UNDP/GWP

Project for a National Integrated Water Management Plan for Kazakhstan

Project ID: 00034289

Rationale and Strategy for the Social Surveys

October 4th 2004

1. Introduction......

2. Background......

3. The Social Surveys......

3.1. The questionnaire survey

3.2 Semi-Structured Interviews

3.3 Focus groups

4. Development of the questionnaire......

4.1 Questionnaire design

4.2 Administration of the questionnaire

5. Semi-structured interviews......

6. Focus Groups......

7. Data archiving......

8. Monitoring of progress of the MDG7......

9. Public awareness......

Appendix 1......

Appendix 2......

Appendix 3......

1. Introduction

This paper outlines the methodology and approach for the social surveys. The role of the social surveys is to provide an accurate assessment of the current level of access to safe water and improved sanitation in the Republic of Kazakhstan (RK) and will serve as the foundation upon which the strategy for achieving the MDG7 (target 10) will be based. In addition to providing detailed data on the current situation, the findings of the survey will form the benchmark against which progress towards meeting the MDG7 can be monitored. Significantly it also represents an important mechanism by which the largest stakeholder group, the people of Kazakhstan, can participate in the development of the overall strategy for the water and sanitation sector.

2. Background

A number of recent publications have provided estimates of the current level of access to safe water and improved sanitation in the RK. According to the 2004 UNDP report Water Resources of Kazakhstan in the New Millennium access to safe water supply in the RK is high, although it was noted that the level of provision had diminished in both rural and urban areas in recent years and will continue to deteriorate unless action is taken (UNDP, 2004). But what constitutes a ‘safe’ water supply? The UN describe it as access to an improved water source including household connections, public standpipes, boreholes, protected wells, protected spring and rainwater collection capable of providing 20 litres per capita per day at a distance of no more than a 1000 metres. Yet it is debatable whether this definition is appropriate for Kazakhstan. For example, a large number of people in Kazakhstan access water via communal standpipes. Although few people have to walk more than 1000 metres many areas of Kazakhstan experience prolonged and extremely cold winters and walking any distance for water represents a threat. A recent study in the capital Astana, for example, found that many people living in the ‘private sector’[1] experience considerable problems with water access during the winter months. People interviewed commented that while they might not have to go far to reach their nearest standpipe, during the winter standpipes often froze and they would have to go and search for water. Moreover, the area around the standpipe is frequently icy and extremely dangerous. This situation is particularly hazardous for the elderly; one of the more vulnerable sectors of society. Thus while provision might technically be classified as safe it clearly is not.

Yet even in communities with a high percentage of households connected to a central water supply system concerns over water supply, and importantly water quality, is widespread. In Karaganda, for example, nearly 90 percent of households have water piped into their homes, but the vast majority experienced intermittent water supply particularly in the summer and significantly there was a high level of concern as to water quality. Virtually all households employed some method of water treatment (settling, boiling and filtering) and over 50 percent of the household surveyed purchased bottled water for drinking as they considered water from the central supply system to be unsafe. Both in-house treatment and the purchase of bottled water have implications for people’s ability and willingness to pay for good quality water – a very important topic in questions of financing water supply and sanitation.

The provision of water to rural areas is especially problematic. According to the UNDP approximately 60% of Kazakhstan’s rural population are provided with water by pipeline (UNDP, 2004). But this figure includes all pipelines including those which are no longer operational. Vodkhoz Astana, for example, is responsible for supplying water to 17 rayons in the Akmolynsk Oblast, which have a total population of 750,000 in 710 settlements. The total area under their control is nearly 150,000 km2. In 2003 only 45 (6.3 percent) of settlements under their jurisdiction had a functioning water pipeline, while in other areas the system has collapsed or was never put in place. The rapid and often catastrophic deterioration in the pipeline system means that many systems are no longer operational and it is debatable if any of the systems that still function deliver ‘safe’ water. These examples are used to illustrate some of the difficulties currently facing the water sector in Kazakhstan.

