2. Roland Schertenleib Swiss Federal Institute of Aquatic Science and Technology (Eawag) / W+S Consult Urban Sanitation systems – building on the Household Centred Environmental Sanitation approach (HCES) SEI/EcoSanRes 2 Workshop on: “Planning and Implementation of Sustainable Sanitation in Peri/Semi- Urban Settings – A Need for Development of Existing Tools” 25 - 26 August 2008, Stockholm

3. Content -Development of the HCES planning approach -Main characteristics of HCES -Enabling environment for HCES -10 step planning process -Validation of the HCES approach -Successes and challenges

4. Basis for future approaches in ES -People and their quality of life should be at the centre of any environmental sanitation system -Solutions of ES problems should take place as close as possible to where they occur -Any ES system must be designed in such a way to balance economic with environmental good -Wastes, whether solid or liquid, should be regarded as a resource -ES systems should be ‘circular’ designed in such a way as to minimize inputs and reduce outputs -Problems relating to ES should be handled within an integrated framework, and this framework should itself be part of a wider system of integrated water resources, waste management and food production

5. HCES Approach is based on …… 1.Human dignity, quality of life and environmental security at household level should be at the centre of any sanitation approach. 2.In line with good governance principles, decision making should involve participation of all stakeholders, especially the consumers and providers of services. 3.Waste should be considered a resource, and its management should be holistic and form a part of integrated water resources, nutrient flow and waste management processes 4.The domain (zone) in which environmental sanitation problems are resolved should be kept to the minimum practicable size (household, community, town, district, catchment, and city). The Bellagio Principles for sustainable sanitation:

6. What is environmental sanitation? excreta management wastewater management solid waste management control of disease vectors washing facilities stormwater drainage facilitiesbehaviours interventions to provide a hygienic environment Interventions to reduce people's exposure to disease by providing a clean environment in which to live, with measures to break the cycle of disease. Involves both behaviors and facilities which work together to form a hygienic environment.

7. Drainage WATER SUPPLY AND ENVIRONMENTAL SANITATION Healthy and productive life Ecological integrity of aquatic systems Protection of natural resources Water Supply and Environmental Sanitation Solid Waste Management Drinking Water Supply Excreta and Wastewater Management Hygiene

8. Household Centred Environmental Sanitation (HCES) Approach … places the household and its neighbourhood at the core of the planning process … is a multi-sector approach: accounting for excreta management (sanitation), storm water drainage, solid waste management and water supply … is a multi-actor approach: emphasising the participation of all stakeholders, beginning at the household/neighbourhood or community level, in planning and implementing integrated urban environmental sanitation services

9. Main characteristics of HCES HCES is based … on the concept of ‘zones’, and solving problems within the ‘zone’ nearest to where the problems arise (V) Nation District / Province (IV) Town / City (III) Neighbourhood (II) Household (I)

10. Main characteristics of HCES HCES is based … on the circular model, emphasising resource conservation and reuse (rather than linear model)

11. Concept of zones with bottom-up and top- down component

12. From linear to „reuse oriented“

13. From centralized to decentralized centralized …...decentralized

14. Permits stepwise development and investment of sanitation system Permits stepwise development and investment of sanitation system Potential of decentralized sanitation systems Responsiveness to local demands Responsiveness to local demands Permits waste segregation at source Permits waste segregation at source Increases local wastewater reuse opportunities Increases local wastewater reuse opportunities Tailoring to local conditions Tailoring to local conditions Minimizes waste of freshwater for transportation Minimizes waste of freshwater for transportation Lower risks system fails Lower risks system fails

15. Decentralized and tailored solutions

16. Structure of the HCES Guideline -How to create an ‘Enabling Environment’ -10-STEP planning process Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

17. Enabling Environment -Elements necessary to support the application of the HCES approach: –Government Support –Legal Framework –Institutional Arrangements –Required Skills –Financial Arrangements –Information and knowledge management Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

18. Government support Political will and support at all levels Objective: secure agreement that HCES should proceed in the program area; doesn’t have to be an unconditional endorsement of HCES by the government. Favourable national policies and strategies Ensure that the HCES approach does not contradict existing policies and strategies Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

19. Legal Framework Many existing standards are inappropriate, but cannot be rejected by public sector officials (personal liability). Examples: –Service delivery standards –National and municipal codes (e.g. health or building codes) –Technical standards (water supply and sewer standards) ►Secure a moratorium on the application of existing standards to the program area ►Try to identify more appropriate standards ►Upgrade existing standards Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

20. Institutional arrangements Institutional arrangements are required that suit the highly decentralised and zone-by-zone approach used in HCES Arrangements across zones: support of local organisations (providing the services) from organisations in larger zones with greater capacities, such as: –direct provision of services –technical assistance, capacity building, information dissemination Arrangements between institutions at municipal level: close collaboration between various organisations involved in environmental sanitation services Arrangements legitimising and supporting the participation of small-scale private sector entrepreneurs Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

21. Required skills Effective training and communications, ensuring that all participants understand and accept the HCES concept, including its pre-conditions and implications, e.g.: Householders must understand implications of different options to them, e.g. convenience, costs, O&M requirements, etc. Professionals must be familiar with existing legal framework, regulations, codes, range of technical options etc. Municipal officials must be reoriented towards a better understanding of the social, institutional, financial and other factors that have to be addressed (paradigm shift) Private service providers must be trained in business management, bidding, analysis of market demand etc. ► resource centres, short courses, curricula development, etc. Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

