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Core Group 2019

The 29th SuSanA meeting willl take place in February 2020, in Kampala. 

 

Why is this important

Behavioural change requires awareness. The Swachh Bharat Mission and The National Urban Sanitation Policy (NUSP) acknowledges that a better understanding on planning, operation and use of public toilet facilities benefits public health and the city’s environment and is key to lasting improvements in the sanitation sector. To do this, the Government of India is undertaking a country-wide Information, Education and Communication (IEC) strategy and guarantees technical assistance and funding support to cities and states for awareness generation and capacity building.

Contents

How to go about it

1. Develop a strategic framework to increase awareness on public toilets

2. Marketing efforts to facilitate bidding

Application on ground


How to go about it

In order to increase awareness among decision makers, operators and the public, cities are advised to set up communication and decision-making structures as well as an awareness building and marketing strategy. The main tools and steps are:

1. Develop a strategic framework to increase awareness on public toilets

A strategic framework is necessary to guide concerned stakeholders (e.g. policy makers, city managers, consultants, NGOs) in identifying communication challenges and awareness building issues vis-à-vis public toilets and addressing the same in a systematic manner. The framework is useful for putting issues in perspective and addressing the same through appropriate communication interventions. The main steps are:

a) Formation of the City Sanitation Task Force to spearhead awareness generation efforts amongst citizens and other stakeholders.

b) City wide PT strategy recommends for city-wide awareness creation and behaviour change at specific time frames, while specific toilet projects incorporate the contextualised ideas while implementing toilet projects.

c) Translate the CSP awareness objectives in a City Wide Public Toilet Advocacy and Communication Strategy Framework by identifying:

  • target audiences (including caretakers and cleaners),
  • communication objective,
  • activities under each category,
  • main communication approaches to achieve the communication objectives



2. Marketing efforts to facilitate bidding

For any project to be successful, it is important to have good operators in place. To ensure participation of the “right” operators, the municipality needs to create interest and anticipation. This could include cold calls, newspaper advertisements, informal and formal information sharing, direct calls, emails, etc. Marketing efforts undertaken during the course of this project is summarized in the chart.

Application On Ground

Shimla

The development of the City Communication Action Plan for Sanitation (SCCAPS) has helped to identify broad issues of public toilets management requiring communication interventions. Consultation of different government departments, ward visits and community interactions (residents, councilor of a slum colony) led to a first communication pilot. The project tries to reinforce what is working well and address issues not working through a clear communication strategy (box) and respective actions: (1) Create awareness on the impact on health, hygiene and living (particularly the need to protect vulnerable groups like women and children) and promote specific behavior. (2) Appeal to residents to take pride in a clean and hygienic Shimla as a city to live in and a popular tourist destination and support MCS initiatives through their own actions. (3) Educate and impart information about citizens’ duties and penalties arising from non-compliance and recognize good behavior and best practices. The demonstration of tangible results and information campaigns are key to overcome old habits and resistance to change by facilitating better understanding and as such a change of perception and behavior. This needs to be supported by adequate public toilet infrastructure.

Tirupati

Various options for monitoring have been evaluated to address the risks considering the institutional strengths of MCT. The integration of clear service provision indicators for different engagement/business models in the contract/tender templates will enable TMC to effectively monitor and enforce the contracts. The online inventory tool is used to monitor the PT toilet management (track status, plan and take corrective actions).

 

Why is this important

Though the day-to-day operations and maintenance (O&M) of the toilets might be handed over to private enterprises for a fixed term under a contractual framework, the municipality needs to regularly monitor the operators’ performance to ensure prescribed service standards are met. While a contract can be drafted with well-meaning intentions, it only becomes an effective management and service delivery tool if monitored and enforced in the right spirit. Indeed, effective monitoring is crucial to the project’s success.

Contents

How to go about it

1. Define service standards

2. Formulate performance indicators as well as a service charter and commitments

3. Build the municipality staff's capacities to administer the contracts

4. Establish a framework for efficient monitoring

5. Populate and monitor inventory (supply enquiry matrix)

6. Plan service delivery and take corrective measures if needed

Application on ground

How to go about it

          Monitoring success factors

The onus of monitoring is on the municipality. It will need to manage the different contracts (e.g. one contract per cluster). Municipalities are advised to put in place a robust monitoring framework and tools to keep an eye on user perceptions and the operator’s service delivery, thereby ensuring and controlling the PT’s effective planning and management. Monitoring can be done internally (through the municipality), by the community or outsourced.
The development of the monitoring framework should involve the following steps:

1. Define service standards

The operation of any toilet depends on the performance standards that need to be maintained. Standards are defined using toilet operations guidelines (e.g. CPHEEO), universal standards, inputs from user perception surveys and by referring to best practices. Performance standards decide the operational aspects and model for running toilets to the defined performance levels (e.g. manpower optimization by sharing cleaners among 2–3 toilets during non-peak hours), which in turn decides the cluster and contracts to be monitored.

2. Formulate performance indicators as well as a service charter and commitments

Based on the defined service standards, the performance parameters and indicators need to be formulated (e.g. litter bins and mirrors to be cleaned x times per day). Indicators should be simple, objectively verifiable and measurable. They need to link to non-performance under the contract and associated remedial actions. The municipality should develop and update the service charter of the contract to ensure and control the operator’s service delivery (e.g. gender access obligations).

3. Build the municipality staff’s capacities to administer the contract

4. Establish a framework for efficient monitoring

The monitoring framework helps examine the progress and quality of PTM at two levels:

  1. Ward level – Actual services: User satisfaction and inspection of sanitation facilities. Involves city, operator, user and community
  2. City level – Compliance to contract agreement: City analyses the data captured at ward level and enforces contract conditions for O&M and if applicable construction on the operator (operational standards and performance benchmarks and penalties). Involves city and operator
    Monitoring framework
        Monitoring using the online asset inventory

5. Populate and monitor inventory (supply enquiry matrix)

Data collected should be captured and monitored in the online asset inventory. 

6. Plan service delivery and take corrective measures if needed

Monitoring allows the municipality to assess if the project is on schedule in meeting its objectives and performance targets and, if required, to take corrective action. The inventory data show the PT status – whether indicators are met or not (performance appreciation or complaint) – and as such facilitates decision making:

  • Complaints Page: Overview of all reported issues, which can also be viewed on a map (red circle icons that when clicked provide a complete list of issues and the basic PT details).
  • Update and Address Issue Page: The user can request or initiate corrective measures for a specific toilet (select toilet, issues and sent complaint or remark).

Application On Ground

Shimla

The inventory analysis showed most toilets lacked basic facilities (user perception survey). With access to toilets being a basic human right, Shimla decided to develop performance standards that are the same for each toilet irrespective of its revenue potential, user type or any other aspect of toilet: (1) 100% cleanliness in and around toilet throughout day; (2) Operational from 6am–8pm (3) Availability of running water for flushing and ablution; liquid soap and toiletries; lights (inside, outside, on access road); exhaust fans, hand dryers, paper napkins; complaint register; user charge display (collection as per agreed rates); cleaning time sheets (filled by cleaner); (3) All electrical fixtures working (timely replacement); (4) Women’s toilets with separate cleaner; (4) Regular maintenance of all plumbing, floors, pump, etc. (replacement if required); (5) Half-yearly painting; and (6) Data collection on water usage, footfalls, etc. as specified by Municipal Cooperation Shimla (MCS) in contract

Tirupati

As part of the monitoring framework, TMC developed a Quarterly Reporting Template to be submitted by the operator to TMC every 3 months, providing information on: (1) number of users per day – male and female, type of usage; (2) User fee collected for each user (number and type) and advertisement revenue; (3) Water consumed, water supplied by TMC and quantity required for next 3 months; (4) report on performance standard (achievement) for each toilet and copy of inspection cards; (5) Repair or maintenance work carried per toilet and respective cost incurred; (6) Manpower deployed, number of shifts and gender breakdown; (7) update asset inventory with all repairs and replacements; (8) Number of complaints and suggestions received, type and resolution; (9) Other as by TMC.

 

Bolivia

La UPB fue creada hace 30 años como una institución sin fines de lucro y es patrocinada por la Confederación de Empresarios Privados de Bolivia y por la Federación de Entidades Empresariales Privadas de Cochabamba.

La misión de la UPB es: "Crear, adaptar y utilizar conocimiento mediante la investigación, transmitirlo en procesos de enseñanza-aprendizaje y difundirlo al entorno mediante procesos de extensión universitaria.”

La UPB es la universidad privada mejor posicionada en Bolivia en términos de producción de conocimiento, cuenta con 12 centros de investigación cuyos resultados exitosos se evidencian en haber ganado consistentemente la mayor cantidad de premios en los concursos nacionales de producción científica patrocinados por el Gobierno Nacional.



Brasil

CONDOMINIUM - Emprendimientos Ambientales Ltda., es una empresa fundada en 1993 con sede en la ciudad de Recife, en el estado de Pernambuco, Brasil.

Con una reconocida actuación en servicios de saneamiento básico, especialmente en lo que se refiere al sistema de alcantarillado sanitario, tiene como propósito contribuir a la universalización de la atención y valorar la participación de la población durante todo el proceso de implantación. Los impactos positivos de su solución contribuyen a los Objetivos de Desarrollo Sostenible, específicamente ODS 6: Agua Potable y Saneamiento.





UFES, fundada el 5 de mayo de 1954 a través de un proyecto de Ley propuesto por el gobernador Jones de los Santos Neves, la Universidad Federal de Espírito Santo (UFES) es la mayor institución de enseñanza superior del Estado. Actualmente con sede en la capital de Victória, también está presente en Alegre y en San Mateo.

NÚCLEO AGUA de UFES - Núcleo de bioingeniería aplicada al saneamiento, es un grupo de investigación, desarrollo e innovación que pretende desarrollar o mejorar tecnologías sostenibles de saneamiento.










Colombia

CAWST, Centro para las tecnologías asequibles de agua y saneamiento, (por sus siglas en inglés) es una ONG con base en Alberta, Canadá, fue fundada en 2001 y opera a nivel global, incluyendo Latinoamérica.


Abordamos la necesidad mundial de agua potable y saneamiento mediante el desarrollo de habilidades y conocimientos en lo que respecta a soluciones descentralizadas que las personas pueden implementar de forma independiente. Estas capacidades son transferidas mediante servicios de capacitación, asesoría y acompañamiento técnico a proyectos de agua y saneamiento.





Costa Rica

ACEPESA, es una organización que desarrolla acciones innovadoras por medio de la capacitación y asistencia técnica en gestión integral de residuos sólidos, desarrollo económico local, agua y saneamiento, con el fin de potenciar el desarrollo de las poblaciones locales con perspectiva de género y diversidad.










Ecuador

LatinRedes WASH, conectamos a la Gente con las Redes en Agua & Higiene & Saneamiento de Latinoamérica y el Caribe

FB: https://www.facebook.com/latinred.wash/

TW: https://twitter.com/LatinRedesWASH








El Salvador

Global Water Partnership, Central América, (Asociación Mundial para el Agua) es una red internacional de organizaciones involucradas en el manejo de los recursos hídricos. Cuenta con miembros de Belice, Guatemala, El Salvador, Honduras, Nicaragua, Costa Rica y Panamá.

La visión de GWP es la de un mundo con seguridad hídrica y su misión es promover la gobernabilidad y gestión de los recursos hídricos para un desarrollo sostenible y equitativo.





Honduras

SNV es una organización internacional sin ánimo de lucro, fundada en los Países Bajos hace 54 años, con presencia en 26 países de América Latina, Asia y África.



La meta de SNV es provocar cambios duraderos en las vidas de millones de personas que viven en la pobreza. SNV proporciona servicios de asesoramiento, desarrollo y ejecución de programas y proyectos, así como, evaluación y generación de conocimientos.

SNV se orienta a una sociedad en la que todas las personas, independientemente de su raza, clase o género, gozan de libertad para perseguir su propio desarrollo sostenible.




México y Cuba

En 1977 BORDA (Asociación Bremense de Investigación y Desarrollo de Ultramar) se fundó en Alemania como una organización de expertos para la provisión de servicios públicos básicos en las áreas de agua, saneamiento y energía.

Nuestro trabajo se centra en crear servicios de agua y saneamiento innovadores y sostenibles para el futuro. Para ello trabajamos en las correspondientes áreas de ingeniería técnica y social, la planificación urbana, la capacitación, el manejo de conocimientos, así como la investigación y el desarrollo.

BORDA Las Americas persigue un enfoque intersectorial con el cual las soluciones propuesta procuran impactar a varios o a todos los sectores.






Nicaragua

RASNIC, es la Red de Agua y Saneamiento de Nicaragua, integrada actualmente por 59 miembros entre instituciones del estado, organizaciones no gubernamentales, organismos de cooperación, asociaciones y profesionales.

BORDA Nicaragua es el enlace contacto de RASNIC, que funciona como plataforma de apoyo a la modernización y fortalecimiento del sector agua potable y saneamiento; facilitando y promoviendo la gestión del conocimiento, el debate informado, el intercambio de experiencias, conocimientos, difusión de tecnologías entre sus miembros y aliados, y promover acciones de incidencia y abogacía para contribuir en la concertación de políticas y normativas que contribuyan al incremento del acceso con calidad, dignidad, equidad, pluralidad y al enfoque de integralidad de los servicios de agua y saneamiento, especialmente en las áreas rurales y periurbanas en Nicaragua.






Perú

X-Runner, es una organización que se formó en el 2012 para contribuir a la reducción de la brecha de saneamiento en Lima, Perú a través de una solución innovadora, segura y accesible dirigida a los hogares desatendidos en las periferias de la ciudad. La organización utiliza un modelo de servicio que cubre toda la cadena de saneamiento para proveer de una solución segura y digna a sus hogares usuarios. Actualmente, la organización beneficia a más de 4000 personas a diario con su solución y está presente en más de 140 comunidades en el sur de Lima.

El modelo ambicioso e innovador de la organización ha sido reconocido y premiado a nivel nacional e internacional por su enfoque alternativo y potencial para contribuir a la cobertura de saneamiento de la ciudad de manera inmediata para las zonas más vulnerables con un modelo replicable.

