Field Operations Manual - stepsforsanitation.org · Please Note: This report is a good faith effort by RTI International to accurately represent information available via secondary

Field Operations Manual December 2015

DECEMBER 2015

Field Operations Manual Tips, tools, and best practices for testing sanitation technologies in the field

The Sanitation Technology Platform Please Note: This report is a good faith effort by RTI International to accurately represent information available via secondary and primary sources at the time of the information capture. The report is confidential and proprietary and only for internal uses and not for publication or public disclosure.


CONTENTS

CONTENTS

EXHIBITS ............................................................................................................................................. iii

GLOSSARY ........................................................................................................................................ IV

OVERVIEW .........................................................................................................................................5

Introduction ........................................................................................................................................ 5

Purpose of This Manual ...................................................................................................................... 5

Overview of the Sanitation and Technology Platform (STeP) Project ................................................ 6

CHAPTER 1. REQUIREMENTS DETERMINATION ..............................................................................8

CHAPTER 2. SITE IDENTIFICATION ................................................................................................ 10

2.1 Canvassing the Site ................................................................................................................. 10

2.2 Site Recruitment ..................................................................................................................... 10

2.3 Obtaining and Maintaining Stakeholder Support ................................................................... 11

2.4 Obtaining Partner Agreements ............................................................................................... 12

2.5 Determining Needs for Structural Modifications .................................................................... 12

CHAPTER 3. SITE PREPARATION ................................................................................................... 13

3.1 Conducting a Technical Assessment ....................................................................................... 13

3.2 Preparing Design Plans ............................................................................................................ 13

3.3 Informing Stakeholders to Ensure Shared Understanding ..................................................... 14

3.4 Conducting a Baseline User Survey ......................................................................................... 15

3.5 Implementing Retrofit and Structural Modifications .............................................................. 16

CHAPTER 4. SYSTEM INSTALLATION ............................................................................................ 18

4.1 Delivering the System ............................................................................................................. 18

4.2 Assembling and Preparing the System .................................................................................... 18

4.3 Connecting Plumbing and Electricity ...................................................................................... 19

4.4 Pretesting ................................................................................................................................ 19

4.5 Regularly Inspecting the Unit .................................................................................................. 20

CHAPTER 5. SAMPLE COLLECTION AND ANALYSIS ........................................................................ 21

CONTENTS

Field Operations Manual iii December 2015

5.1 Understanding Roles and Responsibilities .............................................................................. 21

5.2 Collecting and Transporting Samples ...................................................................................... 22 Personal Protective Measures ................................................................................................. 22

Sample Collection .................................................................................................................... 22

5.3 Conducting Site Inspections and In Situ Analysis .................................................................... 23 Inspection ................................................................................................................................ 23

In Situ Measurement ............................................................................................................... 24 Safety Shutoff .......................................................................................................................... 24

5.4 Determining Laboratory Testing Parameters .......................................................................... 24

5.5 Undertaking Specialized Training for Helminth Eggs Assessment .......................................... 25

5.6 Managing and Validating Data ................................................................................................ 25

CHAPTER 6. DECOMMISSIONING ................................................................................................. 29

6.1 Deactivating the Prototype System and Reactivating the Existing System ............................ 29

6.2 Breaking Down and Repackaging the Prototype .................................................................... 29

6.3 Shipping the Prototype Back to the Partner Facility ............................................................... 30

6.4 Returning Site Modifications to Pre-Test State ....................................................................... 30

6.5 Conducting a Post-Testing Survey ........................................................................................... 30

6.6 Holding a Closing Meeting with Key Stakeholders .................................................................. 31

6.7 Gathering Lessons Learned and Determining Next Steps ....................................................... 31

EXHIBITS

EXHIBIT 1. SAMPLE: SITE-SELECT CRITERIA (FOR TECHNOLOGY TO BE TESTED IN APARTMENT BUILDINGS) ............................................................................................................................ 9

EXHIBIT 2. PARAMETERS FOR WATER QUALITY .................................................................................... 25 EXHIBIT 3. SAMPLE: SHEET 1 OF 3 OF DATA FROM ANALYTICAL LABORATORY, REPORTED TO STEP

FOR EACH SAMPLE COLLECTION. ......................................................................................... 26 EXHIBIT 4. SAMPLE: SHEET 2 OF 3 OF DATA FROM ANALYTICAL LABORATORY, REPORTED TO STEP

FOR EACH SAMPLE COLLECTION .......................................................................................... 27 EXHIBIT 5. SAMPLE: SHEET 3 OF 3 OF DATA FROM ANALYTICAL LABORATORY, REPORTED TO STEP

FOR EACH SAMPLE COLLECTION .......................................................................................... 28

GLOSSARY


GLOSSARY

BOD5 biological oxygen demand (milligrams of oxygen consumed per liter of sample during 5 days of incubation at 20 °C)

CAD computer-aided design

COD chemical oxygen demand

CP commercial partner

IEC information, education, and communication

IRB Institutional Review Board

LOI Letter of Intent

MOU Memorandum of Understanding

MPN most probable number

NTU nephelometric turbidity units

RTI RTI International (registered trademark and trade name of Research Triangle Institute)

