protection & Comfort, retrieved from http://medical-uniformsapparel.medical-supplies-equipment-company.com/PPF/page_ID/197/article.asp at 7:49pm,
10-09-09.
[4] Sterile Surgical Clogs, retrieved from
http://www.jellyegg.com/crocs_and_you/surgicalClogs.aspx at 7:52pm, 10-09-09.
[5] Shoe Making- How Shoes Are Made, retrieved http://www.teonline.com/knowledgecentre/shoe-making-how-shoes-made.html at 7:56pm, 10-09-09.
[6] Yousef Haik, 2003, Engineering Design Process, Bill Stenquist (publisher), Karyn
Morrison (editor), Pages 2-76.
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Care practices at home for people living with AIDS in Accra, Ghana:
The Use and Management of Household Resources
Vivian Tackie-Ofosu
University of Ghana, Legon
Department of Family and Consumer Sciences
P.O. Box 91. Legon, Ghana
Phone No. 233 204 450 6608
Key words: Caring, AIDS, Urban Poor, Resource Use, Decision-making, Accra
Abstract
This study investigates care practices by untrained family caregivers and the use of family
resources for people living with AIDS (PLWA) at home. Caregivers make an array of
decisions and choices; they develop surviving strategies; do experimentation using their
indigenous knowledge, skills and experiences. Research exists on AIDS caregiving in
institutional settings in Ghana. There is, however, undocumented research on care practices
in relations to use household assets, thus the main research question is: How do care givers
at home use household resources to care for PLWA in Accra?. In the light of the AIDS
epidemic, understanding how household resources (human and non-human) are used in
livelihood construction is significant since AIDS could plunge an already poor household
into deeper poverty. Qualitative case study approach, [1] using a purposive sample of 25
caregivers and 25 PLWA, with in-depth interviews observation and photographs were used to
collect data from 5 poor communities. PLWA who visited the Korle-Bu Teaching Hospital,
Fevers Unit, in Accra, were selected based on set criteria, and asked to identify their
caregivers. The researcher ‗disclosed‘ her epistemological position, and discussed issues
relating to bias. Significant statements from participants were noted and themes grouped
and conceptualized into a model. From 107 relevant statements relating to the research
question, 19 themes emerged. In all households studied, money and religion/spirituality were
mentioned as key resources. The findings suggest that AIDS caregiving relates to the
resources at the disposal of households, plus decisions caregiver make. The study concludes
with the argument that since AIDS has proven to be expensive, requiring vast resources and
substantial planning for caregiving, intervention approaches (involving Family Extension
Agents) would be useful to assist caregivers improve upon their skills to manage resources in
AIDS affected households in Ghana, in order to provide adequate care.
Introduction
In all parts of the world, it is families, whether related by blood or affection that provide care
at home to sick relatives [2] It is estimated that up to 90 % of caregiving for people living
with AIDS takes place at home [3]. The roles families play in the provision of care for
people living with AIDS (PLWA) is demanding because of its long-term and incapacitating
nature and also, because the disease tends to drain the family economy and depletes
household resources [4]. As she puts it, care at home involves using limited resources and
taking decisions daily. [5] point out that household resources are tools families use to meet
their needs. Managing these resources has always been a process requiring that families take
effective decisions regarding the use of limited resources [6].
Over the years, AIDS is known to be costly, absorbing the bulk of household budget; and
requiring intensive planning for care provision at home [7]. Unfortunately, the support from
extended families is diminishing due to general economic conditions. As [8] argue, in many
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indigenous households, the social safety net that existed prior to the AIDS epidemic is
gradually being eroded in communities highly affected by the disease. She argues that
general household responsibilities are already tasking thus AIDS care require additional care
activities, skills and responsible use of resources.
Home caregivers make an array of decisions and choices; develop survival strategies, and
experiment with limited resources as they engage in care activities for PLWA.
Savundranayagam [10] notes that families support AIDS relatives with activities of daily
living (ADLs); Carers remind PLWA to take their medication and accompany them to the
clinics [11]. In a qualitative research using a phenomenological approach, [4] investigated
the association between family care and HIV/AIDS in India. She observes that households
form complex organization of care, that is, multiple members of the household participate in
the care provision.
Another association has been demonstrated between household resources and PLWA. In a
comparative study of urban families under pressure with HIV/AIDS in Kenya and Zambia,
[11,12] as well as [13] explored the relationship between household assets and HIV/AIDS.
They note that a household‘s ability to evade or manage vulnerability (explained as how
people move in and out of poverty) was dependent upon its initial assets endowment and its
capacity to manage and to transform its assets.
A more recent study has demonstrated the association between care for people living with
AIDS and household resources use. In a focused ethnographic study [14] used 6 key
informants and 12 general informants to explore and describe the conception of care among
caregivers of persons living with HIV/AIDS in Addis Ababa. The researcher noted major
themes from the qualitative study including nourishing of PLWA while struggling with
poverty; maintenance of cleanliness and hygiene, and sacrificing oneself to sustain the sick
person. Research evidence [15], for instance, the work that [16] did in developing countries,
assessing how the urban poor use assets in response to macroeconomic throws light on the
relationship between the uses of resources in times of crisis at the household level. Although
the longitudinal studies undertaken by the researcher were not specifically in relation to care
for AIDS patients, the findings are of importance to this study. [16] notes that the urban poor
are themselves managers of complex assets portfolios.
In Ghana, knowledge about family members caring for people living with HIV/AIDS at home
is limited and research on informal care giving in general is at its early stages. A few studies
have investigated care practices for people living with AIDS in Ghana. For example, [17]
explored the relationship between care for AIDS victims and their relations in Ghana.. Using
data from a large survey on Social Dimension of AIDS in Ghana and additional purposive
interviews of 141 patients and 122 carers at hospitals, from eight out of ten regions in Ghana,
he observes that the care of the patients was an obligation of mainly the parents, siblings and
children. The point of departure from the research [18] conducted in Ghana is that case study
approach (with its advantage of providing a holistic overview and ways local actors manage
day-to-day situations) is used to explore how resources are used in a home environment.
