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© ISF, UTS
Funded by the Australian Aid Development Research Awards Scheme (ADRAS)
Effec>ve governance for the successful long-‐term opera>on of community scale air limbah systems
Mid-‐term Observa>ons Report
May 2015
FOR CIRCULATION AND DISTRIBUTION
© ISF, UTS
Please cite this report as: Mitchell, C., Ross, K., Abeysuriya, K., Puspowardoyo, P., Wedahuditama, F. 2015, Effec%ve governance for the successful long-‐term opera%on of community scale air limbah systems: Mid-‐term Observa%ons Report. Prepared by the Ins>tute for Sustainable Futures, University of Technology Sydney, as part of the Australian Development Research Award Scheme.
Disclaimer: While all due care and aQen>on has been taken to ensure the accuracy of the material published, UTS/ISF and the authors disclaim liability for any loss that may arise from any person ac>ng in reliance upon the contents of this document.
© ISF, UTS
This document is a synthesis of observa>ons and recommenda>ons dis>lled from the first phase of our research. The validity and representa>on of these observa>ons and recommenda>ons has been tested with key stakeholders in the sector, including six Ministries across the Government of Indonesia, major donors, programs, and NGOs. In order to further consolidate our findings and inform future sector policy and research, we are keen to con>nue to gather input and feedback from a broader audience on what resonates and what is missing from our study so far. If you have comments, cri>cisms, or sugges>ons, please contact us (see the last slide for details).
© ISF, UTS Introduc>on
© ISF, UTS
Dura9on May 2013 – March 2016 Funding Australian Aid Development Research Awards Scheme
Contributors: UTS, ISF, BORDA GoI Partners BAPPENAS (Partnership Agreement) Methodology Transdisciplinary Par>cipatory Ac>on Research Collaborators Local Partner: AKSANSI
Interna>onal Partners: BORDA Germany, ODI Expert Advisors: Kathy Eales, Jeff Moeller, Chris Buckley
Project Details
© ISF, UTS
Our focus is on governance. We have iden>fied four complementary aspects for community-‐scale sewerage services.
Func9oning technology: Ensuring the physical system delivers the service
Sustainable financing: Sufficient ongoing
revenue to cover all short and long-‐term
opera>onal cost elements
Effec9ve management: Accountable and equitable administra>on and decision making system
Sustaining demand: Maintaining effec>ve community demand for the service over
>me
© ISF, UTS
Legal arrangements: What are the legal and informal arrangements
for ownership?
Together with our partners, we have iden>fied four areas of inquiry.
Scale and distribu9on of
costs: For a range of sanita>on service delivery models, what are the scale and distribu>ons of cost?
Performance monitoring:
What is the volume and and quality of available data on community-‐based sanita>on performance?
Management partnerships: What are the range of structures and ins>tu>onal
arrangements that could deliver the responsibili>es for managing community-‐scale systems?
© ISF, UTS
Our research uses a life-‐cycle and system-‐wide view.
Sanita>on service requires arrangements for full service chain to maintain a safe barrier between human excreta, other humans and their water sources. A life cycle and system-‐wide view is essen>al to ensure investments deliver outcomes.
Demand crea9on
Arrangements for full asset lifecycle
Construc9on O & M Repurposing/decommission
User interface Arrangements for full excreta lifecycle
Collec9on Reuse/ dispose
Arrangements for all excreta from all people
Biosolids Effluent
Treatment
© ISF, UTS
The fundamental outcome of sewage management is to separate people from excreta, and protect the environment.
Increasingly, it also seeks to capture the value of the nutrients.
Revenue Fer9lizer Energy Compost
X
© ISF, UTS Project methodology
© ISF, UTS
Our mixed method approach includes qualita>ve and quan>ta>ve data collec>on, analysis and synthesis. This involves:
• Semi-‐structured interviews and focus group discussions with diverse groups including:
• communi>es and village leaders,
• local NGOs, • na>onal and local government staff and leaders,
• representa>ves from the main funding programs of community scale air limbah systems (GoI and donor), and
• the Jakarta-‐based na>onal Project Advisory Group
• Evalua>ve inquiries of the principal databases (AKSANSI and NAWASIS) and other datasets,
• Observa>ons during study site visits, and • Document review.