The situation with respect to sanitation is somewhat different with various surveys reporting that nearly 99% of the population of Kazakhstan have access to improved sanitation.[2] In urban areas nearly 73% of the population have access to a flush toilet with nearly 60% having toilet facilities within their own homes. In contrast less than 3% of people living in rural areas have access to flush toilets, with most people using traditional pit-latrines. These figures, however, are based on two surveys, the most recent of which was published in 1996 and the information is likely to be out of date. Thus while access to improved sanitation is high it may well have deteriorated in recent years. It could also be argued that using outside latrines during the winter months is not acceptable- this would be particularly true for settlements on the steppe and it is possible that during the winter alternate facilities are used- e.g. a bucket. Moreover if Kazakhstan is to achieve European standards for water and sanitation by 2030 vast improvements in sanitation and wastewater management will be required.

Additionally, where there is access to sanitation, waste water is predominantly released into water bodies or allowed to seep into groundwater with either insufficient or no treatment. This has obvious consequences for the health of the water bodies as well as that of the people living near them or downstream of dump sites, a situation which Kazakhstan clearly has to address.

As a first step towards preparing the strategy for achieving the MDGs for water and sanitation it is essential to have an accurate picture of the current level of access to safe water supply across the Republic of Kazakhstan (RK). These data are essential not only to establish the level of current provision and thereby determine what actually needs to be done to achieve the target of halving the number of people without access to safe water and improved sanitation by 2015, but also to help determine priorities and specific actions, provide cost estimates of achieving the goals and to provide a benchmark against which progress can be monitored.

Globally, the UN will monitor progress through a number of indicators. Target 10 will be monitored by Indicator 30: the proportion of population with sustainable access to an improved water source: urban and rural and Indicator 31 Proportion of population with access to improved sanitation: urban and rural. The global standard for a base year has been selected as 1990. However, because of the changes in Kazakhstan since 1990 (mainly water system deterioration) it is an inappropriate base year. This has been discussed in our Round Table and Workshop meetings and it was agreed that 2000 should be taken as the base year.

As the ultimate aim of Target 10 is to improve access to safe water and improved sanitation to the population it is essential that the beneficiaries themselves participate in the development of the MDG strategy. Various stakeholders will participate in this process via public forums but, given the importance of this project to the population as a whole, it is essential that a broad range of views are collected from the most important stakeholder group, the people who will benefit from improved water supply. The most effective way of soliciting the views and opinions of a large number of people is to conduct a country wide social survey using a multi-method approach.

3. The Social Surveys

The aim of the social surveys is to provide an accurate quantification of the current level of access to safe water and sanitation in rural and urban communities across the Republic of Kazakhstan. These data will then be compared with information collected at oblast and rayon level from organisations responsible for water supply and sanitation in urban and rural regions.

In this project the social survey will comprise three main components:

  • An in-depth questionnaire survey administered to about 7,500 people in rural and urban areas across Kazakhstan.
  • Semi-structured interviews with 240 individuals from large and small cities, towns and rural settlements across the country
  • Sixteen focus group discussions with a range of stakeholder groups.

3.1. The questionnaire survey

Questionnaires are an indispensable tool when primary data is required about people, their behaviour, attitudes and opinions and their awareness of specific issues. A questionnaire survey must be custom-built to the specification of a given research project and both the composing of the questions and the asking of them is important in ensuring that appropriate information is collected. The questionnaire will be administered to 7500 households across the country and will not only provide baseline information on water supply, water quality and water use as well as information on willingness and ability to pay for water. In addition it will provide important information regarding sanitation in Kazakhstan.

3.2 Semi-Structured Interviews

Questionnaires provide invaluable information about a given issue. However, because they are usually standardised, they are not tailored to suit an individual’s circumstances and, consequently, while the results are important, there is the potential for over-generalisation. Interviews can provide the researcher with a more detailed insight to a given situation and are frequently used to supplement the findings of questionnaire surveys. Semi-structured interviews with 240 people from large and small cities, towns and rural settlements across the country will be undertaken during the project. The semi-structured interviews will be used to explore in more detail a range of issues including what constitutes good access to water, what is perceived to be safe water, what level of access people want, and how much if anything, they are willing to pay for improved services. In addition we will also explore issues surrounding gender and water management both in the home and the community in general.

3.3 Focus groups

Both questionnaires and interviews are, in effect, an interaction between the interviewer and interviewee. A focus group relies on the interactions within a group of people who are invited to discuss an issue supplied by the researcher. Focus groups are carefully managed discussions lasting approximately 1-1.5 hours and normally held with groups of 8-12 individuals. Focus groups can be used at the preliminary or exploratory stages of a study, during a study, or after a study has been completed, to assess its impact or to generate further avenues of research. Although they can be used as a research method in their own right, it is best not to rely on focus groups alone, as the findings may be somewhat biased by the fact they involve a small number of people and the fact that the participants will not be a representative sample. They are better used to complement other methods and are extremely useful for triangulation and validity checking.