 

Why is this important

Sanitation problems are attributed to the absence of regulatory and policy frameworks and targeted programmes that aim to eliminate the disparities in access to sanitation and services. Moreover, overlapping institutional activities and responsibilities (i.e. governance structures that vest the responsibility of public service delivery with multiple agencies) dilute the accountability and transparency mechanisms.

Contents

How to go about it

Application on ground

How to go about it

In order to effectively drive change through state-level policies and strategies, states and cities need to focus on creating well-defined regulatory mechanisms, appropriate economic and financial incentives and ensure clear institutional roles, responsibilities and structures as well as capacities to fulfil those.

At the national level, the National Urban Sanitation Policy (NUSP), Swachh Bharat Mission and AMRUT provide a pan-India policy framework for sanitation sector development and offer guidelines and strategies to states and cities to achieve their sanitations goals and to strengthen city-level institutions. Municipalities are advised to use the below tools and strategies to ensure efficient public toilet management:

  • Responsibility matrix for public toilets management (Table) and allocation of required resources
  • Institutionalize PTM planning and management process and align with city’s sanitation strategy (develop City Sanitation Plans (CSP) if required)
  • Include design, construction, materials and O&M guidelines in the existing regulatory framework
  • Optimize funding (box) and devise adequate financial incentives and mechanisms to attract private sector interest (ensure business case)
  • Develop strong monitoring mechanisms (e.g. service provision, open defecation, urination, etc.), performance indicators (output, outcome), penalties for non-compliance
  • Build internal capacities for planning, execution, O&M and monitoring
  • Develop contract templates
  • Initiate public awareness campaigns
  • Introduce data management system

Application On Ground

Tirupati

The city's institutional structures were weakened by multiple agencies (diffused accountability), inadequate coordination and capacities (TMC only responsible for O&M, lack of involvement and capacities in the planning and structuring of PT projects) and the absence of monitoring and enforcement mechanisms (unaccounted poor service delivery outcomes). As such, TMC was not able to successfully manage PT projects. To plug these gaps and ensure seamless service delivery, the state must confer full and final responsibility for citywide sanitation to TMC (devolve power, functions, functionaries and funds). TMC has been recommended to use and apply the PTM strategies and tools. TMC, together with GIZ, used the DPRs to develop training modules and operational and maintenance guidelines to strengthen the capacities of various stakeholders towards sustained PTM. The guidelines and capacity building will supplement measures already taken by the Government of Andhra Pradesh and the TMC towards a more systematic and demand-based design and management of public sanitation facilities. The interventions, results and learnings have led TMC to dedicate financial resources and to create a separate budget head for public toilets for the Financial Year 2014-15.

Shimla

In the SNUSP Phase 1, the constitution of CSTF proved beneficial to guide the implementation of the CSP. Shimla constituted a similar task force to support the efforts around public toilets processes under the CSP implementation, comprising of MC Shimla executive staff and council members from the three ruling parties (Commissioner, Assistant Commissioner, Chief Health Officer, Water Supply Engineer, Project Coordinator, EU Project, JNNURM Project Cell representative, GIZ Technical Expert, as well as the Mayor, Deputy Mayor and interested council members for relevant subjects). Bringing together the three parties to jointly improve sanitation in the city has been a success in itself. The core group’s role was to support the process of developing various tools and instruments, inter-departmental coordination and introducing the technical advice provided by GIZ. Eight core group meetings have been held since its constitution in June 2014. Decisions taken have been forwarded to the city council for approval and implementation. Key successes have been: (1) single point of contact for discussions and decision making to support quick implementation; (2) fast track dissemination of information, clearances and multiple processes managed by the city; (3) inter-departmental knowledge sharing for incorporating and aligning efforts; (4) a common technical decision point for obtaining council approvals.

 

 

Why is this important

Women are the most severely affected by the lack of clean and accessible toilets in urban areas, especially in slum localities. They often have to wait until dark and walk to open areas outside the community, increasing the risk of sexual assault and harassment, as well as infections, diseases and snakebites. Access to toilets designed for and with the participation of women is vital and in high demand because of their specific needs (i.e. privacy, dignity, security and menstrual hygiene) and is illustrated by women’s willingness to pay for clean toilets. Gender requirement have been included into the national guidelines on Public Toilet Projects, yet it is the cities that need to ensure women, children and the disabled have access to safe and clean toilets.

Contents

How to go about it

1. Gender Benchmark Indicators

2. Detailed gender analysis

3. Gender entry points across the PTM process

Application on ground

How to go about it

Cities need to integrate a gender-sensitive approach across the complete PTM process. Awareness regarding these issues needs to be generated among all stakeholders particularly women, local leaders, ULBs and the general public. The maintenance of toilets is crucial as it directly affects the use of toilets by women (cleanliness, safety). A gender-sensitive approach involves the following steps:

1. Gender Benchmark Indicators

for different stages of the project cycle (site selection, design, planning, construction, O&M, upscaling).

2. Detailed gender analysis

A detailed gender analysis is key to identifying the main concerns, needs and perceptions of women and children. It should be conducted during the planning stage of any PT project to inform the construction or retrofitting and O&M of public toilets (e.g. physical infrastructure, cleaning cycles). This should include sample surveys of a few toilets, field visits, one-on-one discussions, observation of usage pattern and physical infrastructure, and gender proofing of National Guidelines for PT Projects.

3. Gender entry points across the PTM process

Potential activities for each gender head (Figure) need to be identified and integrated into the assessment, planning, implementation and monitoring stage of each PT project (Figure). Gender aspects should be reflected in the location, design, infrastructure (in & outside), support services, management and awareness generation.

Application On Ground

Tirupati

The city identified five projects for gender-sensitive public toilets. Each project considers gender aspects across the complete PTM process - right from the planning stage, while organizing user satisfaction / demand surveys (sampling size specifically included women to capture their perceptions). The identified service quality requirements that emerged have been integrated in the toilet design and O&M (norms, performance standards, etc.). To ensure operators meet the service expectations, Tirupati included them in form of a service charter for toilet maintenance in the contract (e.g. engagement of women in service provision) and monitors the compliance through the accordingly designed monitoring framework (e.g. gender specific user satisfaction surveys).

Shimla

The city identified 3 gender-sensitive public toilet projects for the rehabilitation, operation and maintenance of a total of 125 public and community toilets across the city. A detailed gender analysis was carried out to select the toilets and assess user perceptions from gender perspective. This included field visits to 9 toilets (7 public toilets and 2 community toilets), 1 to 1 discussions with female users and the observation of usage pattern and physical infrastructure. Gender-relevant criteria and indicators from the female users perspective have been developed for the complete project and are being applied in the respective project steps - assessment, planning and strategy (design, tendering), implementation (construction, O&M) monitoring and sustainability. For instance, during the development of the contract documents, gender needs were integrated as one area requiring compliance. The respective service charter was translated into indicators that form the basis of the monitoring framework. The operator’s services are being assessed on specific gender aspects like women’s needs, safety during access, privacy, etc.

 

SANIRESCH's project partners were the THM University of Applied Siences, the Deutsche Gesellschaft für internationale Zusammenarbeit (GIZ) GmbH, Huber SE, Roediger Vacuum, RWTH Aachen, and the University of Bonn. The contact person for each project partner can be found in the following:

Deutsche Gesellschaft für Internationale
Zusammenarbeit (GIZ) GmbH

Sustainable sanitation - ecosan program
Dag-Hammarskjöld-Weg 1-5
65760 Eschborn, Germany

Contact person: This email address is being protected from spambots. You need JavaScript enabled to view it.

University of Bonn
INRES-Department of Plant Nutrition

Karlrobert-Kreiten-Strasse 13
53115 Bonn, Germany

Contact person: This email address is being protected from spambots. You need JavaScript enabled to view it.

RWTH Aachen
Institute for Environmental Engineering (ISA)
Institute of Sociology (IfS)
52056 Aachen, Germany

Contact persons: 
ISA: This email address is being protected from spambots. You need JavaScript enabled to view it. , This email address is being protected from spambots. You need JavaScript enabled to view it. 
IfS: This email address is being protected from spambots. You need JavaScript enabled to view it.

THM University of Applied Sciences 
Wiesenstraße 14
35390 Gießen, Germany

Contact person: This email address is being protected from spambots. You need JavaScript enabled to view it.

Roediger Vacuum GmbH
Kinzigheimer Weg 104-106

63450 Hanau, Germany

Contact person: This email address is being protected from spambots. You need JavaScript enabled to view it.

HUBER SE
Industriepark Erasbach A1
92334 Berching, Germany

Contact person: This email address is being protected from spambots. You need JavaScript enabled to view it.

 

The Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH and the Ministry of Urban Development (MoUD) jointly implemented the “Support to the National Urban Sanitation Policy II (SNUSP II)” Programme to support the Ministry in achieving the targets of the National Urban Sanitation Policy: 100% open defecation-free, healthy and sanitized cities.

To do so, the Programme focused on effective measures against the discharge of untreated wastewater into surface water and groundwater. Together with its partners, SNUSP II prepared and disseminated guidelines for overall urban sanitation plans suitable for medium-sized cities, prepared quality criteria for investment projects and developed manuals for technical solutions. To strengthen the sanitation sector, the Programme provided technical support on systems for managing faecal sludge, operating models for public toilets and systems for non-conventional and decentralized wastewater management as well as capacitated state and city officials in sanitation management.

The Programme’s three-tier approach – interventions at the city, state, and national levels – facilitated the replication and upscaling of the local solutions and promoted the vertical exchange of knowledge, feeding into policy decision-making processes at all three levels and as such enabling a broad impact. The formulation and implementation of City Sanitation Plans (CSPs) was supported through policy advice, capacity building, provision of technical support in developing strategies, standards, guidelines and handholding the actual implementation. For instance, at the city level, SNUSP II was supporting the city of Tirupati and Shimla to improve their public toilet facilities and services. The cities were advised on how to establish and ensure an efficient PTM that covers the different process steps (assessment, planning, strategies, implementation, monitoring and sustainability) and ensures the integration of urban poor and women. The implementation of the state sanitation strategies, citywide sanitation plans and the resulting concrete solutions will ultimately decrease water pollution and improve the sanitation situation in Indian cities, thereby supporting the Government of India’s schemes and missions such as the National Urban Sanitation Policy (NUSP), Swachh Bharat Mission (Clean India Mission) and Atal Mission for Rejuvenation and Urban Transformation (AMRUT).

Partners at the national level

Ministry of Urban Development (MoUD)

The Ministry of Urban Development was responsible for formulating policies, supporting and monitoring programmes and coordinating the activities of various Central Ministries, State Governments and other urban development nodal authorities.

With the National Urban Sanitation Policy (NUSP), India's Ministry for Urban Development launched in 2008 a comprehensive policy framework for municipal sanitation systems to facilitate their improvement. In 2014, the Government of India reinforced its commitment to improve the sanitation situation in Indian cities by launching the Swachh Bharat Mission (Clean India Mission) and Atal Mission for Rejuvenation and Urban Transformation (AMRUT) mission. The latter focuses on the creation of infrastructure to improve the quality of life of all, especially the poor and the disadvantaged.

Partners at the state level

The SNUSP II Programme worked in 5 states (Andhra Pradesh, Telangana, Kerala, Maharashtra and Uttarakhand). In Andhra Pradesh the focus was on public toilet management. Implementing partners are the Directorate of Municipal Administration (DMA) and the Swachh Andhra Corporation.

Partners at the city level for PTM implementation

Tirupati Municipal Corporation (TMC)

The Tirupati Municipality was upgraded into a Corporation in 2007 and operates under the ambit of Andhra Pradesh Municipalities Act 1965. The Corporation administers development-related matters and providing basic civic amenities within the municipal area through 7 administrative sections. The functions and services provided are either obligatory or discretionary in nature. Maintaining public conveniences is one of the functions handled under the Health Department. The Tirupati Corporation uses multiple means to help manage the public conveniences – through its own general funds, or schemes such as Swachh Bharat Mission, etc.

GIZ under the support to the NUSP Phase 1 and 2 has been helping the Tirupati Municipal Corporation on the sustainable management of public toilets. As a result, Tirupati is currently replacing its traditional delivery model to a service- and performance-based delivery mode. This involves the development of new toilet projects using different types of technologies: material quality improvements, self-cleaning toilets, conventional toilets based on the footfall and revenue generation potential.

Shimla Municipal Corporation (SMC)

The Municipal Corporation of Shimla is, under the Himachal Pradesh Municipal Corporation Act 1994 (H.P. Municipal Corporation Act 1994), entrusted with development-related matters of the MC areas and provision of basic civic amenities. The functions and services provided by the MC Shimla, including maintaining public conveniences, are obligatory (entrusted by the Government) and discretionary. Shimla Corporation uses multiple means to help manage public toilets: own general funds, schemes like Swachh Bharat Mission, etc.

Under the NUSP Phase 1 and 2, GIZ has been supporting the Shimla Corporation on the sustainable management of public toilets. As a result, Shimla is envisaging a move from its current delivery model to a service- and performance-based delivery mode. This would involve clustering toilets based on the footfall and revenue generation potential and selecting suitable service providers.

 

The project consists of different components, which are driven by different partners either alone or in cooperation with another partner.
 
The components are:

  1. Sanitary and in-house installations (GIZ/Roediger Vacuum)
  2. Plant technology (Huber SE)
  3. Operation and monitoring (THM/RWTH Aachen)
  4. Quality of the products / Storage of urine (University of Bonn/RWTH Aachen)
  5. Agricultural production / Legal situation (University of Bonn)
  6. Acceptance (RWTH Aachen/University of Bonn)
  7. Economic feasibility (GIZ/University of Bonn)
  8. International adaptability (GIZ)

The responsible partners for each focus point are given in brackets.

Project components

 

1) Sanitary and in-house installations

In the main building of the GIZ headquaters located in Eschborn, 23 waterless urinals of Keramag and 38 RoeVac© NoMix toilets have been installed for the source separation of the wastewater streams.

Within this project component, the RoeVac© NoMix toilets are tested in a continuous-operation mode and necessary modifications are made.

In the course of the project several modifications of the technical components of the RoeVac© NoMix toilets were carried out. In spring 2010 the urine separation valves were modified and potential leakages could be minimised. Furthermore, the Bowden cables were optimised. To reduce the deposition of urine scale, the interior of the valve was smoothened.