© ISF, UTS
Our understanding of the situa>on
© ISF, UTS
The risk of effluent contamina>ng drinking water in Indonesia appears to be high.
© ISF, UTS
The risk of effluent contamina>ng drinking water in Indonesia appears to be high.
The predominant form of sanita>on is water-‐based.
(WSP,2012)
© ISF, UTS
The risk of effluent contamina>ng drinking water in Indonesia appears to be high.
Over 50% of urban and peri-‐urban Indonesians take household water from groundwater.
(WHO , 2012)
PDAMs can also take water from rivers that may be contaminated.
© ISF, UTS
The risk of effluent contamina>ng drinking water in Indonesia appears to be high.
80% of sep>c tanks fail.
(GOI , WSP)
© ISF, UTS
The risk of effluent contamina>ng drinking water in Indonesia appears to be high.
Only 3% are connected to sewerage.
(WSP,2012)
© ISF, UTS
X
The risk of effluent contamina>ng drinking water in Indonesia appears to be high.
So we need to focus on separa>on.
© ISF, UTS
100.000
2019
13.000
2014
Indonesia’s target for 100% sanita>on coverage by 2019 is ambi>ous and so is the target for community scale systems (7.5%).
To have 100,000 effec>ve community scale systems by 2019, we need to learn from installed systems so that new systems achieve separa>on and enable reuse.
7.5% of popula>on = 20M Assuming there are 4 people per household and 50 households per system then target for community scale systems in 2019 could be 100,000.
400
2009
© ISF, UTS
Observa>ons from community scale
systems
© ISF, UTS
Summary of observa>ons
• Program design is central but varies – it influences whether monitoring happens, it seems to influence performance, and in some cases, a program’s financial arrangements may accidentally prevent good health and environmental outcomes.
• Only a small propor>on of systems are monitored, and that is usually a single post-‐construc>on func>onal check. The technical treatment performance is monitored for a very small propor>on of systems.
• The fundamental purpose of sanita>on is to separate people and their excreta. We are not yet monitoring separa>on through human health indicators (e.g. groundwater quality where it is principal drinking water source) or environmental health indicators.
• Post construc>on surveys suggest that on average, systems have 50% spare capacity – the number of people served could be doubled, without installing any new IPALs.
• Most KSMs have trouble with a similar subset of tasks.
© ISF, UTS [ In this systems diagram the
arrows are to be read as “causes” or “contributes to” ]
IPAL
Installing systems doesn’t always deliver separa>on outcomes.
Contamina9on / Pathogen removal limited
© ISF, UTS
IPAL
Not all hh may connect
Contamina9on / Pathogen removal limited
Installing systems doesn’t always deliver separa>on outcomes.
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
© ISF, UTS
IPAL
Not all hh may connect
Systems may not have enough effluent to
func>on properly
Installing systems doesn’t always deliver separa>on outcomes.
Effluent may not meet standards and
be released to drinking water source
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Contamina9on / Pathogen removal limited
© ISF, UTS
IPAL Sep>c tank may not be properly disconnected
aqer connec>ng to IPAL
Systems may not have enough effluent to
func>on properly
Installing systems doesn’t always deliver separa>on outcomes.
Not all hh may connect
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Effluent may not meet standards and
be released to drinking water source
Contamina9on / Pathogen removal limited
© ISF, UTS
IPAL
Pipes may leak
Poor construc>on or O&M
Systems may not have enough effluent to
func>on properly
Installing systems doesn’t always deliver separa>on outcomes.
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Effluent may not meet standards and
be released to drinking water source
Contamina9on / Pathogen removal limited
© ISF, UTS
IPAL
Pipes may leak
Not all hh may connect
Systems may not have enough effluent to
func>on properly
Installing systems doesn’t always deliver separa>on outcomes.
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Effluent may not meet standards and
be released to drinking water source
Sep>c tank may not be properly disconnected
aqer connec>ng to
IPAL
Contamina9on / Pathogen removal limited
Poor construc>on or O&M
© ISF, UTS
Growth of funding for air limbah systems is exponen>al.