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Methods
The study used qualitative methods of inquiry and analysis to seek understanding of how
caregivers of AIDS use household resources. Five poor urban communities were selected
based on residential classification, using environmental burden and disease [18] in Accra. A
case study method, using AIDS patients who attended the out-patients clinic (Fevers Unit) at
the Korle-bu Teaching Hospital in Accra (n=25). The researcher, with an ethical certificate
contacted the hospital staff who provided information on final diagnosis of AIDS patient
referred to as ‗Medical Advise Note‘. The hospital staff assisted the researcher to interview
patients who were willing to be part of the study. Eligibility criteria of age, residential area in
Accra, disability and poverty proxy were used. Qualified patients identified their primary
caregivers and confirmed their residential addresses. In-depth interviews and observation and
photographs were used to collect data from their homes. To address the issue of validity, the
researcher listened attentively and collected the data systematically throughout the
interviews. The multiple sources of data served as a measure of triangulation. The researcher
maintained a balance between perceived importance and revealed importance. Ethical
Clearance Certificate was obtained from the Noguchi Memorial Institute of Medical Research
(NMIMR) of the University of Ghana.
Analysis
Grounded theory techniques [19, 20] were used to analyze the data. Systematic set of
procedures, using line by line coding from interview transcripts to group concepts into
meaning units; followed by grouping meaning units into categories. Categories were
compared to identify relationships between categories which were integrated into the
contextual discussions. In order to ensure rigour [21] comparative analysis and theoretical
saturation were used. The saturation point was reached when no ‗fresh‘ or relevant
information was obtained. Comparative analysis allowed the researcher to capture ideas and
recurring themes; it enhanced the collection of explanations that explained household
resource use and care practices and helped to address the research question for this study.
Results
One hundred and seven (107) statements stood out with nineteen themes (19) emerging.
Themes were summarized for this paper. Codes used are: R: Researcher; PCG: Caregiver
Knowledge and Perception of Caregivers of Household Resources
The study interviews explored participants‘ knowledge and perception regarding household
resources. Household resource was translated in as agyapadei-biara a ebua mo wo afie
asetena mu in Twi and Gjanibee–no fea nu ne waa nye ka shia kramo (in Ga). Caring for
PLWA was translated in Twi as senea wo hwe yarefo. In Ga, boni o kuraa helatse (Twi and
Ga are languages spoken by participants).
Participants identified resources they used in supporting the sick person. Some Resources
they considered important were money, personal belongings and religion (prayer). They
commented that money could do everything–to purchase food and drugs. Participants
seemed to have strong faith. Both Christians and Muslims made reference to their belief in
God as a resource.
―Money is what we need to solve this problem facing us. Money is everything. If people have
money it is easy to get whatever they need, especially good health, we pray all the time for
money.‖
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Participants identified personal belongings such as clothes, refrigerator, television and radio
sets and useful resources. They, however, stressed that these resources did not provide their
immediate needs.
Except:
―Sometimes, when we are hard pressed at home and we need to get physical cash to
purchase drugs or food we have difficulty selling the items we have listed. So, money is the
main thing!
According to participants, personal belongings are useful because they give personal
satisfaction that one owns them; they also give comfort and joy; for example, fridge cools the
water and helps preserve food the day we have surplus and the television gives us
entertainment‖.
One participant, PCG 06 commented:
―These things however, can‘t be turned into cash immediately we have to pray to God all the
time for money to purchase food and drugs‖.
Financial asset or resource come in many forms-cash, savings, credit and investment. What
is usually available and ready for use is cash. In poor communities, cash is used for daily
transactions and purchases.
Participants‘ perception of resource reflects the value they
attached to it and the extent to which a resource addressed an immediate need. The meaning
of household resources seems to be changing over the years. Some of the definitions
emphasized the part the resource play in human interactions. For example, Participants‘
explanation of resources is similar to the definitions by [22] which states that resource
constitute things that individual or families use to achieve an end. A definition of resource
that emerged a year later, [23] qualified resources by explaining that they could be either
concrete or symbolic. Resource is ―any item, concrete or symbolic, which can become the
object of exchange among people‖. The exchange dimension in Foa‘s definition shed light on
the meaning of resource by caregivers since they tend to refer to money as something
concrete that they use in exchange for drugs and food.
Use and Management of Household Resources and Care Practices
Caregivers use household resources to support persons living with AIDS in households. Thus,
the researcher explored resource use by study participants.
In all households, food
preparation, drug expenses and administration, keeping the house clean and accompanying
the sick person to the clinic were undertaken by caregivers. Participants gave insight into
sequence of activities they use resources for. They were asked to say how they used
household resources to support their sick relatives.
Except:
―Ah! there are important things that have to be done each day with resources. Food
preparation is one of such activities. I can‘t postpone it. I think for a long time before I come
up with what I should cook. Usually, the ingredients are not enough because the money is not
sufficient. Hmmn, for example, I use little or no meat and fish, and increase beans because
I‘ve been told that it is a healthy food. I have to consider the knowledge I have about good
food that the sick person needs to eat to be healthy- my whole body is working when I am
thinking (Human capital-knowledge, ability, skills, energy). In addition, I have to think about
how much money to spend. We all use the room so it has to be clean all the time. To look
after sick person, resources are the ‗main thing‘, especially cash to spend daily and ‗human
strength‘ that God gives us. The work itself is not hard but the resources to do it and the way
to use it makes it hard‖.
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Some participants seemed to be equating caring to resource use. This is reflected in the
following statements:
―Caring is all about resources. If you don‘t have the resources how would you care for
someone? It is what you have that you give. I stay with the sick person because I have the
time. I spend the money I have to buy items I need and if I don‘t have money, I cannot help
him and that may seem or look as if I am not caring for him‖.
Another said: ―Me, I care with what I have. ‗It is getable, it is doable‘. I decide on what to
do for the sick person based on what we have at home. When we go to the clinic, they tell us
what to do, the food we should cook but they don‘t know whether we have the money or not.
Hmmn, I know that the house has to be clean but there is no water. I buy one bucket of
water for 20 pesewas (20cents)‖.
One main reason why water tends to be expensive and scarce in the study communities is that
households buy water from commercial installed tanks that rely on water vendors for their
supplies. The cost of transportation is shifted to the final consumers. The ‗hard to get‘ water
is stored in yellow 20 liters gallons for domestic use.
Figure i: Water Storage in a Household
Photo by researcher depicts situation of Water storage and the home environment
The fact that the general economic situation is hard in Accra and families find it difficult to
make ends meet might influence caregivers to place emphasis on scarcity of money and
constraints it poses in care provision.
Decision-Making, Resources and Caring
The process of identifying needs and securing resources are dynamic within the households.
The concept, resource use is assumed that caregivers strive to meet the needs of persons they
care for.
Participants‘ narratives indicated that they engaged in decision-making process. The
researcher explored decision they made regarding resource use.
R: What decisions do you make when assisting the sick person?
PCG 04: ―When I wake up in the morning, I ask myself what I can do to help the sick person.