Furthermore, experience from continuous operation are documented and recommendations for technical and organisational enhancements are assessed. The documentation is kept in an operation diary, where data of monthly controls and routine maintenance (every six months) are listed. The results have shown that the average lifetime of a valve is 221 days. The most frequently changed components are the Bowden cable and the valve. The main reason for this is that they are the most intensely used components of the RoeVac© NoMix toilets. The most frequent troubles were caused by urine scale depositions and incrustations. However, these depositions are not just a particular problem in this project, they generally occur in public toilets. To prevent precipitation of urine scale no technical solutions are currently known, except of thorough and regular cleansings with adequate detergents.

Publications of this project component "Sanitary and in-house installations"

This component was led by Roediger Vacuum GmbH and supported by GIZ.
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2) Plant technology

TREATMENT OF URINE IN A PRECIPITATION REACTOR

Due to dwindling fossil phosphorus ressources it is necessary to preserve the existing resources and search for long-term alternatives. One alternative source for phosporous is urine. For this reason urine is treated with the help of a chemical-physical process in a precipitation reactor. In this process, the crystalline magnesium-ammonium-phosphate (MAP; also known as struvite) is produced by adding magnesium oxide, which is considered to be a valuable fertiliser in agriculture.

The installation of the MAP precipitation reactor took place in May 2010. The MAP production is running. More information can be obtained in the attachments.

TREATMENT OF BROWNWATER WITH MBR

Over the last years the membrane technology has proven of the value for treatment of wastewater and the production of process water. The procedural combination of membrane ultrafiltration and activated sludge process optimise the bioloical treatment process. In many regions space in cities is limited, because of the high population increase. With the use of a MBR it is possible to treat wastewater within a limited area available. After removal of the solids by the use of a primary screen in pre-treatment, the brownwater (faeces and flush water) is treated in a membrane bioreactor (MBR). Here, detrimental substances, as well as solid, bacteria and almost all viruses will be degraded or rather restrained. Bathing water quality is produced fulfilling EU regulations. Due to microbiological properties, permeate can be used as process water in buildings and for irrigation in agriculture without any problems. 

The brownwater treatment plant was installed in June 2011.

TREATMENT OF GREYWATER WITH MBR

Membrane bioreactors are also very effective in treating greywater (the kitchen and wash water). The treated water fulfils the EU regulations for bathing water and is well-suited for in-door usage as process water. For example it can be used for toilet flushing, heating and air conditioning. The process water can be also used for irrigation in agriculture or for gardening.

The greywater treatment plant was installed in May 2011.

Publications of this project component "Plant technology"

The lead of this component was HUBER SE.

The treatment lants were deinstalled at the end of the project in December 2012.
Pictures of the deinstallation are available at the SuSanA Flickr album.
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3) Operation and monitoring

The measures regarding operation consisted of the steering, control and monitoring of the treatment plants by remote monitoring; the elimination of disturbances and breakdowns; regular inspection and maintenance; refilling of consumables. Furthermore, the relevant basic parameters were analysed in urine, brownwater and greywater to gain further information on the characteristics of the wastewater streams. Until now, only little information was available on the composition of the wastewater streams from the office buildings.

MAP-PRECIPITATION

Process control
The reactor works in a semi-automated batch mode. One cycle describes following process steps: filling of the precipitation tank, dosing of the precipitation agent, stirring, solidifying and sedimenting, draining the mixture into the filter bags, drip-off of the supernatant urine through the filter bags. At the beginning of a cycle, up to 40 l of urine are led into the funnel-shaped precipitation tank coming from one of the four storage tanks. Afterwards an adequate amount of MgO (ß-factor 1.5) is added as a precipitation agent by the dosing unit. The MgO is welded in a bag made of polyvinyl alcohol. Through contact with the liquid the thermoplastic synthetic dissolves within a minute and the MgO is agitated with the urine. The magnesia is bonding with the phosphate and ammonium and forms MAP (magnesium-ammonium-phosphate). After a solidifying (the MAP crystals need approximately 30 min) and sedimentation time of approximately 90 min the MAP enriched urine (about 5 l) and the urine supernatant (about 35 l) are getting drained into different filter bags with a pore size of 10 µm. 20 of these cycles build a batch. Because there is space for 5 filter bags within the reactor, the bags are filled four times each with urine supernatant or MAP enriched urine. After four fillings, the bags rotate to the next spot and are filled with the respective component. Within 20 cycles (1 batch) each filter bag is filled four times with urine-supernatant and four times with enriched urine before they are ready for the following processing. Within this experiment an amount of 0.7 to 1.3 g of MAP could be extracted per liter urine, using technical magnesium oxide.

Attendance and maintenance
Following tasks have to be done on a regularly base to guarantee the operation: functional check of all pumps and engines, checkup of the dosing-unit, control of the sensors, control of the urine tanks, inspection and documentation of the operating parameters, cleaning of incurred depositions and cleaning of the urine tanks and pipes. These general maintenance, need a time exposure of approximately 70 min per batch. 
The processing steps for the MAP production includes the manufacturing of magnesium oxide bags through weighing and heat sealing, handling of filter bags, emptying and drying of the collected MAP. Time requirements are approx. 100 min per batch. 
The produced MAP is preserved in plastic bags of 10 g each and handed over to interested persons for experimental purposes or is used within the field trials of the University of Bonn. Consumables for the MAP reactor are the precipitation agent magnesium oxide, the polyvinyl alcohol bags and the needle felt filters, where the MAP gets collected. The cost for magnesium oxide is 0.31 € per dosing unit of 14 g, which is used for one cycle. The costs of magnesium oxide for 1 l urine are 0.0075 €. Projected onto the amount of urine that accrues during a whole year the cost adds up to 350 €/a. The needle felt filters cost 3 € per piece. With a life time of 4 cycles or 160 liter of urine, the total costs are 870 €/a.
Problems that occurred during the precipitation where caused by larvae of flies that have entered the pipe system in the years before. They were responsible for a large part of the upcoming pollution in the tanks and pipe systems which have to be filtered before treating the urine. This leads to a higher expense of cleaning because the bevel seated mud flap that separates solid matters from the urine is getting blocked quickly in case of a higher appearance of the particular larvae. In this case the feed of urine to the reactor chamber is prevented. To minimize this disorder it is necessary to clean the mud flap every day of maintenance. To reduce the amount of maintenance required, the feed pipe to the reactor has been equipped with a filter element of 2.7 liter volume and a 0.8mm size of hole before the mud flap. The interval of cleaning has been essentially enhanced through this optimization.

MEMBRANE BIOREACTORS

The Saniresch MBRs were usually operated with a constant low sludge loading of 0.1 kg COD/(kg TS x d). Based on the measured concentrations of COD in the inlet and the biomass concentration in the active sludge reactor, the necessary permeate volume was calculated. By this mode of operation the transmembrane pressure varied between 45 and 75 mbar for the greywater plant and between 37 and 68 mbar for the brownwater plant. Intention was to create a trouble free and stable operation. This is especially important during the starting phase to allow the microorganisms to adjust to the composition of the wastewater. Usually membrane bioreactors operate with biomass concentrations of approximately 12 g/l. For reasons of operational stability, both reactors were operated with a constant biomass concentration of 4 g/l of the greywater and 8 g/l for brownwater. To prevent the membrane from fouling and scaling, the membrane is permanently overflown with air. For that reason oxygen is present in the system and prevents the nitrate to convert into elemental, gaseous nitrogen, which is only possibly under anoxic conditions. Thus only oxidation of ammonium to nitrate (nitrification) happens within the treatment. The reuse of water is the main motivation for grey- and brownwater treatment. The specific quality requirements for hygiene depend on the intended use. Relevant quality parameters are the BOD5 concentration (storage capacity), turbidity (aesthetic concerns) and the biological load (health risks).

GREYWATER TREATMENT

Operation
At the beginning very high concentration of phosphorous (36 mg/l) were detected in the greywater. First presumptions pointed at the phosphorus containing dishwasher detergents that were used in the building. Analyses confirmed high phosphorous concentrations in the dishwasher tabs. After a gradual change to phosphorous free dishwasher agents a decline of the phosphorous concentration was detected. The change took place from mid of July to September 2011. When the phosphorous-containing dishwasher agents were depleted the amount of phosphorous dropped to a value of 13 mg/l. The average COD of the greywater was 640 mg/l. This is a high value for greywater compared to the brownwater (830 mg/l). The average COD of the resulting permeate was 30 mg/l. This leads to a cleaning capacity of 96% of membrane bioreactor. The measured ratio of the nutrients carbon to nitrogen to phosphorous was C : N : P = 100 : 2.3 : 1.2. This composition of the wastewater streams is in line with those described in literature.

Attendance and maintenance
Following activities were required for controlling and maintaining the greywater treatment:
Examining the general condition of the installation like density of fittings, function check, recording of settings like filling level, parameters etc. sampling of the greywater and analysis of the activated sludge, control of the transmembrane compression and the bubble formation, adjustment of the sludge loading and controlling of the floating sludge, execution of cleaning work like removal of deposition, cleaning of the screen basket, inspection of wearing parts, etc.

BROWNWATER TREATMENT

Attendance and maintenance
Following activities were required for controlling and maintaining the brownwater treatment:
Examining the general condition of the installation like density of fittings, manual flushing of the afflux and effluent pipes, function check, recording of settings like filling level, parameters etc., sampling of the greywater and analysis of the activated sludge, control of the transmembrane compression and the bubble formation, adjustment of the sludge loading and controlling of the floating sludge, execution of cleaning work like removal of deposition, cleaning of the screen basket, inspection of wearing parts, etc.
The average COD of the brownwater was 830 mg/l. The average COD of the resulting permeate was 23 mg/l. This leads to a cleaning capacity of 97% based on the membrane bioreactor. The measured nutrient ratio was C : N : P = 100 : 8.6 : 1.3, and is also in line with literature values.

ROOM VENTILATION

The reactor room possesses an air connection to an actively via the roof discharging pipe. The connection of the facility to this existing exhaust system ventilates actively the reactors, the drying box, the reactor room as well as the urine tanks. The whole facility is sealed air tight to prevent odors. This is very important due to the fact that the treatment plant is set up in an office building. An elevator shaft that is nearby holds the risk to spread resulting emissions quite fast in the whole building. The investment cost for the room ventilation was 1200 €. The energy costs could be quantified to 2400 €/a for the used configuration and a volume related performance of 1526 m³/h.

REMOTE DATA TRANSMISSION

To guarantee an undisturbed operation of the facility even outside the office hours and to intervene at incidents immediately, the facility was equipped with a remote data transmission. This transmission technology provides access to all operating data of the decentralised plants from an external control station to evaluate their operating states. Regular data evaluation allows for the targeted control of equipment operation and early detection of certain tendencies. An alert unite was able to send alerts vie SMS to the plant manufacturer as well as service personell.

Publications of this project component "Operation and monitoring"

The leads of this focus point were the THM University of Applied Sciences and the RWTH Aachen. back to top

 

4) Quality of the products / storage of urine

A central aim of the measures for nutrient recovery from wastewater streams is to guarantee the best possible separation between valuable substances and pollutants. It is necessary to ensure a high-quality application of the nutrients. The pollutant concentrations in the recycled products are ideally not higher than the range of the concentrations in mineral fertilisers. This aspect will be assessed within the project component “quality of products”. The concentration of investigated pollutants will be compared with the existing legal limit values as well as with the limit values under discussion.  The main focus will be on the fate of trace elements as well as ultra trace elements during and after the treatment.  In particular, pharmaceuticals must not be found in the fertiliser product.

URINE

Through urine most of all ingested nutrients are excreted: about 80% of nitrogen and possadium, 60% of phosphorus and nearly 100% sulphur. These important nutrients are needed in agriculture. In addition most of pharmaceutical residues are also excreted through human urine. With this background, in 2010 and 2011 research on several pharmaceuticals within SANIRESCH was done. None of the samples which were taken from the urine tanks had Carpamazepine, Chloroquine and Sulfamethazine above the detection limit. Bisoprolol, Diclofenac, Metroprolol, Tramadol and Ibuprofen were detected in measurements in both years, even though the concentrations in 2011 were much lower compared to those of 2010. No reason could be found for this variation, due to the huge amount and variety of users. 
No bacterial contaminations with Salmonellae, Clostridium or Psdeudomonas aeruginosa were observed in 2010.

AMOUNT OF COLLECTED URINE

To plan the application of urine as a fertiliser the amount of produced urine per working day has to be known. Since May 2011 the fill level of every urine storage tank has been measured at a ten second interval by way of electronic measuring probes. Thus it was found out that on average 174 l urine per working day are produced.

STORAGE OF URINE

Analyses were done to observe, whether pharmaceutical residues are decomposed during the storage of urine. This decomposition behaviour within the storage tanks of GIZ was quantified for the detected pharmaceutical residues of Bisoprolol, Carbamazepine, Chloroquine, Diclofenac, Metoprolol, Sulfamethazine, Tramadol and Ibuprofen. The respective storage conditions were observed. Additionally, storage conditions were simulated (e.g. variation of pH value) in laboratory tests to determine the influences of different storage parameters. The concentrations of pharmaceuticals in the urine were too low for elimination experiments. Therefore, the samples were each spiked with 100 µg agent per litre. 
The experiments have shown that only Diclofenac and Sulfamethazine were decomposed up to 97% respectively  94%, but on different pH values. During a storage experiment, where the pH value of urine was kept constantly on 6.5, the elimination rates were only 29% for Diclofenac and 70% for Sulfamethazine. A change of the pH value during the storage of urine produced by a big amount of people like the GIZ staff members and which contains a mix of various pharmaceuticals does not show a clear elimination on pharmaceuticals in their entirety. The conclusion is that if urine is collected from a bigger community of people it is necessary to choose the application  form of the precipitation product MAP (see below) to exclude a possible spread of pharmaceutical residues into the environment.
Also a possible loss of nutrients should be considered: After the urine was stored over a time period of six months (WHO recommends this time for a complete hygienisation) the total nitrogen concentration was decreased by 22 % - on all inducted pH values. However, a decrease of the phosphorus concentration, which is crucial for the application as a phosphorus fertiliser, was not determined.