4. Development of the questionnaire

The questionnaire has been designed specifically for this project but is based on a Water Supply, Water Quality and Water Use survey piloted in the Nura and Ishim basins in March 2003.[3] A draft of the questionnaire was produced in early September 2004 and discussed with a range of stakeholders including representatives from the CWR, the RBOs, Vodokanals, Kazgiprovodkhoz, and the State Epidemiological and Sanitation Service who attended two round table meetings in mid and late September. Modifications to the questionnaire were made following these discussions. The final questionnaire can be found in Appendix 1.

4.1 Questionnaire design

The questionnaire comprises 7 sections (A through G) each designed to explore different water related issues with relevance to the three components of the overall project.

Section A

Section A comprises base data to identify the location of the particular respondent.

Section B

Questions in Section B focus on households and are used to determine the number of households with a working central water supply. In addition it will provide data on the number of households that are connected to the system but where the service is no longer operational. Where the CWSS is no longer operational respondents will be asked how long they have been without a CWSS and whether they know why it stopped (i.e. lack of payment by the community; breakdown of the system).

Households where the CWSS is functioning will then be asked a series of questions about whether their supply is metered and, if they are, how much water they use and the amount they pay for water.[4] Households without meters are also asked how much they pay for water. Respondents will then be asked a series of questions designed to explore issues of supply i.e. is it intermittent and water quality.

Households not connected to a CWSS (or the supply is no longer operational) will be asked a series of questions regarding the main source of water for domestic use, how far they have to go for water, who is responsible for collecting water, whether it is available at all times and whether they have to treat this water.

Section C

All respondents will be asked a series of questions specifically focusing on drinking water. These questions explore the main sources of drinking water and whether or not it is potable. Importantly respondents will be asked a series of questions on whether or not they purchase water for drinking and if they do how much they spend on this. These data are essential as they provide important insights as to the actual amount people spend on water and give an indication of how much people are able and willing to pay for good quality water.

Section D

Access to improved sanitation will be explored through a series of questions on whether the household has a bath/shower and toilet in their house or yard and if not what facilities they use. Respondents will also be asked a series of questions on health problems experienced by household members in the last 12 months and what they considered to be the cause of these illnesses e.g. poor environmental conditions, poor housing conditions, poor water quality etc.

Section E

In Section E of the questionnaire respondents are asked to rate their current water supply and to state what they consider to be important in terms of water supply e.g. availability and/or quality of the supply. In addition interviewees will be asked whether they would be willing to pay for improvements in water supply system and if so how much. Finally respondents will be asked about the role they think the public should play in water management.

Section F

Increasing public awareness of water related issues and activities will be essential if the MDGs are to be met. To ensure that people know what the MDGs are, what has been achieved and to encourage public participation in this process it recommended that the project includes some public awareness activities. Such activities must be appropriately targeted to ensure that as may people as possible are aware of how the goals will be achieved and progress to date. As such Section F of the questionnaire explores issues surrounding information sources and will be used to identify how best to target such information.

Section G

This final section of the questionnaire provides socio-economic details regarding the respondent and members of their household. It asks question regarding income, expenditure, education, housing and ethnicity.

4.2 Administration of the questionnaire

The questionnaire will be administered to about 7500 households across the country representing a survey sample of 0.05[MC1] % of the population or one respondent for every 2000 people. It is recognised that this is a large survey sample but it is considered necessary if an accurate assessment of current levels of access to safe water is to be made.[5] The number of questionnaires administered in each oblast and the target population (i.e. rural or urban) will be determined by the demographics of the given oblast (see Table 1). The decision on which settlements will be targeted will be based on discussions with the relevant RBOs.

The questionnaire will be administered by a professional survey company, a number of which have been established in Kazakhstan. The survey company will also be responsible for coding and inputting the data into an appropriate format for analysis. The analysis and interpretation of the data will be undertaken by the consultant. The decision on which company will undertake the survey will be decided at a later date. A draft of the ToR for the social survey company can be found in Appendix 2.