STeP Sanitation Technology Platform

TP technology partner

TS total solids

TSS total suspended solids

USEPA US Environmental Protection Agency

WHO World Health Organization

WSH water, sanitation, and hygiene

OVERVIEW


OVERVIEW

Introduction

The Sanitation and Technology Platform (STeP) project team is committed to providing partners of the Bill & Melinda Gates Foundation (the Foundation) the tips, tools, and best practices they need to successfully manage field testing activities and project operations for new sanitation technologies. This manual is one of several guidance and training resources developed by STeP in partnership with the Foundation. The structure of this manual largely reflects the field testing life cycle, and as such, is organized into the following chapters:

1. Requirements Determination

2. Site Identification

3. Site Preparation

4. System Installation

5. Sample Collection and Analysis

6. Decommissioning

Purpose of This Manual

The purpose of this manual is to share STeP learnings with partners of the Foundation, to support them as they manage field testing activities and operations of their own and to enable more robust comparison of activities and results across field testing activities and sites. Eventually, this manual may be made publicly available and distributed widely, and could, for example, be used to support any individuals and organizations conducting field testing of new sanitation technologies. We welcome any and all feedback and input from partners so that we can build on the experiences from this rich community of practice.

This manual provides detailed instructions and general requirements necessary for key stakeholders to successfully navigate all phases of the field testing life cycle. It is our hope that STeP staff and technology development partners will view this manual as a critical resource and will regularly use it, while providing suggested additions and revisions as they are deemed relevant.

The STeP Global Field Testing Manual has been specifically designed to:

• help project stakeholders better understand STeP’s approach to the field testing of sanitation technologies;

Field Operations Manual 6 December 2015

• describe the intended timelines of initial field testing activities and the resources required to meet these timelines;

• clearly highlight the sequential, variable, and overlapping processes involved in managing field testing;

• summarize the technical and project management capabilities and resources available to support field testing and operations;

• illustrate the rules, policies, and procedures that STeP staff and other technology project teams should follow; and

• and illustrate the systems that they may use to accomplish various programmatic activities.

This manual is meant to be a living document. In order to remain relevant and useful, we will update regularly and include partner feedback. Please send feedback and suggestions to [email protected].

Overview of the Sanitation and Technology Platform (STeP) Project

Effective December 2014, the Foundation awarded RTI International a contract to support field testing and commercial readiness of transformative water, sanitation, and hygiene (WSH) technologies. The primary goal of the Sanitation Technology Platform, STeP, is to streamline and de-risk development and commercialization of sanitation technologies through customized support to Foundation grantees, technology partners (TPs), and commercial partners (CPs) that wish to develop and introduce new products to markets. STeP provides support along six service areas including: logistics and management, field testing, rules and regulations, user insights, market and business intelligence, and technology transfer. STeP support is designed for partners, in collaboration with partners. Beyond the core STeP team, we pull from leading experts and organizations around the world to support the needs of partners across the full range of services areas from engineering and design support to qualitative and quantitative market research.

As partners know, field testing is an essential element of product development intended to support health and safety, inform design, and ultimately drive adoption. Providing quality, reliable testing will inform policies and standards that support highly performing systems, which will, in turn, serve as critical points of differentiation for marketed products. We have designed this manual to support partners as they evaluate technology performance (overall and at the component level) in real world settings, where the logistics and testing can be challenging. STeP

mailto:[email protected]


has also developed a number of companion resources, including the Global Testing Parameters & Protocols for Sanitation Technologies guide to support the testing and evaluation of systems.

Field testing is not only important in systems design and development, but it also enables collection of user and stakeholder feedback. These insights inform downstream product development, as well as provide important proof of concept to CPs, venture investors, entrepreneurs, and others who are exploring new opportunities in sanitation. To support these studies, we have developed user studies instruments for partners, which are referenced within and also provided separately.

CHAPTER 1. REQUIREMENTS DETERMINATION


CHAPTER 1. REQUIREMENTS DETERMINATION

For each new technology that will be field tested, the project team should perform an initial assessment to determine the range and type of requirements that will guide field testing. Answers to these questions will guide site identification, installation, possibly retrofitting, and maintenance. Questions to ask include:

1. In what location (i.e., country, state, city) might the system be tested?

2. What partners could be available to support the testing, e.g., university, laboratories? Are they within 4-5 hours of possible sites?

3. What are the target market(s) for the technology—informal settlements; high-, medium-, or low-income apartment buildings; commercial buildings; schools; hospitals?

4. Will the system be located external to the structure? within a home or dwelling? underground?

5. Will a structure be constructed to support the system or will it tie into an existing plumbing or toilet[s]?

6. What are the primary processes and features of the system that need measuring and evaluation?

7. How much waste processing should be planned for per day? per week? per month?

8. Does the system need external electrical power to function? If so, how much power per day – kwh and % available each day?

9. Does the system require water?

10. Does the system replace existing facilities? If so, with what (e.g., squat plate)?

11. Does the system need to be connected to an existing sewer system for backup or overfill?

12. How often will the system need operational oversight? regular maintenance?

13. How often is the system likely to need to be repaired? components changed?

Consideration of these questions will prompt key decisions to guide identification of appropriate sites/locations for field testing (which may or may not be within the intended target market[s]) and the recruitment of key individuals and organizations to support each specific technology field testing. Further, based on these factors, partners may choose to make changes to their systems to lessen some of the requirements and/or make site identification easier.