I think about what we have at home to use (resources); I mean the money to spend, how to
encourage my partner, and how I would turn things around to succeed for the day. I can‘t
sell my wares (charcoal) these days because I care for him. To use about GHC 150 ($100)
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for a month is not easy. I take decisions based on the health condition of the sick person. I
decide how to use some of the money to cook, for transportation and to help the children‖.
PCG 19: ―Hey, Hmmn, this sickness! I think about so many things to do but, all depends on
my health and cash we have at home‖.
R: Do you have any plan or routine that you follow when providing care?
PCG 07: ―No, plans depend on what we have at home (resources) or what someone would
bring to us. With something like cleaning, I don‘t plan it, I just do it, especially the bathroom
and toilet areas. We are not the only people who use it so I have to keep it clean for the
others so that we don‘t get trouble‖.
PCG 23
The first thing I think about is what he would eat and if we have some of the medication at
home. Food and medicine is very important to me. Then I would decide if I am strong to do
house work and be able to care for him. I decide to keep the room clean, it is small and we
all use it. I don‘t want the people on this compound to know our difficulties so we stay inside
our room. Most of the time God gives me wisdom to help him.
Figure ii: A Room occupied by Caregiver and PLWA
Photo shows researcher talking with PLWA with a bible by her side
Religion (faith in God) was identified as an important resource. PLWA had a bible opened to
draw inspiration and hope. Empirical evidence, [24] suggest that religion and spirituality can
be useful resources for people living with AIDS. Participants prioritized activities depending
on availability of resources. Considering participants‘ remarks about their room, the
arrangement, congestion and general inadequate housing facilities as observed in other
households, the researcher speculates that it may be for these reasons that [25] particularly
propose for housing programs for AIDS affected households.
Discussion
The findings suggest that participants regard cash as a key resource which provide inputs and
also serve as motivation force that gives impetus to their effort to provide care. They said, for
example, that they used cash to purchase drugs or food which may fall into the category of
achieving an end. The emphasis participant placed on money, and their ability to disperse the
money according to prioritized needs suggest their engagement in mental decision-making.
Participants articulated concepts including ‗thinking considering and turning thing around‘
suggest that they engaged in decision making. They indicated that resources were limited so;
they needed to consider options before acting. Some participants made statements like: ―It is
getable, it is doable‖ and ―you can‘t give what you don‘t have‖. The researcher speculates
that quality of care for the sick was dependant on resources available. Caregivers decided
164
daily on care provision based on resources at their disposal. A revelation that the researcher
inferred as input equals output.
Taken together, these findings raise a number of issues regarding challenges caregivers face
with household resource use in their care duties. In different contexts, AIDS carers encounter
problems that exceed their adaptive skills pointing to their need for appropriate technologies
to reduce their daily drudgery. Significant themes are conceptualized and presented in figure
iii.
Figure iii: Resource Use in AIDS Care Giving
Available Resources
Human Resources
Care Delivery
Interdependency
(Skills, ability, energy)
Human Resources
Financial
Resources
Interdependent
(Cash)
Interdependent
Social Resources
(Religiousness and
Spirituality)
decision
making
 Adequate
Food
 Quality
Time
 Hygiene &
Sanitation
 Water
 Housing
Quality
of AIDS
Caregivin
g at home
Researcher‘s Model, 2010
Conclusion
The model in Figure iii shows the contextual elements that address the research question.
Caregivers use human, financial and social resources interdependently as inputs to take
decisions regarding care provision. Participants prioritized daily needs such as food, quality
time and basis hygiene as a way of construction their livelihood. The resources available
determined the quality of care they provided. Considering the fact that AIDS caregiving is
expensive, technologically advance practices, including basic management skills and
appropriate housing facilities seem to be issues worth embarking on as part of the global
battle against the AIDS disease
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[1]
Charmaz, K. (2008) Constructing grounded theory: A practical guide through
qualitative analysis. London: Sage Publication.
[2]
Schietinger, H., Almedal, C., and Marianne, B. N. (1993) Teaching Rwanda families
to care for people with AIDS at home. Hospice Journal 9:33-53.
[3]
UNIFEM (2009) Care-Giving in the context of HIV and AIDS. 53rd Session of the
Commission on the status of women. Nairobi, Kenya.
[4]
D‘Cruz, P. (2004) Family Care in HIV/AIDS: Exploring lived experiences. Delhi:
Sage Publications.
[5]
Moore, T. and Asay, S. (2008) Family Resource Management. Thousand Oaks. CA:
Sage Publication
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Goldsmith, E. B. (2005). Resource management for individuals and families (3rd ed.).
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LeBlanc, A.J.,London, A.S. , and Aneshensel C.S. (1997) The Physical Cost of AIDS
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Social Science and Medicine. 45 (6):915-923
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Ogden, J. Esiem, S. and Crown, C. (2006) Expanding the care continuum for
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Savundranayagam, M.Y., Montgomery,R. J. V.,(2010). Impact of Role Discrepancies
on Caregiver Burden Among Spouse. Research on Aging 32 (2):175-199.
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methodological issues in the study of poverty, HIV/AIDS and livelihood strategies. Working
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[14] Aga, F. and Kylma, J. (2008) The conception of care among family caregivers of
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[15] Seeley, J. Kujura, E. Bachengana, C., Okongo M., Wagner U., Mulder, D. (1993) The
Extended Family and Support for People with AIDS in Rural Population in South West
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Amponsah, P. E., Alhassan, O. and Satterthwaite, D. (2005) Environmental health watch and
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Review of Literature and Clinical Implications. Southern Medical Journal 97 (12): 12011209.
166
A survey on the association between Blood glucose levels, lipidemia and
selected Type 2 diabetes predisposing risk factors in Bulawayo district
Zimbabwe.
Shadreck. Dube1 ,Tawanda Msonza1, Jeffias Gwamuri1, Cinderella.Dube1
National University of Science and Technology, P. O. Box AC939, Ascot, Bulawayo.
Zimbabwe.
E-mail [email protected]
1
Keywords. Diabetes, risk factors, Glucose levels, lipidemia, BMI
Abstract
The present study was undertaken to determine association between Blood glucose levels
lipidemia and selected diabetes predisposing risk factors in Bulawayo district Zimbabwe.
Measurement of, blood glucose, weight, height, mid-upper arm circumference, skin fold
thickness over the triceps region, waist circumference, hip circumference, and blood pressure
in 313 adults is reported. In certain age categories blood glucose has significant correlation
with mid-upper arm circumference, waist circumference over hip circumference, blood
pressure, age and Fat % Sirri (P<0.05). The findings show that BMI and MUAC can be
useful in the prediction of degree of blood glucose levels and lipidemia in Bulawayo district
Zimbabwe. As blood glucose values increase the percentage of population exhibiting strong
diabetes risk factors inversely increase. The majority in the population studied had fatness
above acceptable ranges.
