Associations (consumer groups, community, partnerships)
   - Setting-up procedures
- Constitutions
(See also: Management)
Community interaction
   - Participatory methods
  • A Model for the Development of a Self-help Water Supply Program. Colin Glennie. Technology Advisory Group Working Paper Number One. The World Bank. 1982.
    • The report presents a practical model for develop[ing with community participation a water supply program as well as a sanitation program. The focus is on the crucial role of training of field-level personnel, together with the need to phase developments in sector programs where self-help strategies are adopted . Detailed roles and responsibilities of staff are outlined, as well as the organization structure.
  • ‘Community Action Planning’ - Wall Chart. (Link)
    • This chart ‘Plan for Action’ highlights a 15-step process of interactive planning.

      The chart is based on a series of field workshops with technical staff and community groups. It is useful for explaining and understanding process, as well as a guide for carrying out ‘action planning’. (May be enlarged to 24 inches x 36 inches; .pdf format, 1.2MB file size) 
  • Overview of Participatory Planning Approaches. (Link)
    • This web page provides an overview and detailed analysis of four participatory community planning strategies: Community Action Planning or MicroPlanning developed by Hamdi and Goethert; Planning for Real developed by Tony Gibson and the Neighborhood Initiatives Foundation; ZOPP (or GOPP in English: Goal Oriented Project Planning) championed by the German Agency for Technical Cooperation (GTZ); and Urban Community Assistance Team (UCAT) developed from the American Institute of Architecture’s U/DAT approach in the US. These approaches are problem driven, offer a ranked order of priority, pluralistic, transparent and understandable, stress progressive documentation, use an intensive workshop format, and focus on implementation.
  • Interactive Community Planning: Schweizer-Reneke Case Example, South Africa. (Link)
    • This step-by-step example of a planning workshop includes a checklist which outlines important dos and don’ts for community planning workshops, based on a field workshop in the Schweizer - Reneke community, South Africa, in 1995. Essential ‘must-do’ steps with a helpful framework diagram explain the selection of participants; making prior community arrangements; logistics; management and timetables. Detailed, day-by-day steps are included for the readers to manage their own workshops.

- Procedures for building consensus

  • Community Organisation, Systems and Approaches to Peri Urban Water Supply with reference to Chipata Compound. No. 3. Case Study of Lusaka Water and Sewerage Company. (pdf download available 88K)
    • This case study discusses how community organization and participation in a high-density, low-income unplanned settlement strengthened the utility’s capacity to work with the urban poor. Key lessons from the project included the need for decentralized planning at the neighborhood level, including the creation of community institutions such as Resident Development Committees, to formalize the community’s involvement in managing its water supply. Key challenges to the project’s success included the mobility of residents, low rates of home ownership, and the unrealistic expectations for volunteerism among residents.

- Promotional materials  

  • Hygiene and Health Education Material (Link)
  • Information Kits for Community Dialogue on RWSS. National Water Supply and
    Environmental Health Programme (Nam Saat), Water and Sanitation Program - East Asia and the Pacific, and UNICEF Lao PDR, 2000. (order from Water and Sanitation Program, 5 publications are sent free.)
  • Sanitation Promotion. Who Publication. (Link)
    • This book is a compilation of articles, ‘best practice’ case studies and checklists by the WSSCC Working Group on Promotion of Sanitation and WHO in 1998, to change public perceptions about the sanitation sector and attract crucial new investments. It studies current management of human wastes through the research of past mistakes (such as consumer- expert priority mismatches), as well as possible remedies through partnerships, building political will, and pursuing innovative financing strategies. Case studies from Uganda and India show how these guidelines and principles work in practice.
  • Sanitation Promotion. Durban Metro. (pdf or PowerPoint download)
    • This set of PowerPoint images describes in detail a 'Sewage Disposal Education Program' and includes a description of the city and problem areas, programme components and measures of success. Its underlying message is to inform people that the provision of improved services must be accompanied by corresponding responsibilities. The goal is to develop a sense of ownership of sewerage services amongst adults and scholars. The programme includes an educational campaign to schools and communities, driven by a perception study which gauged attitudes, opinions, and false perceptions. Leaflets, posters, roadshows, street theatre and an education awareness center were developed. A guidebook on the legal framework of pollution management was prepared for use by industry.
  • Sanitation Promotion Kit. (Link)
    • This Kit provides background-training material for community workshops and interactive learning courses, through a collection of articles and tools developed by the WHO/WSSCC in 1997. The kit discusses sanitation problems, aims and responses in the 21st century with an emphasis on institutional frameworks, political involvement, knowledge sharing and better programme design. The publication is divided into four main parts:
      • the challenge - a sanitation revolution,
      • gaining political will and partnerships,
      • promotion through better programmes and
      • promotion through innovation
  • South Africa Healthy Nation Program. The country-wide compaign is a good example of a coordinated approach to better sanitation.
    The package consists of:

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Contracts, agreements
   - General
  • Management Contract for Water and Sanitiation - Sample Contract (Link)
    • This article analyzes how a well-designed contract helped local government service providers and the Water Authority in improving service in Gaza, Palestine, in 1996. The authors do not provide the actual contract but discuss innovative aspects of contract design such as incentive payments and rating systems, regulations, funding and limitations of private participation in water supply. The contract allowed the community, authorities and private sector the advantages of a flexible, multi-option and limited duration contract that could be renewed if found profitable to all concerned.
  • Sample Contracts - Ghana Second Water and Sanitation Project
    • Completion-Certification Report (PDF Download)
    • Procedures for Disbursing Funds to DAs/Communities (PDF Download)
    • Financial Record Sheet (PDF Download)
    • Procurement Procedures for Community Subprojects (PDF Download)
    • Order and Contract for Services (PDF Download)
    • Order and Contract for Supplies (PDF Download)
  • Sample Contracts - Malawi Social Action Fund
    • Community Project Application Form (PDF Download)
    • Community Project Monthly Report (PDF Download)
    • Project Management Handbook and Community Sub-Projects Component Implementation Handbook, Forms (available from
      • Key Documents in Forms Booklet: Field Appraisal Form / Form of Agreement: Minor Works / ContractsCommunity Project; Financial Report; Opening of Current Account / Community Project Finance Agreement /
      • Other Forms: Form of Agreement for Borehole Construction Contracts (between Project Management Committee and Contractor); CSP Justification Report Checklist- PMC / Agreement between Community and Subcontractor; Checklist for Community for Payment of Contractor.

- Service provider and subcontractors

- Service Provider and Managing Agent

  • Sample Contract - SUPPLIER AND MANAGING AGENT (pdf download available - 49K)
    • This sample contract delineates a set of tasks for the supplier / utility provider, such as supplying water, informing the agent of changes in delivery schedules, payment collection etc. The contract outlines a clear set of responsibilities of the agent / local utility manager, including security, hygiene, maintenance, community mobilization etc. The terms of renewal or dissolution of the agreement included, are an important yet often overlooked feature.

- Service provider and customer

  • Contracting-out of Services for Water and Sanitation. Number R6574. Prepared by WEDC with DFID funding. 1999. (Link)
    • This report summary outlines the contracting of services, a Public-Private Partnerships (PPP) contracts bank and guidelines for service/management contracts. It provides a large database on complex PPP contracts such as BOOT, Lease and Concession contracts. Service and Management Contracts, though simpler and more popular have been discussed only in brief. Case studies provide lessons from different parts of the world, to be adapted and used within the local socio-economic and institutional context. A perusal of the WEDC web site provides a ready to use PPP database and helpful case studies in Asia and Africa.

- Informal providers

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Finance, payment, credit guides
   - Financial forecasting, simplified

- Financing options

- Tariff setting guides

  • Pricing and Service Differentiation of Utility Watsan for the Poor. Number R7130. Prepared by WEDC with DFID funding. 2001. (Link)
    • This report summary describes a marketing strategy for water and sanitation (WatSan) services to the urban poor that allows for both for improved services and increased revenue to the utility providers. The emphasis is on guideline based implementation rather than pricing theory. The guidelines use pricing and service differentiation (market segmentation and product differentiation) as means to public benefit and financial sustainability. Case studies consist of Mombasa (Kenya), Kampala (Uganda), Guntur (India) and Durban (South Africa).