Subsequently, more detailed discussions will be needed to identify specific field testing site requirements. Exhibit 1 is an example of the types of information that might be considered in order to determine whether a specific site meets population, structural, and other criteria.


Exhibit 1. Sample: Site-select criteria (for technology to be tested in apartment buildings)

Category Specific criteria

Structure type Building height Parking level

Existing plumbing-infrastructure Plumbing exterior to building Access to water

Usage Number of apartments Number of people consistently residing Demographics/use case of occupants

System space requirement L x W x H (plus space needed for operations and maintenance) Canopy or cover Roof access and space for tank

Security Manned security Electrical power 80% reliable supply

Are common areas backed up Temperature e.g., above freezing at all times Ease of access to site Proximity to airport

Road conditions Site accessibility

Responsiveness of property management

Common language Communication Level of enthusiasm and engagement

User engagement Level of enthusiasm and engagement Influence of government Role of government in any permits or approvals needed

Level of enthusiasm and engagement

CHAPTER 2. SITE IDENTIFICATION


CHAPTER 2. SITE IDENTIFICATION

2.1 Canvassing the Site

Using the list of site requirements compiled for each technology to be field tested, the project team should next prepare a plan for identifying potential sites. This could include the following types of activities to help assemble a list of potential locations and to facilitate introductions if needed:

• Outreach by key partner organization(s)

• Discussions with government officials

• Outreach to real estate organizations and construction companies

• Surveys and interviews of potential beneficiaries in the target market

Past experience suggests that the most successful strategy is likely to be based on leveraging contacts and relationships of key partners; however, for each field testing exercise, the potential identification and outreach strategy should be based on the technology characteristics and the target market(s). Furthermore, using more than one strategy may be the best approach.

Depending on the number of sites needed for field testing a specific technology, the project team should identify a larger number of potential sites than will make the final list, and engage the owners or managers at each of those sites, if possible.

2.2 Site Recruitment

After the top sites are identified, a multifaceted strategy may be needed to lock in sites for testing. This step involves what can be extensive engagement with stakeholders, including owners, builders, community leaders, and residents. For systems connected to residences (vs. community toilets), outreach may be as follows:

• Building owner, manager, or community leader (if needed) – If the technology is to be tested in buildings such as apartment buildings, commercial buildings, schools, or hospitals, or as a community toilet, the first stage of recruitment should focus on explaining the value and purpose of the technology field test to the owner, manager, or community leader (whichever is appropriate) at each site.

• Residents from the building or location – The second stage of recruitment should focus on making a similar pitch to site resident(s) to get their buy-in and support.


The project team may need to prepare a range of information, education, and communication (IEC) materials to make the pitch to site management and residents. The following are some examples of materials that the project team may need to assemble for apartment buildings:

• A schematic diagram of the intended project

• A detailed slide deck (e.g., PowerPoint presentation) for in-person delivery to site management

• A one-pager handed over to management following the presentation, summarizing key takeaway messages from the slide deck and with key follow-up contact information

• A one-pager for site residents explaining high-level value and the purpose of field testing

• A detailed slide deck, for use in an in-person public presentation delivered to site residents, in coordination with local authorities and site management, as required

In addition to attempting to generate buy-in from managers and residents, the project team will need to verify that a site’s layout and structure are able to accommodate the technology for testing purposes. At this stage, we recommend retaining a recommended contractor (please also refer to Section 3.1 Site Preparation) to conduct a thorough examination of the overall site layout, structure, and existing individual toilets. If necessary, the contractor and the developer should jointly draw up plans for retrofitting activities required at any given site.

2.3 Obtaining and Maintaining Stakeholder Support

Local stakeholder support is critical at all stages of site identification, recruitment and retention. We recommend finding local partners and/or staff that can support these on a regular basis:

• Approaching site management and residents through well-respected local stakeholders (both government and private) can be key to building trust and acceptance. For example, in Coimbatore, India, STeP’s local partner organization (PSG Institute) helped identify and recruit potential sites by leveraging its existing community networks. PSG’s strong reputation in the local community ensured that the project team was perceived from the outset as a partner with integrity, and this made acceptance of the field test much easier. Similarly, leveraging government contacts and contacts of other organizations—such as the Gates Foundation—could be very helpful.

• Maintaining good communications with sites and having a local point person manage communications are keys to ensuring that the interests of those residing at the site are maintained and that any questions they have are addressed in an expedient manner. For example, in the case of Coimbatore, the local STeP Project Manager and a field-based


consultant have played a key on-the-ground role in engaging with site managers and residents.

2.4 Obtaining Partner Agreements

The project team will need to craft partner agreements, such as a Memorandum of Understanding (MOU), to be jointly signed with key stakeholders that will be involved in one or more areas of cooperation during the field test.

• Key local partners. An MOU should outline areas in which the partner organization will provide support—for example, recruitment of sites, lab testing, Institutional Review Board (IRB) review, provision of office and warehouse space, and provision of transport and office supplies.

• Apartment or other sites. The project team may need to write or customize an MOU or letter of support for each site that has agreed to participate in the field test. Multiple documents may be needed to ensure all permissions are gained.