MAP (MAGNESIUM-AMMONIUM-PHOSPHATE)

Within the urine treatment by way of the MAP precipitation, a free-flowing powder is produced which contains the nutrients phosphorus and nitrogen and can be used as a solid fertiliser in agriculture. MAP (NH4MgPO4•6H2O) can be used as a P-based compound fertiliser for basal fertilisation and for keeping up the P-supply in the soil. An additional N-fertiliser is still necessary to cover the whole nutrient demand of the plants. 
Earlier experiments of the ISA in Aachen with MAP which was produced from urine spiked with pharmaceuticals have shown that the small amount of pharmaceutical residues adhering to MAP can be removed by washing with a saturated MAP solution. Thus, these pharmaceutical residues are not soundly enclosed in the MAP crystals and subsequently the product can be applied as a fertiliser without further concerns. But it has to be considered that the washing process leads to a higher loss of potassium (46%), sodium (65%) and to a smaller loss of nitrogen (2%) and calcium (4%). 
When implementing the MAP precipitation on a larger scale a washing would not be necessary, since no pharmaceuticals could be determined above the detection limit (LOQ <1 μg/g) in the MAP product produced from urine which was not spiked with pharmaceuticals.

DRYING OF MAP

The drying process of precipitated MAP is an essential working step before it can be used as a solid fertiliser. The drying effect leads to a clear decrease of the bacterial count in the dried product, because the microorganisms are not able to survive in MAP with water content below 20%. 
The drying experiements which were done within SANIRESCH have shown that high temperatures cause a severe loss of nitrogen. When using the product as a fertiliser, this high amount of nitrogen loss has to be considered. The smallest nitrogen loss within the conducted experiments could be reached at a drying temperature of 30°C over a time of eight days (when the constancy of weight is reached).

SERVICE WATER FROM THE GREY- AND BROWNWATER TREATMENT

Within the ongoing operation monitoring nutrient contents and standard indicators are measured regularly. It was determined that the cleaning performance of the greywater treatment plant regarding COD is 95% and of the brownwater treatment plant 97%. The remaining concentration of 30 mg/l in the treated greywater and 23 mg/l in the treated brownwater enables sufficient storage ability as service water. 
In the treatment plants an oxidation of ammonium to ammonium nitrate (nitrification) takes place. The membranes are continuously flooded with air to prevent blocking.
At the beginning of operation the phosphate concentration in the greywater was very high (36.3 mg/l). Dishwasher tabs used in the kitchens, which contained phosphate, were determined as the reason for the high concentrations. After switching to phosphate-free tabs the phosphate concentrations decreased to 13.3 mg/l. 
In addition to these standard measurements regarding the nutrient content, the treated service water from the greywater plant was analysed to obtain the effectiveness of the decomposition of surfactants from the kitchens. Dilluted in water, these chemicals reduce the surface tension at the interface between the oil and water molecules and are therefore a common substance in detergents.
The service water from the greywater treatment plant was enriched by a factor of 50 to verify the surfactants by the way of liquid chromatography-mass spectrometry (LC-MS). During the positive ionisation to detect neutral surfactants, no distinct surfactant spectra were verified. During the negative ionisation to detect anionic surfactants, secondary and linear alkyl sulphonates from usual detergents were detected. Another result of the tests was that by means of the cleaning effectiveness of the greywater MBR reactor, the surfactants concentration in the treated service water is decreased by the factor of 10 compared to the untreated greywater inflow.

Furthermore pharmaceutical residues were obtained. As expected, no residues were found in the inflow and permeate of the greywater treatment plant. Microscopic tests were done for both treatment plants to verify the microbiological harmlessness of the treated service waters orientated on the quality standard of the European bathing water guideline. Considering the fact, that relevant bacteria were found only in very low bacteria counts (greywater: coliform bacteria: 0.7/ml, E. coli: 0.4/ml; brownwater: coliform bacteria: 2/ml, E. coli: 1/ml), both treated service waters meet the quality criteria of the bathing water guideline.
A microscopic image of the activated sludge of both treatment plants provided insight into the biocoenosis of the biological treatment stages and their cleaning effectiveness. The composition of the biocoenosis in the greywater treatment plant stands for stabile operation conditions. In the brownwater treatment plant indicator species were detected which indicate a high sludge age and thus a stabile operation condition.

Publications of this project component "Quality of the products / Storage of urine"

This focus point was led in common by the University of Bonn and the RWTH Aachen. back to top

 

 

5) Agricultural production / legal situation

This component dealt with the agricultural use of urine and MAP (struvite)  as fertiliser as well as the related legal aspects.

The component was led by the University of Bonn.

FIELD TRIALS ON FERTILISER EFFECTS

Fertiliser experiments in the open field are the main part of this component. The tests took place on parcels from the University of Bonn (Campus Kleinaltendorf). They are situated in the Lower Rhine Valley on the main terrace of the Rhine, one of the most important fruit-growing regions of Germany. In these experiments, the fertilising effect on the energy plant Miscanthus (“elephant grass”), the cereals spring wheat and spring barley and on maize are investigated. Additionally fava bean was fertilised to analyse the fertiliser effect on N-fixing plants (legumes).  The fertilising effect from urine of the GIZ headquarters and MAP (product of the urine treatment in the MAP reactor) is compared with the effect of mineral fertiliser application (calcium ammonium nitrate and ammonium magnesium phosphate) and zero use of fertiliser. The liquid fertiliser was applied at ground level to assure a high infiltration into the ground and to keep the volatilisation on a low level. This was done by using a slurry tanker with multiple small bore hoses for ground application. The fertilisation with urine and MAP was successful on all plants. There were no differences in crop yield or maturing time compared to plants fed with artificial fertilisers.

EMISSION COMPARISON

Within this component the gaseous emissions of laughing gas (N2O) and ammonia (NH3) by using urine as a fertiliser were compared with the emissions of two kinds of fermentation residues from biogas plants. Laughing gas is a greenhouse gas and contributes 6% to the anthropogenic greenhouse effect. Additionally it is one of the biggest sources for ozone reduction. Agriculture is with 50% of overall emissions Germany’s biggest laughing gas emitter. Ammonia leads to an acidification in the environment and to an eutrophication in eco systems. E.g. in Germany the agricultural sector produces 95% of all ammonia emissions.

One type of the applied fermentation residues consisted of 86% cattle manure and 8% maize silage (GR1). GR2 consisted of 50% cattle-swine-manure and 43% maize silage. As well as before the fertilisers were applied at ground level to reduce volatilisation. The fertilised plant was spring barley. The ammonia emission on the urine parcels is with 3% of all applied NH4-N considerably lower compared  to the emissions of the parcels fertilised with the fermentation residues where GR1 emitted 31% and GR2 emitted 17% of NH4-N. The N2O emission of urine (0.01% of the applied NH4-N) was about ten to fifty times lower compared to the emissions of the fermentations residues (0.57% GR1 and 0.11% GR2). Hence, when considering the emissions of laughing gas and ammonia urine performs much better than the fermentation residues and slurry. The main reason for thisis a better infiltration into the ground because of a lower percentage of solid matter.

GREENHOUSE EXPERIMENTS

To better assess the potential hazard caused by pharmaceuticals in urine for human health the behaviour of pharmaceutical residues which were applied by urine in spring wheat were analysed. Because of the extremely low active agent concentrations, a constant and precise controllable environment is needed which can be assured by greenhouse pot tests. Besides an analysis of untreated urine, the following substances were added to the GIZ urine in two different concentrations (0.1 and 1 mg): Estradiol, Atenolol, Carbamazepine, Diclofenac and Verapamil. Only Carbamazepine could be detected in the in corn and stems of summer wheat of the enriched urine. Other spiked agents could not be detected. The tests with untreated urine did not lead to any measurable agents in the plant.

GERMINATION EXPERIMENTS

In order to assess the effect of urine application on germination experiments with sun flower and spring wheat seeds were conducted. After direct application as well as after application with urine that had been diluted (10%), the germination showed to be inhibited. This is caused by the high salt concentrations in urine. Variations of the pH value showed no impact. 

The application of urine with an average concentration of pharmaceuticals and with a concentration of pharmaceuticals ten times higher than the average concentration did not have any negative impact on the germination of sun flower and spring wheat. During the field trials no germination restraints could be determined. This is because no direct contact between seeds and urine exists. Additionally the soil has a buffering effect. However, it is recommended not to apply the urine and simultaneously sowing the crop.

Publications of this project component "Agricultural production / legal situation" 

LEGAL SITUATION

The legal framework regarding the separation, treatment and utilisation of urine are clarified and advices for responsible administrative bodies to improve this framework are prepared. In Germany no corresponding guidelines regarding the usage of yellowwater / urine as fertiliser exist. The German legislation for placing fertilisers on the market (Fertiliser Ordinance and Fertiliser Regulation), the regulation regarding the application and implementation of fertiliser (the German Fertilising Regulation) as well as EU legislation are applicable. Corresponding to the Fertiliser Ordinance the application of the fertiliser is subject to authorisation. Authorisation exists when the fertiliser is listed in the appendix of the German Fertiliser Regulation, is legally distributed in another European Country or in an EFTA-member country. To place a new fertiliser on the market, an application for authorisation  has to be submitted to the German Federal Ministry of Food, Agriculture and Consumer Protection. The Fertiliser Advisory Council consults about this submission. According to their advice the Federal Council modifies the fertiliser regulation. back to top 

 

6) Acceptance

The acceptance of the innovative sanitation system and the utilisation of human urine is investigated within the SANIRSCH-project. In conjunction with the agricultural production / legal situation component farmers were asked if they would be willing to fertilise their agricultural crops with human urine. In a second study consumers were asked if they would find products fertilised with urine acceptable. Final results are expected in September 2012.

Another investigation (three-step survey) is carried out to identify user problems and develop counteractive measures. The focus is set on the expectations, desires, handling problems and general attitude of the users as well as the maintenance and cleaning personnel towards the new sanitation system (waterless urinals and urine-diversion flush toilets called NoMix toilets). The main issues of the user investigation are the handling of the system, hygiene, expectations towards the system (also regarding environmental issues), possible implementation in the private sector and reasons for operating errors and perceived complications.

First results show that from an user perspective the main problem is the low flushing force of the NoMix toilets.  Users as well as cleaning and maintenance personnel state that the water pressure is too low, thereby preventing a thorough removal of residuals especially from the front part of the toilet bowl. This problem was also not solved by increasing the flushing volume per use to its maximum possible level. As an alternative users tend to flush the toilets more than once per toilet use. It is supposed that the reason for that can be found in the general design of the toilet bowls. From the perspective of the technical personnel no fundamental concerns about the applied technology were expressed.

Another highly stressed out problem is the odour nuisance emitted by the NoMix toilets and the urinals. The nuisance still existed after improving the valve seals in the toilets and the use of another type of smell stops in the urinals. Especially women show big concerns about the hygiene of the toilets. For an appropriate use women are obliged to sit down. Men can use waterless urinals with no serious behaviour modifications. 

Generally the interviewed toilet users are well informed about the sanitation system and its functionality. The provided information materials are assessed as sufficient. A final survey is conducted in 2012. Based on a comparison between all three surveys more statements regarding the acceptance of the sanitation system will be provided.

The cleaning personnel expressed that they expected an easily manageable technology that would not worsen their working conditions. However, during a group discussion it was reported, that the situation deteriorated, since the cleaning of the NoMix toilets takes more time and is more complicated due to blockages that occur more often than before. Also the cleaning of the waterless urinals is more time-consuming, because of the need of regularly removing deposits on the smell stops itself as well as replacing broken ones. The additional molesting odour increases their discontent about the sanitation system.

Publications of this project component "Acceptance"

The leads of this focus point were the University of Bonn and the RWTH Aachen. back to top

 

7) Economic feasibility

An important aspect for the sustainable success of projects is their economic feasibility. Therefore, within this project component, the investment and reinvestment costs of the system and the running costs for its operation were analysed. Additionally, the system was compared with a conventional wastewater system. 

Moreover, the two ways of urine reuse that were investigated in the project “application of urine after storage” and “MAP (Magnesium-Ammonium-Phosphate) precipitation and utilisation of the product in agriculture” were analysed and compared with the application costs for mineral fertiliser. 

As economic factors having a particular high influence on the feasibility of the project the following were determined: triple pipe system, high costs for NoMix toilets, energy costs of the MBRs, high manual labor of the MAP precipitation process and the mineral fertilisers Calcium-Ammonium-Nitrate and Triple-Superphosphate.

The dynamic cost comparison of LAWA was selected as method. Based on scenarios the total project costs, the annual project costs as well as the dynamic project costs of the SANIRESCH scenarios were calculated along the LAWA guidelines. The two options “Office building” and “Agricultural application” were considered and verified within sensitive analyses.

Comparing the costs for SANIRESCH with today´s costs for conventional wastewater treatment and standard commercial fertiliser, the alternative system is more expensive for both “Office building” and “Agricultural application”. However, the sensitivity analyses show that a certain potential exists. The differences come especially through the higher running costs, which influence is bigger than the higher investment costs. However, the sensitivity analyses show that a certain potential exists. With augmented durability of the spare parts of the NoMix toilets in combination with reduced investment costs of sanitary equipment, the system can reach the cost level of a conventional system. The economic feasibility analysis of the agricultural application showed that both alternative fertilisers are more expensive. Today fertilisation with urine can be economic feasible when the framing conditions such as land prices are adequate, which is not the case in Eschborn.
If higher automation of the MAP precipitation is achieved the system can become economically feasible as well. To achieve this, the production costs have to stay below those for commercial phosphorus fertiliser. This requires a continuation of research and development for the MAP production.

Publications of this project component "Economic feasibility"

The principal lead of this focus point was GIZ. GIZ worked together with the University of Bonn in assessing the feasibility of urine reuse. back to top

 

8) International adaptability

The analysis of the international adaptability of the three treatment systems a Magnesium-Ammonium-Phosphate (MAP) precipitation reactor and two membrane bioreactors (MBRs) treating the grey- and brownwater, designed for and used within the SANIRESCH project specifically focused on developing countries.