- Credit Schemes

  • Low-cost Sanitation, Lesotho; Self-help Provision of Family Toilets; Orangi Slum Sanitation in Karachi, Pakistan; Strategic Sanitation Programme, Kumasi, Ghana. (Link)
    • The website explains Micro-credit and Micro-finance Initiatives (MFI) as sustainable finance systems for sanitation provision in the developing world. Case studies are chosen from Pakistan, Ghana, Indonesia, South Africa, Lesotho and India. The fact sheet outlines sanitation strategies including market development, appropriate technology and redesigned contracts. These are then coordinated to work with new finance strategies based on local demand, project based interest rates, loan administration, collection and cost recovery principles.

- Payment Systems (Pre-payment, Deposits)

  • Payment Systems for low income urban communities. No. 4. Case Study of Lusaka Water and Sewerage Company. (pdf download available 68K)
    • The paper demonstrates the success of a dual system of monthly payment card systems and daily prepayment systems in a project initiated by Care International, The Lusaka City Council, Lusaka Water and Sewerage Company and residents of the Chipata compound, Lusaka, Zambia. The tariff structure allowed the recovery of O&M costs and investments in replacement and system expansion, while minimizing misuse, increasing revenue and employment.

      A community-managed initiative by Resident Development Committees (RDC) operated community taps / standposts, operated by attendants to provide water for users with payment cards. Neighbourhoods with weaker community organization had privately managed water kiosks that dispensed fixed volumes using prepaid meters with tokens.

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   - Local Government
  • Legal And Regulatory Framework For Water And Sanitation In Zambia - Specific To Peri-Urban Sector, No. 1. Case Study of Lusaka Water and Sewerage Company. (pdf download available 60K)
    • This paper discusses the process of water sector reform and legal-regulatory framework changes to implement new sector policies in Lusaka, Zambia (as a result of the Water Supply and Sanitation Act, 1997). The devolution of authority to local government, cost recovery, separation of regulatory, managerial and executive functions can be seen to depend upon government willingness for reform within institutional and regulatory mechanisms.

- Utilities

- Societies

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Management, utilities
   - Organization structures; examples
  • A Model for the Development of a Self-help Water Supply Program. Colin Glennie. Technology Advisory Group Working Paper Number One. The World Bank. 1982.
    • The report presents a practical model for develop[ing with community participation a water supply program as well as a sanitation program. The focus is on the crucial role of training of field-level personnel, together with the need to phase developments in sector programs where self-help strategies are adopted . Detailed roles and responsibilities of staff are outlined, as well as the organization structure.
  • Public Private Partnerships And The Poor In Water and Sanitation. Number R7388. Prepared by WEDC with DFID funding. To be completed March 2003. (Link)
    • This report summary describes sustainable and practical processes for water supply and sanitation services to the poor through public-private partnerships (PPP). The studies of successful and unsuccessful case studies reveal that utility services for the urban poor are most problem-prone at the distribution and revenue collection stages. ‘Fuzzy’ organizational relationships between the private, public sectors and community contain potential for sustainable service delivery.
  • Linking Urban Sanitation Agencies With Poor Community Needs. Number R7124. Prepared by Southampton University with DFID funding. 2001. (Link)
    • This report summary describes a study of effective and sustainable sanitation strategies for poor urban communities in South Africa, Zimbabwe and Zambia. Literature and field studies help identify key constraints to better practice and subsequently help propose key interventions to make more community responsive institutions. The authors intend to develop and disseminate of guidelines for improved practice through workshops and publications.
  • LWSC’s Institutional Arrangements for Dealing with Peri-Urban Areas, No. 2. Case Study of Lusaka Water and Sewerage Company. (pdf download available 64K)
    • This report demonstrates an example of service provision to high-density low income communities (4 peri-urban areas in Lusaka, Zambia) through policy and related task force mobilisation. It has a useful outline of agreements between the Lusaka Water and Sewerage Company (LWSC) and other service providers. This approach demonstrates cost efficiency, responds to the multiplicity of agencies while facilitating dialogues between community and service providers.