Introduction
The blood glucose and lipid content of the human body provides useful information about the
health status of individuals in communities. Recently, however, there has been an increasing
interest in the accurate estimation of blood glucose and body fat due to the recognition of
their association with various chronic diseases such hypertension and diabetes mellitus [1, 2,
5, 17]. Obesity especially of the abdominal type is common in people who develop type 2
diabetes, and weight control by appropriate diet and physical activity is probably the most
important measure to prevent type 2 diabetes. High (saturated) fat intake is associated with
insulin resistance, obesity and increased risk of type 2 diabetes, whereas diets rich in
carbohydrate seem to protect from glucose intolerance and diabetes mainly owing tom their
high fiber content [1, 5, 18 ]. There are two stages of type 2 diabetes, the early phase of
impaired glucose tolerance (IGT) which is characterized by insulin resistance and
hyperinsulinaemia and the later stage which is characterized by additional beta cell
dysfunction leading to hyperglycemia, hyperlipidemia and development of clinical diabetes.
Between 60 and 70% of newly diagnosed type 2 diabetic patients are obese. The degree and
duration of obesity is critical in triggering type 2 diabetes [6, 8, 12, 14]. Previous studies
indicate that generally obesity is an important risk factor for diabetes[18]. Studies have in
most places shown that in a population where obesity is rare, diabetes is rare even in the
presence of genetic susceptibility, but a study in Kenya indicated lack of strong obesity-type
2 diabetes relationship [18]. Type 2 diabetes mellitus seems to be an underestimated health
problem in the developing countries due to lack of diabetic surveys. The prevalence rate in
most of these countries (2-5%) is lower than in developed countries (4-10%)[ 6, 8, 14, 17].
The aim of this study was to determine blood glucose levels lipidemia and their relationship
to selected diabetes predisposing risk factors in Bulawayo Province Zimbabwe
167
Participants and Methods
The NUST Bioethical Committee and Medical Research Council of Zimbabwe sanctioned
the study (Permit MRCZ980). The participants completed an informed consent form after
they were briefed about the purpose of the study. This study was carried out in Bulawayo
district Zimbabwe. Participants completed a questionnaire including questions on the state of
health, (hypertensive, diabetic, diabetic relatives), health behavior (regular activities, their
regular diet), and socioeconomic circumstances (age, incomes, social habits, and the period
they had been in the area). The study design was a cross sectional systematic random
sampling. A total of 313 healthy adults aged 20-70 years, born and living permanently in
Bulawayo district Zimbabwe were studied. All measurements were made at the homes of the
participants or at Premier Diagnostic Laboratories. The following data were recorded Body
weight, Height, Blood pressure and mid-upper arm circumference (MUAC). Body mass
index (BMI) for each subject was calculated from the weight and the height (weight in kg/
height in m2) and classified as follows: Underweight < 18.5; Normal 18.5 – 24.9; Overweight
25.0 – 29.9; Obese, > 30.0 For Waist-to-Hip Ratio (W/H women with> 0.82 and man with >
0.94 were considered very high risk for diabetes.
The skin fold thickness over the triceps was measured to the nearest 1 mm with calipers and
used to determine fat% Sirri. Body fat Ranges for Ages >18years were classified as follows :
Unhealthy Range (too low) < 5% male and < 8% female; Acceptable Range (lower end) 6% –
15% and male 9% – 23% female; Acceptable Range (higher end) 16% – 24% and male 24%
– 31% female; Unhealthy Range (too high) > 25% and male > 32% female
The blood glucose was determined by the Accucheck portable glucometer, as previously
done in similar studies [14, 15, 16]. Spearman correlation coefficient was used to test for the
association between Fat % Sirri, BMI, triceps fold, MUAC, weight and height. P<0.05 was
considered statistically significant. The overall status of all the individuals pooled by sex was
determined. BG mmol>11 was classified as diabetic, BG mmol>7.1 was classified as IGT,
BG mmol>6.1 was classified Normal fasting plasma glucose. BP>140/90mmHg was
classified as hypertensive, Fat % Sirri>25 for males and >32 for female was classified as
excessive, W-H-R >0.94 for males and >0.84 for females was classified as excessive, BMI>
25 was classified as overweight.
Results
The studied population are all are black and Zimbabwean nationals. Maize meal (Sadza), goat
meat, local vegetables, cow milk, fish, mopane worms, and beans constitute the major dietary
items for the people living here. The following diabetes predisposing risk factors, BMI, BP,
W/H, BG, MUAC fat % Sirri and age show a linear correlation with Blood glucose and
lipidemia Fig 1 and Fig 2. The results for occurrence of excess lipidemia, glycemia and
Blood pressure (diastole) in different age groups from a random sample in Bulawayo and
measurements from subjects in various glucose levels categories showing other parameters
like Bp, Fat%Sirri, and age in the high risk range are presented in Table1 and Table 2.
168
Disorder % Prevalence
100
Lipid disorders
Glycemic diorders
75
50
25
0
1-5
6-10
11-15
16-20
>21
Duration diabetic in years
% population with condition
Figure 1. Prevalence of Lipid and glycemic disorders among diabetics as time progresses.
6
lipidemia
glycemia
Bp diastole>90
5
4
3
2
1
0
21-30 31-40 41-50 51-60 61-70
>71
Age in Years
Figure 2. The occurrence of excess lipidemia, glycemia and Blood pressure (diastole) in
different age groups from a random sample in Bulawayo
169
Table 1 Demographic data for diabetes predisposing risk factors among randomly selected
undiagnosed Bulawayans
Age in BG
Wt Ht
Muac Skin
Wc Hc Bp
Chol/Trig
years
mmol/l
kg
m
<20
3.9
60
21-30
3.6
31-40
cm
F mm
cm
cm
mmHg
mmol/l
1.65 25.0
11
97
73
58
4.20
63
1.57 24.0
11
103
84
40
4.84
5.1
75
1.70 31.0
20
101
90
80
4.02
41-50
5.2
88
1.76 35.5
22
111
86
70
2.10
51-60
4.8
74
1.61 29.3
10
102
93
72
3.03
61>
5.5
72
1.74 25.5
15
103
94
90
2.19
Table 2. Measurements from subjects in various glucose levels categories showing other
parameters like Bp, Fat%Sirri, and age in the high risk range.