The aim was to identify regions and typical situations that are suitable for the implementation of such systems. Additionally, adaptations required for running the treatment plants successfully in emerging and developing countries were identified.

As method the utility analysis (UA) was chosen amongst a variety of other multi-criteria-decision making tools. The UA is generally used for comparing and prioritising complex projects or technologies according to a pre-defined target system. The objective was to design UA matrices that can be adapted and used widely to assess the successful implementation of new alternative sanitation systems. In the first step relevant criteria were defined, weighted and allocated with a rating factor. The main-criteria are health and hygiene, economic, technical, environmental as well as socio-cultural criteria. For each main-criteria a series of relevant sub-criteria were identified within literature reviews and weighted during several expert interviews. 
Also the UA was used to identify global hotspots for the three technologies, where they can be implemented in a global context and demand can be expected. The criteria used for the hotspot analyses were those having worldwide data available: water scarcity, freshwater quality, nutrient- and fertiliser demand / availability, eutrophication, population density and rate of urbanisation.

Overall both, the design of the decision support tool as well as the hotspot analysis reveal a clear picture of the international adaptability of the technologies. However it has to be pointed out that aggregated data had been used for the analyses which do not allow detailed regional estimations and require further investigations for each single case.

The hotspot analysis for the MAP precipitation technology shows that the highest scores were achieved by countries with large population numbers, a high demand for food and hence intensive agricultural activities in countries such as India or Mexico. Another result was that African countries generally yielded low scores. This can mainly be explained by the high proportion of subsistence farming with low or non-existing demand for nutrient inputs in terms of industrial fertilisers.
The assessment of the international adaptability of the grey- and brownwatertreatment revealed similar results. For both plant types the MENA-countries that suffer from water scarcity and water quality achieved the highest scores. But also countries allocated in Central Asia, parts of South-East Australia or the west coasts of America were identified as hotspots. For the implementation of all three technologies only a couple of countries, 9 out of 58, showed good scoring results. Those are Australia, Mexico, China, Pakistan, Turkey, India, Iran, Peru and Spain. All of them show water scarcity in combination with high agricultural activity.

Publications of this project component "International adaptability"

The lead of this component was GIZ. back to top

 

Making a case for public toilets

   Public Toilets in Tirupati

Toilets are a basic necessity but often taken for granted by those who have regular access. Poor public and community toilet services are one of the most visible symptoms of inadequate urban sanitation services in India (public and community toilets summarized as public toilets for ease of communication). The pace of development in housing and public transport has not been matched by accessible and functional toilet amenities. Citizens, especially in high footfall areas including market places, bus stands and railway stations often cannot find a public toilet when they need one. Efficient public toilet management is especially crucial for cities with a large floating population – tourists, pilgrims, migrants, and transiting population – throughout the year.

According to official figures, 6% of urban households do not have toilets at home but depend on public facilities and community toilets. Added to that is 13% of urban households that do not have access to any toilet (at home or public) and need to resort to defecating in the open. Moreover, although sewage systems widely exist, over 37% per cent of faecal matter is not disposed off safely. These critical conditions pose significant public health and environmental risks, threatening the long-term growth trajectory of India's urban centres that currently contribute 60% to the national GDP, equivalent to US$ 50 billion. Improvements in public toilet management positively impact the cities’ economic, social and ecological environment (Figure). Subsequently, under the Government of India’s Swachh Bharat Mission a total of 251,830 community toilet seats and 255,757 public toilet seats are to be created by 2019.

Public Toilet Management: Challenges and Process

Most often, sanitation models fail in their operations and management after a couple of years due to inadequacies in one or a combination of the planning, financing, operations and management of public toilets. The most common shortcomings are summarised in the figure below.

In response to these challenges, GIZ and its partners reviewed the public toilet management in two cities (Tirupati and Shimla). They, jointly with the municipality and other stakeholders, devised and implemented strategies including new management models, technologies and crosscutting approaches that bring about sustainable improvements. It becomes clear that while designing and managing public toilets, special attention should be paid to the following success factors:

Success Factors

Building on the research and results of the city interventions, GIZ has documented the Public Toilet Management (PTM) process to guide cities and other stakeholders toward improved public toilet management and to ensure successful replication across cities. The process highlights important focal areas, main steps and tools for sustainable public toilet management as well as key learnings from the interventions in Tirupati and Shimla.

 

About SANIRESCH

The aim of SANIRESCH (SANItaryRecycling ESCHborn) was the treatment and recycling of the urine, brown- and greywater collected at the main building of the headquarters of  Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH in Eschborn, Germany.

Technologies for the treatment of wastewater streams (MAP precipitation, membrane bioreactors) as well as reuse in agriculture were developed further within this project. Moreover, important questions regarding the further development of sanitary equipment and installtions, the operation and maintenance, the user acceptance, the environmental and health risks of the reuse, the economics and resource efficiency as well as the legal conditions and the transferability of such technologies to other countries were investigated.

The GIZ implemented a system for the separate collection of urine and brownwater during the renovation of the main building (Building 1) of the headquaters located in Eschborn. This system consisted of urine-diversion flush toilets, waterless urinals, separate piping systems for urine, brownwater and greywater and tanks for urine storage.

SANIRESCH was financed by the Federal Ministry of Education and Research from July 2009 till December 2012. The project partners were the THM University of Applied Siences, the Deutsche Gesellschaft für internationale Zusammenarbeit (GIZ) GmbH, Huber SE, Roediger Vacuum, RWTH Aachen, and the University of Bonn.

Project components

The project consists of different components, which are driven by different partners either alone or in cooperation with another partner. Read more about project components here.

Project photos

Germany - Sanitary installations Germany - MAP (struvite) precipitation reactor in Eschborn


Results and publications

At this part of the website documents and publicatons are made available for download.

Here is available since January 31, 2013 the final project report:
SANIRESCH project report (in German with English abstract)

All other documents are found in the following library entries:

If you need some more Informations please feel free to contact us.

     

    The following resources are jointly developed through a project of The Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH and the Ministry of Urban Development (MoUD) India. The “Support to the National Urban Sanitation Policy II (SNUSP II)” Programme supported the Ministry in achieving the targets of the National Urban Sanitation Policy during 2014-2017. We have integrated the Public Toilet Management (PTM) Process including the most important focal areas for each process step and tools for our Community of Practise to utilise.

    Public Toilet Management Process

    The Public Toilet Management (PTM) process consists of 5 steps – Demand and Supply Assessment, Planning and Strategies, Implementation, Monitoring and Sustainability (see Figure below). The steps are all linked, built on one another and should be followed sequentially. Gender aspects need to be an integral part of every process step to ensure the public toilets’ suitability and usability for women, as well as for children, the elderly and the disabled.
    Each section in the menu on the left provides a quick introduction to the process steps and focal areas, followed by a more elaborate explanation of each focal area that should be followed by cities to achieve improved public toilet management. A collection of tools and reference material for each step of the PTM process is further available for download. You can also download each focal point of the process steps as PDF version here.

     

     

     

    The 27th SuSanA meeting will take place in Cape Town, South Africa on 16 February 2019 prior to the AfricaSan5 and FSM5. The meeting will be organised by the SuSanA Secretariat. South Africa is a nation teeming with world-renowned wines, cultural diversity, varied topography and jaw-dropping views. As South Africa’s oldest city, spanning a history of 300 years, Cape Town offers visitors a contemporary look into South Africa’s complex and fascinating culture showcasing colonial influences and traditional lifestyles.

     

    Understanding what is there and what is needed is essential to address service delivery gaps and to ensure improved and effective public toilet access across the city in the long term. Planners often lack reliable, up-to-date and complete data sets. Cities need to facilitate and ensure comprehensive and regular data collection, an effective data management system as well as strong institutions and regulatory systems to plan, monitor and control effective public toilet management.

    Focal areas

    • Data Collection - Assess what is there and needed (analytical framework): Cities are advised to assess the pillars of the PTM process to identify what there is and what is needed in order to optimize the PT management and service provision: (Pillars 1 and 2) Assessment of physical access and service quality (public toilet profile; supply, service and demand analysis; mapping public sanitation gaps and the need for action); (Pillar 3) engagement and contract review (stakeholder mapping, service indicators and charter); (Pillar 4) assessment of the market and institutional readiness (stakeholder assessment).

    • Data Management - Online Asset inventory: An asset data management system provides an overview of the status of the sanitation infrastructure and service delivery. It improves data dissemination (in a map-based platform) across management structures and serves as a planning, monitoring and effective decision-making tool.

    Toolbox

    A collection of tools and reference material for the first step of the Public Toilet Management process and its focal areas is available for download here.

     

    Why is this important

    Mapping the access and quality of existing public sanitation facilities and understanding the nature of demand are imperative first steps. They help to formulate strategies to address service delivery gaps and to provide improved and effective long-term service provision across the city.



    Contents

    How to go about it

    Pillar 1 & 2: Assessment of physical access and service quality

    Pillar 3: Engagement and contract review

    Pillar 4: Assessment of the market & institutional readiness

    Application on ground

    How to go about it

    Cities are advised to assess the Pillars of the PTM process (Figure) to identify what there is and what is needed in order to optimize the PT management and service provision.

    Pillars of Public Toilet ManagementPillar 1 & 2: Assessment of physical access and service quality

    Who and what for: Defining the Planning Unit

    To plan demand-oriented public toilet facilities and services, it is important to first define the ground conditions and basic sanitation requirements in the planning stage as a framework to ensure a realistic assessment:

    a) Sanitation Profile: Assess household coverage, open defecation and support infrastructure.
    b) General Profile: Evaluate demographics, the institutional, residential and commercial set-up as well as the toilet type (public, community and institutional toilets).

    Stocktaking: Understand what is there and what is needed (spatial and non-spatial analysis)

    Next, the actual supply and demand along the identified user types needs to be assessed to define the sanitation profile. The supply-side analysis highlights gaps and helps identify opportunities for quantitative and qualitative improvements against predefined benchmarks. The demand analysis provides information on user demands and preferences.

    a) Supply & Service Analysis: A survey of the city’s public and community toilets along the PT Profile is required. Aspects to be assessed are the availability, access, quality spatial distribution, support infrastructure, user characteristics and service provision (Supply and Demand Assessment Graphic). The supply should be assessed according to the user types and keeping in mind the expected services standards. Thus, the following steps need to be included:  

    • Set expectations by defining service standards: Cities must identify, quantify and facilitate critical performance inputs and subsequently define service standards against norms, review current contracts, and set expectations. Preferences of user segments and their willingness to pay for such services should be kept in mind. Service standards should be included in contracts and monitored (for instance by using the online inventory) to ensure and control effective service provision.

      The supply and service analysis forms the basis for establishing an inventory, a tool for cities to plan and manage their public toilets.

      b) Demand assessment: Different user groups have different needs, which can be assessed by conducting a detailed citywide demand assessment (survey). Gaining information on user preferences and satisfaction regarding access and quality of PT facilities and services (including gender perspective) and their willingness to pay for improved services will help plan toilets in a more demand-oriented manner. The supply and demand assessment graphic summarizes the key aspects to be covered. Moreover, the demand should be assessed according to the identified user types and computed as per the city plan format under the Swachh Bharat Mission. The demand assessment results should feed into the identification of potential new PT locations. 

    • Identification of target group Identification of target group Identification of the target group: It is important to categorize the different PT user types (general, tourists, slum dwellers, commercial users) based on the general sanitation profile and review of the toilets’ user profiles. The latter also provides information on the user categories (men alone, women alone, combined, differently abled or vulnerable), behaviour and demands. Specific gender aspects should already be considered in the assessment stage.

    Mapping of public sanitation gaps and need for actions

    Following the stocktaking, the next step is a detailed gap analysis and the subsequent mapping of the user demands and supply deficiencies to identify “sanitation hotspots” across the city. This highlights the need for action and forms the basis for planning improved facilities and service provision. The identification of issues and areas of improvements is divided into non-spatial and spatial analysis:

    • Non-spatial supply gap analysis: Using the results of the supply assessment, gaps between the service standards and actual PT supply for the different user types and against the national norms (MoUD norms vs. actual) are to be identified.
    • Spatial analysis (Mapping): The mapping of the PT distribution across the city allows the assessment of whether public toilets are distributed as per demand rather than clustered in certain areas. It also shows if they are in line with the prescribed access norms (i.e. 1 toilet/km, in a 50:50 ratio (M/F), disabled-friendly, etc.). If available, maps produced for the City Sanitation Plan (CSP) can be used. The main mapping steps are: (1) Identify sanitation hotspots in the city (including open defecation); (2) mark PTs on city map; (3) indicate catchment area of 0.2 km and 0.5 km radius; (4) indicate if PTs are used by slum dwellers; and (5) mark areas selected for new PT and those that need improvement.

    The mapping exercise helps to identify potential locations for development and to plan respective services across the city (renovation or new construction).

    Pillar 3: Engagement and contract review:

    Benchmark performance to standards (performance indicators and service commitments)

    Based on required service standards (expectations, universal service and norms), performance indicators should be drawn up. The indicators need to be simple, objectively verifiable and measurable, and consequences of non-performance and remedial actions must be included.

    Review contract documents to assess the commitment and actual delivery of operators:

    Check if current agreement with service provider or own service provision for operation and management (O&M) requirements is fulfilled (service charter, agreement, minimum delivery standards). If no service charter is included, one should be developed. Existing ones should be updated (city, operator and user commitments). Based on the assessment, contract modifications for improved service delivery should be identified and fed into the contracts, procurement and monitoring stage.

    Pillar 4: Assessment of the market & institutional readiness

    Assess institutional readiness

    Last but not least, service providers, contracts as well as governance and institutional factors should be assessed to formulate a suitable PTM strategy. Effective institutions require clearly defined processes, templates and pool of capable staff at the different levels. The selection of the most suitable business model is to support the efficient functioning of the institutional structure. The assessment helps to identify what is possible under the current situation, what is missing and what should be developed based on the cities’ vision. It forms the foundation for planning, strategy, institutional strengthening and monitoring.

    Application On Ground

    Shimla

    Primary research (inventory analysis of 146 toilets; user perception survey of 600 respondents using 22 toilets) and secondary research were conducted by GIZ with its partner Akara Research to obtain the city’s first- and second-hand information. The data was collected for all functional and non-functional toilets of Shimla. The collected data evaluated by iDeCK on various parameters that has helped in taking informed decisions on the tendering process.