• Key technology partner(s). If the organization conducting the field testing is not the same as the organization that has developed the technology, the project partners should jointly prepare a detailed responsibility matrix to identify all activities and steps leading to the field test, assign responsibility for completion of each activity, and indicate a timeline for initiating and completing each activity.

2.5 Determining Needs for Structural Modifications

Structural site modifications might be required for optimal functioning of technologies to be tested. With concurrence from the site manager or other appropriate contact person, the project team, with support from local contractors, may need to make alterations involving the electricity supply (for example, a separate electricity connection or backup generator might be needed if the existing power supply is insufficient or erratic), space requirements to accommodate the technology, plumbing infrastructure, or accessibility of requisite technological infrastructure.

These plans should incorporate the unique needs of the site and partners’ system. We recommend developed detailed plans and reviewing these with all stakeholders, including owners, testing partners, and contractors, as detailed below in Section 3.1 Site Preparation.

CHAPTER 3. SITE PREPARATION


CHAPTER 3. SITE PREPARATION

3.1 Conducting a Technical Assessment

The project team should identify respected civil construction and plumbing contractors to help perform any retrofitting needed. The partner site’s management or local partners who have direct experience working in the sector may be able to make recommendations or referrals. The organization managing field testing should perform a secondary evaluation by reviewing past projects the contractors have completed to determine if the retrofitting is of sufficient quality and within their scope of expertise and budget.

Once a construction contractor has been identified, the project team should schedule a walk-through with the contractor, the site engineer familiar with the building (in the case of large buildings), and its own representatives. A physical walk-through of the site broadly determines retrofitting needs as they fit into four categories: electrical connections, exterior plumbing modifications, interior plumbing/facilities modifications, and connection to the existing sewage disposal system. The project team should make primary plans for placement of the system, placement of pipes, and any modifications that are required for the building’s infrastructure.

3.2 Preparing Design Plans

Site design plans require an iterative review process. Following the initial technical assessment, the construction contractor will develop a computer-aided design (CAD) drawing of the retrofit work superimposed on blueprint drawings provided by the partner site’s management. Deliverables include CAD drawings, a work timeline, and an itemized cost estimate.

At least two separate review meetings are recommended. A primary review meeting ensures that the contractor’s site designs address all aspects of the system’s technical specifications and explicitly display the critical components and instruments. Once the designs are complete, the contractor circulates them for wider review among the key project stakeholders, who may include the Foundation, STeP (when relevant), the technology and commercial partners, local government officials or bodies, site managers, and the project team itself, among others. The stakeholders subsequently communicate their comments and suggested changes to the contractor during a secondary in-person review meeting, during which the participants may adjust the designs to address comments or concerns. If any major design changes are required, an additional wider partner review ensures that the system meets all of the final required specifications.


A signed Letter of Intent (LOI) from the project team to the contractor outlines the roles and responsibilities, expectations, and key dates for both parties. The LOI initiates the engagement between the contractor and the project team, and in most cases, it provides the documentation necessary to allow the physical retrofitting work to begin. That said, project teams should follow the procurement guidelines of their owning organization and funding agency, as an official requisition or purchase order may be a required precursor or follow-on activity to the signing of an LOI

3.3 Informing Stakeholders to Ensure Shared Understanding

Stakeholders can learn about the project through a variety of different communication materials designed to provide the appropriate information for their level of engagement. These stakeholders can be broadly classified into several categories, such as administrative staff, site management staff, and residents.

Administrative staff will need information to understand the broader context of the project, a brief overview of the technology, and an explanation of how the technology may impact the residents for whom they are ultimately responsible. The project team will communicate with them primarily through presentations (and printed versions provided to keep). The team can communicate precise dates, roles, and responsibilities using a Request for Support letter to the administrators, which they can keep on file for documentation purposes and to secure support from their own lower-level staff.

Site management staff should receive a printed version of a presentation, copies of MOUs or Request for Support letters signed by senior staff, and a flipbook containing answers to frequently asked questions about testing of the technology, all of which they can keep in their office. The package of printed materials communicates the technical needs of the system, gives decision makers all the information they need to assess the risks to the community, and permits them to prepare for overseeing their internal staff. Finally, the project team can obtain and share signed documentation from the site managers’ superiors that approves spending their time and resources to support the STeP project.

The following points on a general timeline are then suggested for the project team to follow:

• Notify residents of the presence of the project team on the site through a short descriptive letter, in the local language, outlining the intent of the study and reason for the presence of project team members. Distribute the letter in the local language to residents as well as posting it on notification boards around the building.


• Complete the technical assessment described above. The project team and the

commercial partner then review designs and the project team gives final approval of the site and retrofitting plans.

• Conduct a baseline user survey, if this is part of the field testing exercise for a specific technology (see more information in Section 3.4 Conducting a Baseline User Survey).

• Following the technical assessment and baseline survey, make a detailed presentation to residents in the local language. Give them—all in the local language—a printed copy of the presentation to keep, a descriptive brochure, and a printed frequently asked questions flipbook. Organize a public meeting—in coordination with management and local authorities, as required—and give residents an opportunity to ask any questions. The frequently asked questions flipbooks should answer many common questions around the functionality of the technology, what users should expect, and details around the project team’s on-site activities during the entire study period.