- Reporting guidelines, samples

- Operation

  • Operation and Maintenance of Urban Water Supply and Sanitation Systems. Who Publication. (Link)
    • This toolkit outlines guidelines to implementing a systems approach to Operation and Maintenance management of W&S programmes. Factors limiting performance such as leakage, low maintenance and obsolete or inappropriate technology are identified with possible solutions to overcome them. The publication also provides guidelines to strengthen technical, operational, and managerial capabilities within organizations.
  • Tools for Assessing the Operation and Maintenance Status of Water Supply and Sanitation in Developing Countries. Who Publication. (Link)
    • The report proposes a framework for management and a set of 9 identified tools to assess the status of operation and maintenance (O&M) through a measurement and evaluation of performance. These proposals aimed at policy makers and professional staff, were built upon work by the Working Group on Operation and Maintenance of the Collaborative Council for Water Supply and Sanitation. Useful guidelines for audit, performance evaluation and reporting, selection of performance indicators for O&M are included.

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Policy statements
   - National
  • Framework for a National Sanitation Strategy, South Africa. A country-wide programme focused on policy development, capacity building, establishment of coordinating mechanisms, implementation support and development of monitoring and evaluation mechanisms for sanitation.
    (pdf download available)
  • National Context: Water and Sanitation Delivery to Low Income Urban Communities in Zambia. Case Study of Lusaka Water and Sewerage Company. (pdf download available 88K)
    • The report demonstrates how national governments, through a judicious mix of policy, legislation, and institutional reform, can achieve grass root level benefits for the urban poor. The successful Lusaka case example within the Zambian national policy reform, consisting of the National Water policy (1994), Decentralisation policy, National Housing policy (1996) is cited.

      Effects of legislation reforms such as the Water Supply and Sanitation, Health Services, Local Government, Environment protection acts that grant greater powers and responsibilities to local authorities (LA) are studied. The significance of establishing new national regulatory institutions like the National Water Supply and Sanitation Council (NWASCO) is also discussed.

- Utility agencies

  • Case Study for Kano (town), Nigeria: Context and Practices. Strengthening the Capacity of Water Utilities to Deliver Water and Sanitation Services, Environmental Health and Hygiene to Low Income Communities. Water Utilities Project No. 5. Prepared by Lead Consultant Engr. Mohammed H. Iliyas and Local Consultant: Engr. Suleiman Sani. March 2000. 80 pages. (pdf download available)
    • The report examines issues of relations between main utility, other providers and consumers within a context of practices, service performance, regulations, sustainability and institutional dynamics observed in Kano, Nigeria.

      The case studies and analyses popular practices such as commercial supply networks built and operated by the private sector, privately managed public conveniences, community-public-private partnerships and commercial collection and disposal of waste. The unexpected and negative effects of generally assumed ‘good practices’ such as a build up of subsidy advantages to non-poor population or a clustering of unhygienic and antisocial activities around unregulated public conveniences, are discussed.
  • Tanzania Case Study: Strengthening the Capacity of Water Utilities to Deliver Water and Sanitation Services, Environmental Health and Hygiene to Low Income Communities. Final Report. Water Utilities Project No. 5. Prepared by Bill Wandera, for Dar es Salaam Water and Sewerage Authority. June 2000. 90 pages. (pdf download available)
    • This report studies four successful cases of community and vendor managed water and sanitation practice in Dar Es Salaam, Tanzania. The significance of informal community structures (like the SWAMECOS, TDF and KIJIKO), institutional reform and autonomy (merging the NUWA and DSSD to create DAWASA), appropriate technology (MAPET pumps) in sustainable services is emphasized.

      Public kiosks, pipe-distributed water kiosks, vendor managed yard taps, community managed water supply and community based cesspool emptying initiatives are studied in detail. Ways to reach a holistic view of health, sanitation and infrastructure given a flux in policy, institutional and legislative frameworks are discussed.
  • Ghana Case Study: Strengthening the Capacity of Water Utilities to Deliver Water and Sanitation Services, Environmental Health and Hygiene to Low Income Communities. Final Report. Water Utilities Project No. 5. Prepared by Training Research and Networking for Development (TREND), for Ghana Water Company Ltd. June 2000. 61 pages. (pdf download available)
    • As with the Tanzania case study above, this paper examines aspects of successful water supply, sanitation, and hygiene programs in the city of Accra, Ghana. Innovative approaches that have proved valuable in increasing access to these services by the poor include door-to-door hygiene education, water consumption measure and revenue collection collaborations with water-tanker owners, supporting private water vendors, and allowing community-initiated private network extensions.