BG mmol/l Muac cm WC/HC cm Bp
Age Fat % Sirri
mmHg years
<7
24
0.857
60
58
28.58
7-8
19
0.71
90
69
25.06
9-11
26
0.71
110
69
32.07
>11
32
0.91
110
66
49.90
Results analysis
Age, body mass index (BMI) and hyperglycemia
2
calc
6.59
2
2
(0.05)
6.00 Since the
2
2
computed chi-square value is greater than the critical value ( calc
2 ), we reject the null
hypothesis of independence and conclude that age, body mass index and hyperglycemia are
associated.
Age, hypertension and sex
2
calc
6.90
2
2
(0.05)
6.00 (critical value) Since the computed
2
2
chi-square value is greater than the critical value ( calc
2 ), we reject the null hypothesis of
independence and conclude that there is association between age, hypertension and sex
(gender).
170
Discussion
The body mass index [wt (kg)/ht (m2)] has been widely used in the assessment of fatness in
individuals and communities [12]. This is because the index is correlated with other estimates
of fatness and it applies to all populations without the need for a reference population. In this
study, we confirmed the relationship between body mass index and other body
measurements, which were used in the estimation of hyperglycemia. The body mass index
showed significant correlations with mid-upper arm circumference. Skin fold measurements
and the body mass index appeared to be reliable indicators for assessment of body fat and
lipidemia in Bulawayo district Zimbabwe. This is in agreement with previous studies in other
parts of the world, which indicated that there was no difference in body composition between
age groups [8, 9, 11]. In addition to age and genetic factors, the fat content of the human body
is known to be influenced by socioeconomic status and the level of physical activity of
individuals [9, 13]. In general, there is an apparent tendency for body fat to increase with
increase in age. Poor socioeconomic conditions and lower levels of physical activity are often
associated with increase in body fat [3, 4].
The prevalence of diabetes and lipidemia is consistent with other countries in the third world
where studies have been made. This genetic predisposition, along with impaired glucose
tolerance (IGT), often occurs together with the genetic tendency toward high blood pressure.
The fat% values were higher in women than in men which agrees with similar observations in
Nigeria [14, 15]. High blood pressure which is a strong risk factor for diabetes was also
high. Some diuretics used in the treatment of high blood pressure and certain medications like
pentamidine precipitate diabetes [7, 10, 17]. Diabetics in Zimbabwe die within 5 years of
diagnosis [6]. This could account for lower numbers of diabetics compared to the frequency
of IGT which antedates diabetes by some years. By measuring fat% we can have a fairly
accurate prediction of persons likely to develop into overt diabetes in the near future. While
in many countries there was association between obesity and diabetes such an association
could not be established in Kenya [12]. Although Type 2 diabetes develops in people over 40
years generally some populations like Pima it develops in most individuals at the age of 20
years [6, 8, 17]. Therefore each population requires an independent study on its diabetic
status. Fatness is a potent risk factor for many diseases, including hypertension, diabetes
mellitus and certain types of cancer [3, 4].
Acknowledgements:
This work was funded by NUST Research Board. Assistance was also obtained from the
Diabetes Association of Zimbabwe.
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[1]
Azinge N.O. 2001 Dietetic control of maturity onset diabetes Tropical Doctor 15:1314. 1985.
[2]
Cutter J.; Tan B.Y. and Chew S.K. Levels of cardiovascular disease risk factors in
Singapore following a national intervention programme. Bulletin of the World Health
Organization 79:10:908-915.
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Djarova T.; Dube S.; Tivchev G. and Chivengo A. 2007 Frequency of stressful events
as risk indicating factors for the onset of Type 1 in African children. South African Journal
of Science.103:7/8 286-289.
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Djarova T.; Dube S.; Tivchev. G. and Chivengo A 2006 Nutritional profiles and
physical development and daily activities in African children with insulin dependent diabetes
mellitus (IDDM). South African Journal of Science. 102:1/2 4-6.
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[5]
El Mahdi E.M.A.; El Mahdi I.Rahman 1989. A Pattern of diabetes mellitus in the
Sudan. Tropical and Geographical Medicine 41:353-357.
[6]
Gill G. 1990 Practical management of diabetes in the tropics. Tropical Doctor 20:410.
[7]
Jha T.K. and Sharma V.K. 1984 Pentamidine-induced diabetes mellitus. Transactions
of the Royal Society of Tropical Medicine and Hygiene 78:252-253.
[8]
McCance D.R.; D.J Pettitt; R.L Hanson; L.T.H Jacobsson, P.H. Bennet and W.C.
Knowle 1994. Glucose, insulin concentrations and obesity in childhood and adolescence as
predictors of NIDDM Diabetologia 37:617-623.
[9]
Mengistu M.Glucose tolerance and glucoseuria in Ethiopian porphyria cutanea tarda
patients. Tropical and Geographical Medicine39: 361-365. 1987.
[10] Naafs B. Pentamidine-induced diabetes mellitus. Transactions of the Royal Society of
Tropical Medicine and Hygiene 79:16. 1985
[11] Nzeh D.A. Pancreatic calcification in diabetes mellitus at Ilorin, Nigeria. Tropical
Doctor 20:121-123.1990.
[12] Obel A.O.K. Body mass index in non insulin dependent diabetics in Kenya. Tropical
and Geographical Medicine 40:93-96.1988.
[13] Oli J.M.; Bottazzo G.E.; and Doniachi D. Islet cell antibodies and diabetes in
Nigerians. Tropical and Geographical Medicine 33: 161-164.1981.
[14] Onyemulukwe G.C. and Stafford W.L. Serum lipids in Nigerians: the effect of
diabetes mellitus Tropical and Geographical Medicine 33:323-328 1988.
[15] Onyemulukwe G.C.; Isah H.S.; Mba E.C.; Awunnor-Renner C. and Idris Mohammed
Glycosylated haemoglobin(HbA1) for diabetic control in Africans; Preliminary findings with
microcolumn technique. Tropical and Geographical Medicine 35:346-351.1983.
[16] Udezue E.O.; Ezeoke A. C.J and Oli J.M. Use of portable glucose meter in a Nigerian
diabetic clinic Tropical and Geographical Medicine 41:141-145.1989.
[17] Virtanen S.M. and Aro A. Dietary factors in the aetiology of diabetes. Annals of
Medicine 26:469-478.1994.
[18] World Health Organization Technical report series No.310 on Diabetes Mellitus
Geneva: WHO. 1965.
172
Building Capabilities for Regional Production of Quality-Assured
Medicines in Africa
Joseph M. Fortunak*, Christopher King
Howard University, Department of Chemistry, Washington, DC 20059.
Stephen M. Byrn
Purdue University, Department of Pharmacy and Pharmacognosy, West Lafayette, IN 47906.