• Obtain consent by asking residents (the users) if they are willing to participate in the field testing. If the residents do not give their consent, the project team will need to revisit sites and/or return to the supporting partners (the Foundation) to determine next steps relevant to that particular situation.

3.4 Conducting a Baseline User Survey

In some cases, the planned project may benefit from user studies. We recommend conducting studies that assess the baseline, in use, and post use user experience. Within this guide, we mention the basics of user surveys, but separately, STeP is developing more extensive instruments and resources for user surveys, which will be available to partners upon request.

In connection with user studies and if/when users directly interact with your system (vs. systems distill to users), we feel that partners are obligated to follow an Institutional Review Board (IRB) review and approval process. The purpose of the IRB is to ensure that all human subject research be conducted in accordance with all federal, institutional, and ethical guidelines Virtually all universities will have an existing IRB committee, which is established to review and approve research involving human subjects. For companies, they may need to lean on partner organizations, such as STeP or form such a committee. That said, with respect to sanitation technologies, partners may find that, in many cases, the tests are deemed not to be human subjects research, and therefore, IRB exempt.

In either case, we recommend seeking IRB approval or exemption, both at your local university/organization and with any partners you may have in the field. IRB approvals require


submitting a proposed study design that will be reviewed to ensure the protection of human subjects, and then abiding by any resulting IRB guidelines as well as any contractual, organizational, state, or national stipulations in this regard. Note that STeP is preparing a separate Ethics and Safety Guide that addresses the IRB process in detail, and it will be appended to this manual for reference when complete.

Once all the IRB approvals, exemptions, and agreements are in place, the project team can establish the initial approach for the baseline user survey by discussing with managers and community leaders times and locations that would be minimally disruptive to their daily routines and work responsibilities. They should then use personal preferences and the stated availability of survey participants to establish an agreeable time and location for participation in the baseline survey.

The project team should design questionnaires (for individuals) and interactive sessions (for groups) to explore users’ and other relevant stakeholders’ knowledge, perceptions, and behaviors as they relate to the technology. In addition to interviews and focus group discussions, methods can encompass direct observations of water use and sanitation practices, and narrated tours—led by residents—of the community and their living spaces. Additionally, a demographic survey could be conducted to collect basic information regarding the residents. Landlords and management staff could take part in similar interviews and discussion sessions.

3.5 Implementing Retrofit and Structural Modifications

In many cases, light or extensive modifications may be needed to support installation and use of your system. Execution of retrofit plans will require careful coordination among contractors, site managers, and residents, moderated by the project team. Initial introductions between contractors and site management staff typically allow for direct access to the site and facilitate the approval process for acquiring materials, hiring labor, and determining the timing of site access; policies on these actions will vary from site to site. For example, some sites may require aspects of the retrofitting to be performed by in-house technicians or maintenance engineers; or they may have lengthy approval procedures for construction undertaken by external entities. Furthermore, partners will find it critical for the project team to coordinate with residents for retrofitting work to be carried out inside individual houses or apartments, especially for sites whose residents may not welcome strangers into their homes, or live in highly controlled environments (i.e., women’s hostels or dormitories).

Once construction is ongoing, the project team must carefully monitor the work and periodically revise the timelines to ensure that target completion dates are either met or renegotiated, and


that the construction meets all specifications. Periodic walk-throughs are essential to ensure the correct placement of critical components that may cause further delays if several revisions are needed.

CHAPTER 4. SYSTEM INSTALLATION


CHAPTER 4. SYSTEM INSTALLATION

4.1 Delivering the System

For most technologies, systems will be delivered from a manufacturing facility to the primary storage location by open flatbed truck on pallets, protected by generous packaging and tarpaulins. The partner should arrange for each unit to be covered by insurance during transit and loading/unloading. Appropriate documentation for each unit—in order to successfully ship across state borders—may include a copy of the shipment details, a copy of the insurance paperwork, and a letter of support stating that the shipment will be used exclusively for research purposes (i.e., exempt from commercial tariffs and regulations).

When the delivery vehicle arrives at the storage facility, the project team (including any local heavy-equipment operators contracted to assist) should be prepared to unload any heavy units using a high-capacity crane. For less weighty systems, a forklift may suffice. The manufacturer should provide straps to lift each unit and deposit it in a safe storage location, with careful consideration for the weight and balance of the system, including all its packing material. Optimally, the storage site will have around-the-clock security; a canopy; minimal or no heavy machinery operating nearby, to prevent damage from work under way at other sites, and to ensure enough maneuvering room; and a level, concrete surface with sufficient drainage to avoid flooding in case of heavy rains. The project team should supervise all loading and unloading activities.

From the storage facility, the project team should ensure that the units are distributed one at a time to the final installation sites. As with the manufacturer-to-storage step, during transit to the installation site, all units should be insured and appropriate precautions taken for fragile components. If the system is large, the project team should arrange for a high-capacity crane to load each unit onto an open flatbed truck, and unload it using a similar procedure. Similarly, unloading and placement on the concrete base at the installation site should be facilitated by a crane or forklift, which the project team could attempt to source from a nearby construction site.