By 2014 there were over 13,000 systems funded for installa>on, mostly by SANIMAS DAK SLBM. Available data indicates that the DAK funds the majority of systems for installa>on (77%), while USRI and the SANIMAS Regular fund similar amounts (10% and 8%, respec>vely). Anecdotal evidence indicates that the Ministry of Health may also be funding SSS systems.
Syst
ems
fund
ed fo
r ins
talla
tion
per y
ear (
#)
6 8 13 65 130 107 108
1021 1266
1903
3147
5861
0
1000
2000
3000
4000
5000
6000
7000
0
1000
2000
3000
4000
5000
6000
7000
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
SANIMAS (IDB loan)
SANIMAS
SANIMAS (Regular)
USRI (ADB loan)
SANIMAS (DAK SLBM)
(Source: PU, ADB, IDB)
© ISF, UTS
Of the 13,600 systems funded for installa>on, about 20% are intended to have a single post construc>on survey.
Almost no systems are monitored longitudinally and it appears that nearly 80% of systems have no monitoring data about the technical, financial, or management performance.
20% are intended to have a post-‐construc>on effluent check.
2% of systems funded for installa>on had
effluent data available for the study.
50-‐80% of this 2% were mee>ng effluent standards.
<1% are monitored longitudinally for water quality.
This box represents 100% of systems funded for installation (n=13,6000)
(Source: PU, ADB, AKSANSI)
© ISF, UTS
The need to monitor effluent is recognised, but is challenging in
prac>ce, because of e.g., lack of funds, uncertainty about
responsibility, access to labs and the quality of the lab tes>ng.
© ISF, UTS
6 8 13 65 130 107 108
1021 1266
1903
3147
5861
0
1000
2000
3000
4000
5000
6000
7000
0
1000
2000
3000
4000
5000
6000
7000
2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014
Effluent was tested in 2011 (Eales et al). The majority of systems were SANIMAS
and 92% met standards (n=99).
Anecdotally, 50% compliance,(n=~70) (pers comm).
80% had a BOD <100 mg (n=45).
The available data indicates that system performance could be influenced by program design.
The systems under the original SANIMAS program had very good performance.
Num
ber o
f systems fun
ded for installa>o
n pe
r year
Independent tes>ng by AKSANSI of a variety of systems under different funding sources, from 2011 to 2014
showed less than 60% compliance (n=~300).
© ISF, UTS
Longitudinal monitoring appears to not be undertaken.
Some programs require a post-‐construc>on assessment. Usually the assessment is conducted within one year aqer construc>on, when systems are likely to perform well. The assessment does not monitor separa>on. Planning for on-‐going monitoring over the asset lifecycle appears not to be implemented, and we were unable to ascertain if on-‐going separa>on is achieved.
Post-‐construct audit
Planned longitudinal monitoring
Infrastructure life (years):
1 yr
5 yrs 10 yrs 20 yr
Systems funded by:
DAK SLBM ?
APBN PU ✔
ADB USRI ✔ Systems monitored by:
AKSANSI ✔
Systems report in:
NAWASIS ✔
?
© ISF, UTS
AKSANSI’s monitoring appears to be the most comprehensive. It is unconfirmed if any post-‐construc>on checks or on-‐going monitoring is undertaken for the DAK funding.
Components of post construc>on check:
Governance aspects Required impacts
Financial sustainability
Func9oning technology
Sustaining demand
Effec9ve management
Human health
Water quality
Systems funded by:
DAK SLBM (77% of systems)
APBN PU (11% of systems)
✔ ✔
ADB USRI (10% of systems)
✔ ✔ ✔
Systems monitored by :
AKSANSI ✔ ✔ ✔ ✔
Systems reported in:
NAWASIS ✔ ✔
?
Monitoring human health and water quality impacts can demonstrate separa>on, and does not seem to occur.
© ISF, UTS
Post construc>on surveys suggest a very wide range of actual use of air limbah systems.
Available data suggests that actual use of air limbah systems is about half of system design, sugges>ng a large opportunity to increase use of exis>ng systems to, a maximum, double exis>ng coverage.