Sister Zita Ekeocha, John Chilunda, Wilson, Mlacki, Bernd Koehler
St. Luke Foundation/Kilimanjaro School of Pharmacy, Moshi, Tanzania
Keywords:
Essential Medicines, Quality-Assurance, Regional Production, Sustainability, Active
Pharmaceutical Ingredients (APIs), Finished Dosage Forms
Abstract:
International Donor Agencies currently budget several billion USD annually to provide
health care to sub-Saharan Africa. One major form of this aid is the provision of medicines
at reduced or no cost to low-income populations. Two major areas must be substantially
improved in order for national governments to be equal contributors in managing this
assistance; [1] National Drug Regulatory Authorities must take over responsibility for
assuring the quality of medicines, and [2] medicines purchased with donor money but be
made regionally, rather than being imported from outside of Africa, with a resultant,
crushing, negative impact on regional production. We seek to address these areas by
creating appropriate technology for regional production of quality-assured medicines and by
teaching national Drug Regulators how to inspect and assure the quality of medicinal
products. As these objectives become reality, a significant reduction in the true cost of
medicines will also occur, since the very expensive burden of oversight will be shifted from
high-income to lower-income countries.
1.
Introduction - Background
The Global Fund for AIDS, Tuberculosis and Malaria (GFATM, ‗Global Fund‘) was founded
in 2002 to expand access to essential medicines in Less Developed Countries (LDCs)[1].
This program has catalyzed the emergence of a global framework for drug management and
procurement for access programs. In total, several billion US dollars from several major
International Donor Agencies (IDAs) are now available annually for this purpose[2].
International Donor Agencies encourage increased access either by directly purchasing and
distributing medicines for less-developed countries, or through grants for this purpose[3].
Essentially all access medicines, however, are purchased from providers located outside of
Africa. Oversight for these programs (procurement, quality assurance, testing, shipping,
inspection and regulation) is also handled almost exclusively by entities located in highincome countries[4]. IDAs, moreover, do not provide funding for the development of
local/regional industry or for training of National Drug Regulators. Three significant,
negative impacts on industrial development and the healthcare sector in sub-Saharan Africa
result from these practices.
1. African National Drug Regulatory Agencies (NDRAs) do not regulate Access Programs,
as they are considered incapable of exercising effective oversight
2. The African Pharmaceutical Industry faces huge obstacles for survival, growth and access
to local markets, because Access Programs purchase foreign-made products to compete
with their goods
173
3. The real price of access medicines is much higher than the apparent ―price per unit‖,
because of the invisible costs associated with external systems of drug management (eg,
WHO PreQualification Program, PEPFAR, UNITAID, GDF, UNICEF and GAVI)
A pharmaceutical industry does currently exist in sub-Saharan Africa. In Tanzania and
Kenya alone (eg,) there are respectively forty-three and thirty-nine registered pharmaceutical
companies[5]. These companies do not possess the capacity to meet all regional needs for
medicines, but they are very important for the growth of regional independence and
sustainable public sector development. The long-term desirable state is one in which regional
production of medicines provides for the needs of sub-Saharan Africa. The common external
perception of African pharmaceutical production is unfavorable with respect to drug quality,
price and availability[6]. We believe that regional drug production in sub-Saharan Africa is
technologically achievable, can be cost-competitive, and can assure the quality of drugs
produced in compliance with all international standards. This paper describes our efforts in
(a) training African pharmaceutical professionals in quality-assured drug production and (b)
the creation of new technologies for drug production that are inexpensive, environmentally
benign, and appropriate for use in sub-Saharan Africa.
Experimental Design
2.
The Framework for Global Pharmaceutical Production
Our educational efforts at the Industrial Pharmacy Training Unit (IPTU) at the St. Luke
Foundation/Kilimanjaro School of Pharmacy are centered on training professional people in
the current best-practice production of modern medicines. Medicines production is
comprised of two significantly different sets of technologies. Active Pharmaceutical
Ingredients (APIs) are drug molecules. Drug molecules are the ingredients of a medicine that
exert the desired therapeutic effect upon human dosing. APIs are produced from much less
expensive raw materials. Most APIs are produced by chemical reactions – the creation of
new bonds between atoms, creating complex, biologically-active molecules from basic
chemicals. Some APIs are produced by fermentation technology – the use of enzymes or
whole-cell organisms for the production of drugs by biologically-catalyzed transformations.
APIs are almost always unsuitable for human use ―as-is‖ for a variety of reasons. APIs are
combined with a number of additional ingredients (excipients) and undergo further
processing (eg, granulation, milling, compression, coating) to provide a finished dose form.
Finished dose forms are the presentation forms (eg, tablet, capsule, oral solution) of
medicines that a patient takes. A key operational thought is that the API remains the same –
no bonds are made or broken – during the production of finished dose forms. The production
of APIs represents a disproportionate share of the cost of medicines; 65-80% of the overall
cost of a finished dose form is usually due to the cost of API[7]. The production of APIs,
however, requires an additional level of industrial sophistication beyond manufacturing
finished dosage form. Although a number of LDCs (Thailand, Bangladesh, Pakistan) have
growing capabilities to produce finished dose forms, only a few (India, China, Russia, Brazil)
presently practice large-scale production of APIs. New drugs are originally developed and
launched by global, originator pharmaceutical companies – often known collectively as ―Big
Pharma.‖ Generic drugs contain the same API as originator companies, but often differ
somewhat in their finished dose form composition. Generic APIs and finished medicines in
LDCs often originate from India or China. Although many companies in these countries sell
products with good quality, many others do not.
174
3.
Quality-Assurance and Drug Regulation
The quality of drugs is an important issue in LDCs. Common, international approaches to
assuring the quality of medicines have been established. Both API and finished dose form
production is carried out under the Guidelines known as Current Good Manufacturing
Practices (cGMP)[8]. Process validation, cGMP and the demonstration of bioequivalence are
the basic requirements to assure the quality of both originator and generic drugs. Quality
assurance means that products are reproducible from batch-to-batch and that generic
medicines are proven to possess equivalent performance with originator products. The
cGMPs include the requirements that drug production operates under a system of quality
management, that all drugs are tested to ensure they meet appropriate specifications, and that
drug manufacturers are periodically inspected by independent regulatory agencies to ensure
their adherence to the Guidelines. Most LDCs lack the resources and experience to provide
the required level of oversight to ensure the quality of medicines within their national
sovereignty. Under these circumstances, counterfeit and substandard drugs are found in
commerce, to the detriment of public health.