- Dublin Statement

  •  Delegates to the International Conference on Water and the Environment (ICWE) in Dublin, Ireland, on 26-31st January 1992 concluded that concerted action was needed to reverse the present trends of over-consumption and pollution of water, as well as rising threats from drought and floods. The Conference Report recommends action at local, national and international levels, based on four guiding principles:
    Principle No. 1 - Fresh water is a finite and vulnerable resource, essential to sustain life, development and the environment.
    Principle No. 2 - Water development and management should be based on a participatory approach, involving users, planners and policy-makers at all levels
    Principle No. 3 - Women play a central part in the provision, management and safeguarding of water.
    Principle No. 4 - Water has an economic value in all its competing uses and should be recognized as an economic good.
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Questionnaires, formats
   - Data collection
   - Utilities (NAWASWCO, SODECI)

- By-laws, Building Codes

Technical standards, guidelines
   - Options
  • Community Water Supply: the Hand Pump Option. Saul Arlosoroff. The World Bank. 1987, 1998.
    • This report investigates the cost-effectiveness and reliability of two water supply systems, ground water and hand pumps. It is based on the findings of UNDP/World Bank Hand Pumps projects, where thousands of hand pumps of many different designs have been field-tested by the projects to produce accurate and reliable results. In a second edition about half the entries have been updated to take account of new test data on the pumps concerned.
  • Designing Water Supply And Sanitation Projets to Meet Demand: The Engineer's Role. Number R7386. Prepared by WEDC with DFID funding. 2001. (pdf download available, 248K)
    • The report investigates design strategies to fulfill effective demand based on literature and field studies of projects in South Africa, Tanzania, Nepal and India. The impacts of demand responsive approach (DRA) developed and advocated by the World Bank and Water and Sanitation Programme (WSP) are critically analysed and a set of principles proposed that are applied these to a project cycle with detailed design processes.
  • A Guide to the Development of On-site Sanitation: WHO Publication. (Link)
    • The book contains detailed practical and technical advice for the selection, design, construction, and maintenance of on-site facilities for the removal of human excreta. The author concentrates on technical aspects of design, construction, operation and maintenance options for low-income urban settlements building their own latrines. The need for a thorough analysis of cultural as well as design features is emphasised.
  • Practical Development of Strategic Sanitation Concepts. Number R6875. Prepared by GHK Partnership with DFID funding. 1999. (Link)
    • The report analyses through literature review, case studies and India based pilot project, the implications of the Strategic Sanitation Approach of the UNDP-World Bank Water and Sanitation Programme. Strategic incremental approaches to sanitation are emphasised, for example through planned stage wise system upgrades rather than an all encompassing, one step strategic sanitation approach. Conditions for a complete strategic sanitation approach happen rarely and that policy should focus on the process, individual stakeholders capacities and necessary assistance required.
  • On Plot Sanitation in Low Income Urban Communities. Number R4857. Prepared by WEDC with DFID funding. 1997. (Link)
    • The research dispels commonly held assumptions that favour water borne sewage systems over on-site sanitation systems such as lower customer satisfaction, insect/ odour nuisance etc. Important operational findings support that appropriate on-site sanitation strategies need not be viewed as an interim stage of sanitation service.

      The research has far reaching policy significance such as the mismatch of user and professional perceptions about the appropriateness of on-plot sanitation systems for low-income urban areas or the import of social and cultural context.
  • Services to the Urban Poor (Link)
    • This book contains detailed guidelines for planning, design, implementation, O&M of basic services for the urban poor in 4 separate sections aimed at policy makers, urban engineers, planners and local programme managers in a easy-to-use format. The authors emphasise the need to integrate participatory approaches at the local level with strategic improvements to city level infrastructure.