MCK++
IPAL Kommunal
(n=134, cleaned from 410 data points) (n=47, cleaned from 498 data points) (n=65, cleaned from 477 data points)
MCK
0-‐50%
51-‐80%
>80%
% u9lisa9on (actual users/designed users)
(USDP Nawasis)
© ISF, UTS
Manageable tasks for the KSM Challenging tasks for the KSM
ü Flushing the system ü Checking pipes for cracksü Planning and tracking completed O+M tasksü Fixing blockages
q Monitoring of effluentq Repairing facilities (MCK)q Conducting biogas maintenanceq Deodorising the methaneq Unused facilities (MCK & unconnected SSS)q De-scumming monthlyq De-sludging every 2-4 years
ü Keeping records of group assets
q Managing the treasury book & bank accountq Preparing financial accountability reportq Collecting user feesq Forecasting recurrent costsq Planning & budgeting for major expenses,
uncertainty, emergenciesq Sourcing supplementary income streams
ü Conducting health campaignü Reminding users of their responsibilities &
providing supportü Conducting monthly users meetingsü Cleaning the MCK
q Educating about the benefits of the system
ü Paying KSMü Keeping complaint recording mechanismü Hosting regular management meetings
q Paying operatorq Ensuring operator legitimacy in community
Most KSMs could benefit from support.
Successful opera9on
Sustainable financing
Sustaining demand
Effec9ve management
(Source: AKSANSI)
© ISF, UTS
Drinking water & environment contamina9on
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Program design may inadvertently prevent health outcomes.
© ISF, UTS
HHs that are below the IPAL cannot connect
Program design excludes pumps
Incomplete coverage of
hhs
Air limbah is not processed in the IPAL
Drinking water & environment contamina9on
Sites chosen on basis of land available
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Program design may inadvertently prevent health outcomes.
© ISF, UTS
HHs that are below the IPAL cannot connect
Poor hhs cannot connect
Program design does not pay for hh connec>on
Program design excludes pumps
Incomplete coverage of
hhs
Air limbah is not processed in the IPAL
Drinking water & environment contamina9on
Sites chosen on basis of land available
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Program design may inadvertently prevent health outcomes.
© ISF, UTS
HHs that are below the IPAL cannot connect
Poor hhs cannot connect
Program design does not pay for hh connec>on
Program design excludes pumps
Incomplete coverage of
hhs
Air limbah is not processed in the IPAL
Drinking water & environment contamina9on
Sites chosen on basis of land available
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Program design may inadvertently prevent health outcomes.
Less system capacity is u>lised System does
not func>on properly
© ISF, UTS
Drinking water & environment contamina9on System does
not func>on properly
Program design has one CBO for
installa>on and one for post-‐
construc>on
2nd CBO is not
trained
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Program design may inadvertently prevent health outcomes.
© ISF, UTS
Drinking water & environment contamina9on System does
not func>on properly
Program design does not include
enough socialisa>on
Less demand
CBO may lack authority in fee sevng and collec>on
Challenges in collec>ng fees
Inability to raise fees
Insufficient maintenance funds
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Program design may inadvertently prevent health outcomes.
© ISF, UTS
Incomplete coverage of
hhs
Air limbah is not processed in the IPAL
Drinking water & environment contamina9on Less system
capacity is u>lised
System does not func>on properly
Insufficient maintenance funds
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Program design may inadvertently prevent health outcomes.
Budget limits
length of mains pipe
High legal fees use more
construc>on budget
© ISF, UTS
Drinking water & environment contamina9on
Lack of drinking water or health monitoring
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Poor performance unno>ced
Program design may inadvertently prevent health outcomes.
© ISF, UTS
HHs that are below the IPAL cannot connect
Poor hhs cannot connect
Program design does not pay for hh connec>on
Program design excludes pumps Incomplete
coverage of hhs
Air limbah is not processed in the IPAL
Drinking water & environment contamina9on Less system
capacity is u>lised
System does not func>on properly
Program design does not include
enough socialisa>on
Less demand
Program design has one CBO for
installa>on and one for post-‐
construc>on
2nd CBO is not
trained
CBO may lack authority in fee sevng and collec>on
Challenges in collec>ng fees
Inability to raise fees
Insufficient maintenance funds
Sites chosen on basis of land available
Lack of pathogen or health monitoring
[ In this systems diagram the arrows are to be read as “causes” or “contributes to” ]
Poor performance unno>ced
Program design may inadvertently prevent health outcomes.