Quality is assured for medicines by the prior approval of both producers (Companies) and
specific products (medicines) by competent NDRAs. Drug Regulatory Authorities that have
demonstrated acceptable competencies for drug inspection and approval are known as Strict
Regulatory Authorities (SRAs). The WHO PreQualification Program (WHO PQ) and the
US FDA are examples of SRAs. International Donor Agency programs will only purchase
products that have been approved by SRAs. The only NDRA in sub-Saharan Africa that has
qualified as an SRA is that of the Republic of South Africa[9]. The longer-term objectives of
GFATM and related programs include the transfer of responsibility for the regulation of
medicines to National oversight in LDCs. A major reason for lack of progress towards this
objective is that Donor funds are not used to train African drug regulators, to upgrade the
standards of NDRAs, or to train African pharmaceutical companies in drug development and
cGMP.
This paper presents our experiences (2006 – 2010) with helping to encourage the production
of quality-assured medicines in sub-Saharan Africa. One of our activities is training African
pharmaceutical professionals in the full range of requirements to produce medicines with
assured quality. Our objective is to enable African pharmaceutical companies to achieve
WHO PQ status and for NDRAs in sub-Saharan Africa to achieve SRA status. A second
major undertaking of our efforts is to create new, appropriate technologies that will maximize
the ability for regional production of quality-assured, cost-competitive medicines in Africa.
Results and Discussion
4.
Industrial Pharmacy Education
One of us (Ekeocha) has established an Industrial Pharmacy Teaching Unit (IPTU) at the
Kilimanjaro School of Pharmacy / St. Luke Foundation in Moshi, Tanzania (SLF / KSP)[10].
We have subsequently put in place a comprehensive Program to teach the fundamentals of
quality drug production. This Program consists of four, two-week courses that participants
take over a time span of approximately twelve to eighteen months. The heart of the Program
is modeled after the Industrial Pharmacy program at Purdue University[11]. This is possibly
the top-ranked program of its kind. The program was originally designed to meet the needs
of Global, Originator Pharmaceutical Companies for training their employees. World-class
experts in drug discovery, development and clinical trials contributed to the contents of this
curriculum. Contributors from the pharmaceutical industry, drug regulation (US FDA),
patents (law firms) and academics have further tailored the program for the needs of African
175
pharmaceutical professionals. Participants in the Program are selected from pharmaceutical
companies, NDRAs and Universities, based on having a substantial background of academic
training and professional experience. This program utilizes intensive classroom training,
team exercises and hands-on product development in a laboratory that has been designed and
built for this purpose. At the end of the Program, participants are able to develop new drug
products, determine meaningful tests and set appropriate specifications to assure quality.
Participants are also able to utilize these skills to detect substandard and counterfeit
medicines. Participants also understand how to meet International standards for Quality
Assurance and cGMP, and are able to write a product submission dossier that is approvable
by the WHO PQ or other SRA.
5.
Content and History of the IPTU Curriculum
Each course in the Industrial Pharmacy program has approximately seventy-five hours of
contact time. About forty-five hours is devoted to classroom instruction, while the remainder
is divided between team exercises, examinations and laboratory work. Three instructors are
available full-time during the length of each course. Each course is roughly equivalent to
four University credit hours in an MSc or PhD program. The four courses are sequenced to
provide a full overview of the drug discovery and development process, with a heavy
emphasis on cGMP, drug product development, API synthesis and production of drugs with
assured quality in courses two through four. Upon completion of the curriculum, students are
issued a Professional Certificate attesting to their relevant expertise in drug development and
quality medicines production. The first course in the curriculum was conducted in July,
2008. The first ―graduating class‖ of nine students finished in March, 2010 with another
fourteen students completing in August, 2010. Currently, thirty-two students are enrolled in
the next course planned for March, 2011; this represents roughly our maximum enrollment
given the current instructional format. UNIDO (United Nations Industrial Development
Organization) has funded tuition and travel for many participants in this program. UNIDO
has been particularly helpful in planning for future expansion of these efforts to make the
IPTU self-sustaining. Future expansion of our course offerings includes (a) four additional
courses into the curriculum to provide for an MSc degree and (b) intensive, three-day
targeted course offerings for specific issues in the industry such as analytical methods
validation, documentation and writing Standard Operating Procedures.
6.
The Drug Development Laboratory – Construction, Use and Contribution to
Sustainability
The German GTZ (Gesellschaft fur Technische Zusammenarbeiten) has supported our efforts
very generously, providing roughly є500,000 for construction, equipment (up to 50L scale)
and the commissioning of a drug development laboratory. Laboratory work is most heavily
concentrated in the third course; students engage in about thirty hours of laboratory practice
in this course, making Active Pharmaceutical Ingredients (APIs) and finished dosage forms.
Participants are guided through the design of a matrix of experiments and the evaluation of
experimental outcomes to identify critical process parameters, optimize variables and arrive
at a process for a finished dose form. In the August, 2009 Laboratory exercise, participants
actually prepared API by chemical synthesis (amodiaquine, a common malaria drug) and
used this API for preparing their finished dose form.
A scheduled upgrade of the Development Laboratory is planned in order to bring the facility
into full compliance with cGMP guidelines. By providing students with a hands-on exercise
that is fully cGMP-compliant, trainees will have the complete package of training needed to
implement these standards in their own companies. A further advantage of attaining cGMP
176
status for the IPTU, however, is sustainability. By producing cGMP products (even though
on a modest scale) the IPTU is aiming to be able to sell these products to the Tanzanian
government, funded by International Donor Agencies. This small-scale production will fund
the activities and expansion of the School, while operating in a cyclical fashion. As the
technology for one product is mastered and incorporated into cGMP approvals at regional
companies, the IPTU will switch to other high-priority products, thereby enabling the
successive mastery of multiple critical medicines for regional production.
7.
Cost Competitiveness of Regional Production and New Technology Development
An issue that remains to be addressed is the cost-competitiveness of African industry.
International Donor Agencies have policies that emphasize cost as the primary consideration
when choosing between competing producers of quality-assured medicines. The generic
pharmaceutical industries in some countries (particularly India and China) have benefited
from a large, well-trained workforce, government investment in growing a national
pharmaceutical industry, increasingly reliable and inexpensive sources of power and easy
access to raw materials from a local fine chemicals industry. The economy of scale for
medicines production is also a factor that weighs in favor of cost competitiveness for
producers in India and China. Although these present varying degrees of difficulty, they do
not necessarily exclude producers in sub-Saharan Africa from being cost-competitive. The
differential tax duties levied on imported medicines (often as much as 12.5%) in African
countries provide a mitigating factor in favor of national production. The low prices and
modest profit margins of essential medicines for the first-line treatment of HIV/AIDS,
tuberculosis and malaria, moreover, make these products unattractive for producers in China
and India. With the growth of a substantial middle-class population in these countries, the
small profit margins for these drugs make them of lower priority than selling drugs for
hypertension, diabetes, cardiovascular indications and cancer with higher profit margins in
regional markets. Because of this, we believe that African production of essential medicines
can be cost-competitive with imported drugs.