4.2 Assembling and Preparing the System

After the transport vehicle has delivered all of the unit’s components to the final installation sites, the project team and any hired contractors will place the system in its installation configuration. This direct involvement and oversight will ensure that the plumbing and civil engineering require no further work. If the receiving building required retrofitting, once that work is complete, technicians familiar with the system should assemble the remaining components, and use the


opportunity to train both on-site engineers and contract plumbers in proper installation and maintenance procedures.

4.3 Connecting Plumbing and Electricity

The plumbing and construction contractors should complete any final plumbing and electrical connections, with oversight from engineers who intimately understand the system’s technical requirements. The project team should then run initial diagnostics to ensure that no damage occurred to the system during transport, delivery, or installation; and perform a final walk-through of the site to ensure that appropriate contingency arrangements are in place in case of malfunctioning parts or system failure.

4.4 Pretesting

Pretesting consists of a probationary start-up period during which the unit begins to collect black water from a building’s users but the unit’s treated output water is disposed of directly into the existing sewage collection infrastructure. The partner’s monitoring team should collect laboratory samples daily and test them to ensure that the treated water meets World Health Organization/US Environmental Protection Agency (WHO/USEPA) water quality standards. Once the system has consistently met the standards for five consecutive days, the project team should then complete any connections required to close the water-reuse loop. Once the loop is closed, the project team can proceed to deactivate the existing system and fully activate the prototype in its place so that the actual field testing can begin.

The project team should periodically informally test the on-site oversight and sample collection staff during this period to ensure their understanding of inspection protocols, sample collection and handling protocols, and issue reporting systems. We recommend having staff onsite multiple times a day in the beginning, albeit as unobtrusively as possible, and tapering off to daily or biweekly visits thereafter. If any staff show evidence of being unable to perform the responsibilities, which may include light engineering support (vs. simple testing and monitoring) the project team should report the issue to the sponsor to determine the next steps. Next steps will often include retaining engineers or waste water expert to troubleshoot and optimize the design.


4.5 Regularly Inspecting the Unit

During the field testing period, the project team should monitor all sanitation units being tested to ensure they are functioning as planned and in a manner that is both safe and effective, as well as acceptable (including appearance and smell). We recommend that at least one individual per site consistently monitor each unit, at least at the beginning of the testing period. This individual will be responsible for regularly inspecting the unit and for consistently reporting progress or irregular functioning to project management and the building owner(s). Depending on the location, the project team may need to hire security personnel to protect the unit and ensure that testing occurs in as unhindered a manner as possible. Partners may also find benefit in retaining cleaning staff to clear the unit. In this case, partners will need to supply appropriate safety and protective equipment, which can be hard to find in the field, and thus, will require shipping from an appropriate vendor. The project team should make the decision on whether to employ security assets in close conjunction with the building manager, residents, and the project sponsor.

CHAPTER 5. SAMPLE COLLECTION AND ANALYSIS


CHAPTER 5. SAMPLE COLLECTION AND ANALYSIS

5.1 Understanding Roles and Responsibilities

In collaboration with many partners, STeP has selected a general set of sample measurements applicable to all technologies. When working with partners, we also define a limited set of specialized measurements for each technology. Partners may find these tests provided below and in the Global Testing Parameters & Protocols for Sanitation Technologies guide helpful, but they will also need to determine system-specific tests, particularly those that relate to operations.

STeP partners with academic, scientific, or contract research organizations to provide local laboratory and testing support. The local support partners lead a wide range of testing activities and tests, including collecting the samples from the installed unit, transporting the samples to the analytical laboratory in a timely way, making in-situ measurements using hand-held meters, and inspecting sites.

We have leaned on local partners for many aspects of testing, but for the water quality tests, in particular, we have leaned on established water quality testing labs. In general, these labs are established to run a variety of water quality tests around the region and are well suited to testing water quality, often according to established, often routine tests. This said, partners will want to ensure that the tests they use match the ones required for sanitation technologies. We recommend developing a detailed list of locations and frequencies for sample collection, methods for in-situ analysis, and parameters for analysis. We also suggest training if specialized testing is required, specifically around tests such as the specialized helminth eggs assessment. STeP also provides standardized formats and spreadsheets for data collection,1 and aggregates and analyzes data.

With regard to the water quality testing labs, we recommend trying at least two and, ideally, as many as four testing laboratory partners initially to compare results. We have found that some testing labs are not reliable, despite positive recommendations. This lab partner, and the field partner more generally, must be diligent and proactive in communicating with STeP, committed to providing adequate human resources, willing to receive training, and rigorous in communicating data and analytical results.

1 When the forms have been finalized, they will be posted to a password-protected section of the STeP website that is accessible to partners.


5.2 Collecting and Transporting Samples

The local support partner should collect the treated waste and control samples with sterile bottles for accurate pathogen quantification. For example, we deem it acceptable for staff to collect samples in a previously used, but autoclaved polypropylene 2-liter bottles, e.g., Nalgene. On the other hand, the technician may collect the wastewater samples in unused, pre-sterilized, disposable plastic 2-liter bottles.