    Tirupati

    A study with a methodical mix of desk review and on-field activities was undertaken. The team reviewed existing literature on current technical and management PT models, and conducted demand and supply surveys. This included an inventory analysis of 38 toilets and user perception survey of 500 commercial establishments, 250 tourists and 250 general population. Relevant data for future data-based planning and monitoring was compiled and spatial mapping helped provide a snapshot of the status of current systems, institutional delivery mechanisms and user requirements. By using the online inventory tool, this can be easily analyzed, interpreted and used for designing effective business models for public toilets.

     

    Poor planning and design choices are one of the most common reasons for public toilet facilities and services to fail. To ensure safe, accessible and long-term usability of public toilets, it is critical to select the most appropriate location and public toilet design (both being contingent on the users’ needs). Equally the most suitable maintenance approach and mode of operation needs to be selected carefully.

    Focal areas                  

    • Formation of Public Toilet Task Force: Stakeholder mobilization is a prerequisite towards building 100% sanitized cities. The National Urban Sanitation Policy (NUSP) suggests constituting a multi-stakeholder task force such as the City Sanitation Task Force (CSTF) or equivalent in order to ensure the city’s stakeholders demands and ideas are being represented in the public toilet planning and management.

    • Decision-making framework (technology & design) – Identify what is needed and can be done: Public Toilet solutions need to be adapted to the local conditions and demands. Not everything will work in a given setting. User needs and what is possible has to guide the toilet design choices as well as maintenance approaches to ensure demand-oriented and functional toilet facilities and services. To establish an effective citywide public toilet system requires a series of inter-connected decisions to be taken step-by-step:

    1. User needs and demands decide the public toilet model
    2. Planning and design norms impact design and site plan layouts
    3. Local context and site conditions decide the technical model
    4. Design and technical model affect the cost of public toilet improvements and construction
    5. Clustering according to economic and operational viability affects the project structuring

              Site selection: Aspects to be considered
    • Site selection: The site of the public toilets needs to be based on demand to ensure the long-term use of facilities and as such the viability of the investment and operations. Locations that require the improvement of existing or construction of new facilities need to be identified and prioritized. Aspects to be considered for effective selection are the availability of land, footfall (user category, user type, demands and gender aspects decide type of toilet and toilet model) and sanitation requirements (existing or new infrastructure).

    • Detailed Project Planning: To ensure hygienic and affordable public toilet facilities for all citizens, cities have to develop realistic and demand-oriented citywide public toilet strategies and ensure their effective implementation through standardized tools such as action plans and Detailed Project Reports (DPR). While the action plan provides a bird’s eye view of the citywide actions, DPRs provide micro-level insights of the specific project or project packages with a view to finance and implement them.

    Toolbox

    A collection of tools and reference material for the second step of the Public Toilet Management process and its focal areas is available for download here.

     

    Why is this important

    The current management practices in most urban local bodies are dependent on data that is static and largely incomplete. The missing data invariably pertains to the supply and demand side; moreover, there is a huge time lag in information flow across management structure. An asset data management system to improve data dissemination (in a map-based platform) that can be easily shared across management structures is urgently required.

    Contents

    How to go about it

    1. Assess the current system

    2. Develop an improved online data management system

    3. Develop a mobile application for remote and easy updating and mapping of data

    4. Populate database (regular data collection and update)

    5. Training and capacity building

    6. Monitoring

    7. Inform planning and policy processes

    Application on ground

    How to go about it

    To aid and monitor service level improvements across public toilets, cities are advised to create and regularly update an online public toilet asset inventory – a compilation of the data collected in the supply and demand analysis on the existing levels of infrastructure and service deliveries, contrasted against norms and identified service standards. The user can enter new inventory data, update existing details and search the inventory based on specific parameters. Thus, the inventory constitutes the ideal Public Toilet Mismanagement System (PTMS) – a planning, management and monitoring tool to assess the cities’ public toilet status, gaps and service level improvements or deterioration.

    Asset Inventory System

    The development and effective use of an online asset inventory system should include the following steps:

    1. Assess the current system

    Review the current data management system against an improved framework to see the gaps, and build a robust system for better decision making and accountability (framework).

    The PT Management System (PTMS) is a snapshot of the status of the current systems and institutional delivery mechanisms in the city across different locations and public toilets. It provides a map and list of existing toilets, their service delivery status as well as service related or structural deficiencies and gaps. As such, it facilitates the monitoring and flow of information between different actors (user, city, operator) that is required for the effective management and timely planning, decision making as well as implementation of corrective measures.

    2. Develop an improved online data management system

    Create an improved online data management system (public toilet asset inventory) including tools to collect and disseminate data and trainings. This will help integrate the system as the municipality’s official data management system.

    Define online toilet asset inventory database format (basis for data collection in supply & demand analysis)

    The database structure of the PTMS needs to be designed to systematically obtain relevant information for the 6 public toilet management themes and sub-themes. (Figure) It is essential to determine all data requirements for the complete PTMS and use the subsequent framework to build the questionnaire for data collection (supply and demand assessment – census of all toilet locations, existing inventory of infrastructure, user data and perception).

     
    PT management themes and sub-themes
    Develop online database system and mobile application

    The online database system should have all the required datasets, query and retrieval features, integrated with available online maps in open-source platforms. Provisions should be made for designated authorities to be informed about actions required and for them to actively engage in the asset management of the PT. The online data management system will allow viewing, updating and managing data on a periodic basis on the city map. Maps from the municipality or CSP should be used. To develop the e-governance framework, technical and governance aspects need to be developed:

    • Information and communications technology (ICT) interface including hardware (server space, mobile phones) and software (database, front-end tools, maps, web-interfaces, mobile application).
    • Governance framework determines datasets and indicators, architecture for decision-making supported by relevant sets of data and human  resources.

    3. Develop a mobile application for remote and easy updating and mapping of data

    To facilitate data collection and monitoring as well as supporting the timely dissemination and escalation of data related to complaints, a mobile application should be designed to (1) upload real-time data onto the database from the field, and (2) escalate issues to the correct line department for action.

    Online Database System Framework

    4. Populate database (regular data collection and update)

    The survey team needs to collect data (demand and supply analysis) and enter collected data in the PT management system through a web interface (Figure) or automatic update using the mobile application. There should be regular data collection by operators and the monitoring team responsible for maintaining the inventory database.

    Inventory asset database

    5. Training and capacity building

    Emphasis should be on training and capacity building of data collectors, managers and those responsible for monitoring so they can manage PT administration through the new system.

    6. Monitoring

    Monitoring of the PT status by the municipality through regular data updates and review is essential.

    7. Inform planning and policy processes

    Planners and decision makers should use the inventory to identify areas of actions and devise PT strategies.

    Application On Ground

    Shimla

    The project reviewed the current data management system of the municipal corporation to design an online data and asset management system for public toilets (inventory) and to validate the completeness and quality of existing PT data. There was focus on the requirements of women, physical inventory and status of all public toilets as well as maintenance and training requirements. The new online inventory system (shimla.akara.co.in) has helped Shimla to identify the investment requirements for major and minor renovation. Categorizing the data highlighted the areas requiring renovation i.e. number of taps not working, painting status, roof condition, floor condition etc., based on which the sanitary inspectors in-charge could estimate the likely costs for renovation (total cumulative cost of Rs. 28,000,000).

    Tirupati

    The City developed an online public toilets inventory (http://tgiz.akara.co.in/index.php?p=sanlist, Inventory search & query: http://tgiz.akara.co.in/index.php?p=sansearch, Mapping of PT: http://tgiz.akara.co.in/index.php?p=vasmap) that can be used for monitoring of toilet maintenance and for future planning. It provides a snapshot of existing services rendered by the city and is a one-stop shop for information regarding the toilets’ condition. While planning for future demand, the online inventory was used to locate toilets and prioritize their implementation (around 25 toilets are to be constructed by 2017). Moreover, using the online inventory or mobile application, users can locate nearby public toilets and file complaints or report operator defaults, thereby contributing to the monitoring of the PT infrastructure, service provision and operator compliance. Responsibilities and a structure within the municipality to support the monitoring of PT are currently being defined.

     

    The poor condition of the cities’ existing public toilets illustrates that their public toilet operations and maintenance is inadequate. Outsourcing of responsibilities should not be treated lightly, and can be a waste of resources if not supported by adequate capacities, institutional mechanisms and effective contracts that ensure and control the effective construction or retrofitting and operation of public toilet facilities.

    Focal areas

    • Ensure effective outsourcing (contracts and procurement): Some of the critical challenges in the asset management of public toilets can be traced to gaps and inconsistencies in the contract award and structuring process. Reviewing the contract agreements between municipalities and private vendors and developing standardized and suitable contract templates in line with the selected business model is the first step to ensure and control effective implementation.

    • Awareness generation: Behavioural change requires awareness. The Swachh Bharat Mission and The National Urban Sanitation Policy (NUSP) acknowledges that a better understanding on planning, operation and use of public toilet facilities benefits public health and the city’s environment and is key to lasting improvements in the sanitation sector. Emphasis should be on changing existing perceptions of users, operators and decision makers. To do so, cities are advised to set up communication and decision-making structures as well as an awareness-building and marketing strategy.

    Toolbox

    A collection of tools and reference material for the third step of the Public Toilet Management process and its focal areas is available for download here.

     

    Why is this important

    Stakeholder mobilization is a prerequisite towards building 100% sanitized cities. The National Urban Sanitation Policy (NUSP) suggests constituting a multi-stakeholder task force such as the City Sanitation Task Force (CSTF) or equivalent in order to ensure the city’s stakeholders demands and ideas are being represented in the public toilet planning and management.

    Contents

    How to go about it

    1. Stakeholder Analysis

    2. Formation of the Public Toilet Taskforce: Building on existing structures

    3. Regular Task Force Meetings

    Application on ground

    How to go about it

    Cities should identify the key public toilet stakeholder and existing platforms. For instance, some cities might already have established a City Sanitation Task Force (CSTF) as part of their City Sanitation Plan (CSP) to guide the overall sanitation planning process. If public toilet management is part of the City Sanitation Plan, then CSTF might constitutes a suitable multi-stakeholder task force for public toilet management.  Alternatively, a new or existing multi-stakeholder platform could be established or used to guide, oversee and steer public toilet management.

    The Public Toilet Task Force is a multi-stakeholder platform that supports the public toilet planning, management and monitoring through a participatory approach. The Task Force’s main responsibilities include:

    • Generate awareness amongst city’s citizens and stakeholders
    • Mobilize joint actions from different public and non-government agencies
    • Plan, guide and monitor the PTM process in consultation with citizens
    • Ensure quality procedures, fairness and focus on deliverables
    • Issue progress briefings to media and state government

    The below steps should be followed in selecting a suitable platform, format and members.

    1. Stakeholder Analysis

    Stakeholders should include citizens, public institutions, businesses and industries, civic and professional organizations, training and educational institutions that have a clear interest and role in shaping their urban environment and ensuring the provision of public toilet facilities across the city. A public toilet task force should consist of 5–20 members, depending on the size of the city.

    To ensure a participatory approach, relevant stakeholders should be identified along certain selection criteria (expertise, social outreach, resources, etc.), type of involvement and their potential role in the PTM process. Guiding questions could be:

    • Who benefits or is negatively affected (e.g. urban poor, policy proponents such as NGOs)?
    • Who has influence (e.g. government authority, formal position)?
    • Who controls resources (e.g. financial resources, technical expertise, access to social groups)?

    2. Formation of the Public Toilet Task Force: Building on existing structures

    The Public Toilet Task Force should be a registered non-statutory body and recognized through a council resolution. In case a suitable multi-stakeholder platform (at city level) exists, it can be adapted to serve as the Public Toilet Task Force. An Implementation Agency (IA) and nodal officer for the PTM should be appointed. The IA should be an Urban Local Body (ULB), preferably the municipality, and will be responsible for: 

    (1) devising an overall public toilet city strategy (with support of the other task force members)

    (2) planning, implementing and monitoring the overall PTM and projects

    (3) managing and monitoring service providers

    The ULB formally notifies and publicizes the appointment of the Public Toilet Task Force and IA.

    3. Regular Task Force meetings

    The Public Toilet Task Force should meet regularly (e.g. monthly to bi-annually) to steer the planning and monitor the provision and management of public toilet facilities across the city along the PTM process.

    Application on ground

    Tirupati

    All CSTF members have been divided into smaller working groups that regularly meet and discuss specific topics. CSTF members (local councillors) have been actively involved in mapping of slums and open defecation areas in the city. Moreover, the media has been involved to generate awareness on PT and highlight the importance and relevance of sanitation facilities on health and the environment.

    Shimla

    As part of the GIZ support, a Sanitation Task Force (STF) headed by the Commissioner and comprising officials from associated departments was constituted to support the various processes related to the public toilets management under the CSP implementation. Awareness raising and stakeholder consultations succeeded in bringing MC Shimla executive staff and council members from the three ruling parties together on one table to jointly work towards the improvement of sanitation in the city. The Sanitation Tasks Force’s members are the Commissioner, Assistant Commissioner, Chief Health Officer, Water Supply Engineer, Project Coordinator, EU Project, JNNURM Project Cell Representative, GIZ Technical Expert, as well as the Mayor, Deputy Mayor and interested council members on for them relevant subjects. The core group’s role is to support the process of developing various tools and instruments, inter-departmental coordination and acceptance of acknowledgement technical advice provided by GIZ. The decisions taken in the eight core group meetings since June 2014 have been forwarded to city council for approval and implementation. Key successes have been: (1) single point contact for discussions and decision making to support quick implementation; (2) fast track dissemination of information / clearances / multiple processes managed by the city; (3) inter-departmental knowledge sharing for incorporation and aligning of efforts; (4) a common technical decision point for obtaining council approvals.

     

    Monitoring is key to ensuring and controlling the effective planning and implementation of sanitation services. Cities need to regularly check the progress and quality of public toilet management in order to ensure they are on-course and on-schedule in meeting the objectives and performance targets, and if required, take corrective measures.