Budget limits
length of mains pipe
High legal fees use more
construc>on budget
© ISF, UTS
Proposed recommenda>ons
© ISF, UTS
Func9oning technology Sustainable financing
Sustaining demand Effec9ve management
A. Target and monitor
what maQers
B. Make the most of exis>ng investments
C. Next genera>on program design
© ISF, UTS
Func9oning technology Sustainable financing
Sustaining demand Effec9ve management
A. Target and monitor
what maQers
© ISF, UTS
A. Target and monitor what maQers
What maQers will shiq in the next genera>on of air limbah management, for example, to treatment and towards resource recovery.
100% of popula9on’s effluent is successfully captured and processed
100% popula9on with toilet
Current target
Effluent captured?
Expanded target
© ISF, UTS
A. Target and monitor what maQers
1. All systems get a post-‐construc>on audit
2. Monitoring reflects the local situa>on, e.g: • Where groundwater is principal source of drinking water, monitor ground
water annually • Where PDAM provides water, then monitor receiving water quality
Example monitoring
plan
Post-‐construct audit
Water and environment monitoring
1 yr 5 yrs 10 yrs 20 yr
Systems funded by:
DAK SLBM ✔ ✔ ✔ ✔
APBN PU ✔ ✔ ✔ ✔
ADB USRI ✔ ✔ ✔ ✔ Systems monitored by:
AKSANSI ✔ ✔ ✔ ✔
Systems report in:
NAWASIS ✔ ✔ ✔ ✔
© ISF, UTS
How can we create the condi>ons for monitoring what maQers?
For example: How could program managers influence long-‐term appropriate performance monitoring? Who could undertake longitudinal performance monitoring and evalua>on? How could programs link with exis>ng monitoring (AKSANSI, NAWASIS, Ministry of Health, Ministry of Environment)? Who could undertake a cross-‐programma>c evalua>on of the exis>ng systems?
© ISF, UTS
Func9oning technology Sustainable financing
Sustaining demand Effec9ve management
B. Make the most of exis>ng investments
© ISF, UTS
Effec>veness of exis>ng systems can be significantly improved through simple interven9ons.
Exis>ng data shows that inves>ng in exis>ng systems could significantly increase coverage.
Authority in tariff and fee collec>on
Subsidise retrospec>ve hh connec>on
Increased hh connec>ons
Increased fee collec>on
Increase air limbah into collec>on chamber
Improved maintenance
Opera>onal success
Extend main pipe
© ISF, UTS
These simple interven9ons could be funded a variety of ways.
What is the value of the op>misa>on gap and who could pay?
Necessary incremental amount needed to
op>mise the exis>ng investment
Ini>al 425.000.000 IDR invested to construct
the decentralised system
Op>misa>on gap
Could this b
e filled by:
• Government
• Donor prog
rams
• Increased u
ser fees
• CSR
© ISF, UTS
Func9oning technology Sustainable financing
Sustaining demand Effec9ve management
C. Next genera>on program design
© ISF, UTS
Ini>al ideas for improving donor and GoI programs:
• find ways to pay for/connect all households to help ensure design capacity (and therefore system opera>on) is used and no groups are marginalised or excluded
• formalise tariff sevng to improve user approval of fees
• formalise fee collec>on to improve user payment rates
• maximise KSM capacity to deliver e.g., include powerful local champions to improve standing in community during construc>on and opera>on, ensure good handovers when members change
• responsible management partnerships with local government to ensure all opera>onal responsibili>es for the system are successfully undertaken
© ISF, UTS
Project Director: Dr Cynthia Mitchell FTSE Professor of Sustainability [email protected] +61 2 9514 4953 Skype: cynthia_mitchell Project Manager: Ms Ka9e Ross Research Principal ka>[email protected] +61 2 9514 4798 Skype: ka>e_e_ross
Project Team Details Ins>tute for Sustainable Futures, University of Technology Sydney www.isf.uts.edu.au
Dr Kumi Abeysuriya Senior Research Consultant [email protected]
Ms Tanja Rosenqvist PhD Research Candidate [email protected]
