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Roland Schertenleib

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The Bellagio Principles for sustainable sanitation: What is environmental sanitation? ... Bellagio Principles. HCES approach. HCES planning GL. Enabling ... – PowerPoint PPT presentation

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Title: Roland Schertenleib


1
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
  • Roland Schertenleib
  • Swiss Federal Institute of Aquatic Science and
    Technology (Eawag) / WS Consult

2
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

3
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

4
HCES Approach is based on
The Bellagio Principles for sustainable
sanitation
  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).

5
What is environmental sanitation?
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.
excreta management
wastewater management
solid waste management
facilities
behaviours
stormwater drainage
washing facilities
control of disease vectors
6
Water Supply and Environmental Sanitation
Solid Waste Management
Drinking Water Supply
  • WATER SUPPLY AND
  • ENVIRONMENTAL SANITATION
  • Healthy and productive life
  • Ecological integrity of aquatic systems
  • Protection of natural resources

Drainage
Hygiene
Excreta and Wastewater Management
7
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

8
Main characteristics of HCES
  • HCES is based
  • on the concept of zones, and solving problems
    within the
  • zone nearest to where the problems arise

9
Main characteristics of HCES
  • HCES is based
  • on the circular model, emphasising resource
    conservation
  • and reuse (rather than linear model)

10
Concept of zones with bottom-up and top-down
component
11
From linear to reuse oriented
12
From centralized to decentralized
centralized
...decentralized
13
Potential of decentralized sanitation systems
Tailoring to local conditions
Responsiveness to local demands
Minimizes waste of freshwater for transportation
Permits waste segregation at source
Lower risks system fails
Increases local wastewater reuse opportunities
Permits stepwise development and investment of
sanitation system
14
Decentralized and tailored solutions
15
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?
16
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?
17
Government support
  • Political will and support at all levels
  • Objective secure agreement that HCES should
    proceed in the program area doesnt 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?
18
Legal Framework
Need for a change Bellagio Principles HCES
approach HCES planning GL Enabling
Environment 10 STEP process What next?
  • 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

19
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?
20
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, OM 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?
21
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
  • HCES programmes require (initially) an increase
    in investment in the WATSAN sector, which have to
    be covered by increased budget allocation.
  • Allowance needs to be made for funding the full
    range of costs administrative and hardware
    costs software costs (e.g. training, social
    marketing programmes, OM needs).
  • 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?
22
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?
23
The 10 STEP Process
Need for a change Bellagio Principles HCES
approach HCES planning GL Enabling
Environment 10 STEP process What next?
  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

24
STEP 1 2
  • 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)
  • 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?
25
STEP 3 4
  • 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
  • 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?
26
STEP 5 6
  • 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 OM costs
  • suitable institutional arrangements
  • reuse potential etc.
  • 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
  • OM 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?
27
STEP 7 8
Need for a change Bellagio Principles HCES
approach HCES planning GL Enabling
Environment 10 STEP process What next?
  • Consolidated UESS plans for the study area
  • assemble and integrate the various options
    identified during STEP 6 into a broader UESS
    network
  • 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

28
STEP 9 10
Need for a change Bellagio Principles HCES
approach HCES planning GL Enabling
Environment 10 STEP process What next?
  • Monitoring, (internal) evaluation and feedback
    (MEF)
  • establishment of measurable monitoring indicators
    (physical, social, health aspects)
  • design the evaluation process (weekly/monthly/year
    ly plans)
  • definition of mechanisms for (timely!) feedback,
    monitoring indices, evaluation methods, feedback
    protocol
  • Implementation
  • section still to be defined, based on experiences
    of first HCES projects

29
The 10 STEP (iterative) Process
Need for a change Bellagio Principles HCES
approach HCES planning GL Enabling
Environment 10 STEP process What next?
  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

30
VALIDATION SITES
31
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 !

32
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

33
...thank you for your attention!
Thank you for your attention!
www.sandec.ch
34
One-for-all solution in cities with highly
heterogeneous physical and socio-economic
conditions ??
35
Main challenges in planning for sustainable
environmental sanitation systems
Extreme socio-economic heterogenity
High growth rates
Unplanned and informal settlements
Low funding priority
36
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.

37
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

38
Common elements
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