    Focal area

    • Monitoring framework: Though the day-to-day operations and maintenance (O&M) of the toilets might be handed over to private enterprises for a fixed term under a contractual framework, the municipality needs to regularly monitor the operators’ performance to ensure prescribed service standards are met. Cities are advised to develop a monitoring framework and tools that ensure checks at two levels: 1) the actual service provision and 2) the compliance to contract agreement.

    Toolbox

    A collection of tools and reference material for the fourth step of the Public Toilet Management process and its focal areas is available for download here.

     

    Why is it important

    Effective planning and public toilet design is critical to safety, accessibility and long-term usability of public toilets. PT solutions need to be adapted to the local conditions and demands. User needs and what is possible has to guide the toilet design choices as well as maintenance approaches to ensure demand-oriented and functional toilet facilities and services.

    Contents

    How to go about it

    1. User needs and demands decide the public toilet model

    2. Planning and design norms impact design and site plan layouts

    3. Local context and site conditions decide the technical model

    4. Design and technical model affect the cost of public toilet improvements and construction

    5. Clustering according to economic and operational viability affects the project structuring

    Application on ground

    How to go about it

    To establish an effective citywide public toilet system (restoration and new facilities) requires a series of inter-connected decisions to be taken step by step. Once feasible sites have been identified (supply and demand assessment), the technical team carries out a detailed site assessment and prepares technical designs and site plan layouts for each project. It is essential to consider the following:

    1. User needs and demands decide the public toilet model
    2. Planning and design norms impact design and site plan layouts
    3. Local context and site conditions decide the technical model
    4. Design and technical model affect the cost of public toilet improvements and construction
    5. Clustering according to economic and operational viability affects the project structuring

    1. User needs and demands decide the public toilet model

    One critical part of the planning process is who the asset is being designed for (target group) and what the solution aims to address (e.g. urination, defecation). Based on this and the demand (categorized according to footfall), the toilet design and nature of service levels differ accordingly. The public toilet model can thus be chosen based on:

    User needs and demands decide the public toilet model

    2. Planning and design norms impact design and site plan layouts

    The design/site plan layouts (unit computation) need to be in line with the national planning norms (i.e. the National Building Code of India such as CPHEEO, building byelaws; standards such as Bureau of Indian Standards (BIS), etc. (table)). Moreover, each public toilet needs to provide gender-specific basic facilities (Box). Besides using quality construction material, stringent management and maintenance standards need to be adopted to ensure lasting quality and usability.

    PT gender-specific facilities & design parameters:

    • Accessibility (esp. for women and the disabled)
    • Privacy and security (esp. for women)
    • Separate toilet blocks for men & women 
    • Separate showers for men & women 
    • External signage (visibility, usage)
    • Internal signage (foster cleanliness)




    3. Local context and site conditions decide the technical model

    The decision-making framework for technical model selection (Figure) guides planners and decisions makers in selecting the most suitable technical model based on local conditions such as land availability, water supply, electricity, and UGD connection. For instance, public toilets at the roadside can only be constructed if the road is sufficiently wide for PT users not to interfere with vehicular or pedestrian traffic. In general, locations with the highest support infrastructure (water, wastewater, electricity, drainage, etc.) should be chosen to minimise the toilet project cost.

    4. Design and technical model affect the cost of public toilet improvements and construction

    The planning unit and sanitation profile (e.g. location, availability of land, demands and need of the users) decide possible design options. The technical designs and layout determine the cost of each public toilet facility. Industry practices, guidelines and benchmarks should be considered to set design standards and help to estimate the respective cost (capital investment, operations and maintenance (O&M) and marketing). The indicative cost heads and standard annual O&M costs should be tabulated in the Detailed Project Report (DPR). The variations between the different technical public toilet models stem from multiple aspects – material used, treatment options, type of toilet seat and power supply provision – and affect the costs of construction and maintenance (between Rs. 1,000–70,000). Availability and suitability should be the decisive factor. For instance, owing to India’s weather conditions, it is advisable to use reinforced cement structures (as opposed to pre-fabricated facilities).

    5. Clustering according to economic and operational viability affects the project structuring

    To identify the most suitable operation and business model, toilets are grouped (clustered) based on certain parameters (i.e. spatial aspects, revenue, footfalls, user characteristics, extent of rehabilitation required, etc.). The data of individual toilets is aggregated for each cluster to identify the most appropriate cluster approach (Table). The inventory database forms the basis for the cluster analysis. The financial analysis of each cluster shows if the revenue from footfalls is sufficient to cover costs for operating all toilets within the cluster (advertisement revenue excluded) or if the municipality needs to provide additional funding support. This also helps in defining the bid parameters that need to be included into the contract (royalty, O&M fee). Cross-subsidizing is an option to ensure viability across all the clusters. The clustering options selected during the assessment and planning stage need to be reconfirmed after the business model selection. The size and number of clusters is key to finalizing the procurement strategy.

           Possible cluster approaches

    The parameters considered for determining the number of clusters are:

    • Number of potential operators in the market
    • Capabilities of potential operators
    • Ability of municipality to administer and monitor the contracts

    Application On Ground

    Tirupati

    The City finalized the technical designs for the 5 initially selected public toilets projects.

    Shimla

    The City analysed different cluster options to ensure improved public toilet management. The findings from the inventory study, user perception studies and secondary research guided the selection of the public toilet model and formulation of planning and design norms and technical design. The clustering approach helped towards understanding the economics of operating toilets by defining the pros and cons, risks, and financial viability of the different toilet types and cluster options; and choosing the correct business model. The city shortlisted three cluster options (revenue potential based clustering – high, medium, low). Each has different qualification criteria as per the respective operational and business models, to help select the most suitable operator for each cluster: ROMT or O&M contract for clusters 1 & 2 (high & medium footfall); Community-based model for Cluster 3 (low footfalls).

     

    Institutional strengthening, conducive policy framework and capacity building of decision makers, planners and implementers are the driving factors to ensure the sustainability of public toilet management and the up-scaling and replication of successful PT interventions.


    Focal areas

    • Institutional strengthening and policy framework: In order to effectively drive change through state-level policies and strategies, states and cities need to focus on creating well-defined regulatory mechanisms and appropriate economic and financial incentives. They should also ensure clear institutional roles, responsibilities and structures as well as capacities to fulfill those.

    • Ensure gender compliance throughout the PTM process: Access to toilets designed for and by women is vital and in high demand because of their specific needs (i.e. for privacy, dignity, security and menstrual hygiene) and is illustrated by women’s willingness to pay for clean toilets. Gender requirement have been included in the national guidelines on public toilet projects, however it is the cities that need to ensure women, children and the disabled have access to safe and clean toilets. To do so, cities need to integrate a gender-sensitive approach across the complete Public Toilet Management process. Awareness regarding these issues needs to be generated among all stakeholders particularly women, local leaders, Urban Local Bodies (ULBs) and the general public.

    • Capacity building: Detailed Project Reports (DPRs) can be used to develop training modules and operational and maintenance guidelines to strengthen the capacities of the various stakeholders. The objective should be to facilitate an efficient, systematic and demand-based design and management of public sanitation facilities.

    Toolbox

    A collection of tools and reference material for the fifth step of the Public Toilet Management process and its focal areas is available for download here.

     

    Why is it important

    Selecting the right business models is key to ensuring the efficient functioning of public toilets in the long run. Design, construction or retrofitting, operations and management should be allotted to contractors according to their capacities. Public toilet management is often not a self-sustaining business model. The development of a robust business model that provides sufficient economic benefits is a prerequisite to attract private sector investment.

    Contents

    How to go about it

    1. Identify engagement model: private or community

    2. Select financing arrangement

    3. Project structuring and selecting the most suitable operator (responsibilities, construct or retrofit)

    Application on ground

    How to go about it

    The revenue and business models need to be carefully reviewed in the context of investments and expenses required to operate and manage the toilets vis-à-vis the revenue from user charges and advertising. A robust business model must be developed to attract the interest and participation of private enterprises or community organizations. It needs to be in line with the local conditions, requirements (i.e. type of toilets, footfall, etc.) and capabilities of the local actors, and safeguarded through effective contracts and financing agreements and monitoring systems.  

    The selection of the most suitable business model can be broken down into three main steps (Figure).


    1. Identify engagement model: private or community

    To ensure effective management, the municipality responsible often outsources part of the construction, operation and maintenance to the private sector or community. The engagement model (private management model or community managed model) depends on the type of toilet required (public or community toilet) as defined by the footfall and user type (catchment area). Planning and decision-making aspects include:

    Define the toilet operational model

    The operational model (at toilet level) can vary for each toilet based on the footfall (e.g. local vs. tourist, pattern of usage, location of toilet, etc.). In toilets of a similar footfall character, a well-defined operational model enables easier management. This increases the possibilities for clustering of toilets to achieve optimization and economics of scale. Whenever toilets of different footfall character are combined, multiple operational models are required making management and cost optimization (especially manpower) scattered and complex:

    • High footfall toilets (mostly public toilets): All toilets should deploy full-time caretaker and maintenance staff to ensure cleanliness and for optimal revenue collection.
    • Medium footfall toilets (mostly public toilets): Sharing of cleaning staff during non-peak hours can optimize cleaning cycles and revenue collection.
    • Low footfall toilets (mostly community toilets): Caretakers during peak hours (mornings and evenings) as well as sharing and community involvement options should be considered.

    2. Select financing arrangement

    The municipality can use its own resources for the construction or retrofitting and only outsource operations and management. Alternatively the complete process can be outsourced, leveraging on the private sector’s resources. Additional funding for community toilets can be obtained through various government schemes. The following aspects need to be considered.

    Ensuring the business case for private and community engagement – recovering Operation & Maintenance Expenses (OMEX)

    Sources of revenue to cover costs and make marginal returns need to be attractive enough for the operator to bid for the project. The viability of the project depends on the selected (A) operational model, (B) user fee, (C) potential of advertising revenue and (D) support infrastructure. In case the operational model is not viable, external funding (grants) and cross-subsidizing should be considered. Contractual arrangements such as royalty fee, subsidy and contract period also influence the cost recovery.

    Define service standards and type of contract

    It is important to define service standards (against norms and service expectations) as well as the type of contract to guide the cost assessment, contracting and monitoring of service provision. The achievement of the performance standards is affected by the toilet’s operations and management (water and electricity supply, availability of consumables, cleanliness and condition). The municipality needs to ensure the availability and timely provision of support infrastructure  (i.e. first priority or subsidized rates) and the use of quality construction material and availability of basic facilities.

    Determine Capital Expenditure (CAPEX)

    Capital Expenditure (CAPEX) is an important part of assessing internal or external funding options. The cost for construction includes costs for design, material and labour (Box). The inventory data should be used to determine investment requirements (e.g. installation, construction, major and minor renovation). The CAPEX and OMEX assessment should be reconfirmed and further elaborated after the toilet design selection as part of the Detailed Planning Report (DPR).

    Assessing financial viability (cost elaboration)

    The financial analysis at the city level becomes important when the revenue from footfalls (user fee) is not sufficient to cover the operating cost, investment and the municipality needs to provide additional funding support (i.e. grants, subsidies, advertisement rights, etc.). In general, toilets having higher footfalls will be able to cover the costs and earn a profit; toilets having medium footfalls will just break even; and toilets having low footfalls will require support from the municipality to ensure all toilets meet the prescribed service standards. Understanding the extent of capital support requires helps in estimating the funding gap – a prerequisite for financial sustainability. Funding can be obtained from internal (direct and indirect) and from external sources (box). Alternative sources and methods such as increasing cess on collection of MSW from commercial establishments, levy of taxes on tourists, etc. could also be explored.

    Sensitivity analysis and de-risking to ensure project viability (scenario analysis)

    A sensitivity analysis should be carried out to check the financial viability of public toilet operations under different conditions. For this purpose, sensitivity is tested across key parameters (e.g. assessment of capital and operating costs, revenue streams, concession periods and related shortfalls). The idea of this analysis is to simulate various real-life conditions to understand potential areas of failure and risks. Analysing the different scenarios becomes relevant when outsourcing part or all of the construction and operations. It ensures the PT project’s feasibility (internal rate of return and net present value) without compromising the service levels, and assesses the extent of support required by the city from internal and external sources. The viability of a project is contingent upon various factors: demand and footfall, capital cost, operations and maintenance costs, concession period, unit rates, etc. The internal rate of return (IIR) should consider the private developer’s demand to have a return on his investment (if IIR is less than 20%, the municipality should provide support or a grant to induce viability) and thus ensure the uptake of the project.

    3. Project structuring and selecting the most suitable operator (responsibilities, construct or retrofit)

    The contract type and time of contracting is dependent on what is being outsourced, the type of improvement required (new construction or retrofitting), the project structure and who is available to provide the service. The latter requires:

    Reading the market (operator landscape) and structuring the project:

    Understanding the market’s readiness prior to selecting the contractor is a prerequisite for the project scoping and structuring. The number of contractors available as well as their financial and operational capacities to drive and cover the renovation or construction needs to be assessed and the municipality’s ability to administer and monitor the contracts ensured. Options for project structuring are:

    • City drives renovation and construction: In this scenario, rehabilitation and operation is outsourced independently under one contract. The contractor is the operator and only needs to have capacities for operation, while being able to outsource renovation to another contractor. 
    • Renovation and construction driven by operator: Here rehabilitation and operation is outsourced in a combined manner under contract. The contractor needs have experience in rehabilitation and operation.
        Project structuring: Financial flows between actors

    Actors and their respective roles and responsibilities as well as financial flows have to be outlined (Figure) to contextualize the business model along the different actors’ categories (e.g. service delivery).

    Cluster reconfirmation:

    The number and size of clusters needs to be reconfirmed as per the operator landscape and financial viability to finalize the procurement strategy. One option to increase project viability is by combining toilets of similar footfalls or project types (rehabilitation with new ones). The steps to select the financing arrangement and project structuring have to be iteratively revisited until financial sustainability is achieved, either before procurement of services (to serve as knowledge) or during procurement as a result of private sector reaction to tendering.