22. Credit and other financial arrangements Credit and other financial arrangements that facilitate household participation and community involvement Strong advocacy is required to convince different levels of government (from national to local) that: a.HCES programmes require (initially) an increase in investment in the WATSAN sector, which have to be covered by increased budget allocation. b.Allowance needs to be made for funding the full range of costs: administrative and hardware costs; software costs (e.g. training, social marketing programmes, O&M needs). c.Local private initiatives must be supported through setting up of micro-credit schemes (rather than grants and subsidies). Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

23. Information and knowledge management -Guidelines are required, providing information on a comprehensive range of technical and software options, addressing questions such as: –benefits and limitations of different technical options –user friendliness –impact on environment, potential for resource recovery –traffic and land use implications –potential for income generation –impact on service for the poor –... -Basis for locally developed guideline: “Compendium of Sanitation Systems and Technologie”, ‘state of the art’ texts, national and regional resource centres, academic institutions, experienced sector professionals etc. Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

24. 1.Request for assistance 2.Launch of the planning and consultative process 3.Assessment of the current status 4.Assessment of user priorities 5.Identification of options 6.Evaluation of feasible service combinations 7.Consolidated UESS plans for study area 8.Finalising of consolidated UESS plans 9.Monitoring, evaluation and feedback 10.Implementation The 10 STEP Process Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

25. STEP 1 + 2 1.Request for assistance HCES process starts in response to a request for assistance from the people who will benefit from the services (users themselves, their political representatives or local community leaders) Request is made to the mayor (or other professionals serving the mayor) 2.Launch of the planning and consultative process Initial planning and consultative meeting, with all crucial stakeholders covering four main topics: Explanation of the HCES approach Definition of programme boundaries Assessment of the responsibilities and capacities of UESS organizations, and the status of national/state policies and strategies Agreement on process and responsibilities for future programme development Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

26. STEP 3 + 4 3.Assessment of current status -comprehensive, participatory assessment of the current level of UESS services -done by interdisciplinary team, together with local residents -assessment of UESS on local, municipal and city wide level 4.Assessment of user priorities Meeting with community and representatives from relevant agencies → present findings of assessment → decide which deficiencies should be given priority → define lowest desirable level of service Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

27. STEP 5 + 6 5.Identification of options examine the technical, institutional, financial and social feasibility of different options as well as factors such as: -impact on the environment -capital and O&M costs -suitable institutional arrangements -reuse potential etc. 6.Evaluation of feasible service combinations primarily matching a particular level of service with the associated on- and off-site facilities, for sub-areas of the study area (e.g. neighbourhoods) → report detailing preferred service option package, including: institutional and management arrangements O&M arrangements technical design of the option, including link to wider city infrastructure financial costs (who pays for what?) Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

28. STEP 7 + 8 7.Consolidated UESS plans for the study area -assemble and integrate the various options identified during STEP 6 into a broader UESS network 8.Finalising of consolidated UESS plans (workshop) –Review consolidated plan with strategic stakeholders –define possible improvements to consolidated plan –Prioritise improvements to city wide systems which best support local plans –Develop a programme timeline Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

29. STEP 9 – 10 9.Monitoring, (internal) evaluation and feedback (MEF) -establishment of measurable monitoring indicators (physical, social, health aspects) -design the evaluation process (weekly/monthly/yearly plans) -definition of mechanisms for (timely!) feedback, monitoring indices, evaluation methods, feedback protocol 10.Implementation –section still to be defined, based on experiences of first HCES projects Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

30. 1.Request for assistance 2.Launch of the planning and consultative process 3.Assessment of the current status 4.Assessment of user priorities 5.Identification of options 6.Evaluation of feasible service combinations 7.Consolidated UESS plans for study area 8.Finalising of consolidated UESS plans 9.Monitoring, evaluation and feedback 10.Implementation The 10 STEP (iterative) Process Need for a change Bellagio Principles HCES approach HCES planning GL Enabling Environment 10 STEP process What next?

31. VALIDATION SITES:

32. Successes -Forum to meet local and other authorities -Formulation of community priorities especially in environmental management -Discussion of valid options & prioritization -Real ownership of interventions -Willingness to invest and to address priorities step by step -Sanitation as an entry point to community development !

33. Challenges -Sometimes priorities not high on local authorities’ agenda -Setting high expectations amongst communities -The communities tired of planning processes and searching for solutions -Issues of land tenure and investment

34. ...thank you for your attention! Thank you for your attention! www.sandec.ch

35. One-for-all solution in cities with highly heterogeneous physical and socio-economic conditions ??

36. Main challenges in planning for sustainable environmental sanitation systems High growth rates Insecure tenure Low funding priority Extreme socio-economic heterogenity High settlement densities Unplanned and informal settlements

37. The conventional planning approach -In the conventional planning approach, utility planners & engineers develop demand projections based on demographic and economic indicators (e.g. Maser Plans) -Infrastructure planning and service delivery continue to be supply-driven with a high degree of centralised control, little local accountability and low end-user involvement -The supply-driven model is a top-down approach, built around bureaucratic mechanisms and implemented by govt bureaucrats and engineers.

38. Failures of the conventional planning model –Inflexibility in form and content –Procedures to amend plans are bureaucratic –Restrictive nature of master plans –Regulations and legislation favour planning of centralized sewerage systems – carry with them technology lock in…

39. Common elements…