Vessels will have a tight-fitting lid, and head space should be minimized and the lid sealed immediately. The technician should label the vessels appropriately, and use vessels dedicated solely for each water type (wastewater, treated water, and clean water) over the testing period. For example, the sample collection bottles could be color-coded to match a specific spigot at a specific site and labeled with a predetermined coding system. The sample collection bottles should not be used across sites or for a spigot that does not match its color-coded top. Partners should not assume local testing partners will properly sterilize bottles; therefore, you may find it necessary to import bottles and/or check to make sure that testing partners have adequate autoclaving equipment. Re-using plasticware that has not been sufficiently sterilized is not uncommon in some settings and organizations and will jeopardize results.

Personal Protective Measures

The technician(s) handling the samples should always protect themselves from exposure to pathogens by using clean nitrile gloves to collect treated and control samples, and adding masks to collect and handle samples from wastewater. Partners may have to provide these protective gear, as they are not always easily accessible in field settings.

Sample Collection

Typically, the technician will collect samples either by dipping with a sterile scoop or by opening spigots on the collection vessel. Regardless of the exact setup of the equipment, the technician must take care to retrieve adequate volumes to carry out all tests in triplicate. Samples should be stored at ambient indoor room temperature and transported as soon as possible to a laboratory. Testing on liquid samples should begin within 4–6 hours from collection (given the environmental sensitivity of parameters such as bacterial content). This time constraint can determine location of testing, as samples will degrade during long car rides. Conversely, proximity to a testing laboratory may also determine site location, so we recommend confirming proximity early. Once the laboratory receives the samples, its personnel should immediately aliquot assay volumes and store them as indicated for each assay.


If the liquid sample containers supplied to the laboratory contain more fluid than is needed for testing purposes, the laboratory technicians should safely dispose of the extra material in an onsite waste collection unit (such as a toilet connected to the municipal sewerage system) using proper procedures as established by the facility.

The laboratory and the site’s technician will manage the storage and reuse of collection containers as follows. The laboratory technician will store all dedicated containers submitted with testing samples. Whenever a site’s monitoring technicians submit a new set of samples to a lab, they should retrieve the dedicated containers from the previous set of samples (from the same site) and autoclave them before reusing them at the next sample collection visit.

5.3 Conducting Site Inspections and In Situ Analysis

Inspection

We recommend that for consistency, the project team should assign one individual and one backup per site to monitor each unit. During the field testing period, these individuals should actively monitor the installed units—via regularly scheduled, in-person visual inspections—to ensure they are functioning as planned and in a manner that is both safe and effective. As stated above, initially, partners may find daily (even hourly) monitoring is needed. Overtime, monitoring and testing requirements should diminish and reach a steady state of biweekly to weekly. Visual inspections should guard against problems in the following areas:

• The prototype unit:

o Obstructions, congestions, presence of trash or other objects on the platform or system

o External damage (dents, scrapes, missing parts)

o Odors, residue, leaks

o Damage, missing, or broken locks on access door

o Inactive control panel sensors

• Plumbing and electrical connections:

o Liquid leaking from pipes

o Cracks, damage, overfill, or underfill

o Damaged or tampered with electrical wiring


o Damaged or dirty sample collection points

In addition, if the system has flow meter(s) or electrical meters, the technicians should manually record all meter values.

In Situ Measurement

For each in situ sample collection, the assigned technician will need a clean plastic beaker to retrieve the sampled materials, a handheld measurement device (such as a Myron L Ultrameter), a bottle of clean water to rinse the beaker and instrument after use, a hand-held gas meter, and paper to record the obtained measurements. Using the hand-held devices, the technician should measure pH; temperature; where applicable, electrical conductance of the treated water and free chlorine; and air emissions associated with the installed units, and then record the values on paper.

Safety Shutoff

Laboratory test results indicating treated waste does not meet the safety standards listed below should immediately trigger interruption of users’ access to the technology:

• Bacterial count > 500 most probable number (MPN) (thermotolerat)/mL

• User complaints of color or odor

After a partner-stated representative has given approval, a trained, on-site sewage treatment plant operator or site engineer may carry out the emergency shutoff of the technology.

5.4 Determining Laboratory Testing Parameters

A general set of parameters for water quality is listed in Exhibit 2. The technology and commercial partner should jointly adapt the list to the specific technology, removing any parameters that are not applicable and adding others that are deemed missing. The project team should carry out the analyses using methods approved by the American Public Health Association, as described in the STeP document Global Testing Parameters & Protocols for Sanitation Technologies, provided separately.


Exhibit 2. Parameters for Water Quality

Test # Parameter Recommended sampling frequency

1 pH Weekly or every other day 2 Electrical conductance Weekly or every other day 3 Total suspended solids (TSS) Weekly 4 Turbidity (nephelometric turbidity

units [NTU]) Weekly or optional, if total solids (TS) available

5 Chemical oxygen demand (COD) Weekly 6 Biochemical oxygen demand (BOD5) At the beginning and at the end of the testing

period 7 Color Weekly or every other day 8 Total chlorine Weekly or every other day 9 Total Kjeldhal nitrogen Weekly 10 Phosphorus Weekly 11 Chloride Weekly 12 Nitrogen, ammonia Weekly 13 Free ammonia Weekly or every other day Biological parameters 14 Bacterial tests Weekly 15 Helminth eggs Monthly

5.5 Undertaking Specialized Training for Helminth Eggs Assessment

A proficient environmental sample testing laboratory may be able to carry out many water measurements. They may not be knowledgeable or prepared to conduct helminth eggs assessment, which is a specialized measurement for which partners of the Foundation are developing standard operating procedures. Until these protocols are finalized, we recommend use of the standard operating procedures developed by the Pollution Research Group, University of KwaZulu-Natal, Durban, South Africa (a partner of the Foundation). For questions or more information about STeP’s experience testing for helminth eggs under guidance from UKZN, partners may contact the STeP Testing Lead, Dr. Sonia Grego (+1-919-248-4181, [email protected]).