    Application on ground

    Tirupati

    The City leveraged all different sources of funding to improve its public toilets (1) Central government schemes (Housing for All, AMRUT, Swachh Bharat, UIDSSMT, IHSDP, ILCS, etc.) for PT infrastructure improvements esp.in low income areas. (2) The private sector (large providers like Sulabh, small contractors) has met part of the PT capital expenditure. Build Operate Transfer (BOT) models were structured to allow cost recovery through user fees concession period. (3) Subsidy, management and land provision of land by local body for 2 public toilets for pilgrims.

    To enhance and streamline the sources of funding for public toilets the municipality of Tirupati (TMC) had to (1) assess funding opportunities within TMC, allocate a dedicated annual budget for PTM and apportion a predefined percentages for PT expenditure from indirect sources (i.e. tourist tax, scavenging tax, collection charges); (2) build capacities of the institutions and raise awareness to better utilize state/central and donor funding; (3) encourage and mainstream private sector participation in the scaling-up of public toilet programmes by resolving inconsistencies in contracts management and unfavorable market incentives (i.e. facilitate land acquisition, project structuring that allows risk sharing, ease O&M challenges through i.e. performance related subsidies, assess advertising potential, user charges). Moreover, the city conducted a sensitivity analysis to assess how different financial support scenarios from TMC affect the profit margin of the operator.

    Shimla

    The findings from the inventory study, user perception studies and secondary research, helped Shimla defined the process for sustainable management of public toilets and formulate the performance standards for public toilets. The clustering approach helped understand the economics of operating toilets by defining the pro’s and con’s, risks, and financial viability of the different toilet types and cluster options; and chose the business model. Shimla is currently formalizing the ROMT contract and will follow the Tirupati funding strategy. The stakeholder obligations (MCS and operator) will be integrated through the service charter in the contractual terms. Moreover, Shimla conducted a sensitivity analysis to assess how revenues change with different user charge regimes and varying footfall.

     

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    Why is it important

    To ensure hygienic and affordable public toilet facilities (quality infrastructure and effective service delivery) for all citizens, cities have to develop realistic and demand-oriented citywide public toilet strategies and ensure their effective implementation through standardized tools such as action plans and Detailed Project Reports (DPR). While the action plan provides a bird’s eye view of the citywide actions, DPRs provide micro-level insights of the specific projects or project packages with a view to finance and implement them.

    Contents

    How to go about it

    Detailed Project Report (DPR)

    Action Plan

    Application on ground

    How to go about it

    The National Urban Sanitation Policy (NUSP) prescribes various planning tools to ensure the elimination of open defecation by providing equitable and efficient access to public and community toilets and through sustained awareness efforts. As a first step, state governments and urban local bodies are required to develop State Sanitation Strategies (SSS) and City Sanitation Plans (CSP) to identify problem areas and define sanitation goals and strategies at the state, city and project level. With the overall strategy and action plan in place, cities are to use Detailed Project Reports (DPR) to understand and plan individual public toilet projects or project packages. The DPRs’ implementation should be guided and monitored by the annual action plan.

    Detailed Project Report (DPR)

    A DPR is a micro planning tool that typically provides the project rational, summary, user specifications, engineering designs of main and support infrastructure, as well as technical and financial aspects including financial sustainability. DPRs need to be developed for every project site.

    DPR components  
    1) Background and context to DPR
    • Footfall categorization to provide an idea of the size of the project, plausible demand characteristics, and whether the project would be able to meet the CAPEX and OMEX requirements.
    • Planning & construction norms and designs: Existing and envisioned norms need to be clearly stated to ensure that the overall design aspects (units and construction limitations) are clearly understood and agreed upon. Some support schemes require scheme-specific rather than universal standards.
    • CAPEX & OMEX template is a checklist of items to be used while preparing cost estimates for construction or installation (guidelines developed based on best practices in the sector).
    2) Detailed Project Report of Individual project site or project packages of project sites
    • Project Summary: Abstract to provide a snapshot of the project; often together with an action plan.
    • Project Rationale provides the logic of why the project is important in the overall city wide context, location specifications, the problems to be addressed, the project’s uniqueness and quantification of envisioned benefits.
    • User Profile provides a snapshot of the target users, their geographical spread, insights on usage timings and respective user perception survey recommendations. It also summarizes the analysis of land use around the PT location (demand); results from micro-level user surveys and focus group discussions on design requirements (e.g. different operational models in slums and tourist locations).
    • Technical Review outlines the physical site condition (detailed engineering design), boundary conditions and design specifications as well as available infrastructure support.
    • Proposed Technical Design provides a detailed analysis of the component units to be engineered (rehabilitation or new construction), assumptions on the structural designing and system functionality, detailed engineering designs (plans, elevations, sections as applicable) and detailed cost estimates that are detailed enough to use in the tender documents.
    • Overall Layout provides an understanding of how the project could look (project visualization); often used for dissemination and discussions.
    • Financial Analysis: Project feasibility (IRR & Net Present Values), considering estimated demand, project cost, O&M costs, concession period, unit rates.
    • Demand Assumptions discuss the expected increase in footfall over the design period, issues pertaining to capacity utilization (rehabilitation) and optimization of structure components.
    • Cost Estimates: Detailed item-wise engineering estimates of all project aspects including support infrastructure.
    • Financial Assumptions related to construction of the asset, operation and maintenance, user charges and their expected increase, existing debt, annual escalations, interest rates, etc.
    • Financial Projections verify the project viability against maintenance contracts or BOT projects, under the given assumptions detailed earlier. The operational and business model development section of the project structuring provides a more detailed financial analysis, relevant for the project’s structuring and contract documents.
    • Recommendations summarize the project viability (technical & financial).


    Action plan

    An action plan helps to break down long-term goals into short- and medium-term goals and activities to guide the implementation of the DPR. This should include assessments, preparing detailed planning reports (DPRs), capacity building, awareness raising, etc. and be supplemented by institutional measures to facilitate conducive framework conditions (i.e. modifying regulatory framework), support institutionalization and the up-scaling of sanitation-related processes and activities.

    The activities, milestones, outputs and objectives as defined under the DPR and corresponding action plan should be integrated into the monitoring framework to ensure timely implementation and corrective measures as and when required (Monitoring Framework).

    Application On Ground

    Tirupati

    In line with the overall sanitation action plan, a model framework for Detailed Project Reports (DPR) including design, implementation and maintenance was developed. DPRs including site assessment, draft technical designs, cost estimates and financial operating plans for 5 selected locations were prepared. The framework can be used by other cities to guide their DPR preparation.

    Shimla

    The city followed Tirupati’s DPR Framework to prepare the PT rehabilitation DPR under the ROMT contract.

     

    FSM4 Audio Recordings

     

    20 February 2017

    Opening Remarks

    Research 1.1.

    Research 1.2.

    Research 1.3.

    Case Studies 1.1.

    Case Studies 1.2.

    Industry 1.1.

    Industry 1.2.

    Keynotes

    Research 1.4.

    Research 1.5.

    Research 1.6.

    Case Studies 1.3.

    Case Studies 1.4.

    Industry 1.3.

    Industry 1.4.

     

    21 February 2017

    Keynotes

    Research 2.1.

    research 2.2.

    Research 2.3.

    Case Studies 2.1.

    Case Studies 2.2.

    Industry 2.1.

    Industry 2.2.

    Keynotes

    Research 2.4.

    Research 2.5.

    Research 2.6.

    Case Studies 2.3.

    Case Studies 2.4.

    Industry 2.3.

    Industry 2.4.

     

    21 February 2017

    Keynotes

    Research 3.1.

    Research 3.2.

    research 3.3.

    Case Studies 3.1.

    Case Studies 3.2.

    Industry 3.1

    Research 3.4.

    Research 3.5.

    Research 3.6.

    Case Studies 3.3.

    Industry 3.3.

    Industry 3.4.

     

     

     

     

    Why is this important

    To ensure hygienic and affordable public toilet facilities (quality infrastructure and effective service delivery) for all citizens, cities have to develop realistic and demand-oriented citywide public toilet strategies and ensure their effective implementation through standardized tools such as action plans and Detailed Project Reports (DPR). While the action plan provides a bird’s eye view of the citywide actions, DPRs provide micro-level insights of the specific projects or project packages with a view to finance and implement them.

    Contents

    How to go about it

    1. Contract selection: OMT, BOT, SC, ROMT, Maintenance

    2. Procurement and bidding process

    3. Drafting and issuing the contractual process

    Application on ground

           Contract selection process

    How to go about it

    The business model chosen (operational model, footfall, financial viability), capacities of the potential operators, and subsequent division of responsibilities (construction, maintenance, etc.) decide the type of contract. The contractual instruments for managing public toilets must have emphasis on service delivery and address performance concerns (incentives and penalties). The contracts must be drafted on a fair and equitable basis with risks being allocated between parties who are best suited to handle them. The main steps to consider when drafting a contract are: 

    1. Contract selection: OMT, BOT, SC, ROMT, Maintenance

    The three most common contract structures for public toilet projects are Build Operate and Transfer (BOT), Renovation Operation, Maintenance Transfer (ROMT) and Maintenance Contracts (MC) and variants of the same (Table). BOT models are suitable for new constructions and retrofitting, while Maintenance Contracts can be used for new constructions, retrofitting as well as existing assets. They should be adopted in high footfall areas. Cross-subsidization of BOT and MC providers should be considered in areas of low footfall. In case a cluster requires a combination of contracts (i.e. BOT or MC), it should be packaged into 4–5 projects to achieve scale and ensure a reasonable mix of usage levels (e.g. 3 high-to-medium footfall; 2 low footfall locations in one package; 2 open urinals).

    2. Procurement and bidding process

    The procurement process starts after the project structure has been finalized. Bid documents are prepared according to the project specifics and bidder selection option. Processes are standardized across all states and sectors. The procurement strategy should be suitable to the selected contract type, staged and in line with the key governing principles.  The procurement culminates in the issuing of the Letter of Acceptance (LoA) to the private partner.

    Objectives of the procurement process:
    • Reduction of cost associated with selection of a private partner
    • Optimization of public services delivery
    • Efficient public funds allocation & use
    • Fair competition for eligible participants
    • Transparency & legal certainty

    The main steps of the process are:

    Empanelment of operators (at city or at state level):

    Identify a pool of agencies that can render services of a particular order and scale. The number of potential bidders for a specific project and their capacities influence the selection of the bidder. 

         Bidder selection
    Bidder selection:

    Bid parameters options to select the preferred bidder are:

    • Number and capacities of potential operators define the type of contract (i.e. BOT), corresponding concession period as well as the premium and subsidy.
    • Number and size of clusters are key aspects for finalizing the procurement strategy.
    • Toilet structure & maintenance services rendered: Toilet structure elements such as solar energy system, wastewater treatment, rainwater harvesting, etc. as well as proprietary products such as e-toilets influence the bidder selection. It is recommended to have one contract integrating all elements and their respective modes of procurement to ensure that one entity is responsible for the overall service delivery (rather than separate contracts with multiple entities). To do so, the contract documents are to be adjusted to allow the operator to obtain or provide the specialized services. The corresponding requirements need to be integrated into the overall bid itself (service charter).
    • Operation of the assets: Selection of bidder offering the highest premium (bidder’s estimate of the footfalls and revenues when user chargers retained by operator and no subsidy offered) or lowest capital grant or subsidy to be paid by the municipality (make development and O&M as per the prescribed standards more viable).
    Check that pre-requisites are fulfilled:

    Before the procurement process begins, the municipality needs to ensure that prerequisites such as technical, financial feasibility, administrative approval, funding, etc. are in place.

    Prepare bid and tender documents

    This is the stage where the project bid documents are prepared to bind both the public entity and the private party upon completion of the procurement process. Bid documents are to ensure:

    • Fair and transparent process compliant with public procurement rules and laws (legal strength and tenability to the transactions carried out by the contract parties)
    • Submission of informed proposals (project details, eligibility criteria, evaluation methodology, instructions for bidding and submission of proposals, bids, timelines, terms and conditions)

    The tender and eligibility criteria (capabilities, number of PT operated) define who (existing national, regional and local PT operators; potential new entrants) will be able to bid for the project.

    3. Drafting and issuing the contractual agreement

    Roles, responsibilities and capacities of the parties, payment conditions, default conditions etc. need to be considered while developing the contract document. The service charter defines the required facilities, service level and standards (O&M, construction or retrofitting) to ensure quality and sustained use. To guarantee service delivery, clear incentives and penalties should be chalked out. Incentive mechanism can be in the form of awards and recognition for contractors based on the actual service delivery. Penalties can be imposed through mechanism of performance guarantee at the point of signing the contract and appropriated by the municipality upon non-performance. To do so, the municipality is to always retain monitoring and enforcement of roles and responsibilities. The performance monitoring mechanism needs to be set out in the contract (Monitoring Framework).

    Application On Ground

    Tirupati

    The increased use of BOT contracts did not bring about improved service deliver. Some of the critical challenges that Tirupati faced in the asset management of public toilets could be traced back to gaps and inconsistencies in the contracts award and structuring process (i.e. no standardized contract agreements, no design specifications/service standards, no cross-subsidization requirement, inconsistent and too long concession periods, no penalties and lack of clarity on r land transfer/acquisition and clearances). To put an end to monopolies, unfair competition, poor service provision/depilated facilities and sub-optimal return for municipality, GIZ assisted TMC to develop effective model contract/tender documents (RFP, RFQ, concession agreement).

    Shimla

    Tender documents have been prepared for the city’s three shortlisted cluster options (revenue potential based clustering – high, medium, low); each having different qualification criteria as per the respective operational and business models to facilitate the selection of the most suitable bidder/operator for each cluster. Main contractual aspects for the different clusters are: ROMT / O&M Contract for Clusters 1 & 2 - high & medium footfall (revenues just sufficient to cover O&M): (1) Operator: minor and major maintenance works; MCS: finance renovation works; (2) Operator receives periodic payments during operation period and grant for refurbishment (based on viability); (3) Listing of specific details for each toilet (inventory, current status, repair works) and basic amenities for all toilets. Community based model for Cluster 3 - low footfalls: (1) Operator to take assistance from community for operating the toilets (requires training in book keeping, monitoring the usage of toilets, etc.); (2) Maintenance through service contracts, specifying cleaning cycles for peak/non-peak hours; (3) monthly passes at nominal rates to regulate usage; (4) MCS ensures adequate water/power supply and covers cost of construction.

     

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