      The guidelines are process-oriented and range from technical issues like construction design, operation and maintenance to financial approval, procurement and contracting
    From: A Workshop On Community Management of Waste Water (treatment and disposal) in Low-income, Semi-urban Communities in the Kathmandu Valley Nepal, 2-13, November 1998.
    • Short, focused summaries with thumbnail sketch of the main elements of sanitation are available on their web site. They include: Direct Discharge; Open Defecation; Trench Latrine; Pit Latrine; VIP Latrine; Reed Odorless Earth Closet (ROEC); Pour-Flush Latrine; Aquaprivy; Septic Tank; Seepage Pit; Drain Field; Bucket Latrine; Latrine and Vault; Pour-Flush; Toilet and Vault; Cistern-Flush Toilet; Public Overhung Latrine; Septic Tank for Excreta Reuse; Double Vault; Composting Latrine; Biogas Digester; Fish Pond; Cistern-Flush Toilet; Pour-Flush Toilet; Conventional Sewerage; Simplified Sewerage; Settled Sewerage; Stormwater Drains; Unsettled Sewerage; Primary Treatment; Communal; Septic Tank; Imhoff Tank; Waste Stabilization Ponds; and Activated Sludge Treatment
  • WHO Publications. (Link)
    - Guide to the Development of On-site Santiation (A)
    - Guidelines for Drinking-water Quality. Vol. 1: Recommendations
    - Guidelines for Drinking-water Quality. Vol. 2: Health Criteria and Other Supporting Information
    - Guidelines for Drinking-water Quality. Vol. 3: Surveillance and Control of Community Water Supplies
    - Guidelines for Drinking-water Quality. Addendum to Volume 1: Recommendations
    - Surface Water Drainage for Low-income Communities

- Performance Indicators

  • The Sustainable Use of Urban Environmental Health Indicators. Number R6576. Prepared by London School of Hygiene & Tropical Medicine with DFID funding. 1998. (Link)
    • This report summary aims at creating community-based environmental health indicators that can help identify need and facilitate dialogue between urban poor, utility providers and environmental service planners. The research team however realizes that heterogeneous communities distinguished by wealth, religion, gender etc can rarely reach consensus on a list of indicators of health. Thus, residents' priorities can be ascertained and expressed as a set of indicators without being a reflective of consensus.
      This approach however has positive effects only if major stakeholders within both municipalities and communities are involved from first stage or the conditions of a donor-funded project ensure an influence on decision-making.
  • Benchmarking Water and Sanitation Utilities (pdf download available)
    • This startup toolkit provides comparitive cost and performance data in the water sector to encourage efficient, financially viable utilities responsive to the poor and accelerating urban growth. Key stakeholders are provided with important information built upon core indicators that can further be developed into customized measurement and monitoring systems.

      Partners are encouraged to share data with peers across sectors, regions and countries to create inter utility performance comparisons. These comparisons can then counter inefficiencies that may occur due to the limited scope of direct competition.

 - Design Tools

    • Rural Water Supply and Sanitation: Time for a Change. Anthony A. Churchill with the assistance of David de Ferranti, Robert Roche, Carolyn Tager, Alan A. Walters, and Anthony Yazer. World Bank Discussion Papers No. 18. The World Bank, Washington, D.C. 1987. (Link)
      • The purpose of this report is to contribute to the re-examination of the issues and problems of rural water supply.  
    • Simplified Sewerage: Design Guidelines. Alexander Bakalian, Albert Wright,
      Richard Otis, Jose de Azevedo Netto. World Bank. May 1994. (Link)
    • Simplified Sewerage: Windows Based PC Design Package. Number R7535. Prepared by Leeds University with DFID funding. 2000. (Link)
      • This report summary aims at developing a design manual and a Windows-based design program to simplify sewerage design for sanitation engineers in developing countries. The software is easily downloaded from the following website and is available in Spanish and Portuguese. (Link)

        Simplified sewerage is not limited to low-income peri-urban areas and can be seen now in Bolivia, Colombia, Nicuagua, Paraguay, Peru, South Africa, India and Pakistan. The technology can be successfully and appropriately used in middle and high-income neighbourhoods as well. Conceptually it is the same as conventional sewerage, but with efforts to reduce conservative design features and to make context responsive design standards.
    • Urbanization Primer. Horacio Caminos and Reinhard Goethert. MIT Press. 1983.
      • The book highlights the importance of the land subdivision pattern in the development of standard infrastructure. It offers guidelines for a minimum and standard level of service, and illustrates layout design through various projects. A photo-essay is included to assist the layman in understanding urbanization, including the range of infrastructure found in developing situations.


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    Training, curriculum samples
       - General
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