5.6 Managing and Validating Data

The local sample collector and the laboratory will submit their monitoring data to STeP in spreadsheet format, using the forms supplied by STeP, as illustrated in the examples in Exhibits 3 through 5. STeP staff will validate the data against results from a second laboratory. STeP will also inspect values to ensure they are meaningful according to basic chemistry laws (e.g., free chlorine values have to be less than or equal to those for total chlorine).

mailto:[email protected]


Exhibit 3. Sample: Sheet 1 of 3 of data from analytical laboratory, reported to STeP for each sample collection.


Exhibit 4. Sample: Sheet 2 of 3 of data from analytical laboratory, reported to STeP for each

sample collection


Exhibit 5. Sample: Sheet 3 of 3 of data from analytical laboratory, reported to STeP for each sample collection

CHAPTER 6. DECOMMISSIONING


CHAPTER 6. DECOMMISSIONING

After the field testing has ended, the project team should take the following key steps to ensure that each site is left in the same or better condition as before the field testing exercise, and to collect post-field-testing data from users and other stakeholders to finalize the field testing evaluation.

• Deactivate prototype system and activate existing system

• Break down and repackage prototype

• Ship prototype back to partner facility

• Return site modifications to pre-test state

• Conduct post-testing survey

• Hold closing meeting with key stakeholders

• Gather lessons learned and determine next steps

Each of these steps is elaborated further in the brief subsections that follow.

6.1 Deactivating the Prototype System and Reactivating the Existing System

Careful planning is critical during the initial design process to ensure that the prototype commissioning and de-commissioning processes are minimally disruptive to the community’s utilities. If pipes from the existing plumbing system have not been used for an extended period of time during the prototype field test, the project team should preemptively flush them with clean water obtained from the municipal system (or if none is available, obtained from another source with the support of the contracted laboratory partner) to ensure their functionality and remove any debris or deposits from the plumbing.

Once the prototype system has been shut down, the project team should begin reverting to the previous plumbing. Any stored sewage should be drained into the site’s previously existing sewage drainage system, and utilities connections to the prototypes severed.

6.2 Breaking Down and Repackaging the Prototype

The project team should first notify the residents of the impending decommissioning. Next, the local technicians contracted by the project should clean the prototype with antibacterial cleaning agents to eliminate the risk of human exposure to biological hazards during repackaging and


transport. Once it is clean, the technicians should disassemble the prototype, load it onto transport pallets, wrap it in adequate packaging,2 and load it into a truck for shipping to its next destination.

6.3 Shipping the Prototype Back to the Partner Facility

After the project team has secured the necessary shipping insurance and supporting documentation, the unit can be shipped back to the commercial partner’s facility for post-operation inspections and life-span analysis.

6.4 Returning Site Modifications to Pre-Test State

Technicians should remove any retrofit plumbing and reconnect the existing fittings and pipes. Any holes drilled into the building’s wall should be filled with concrete or other appropriate patching material, and painted over as necessary. Some site managers may request that all civil engineering work be removed; others may request that it be repurposed into something useful for the site (e.g., concrete slabs may be repurposed into parking spaces). If the project team will need to take away any toilets or toilet cisterns for lab analysis, the removed items should be replaced with new parts of the same brand.

The project team should arrange for a final walk-through with plumbing contractors and site management staff to identify any leaks or places where damage may have occurred as a result of the retrofitting, and then remediate any problems that are found.

6.5 Conducting a Post-Testing Survey

Following the removal of the prototype and retrofitted plumbing, and again adhering to the guidelines stipulated by the IRB, the qualitative research team contracted by the project should approach the community for final surveys and discussion groups. For extended interviews, advanced scheduling is preferable, to minimize disturbance to the daily routine of the residents.

2 “Adequate” packaging will depend on the construction, size, and fragility of the unit being tested. The purpose of the packaging is to keep the unit free from tampering, from damage during transport, and from leaks or other problems that could cause environmental damage during transit or in storage.


6.6 Holding a Closing Meeting with Key Stakeholders

Project staff should meet with key stakeholders associated with the project to discuss their experience with their system and to receive detailed information regarding the decommissioning and removal process. The complete group of stakeholders will vary based on geography, technical complexity of the prototype, and other factors, but generally will include residents and managers from the field-testing site, key subcontractors and local vendors, local government officials, and technicians.

6.7 Gathering Lessons Learned and Determining Next Steps

STeP suggests arranging a final, extended team meeting to integrate qualitative findings as well as technical data regarding performance of the system. Following the discussion, we suggest preparation of a final report and presentation for other partners and the Foundation.

Documents

Field Operations Manual - stepsforsanitation.org · Please Note: This report is a good faith effort by RTI International to accurately represent information available via secondary