An additional factor that favors local production is the Global Fund provision that African
countries can ―set aside‖ portions of their support from the Global Fund to deliberately
purchase locally-produced medicines that have been approved by a Strict Regulatory
Authority[12]. Although locally-produced medicines in sub-Saharan Africa have achieved
WHO PQ for only two companies (Aspen Pharmacare and Sandoz in South Africa)[13],
multiple additional companies have submitted dossiers to the WHO PQ for this purpose.
Quality Chemicals, located in Uganda, recently received a satisfactory inspection for cGMP
operations filed as a Public Inspection Report by the WHO PQ Program (WHOPIR) as a
necessary pre-condition to WHO PQ approval of individual products[14]. It is worth noting
in this regard, that only five Chinese companies have received WHO PQ approval for their
products at the time of this writing (September, 2010).
8.
New Technology Development
A final factor that can help pharmaceutical companies in sub-Saharan Africa achieve cost
competitiveness with existing manufacturers is new technology. It is evident that companies
who have already absorbed the investment required to enter a market have a cost advantage
over those who are entering the field. We have attempted to even this disparity by
discovering new technology for the less expensive, environmentally benign production of
critical medicines on the WHO Essential Medicines List using new chemistry. The synthesis
of amodiaquine API is an example of this. The commercial synthesis of amodiaquine is a
four-step process that proceeds through paracetamol[15]. We have developed a simplified
177
synthesis of amodiaquine that qualifies as an example of ―Green Chemistry‖. This synthesis
is only two steps long and proceeds from the same starting materials as the commercial route.
The overall yield is approximately 95%, versus the approximately 65% overall yield of the
commercial synthesis from p-aminophenol. Additionally, our modified synthesis eliminates
the use of polar, aprotic solvents and utilizes only water and 2-propanol (rubbing alcohol) as
solvents. The amount of 2-propanol required is approximately 3 kg/kg of product produced.
We have additionally developed ―green‖ chemical syntheses of piperaquine and lumefantrine
that will be discussed in more detail during our public presentation.
9.
Conclusions and Future Directions
Our approach to encouraging regional production of quality-assured medicines in subSaharan Africa has three major components: [1] the creation of new, appropriate technologies
for production of critical medicines, [2] Industrial Pharmacy education to teach professionals
the means of meeting Strict Regulatory Authority guidelines for pharmaceutical production,
and [3] achieving sustainability for our efforts by creating a cGMP center for both education
and small-volume sales of quality-assured medicines. Success has currently been
demonstrated by the graduation of twenty-three individuals with Certificates in mastery of
cGMP and drug development. New technology has been successfully created for API and
dose-form production that is appropriate for regional production. The production of API and
finished product has been demonstrated in the IPTU development laboratory. The next step
is to bring the facility into full cGMP compliance in order to sell small volumes of qualityassured products into regional markets, thereby assuring the sustainability of the ongoing
enterprise.
Acknowledgements:
The authors thank the German GTZ, UNIDO, the Rotary Club of Wurtzburg, Bavaria and the
St. Luke Foundation, Moshi, Tanzania for their support in these efforts. Additional support
for part of these efforts was also provided by the US National Science Foundation, Discovery
Corps (Senior Fellowship for JMF) and the American Chemical Society, Petroleum Research
Fund (amodiaquine green chemistry).
REFERENCES:
[1]
http://www.theglobalfund.org/en/whoweare/
[2]
The respective websites for PEPFAR/US Global Health Initiative, UNITAID, GAVI
and UNAIDS can be accessed as follows: http://www.pepfar.gov/about/index.htm,
http://www.unitaid.eu/en/Facts.html, http://www.gavialliance.org/,
http://www.unaids.org/en/KnowledgeCentre/HIVData/mapping_progress.asp
[3]
The Global Fund grant process is the model for nearly all other IDAs, this can be
accessed at http://www.avert.org/global-fund.htm.
[4]
http://www.theglobalfund.org/en/procurement/pharmaceutical/
[5]
Data gathered by Sr. Zita Ekeocha
[6]
A recent survey by the US Pharmacopeia, Drug Quality Initiative (USP DQI) of the
quality of anti-malarial drugs circulating in several African countries is available at
http://apps.who.int/medicinedocs/documents/s17069e/s17069e.pdf. This document indicates
that as many as a third of malaria drugs in circulation in these countries are substandard so as
to compromise their efficacy.
[7]
E Pinheiro, A Vasan, JY Kim, E Lee, JM Guimier, J Perriens, ―Examining the
production cost of antiretroviral drugs‖, AIDS, 2006:20, 1745-1752.
[8]
The WHO cGMP Guidelines can be accessed as an extensive set of documents at:
http://www.who.int/medicines/areas/quality_safety/quality_assurance/production/en/
178
[9]
The Pharmaceutical Inspection Convention and Pharmaceutical Inspection Cooperation Scheme (jointly referred to as PIC/S has approved the South African Medicines
Control Council (MCC) as an SRA. Cf., http://www.picscheme.org/
[10] Details available at:
http://saintlukefoundation.co.tz/assets/Industrial_Phramacy_Training_Information_2_1_.pdf
[11] Details about the Industrial Pharmacy program at Purdue University can be found at:
http://www.ipph.purdue.edu/. The Graduate Certificate program for the Pharmaceutical
Industry can be viewed at: http://www.ipph.purdue.edu/graduateprogram/cert-rqc/.
[12] http://www.theglobalfund.org/documents/TGF_Framework.pdf
[13] The WHO list of pre-qualified medicinal products, listing Sandoz and Aspen
Pharmacare products approved by the Program, can be seen at:
http://apps.who.int/prequal/query/ProductRegistry.aspx
[14] The WHOPIR Report for Quality Chemicals (conducted 25-28 January, 2010) can be
accessed at: http://apps.who.int/prequal/WHOPIR/WHOPIR_QCIL25-28January2010.pdf
[15] JH Burckhalter, FH Tendick, EM Jones, PA Jones, WF Holcomb, AL Rawlins,
Aminoalkylphenols as Antimalarials. 11. (Heterocyclic-amino)-a-amino-o-cresols 1.The
Synthesis of Camoquin, J. Amer. Chem. Soc., 1948, 70, 1363-1374.
179

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