[ Module 5] Requirements for implementation of a CSP

How to use a CSP as a tool for urban development? –M5: Requirements for implementation of a CSP

[Module 5]Requirements for implementation of a CSP


2Module 5: Basics

Local bye-laws

Institutional framework

Management

Moderated discussion: Drivers for successful implementation

Requirements for implementation of a CSP

Financing

Group work: Compare institutional structure of different cities

Group work: Stakeholder analysis


Module 2: Basics

What can be regulatedin a local

Bye-Law for urban sanitation?

General principles

Building codes

Standards for water supply

Access to toilets

Septage Management

Sewer and CETP

Management

Services to the poor

Penalties

Information and

complaints

3


Module 2: Extras

What can be regulated in a local Bye-Law for urban sanitation?

4

General principles

rainwater harvesting

reuse of compost and generated gas

polluter pays

reuse of treated waste water

recognition of SLBs / strategy for achievement

scientific disposal of sludges

inclusion of urban poor

community and stakeholder participation


Module 2: Extras 5

Building codes

standards for toilets and on-site storage

standards for connection to off-site part

connection duty

rainwater harvesting

separate grey / black water management


o operation and maintenance of septage tanks

o connection to sewer


Module 2: Extras 6

Standards for water

supply

standards for bulk supplied areas

standards for centrally supplied areas


standards and norms for urban development


Module 2: Extras 7

Access to toilets

O&M modelsfinancing models

norms for urban development

provision of land


o availability: seats / inhabitant (gender perspective)

o location: in which areas? under which development schemes (markest, shopping districts etc.)?

o technical and management standards

o connection to off-site elements

o ban of open defecation and urination

community participation

o budgetingo user charges (model)o O&M costs


8Module 5: Basics

Example of Codes for Public Toilet – located at market area

For male customers For Female customers WC 1 for up to 150 males

plus one for every additional 150 males or part thereof

1 for up to 12 females plus 1 for every 13 to 30 females plus 1 for every additional 25 females

Urinals 2 for up to 75 males plus one for every additional 75 males or part thereof

NIL


Module 2: Extras 9

Septage Manageme

ntoperation

finances on-site design

specification of treatment facility


o size normso specifications like

material, location, accessibility, etc.

o advisory services

o defining emptying frequency

o specifying type of emptying vehicle

o emptying routeso manpower (quality and

quantity)o quality controlo OHSo SOPs

o locationo technical design:

pre-treatment unittreatment unitdrying beds etc.

o SOPso quality controlo manpower (quality and

quantity)

o budgetingo operational and maintenance

costso user charges, emptying,

treatment, and disposal feeso basic services for the poor


Module 2: Extras 10

Sewer and CETP

specification of outreach and capacities

O&M

general standards for the system


Specification of treatment facility

o locationo technical design:

pre-treatment unittreatment units

o sludge handling and disposal/ reuse

o efficiency / use of gasSOPs

o quality controlo manpower (quality and

quantity)

finances

o budgetingo operational and maintenance

costso user charges, connection,

treatment, and disposal feeso basic services for the poor


Module 2: Extras 11

Management

OHS of sanitation workers

MIS for urban sanitation

Framework for Standard Operation Procedures

City Sanitation Task Force

Promotion of rainwater harvesting, recycling and reuse of treated waste water

Cost coverage

Contract service providers


Roles of departments and agencies in O&M and monitoring


Module 2: Extras 12

Services to the poor

regulate question of land allocation / land-tenure for community toilets

mid / long-term sustainability

technical standards

include slums and peri-urban areas


setting the frame for community involvement and creation of ownership

financingo budgetingo support to communities /

householdso business plans for managing

groups / organizationso user chargeso use and distribution of

revenues

o contracts with communities ensuring they will not be evicted

o ownership of communitieso holistic approach

o standards for toiletso on-site storage / connectiono O&Mo SOPs


Module 2: Extras 13

Penalties

uncontrolled disposal of sludges or septage

foreseen for sanitation workers and contractors not complying with the provisions

improper operation and management of private on-site facilities


littering of drains or of public sanitation facilities

ignoring connection duty to public sewers


Module 2: Extras 14

Information and

complaints

committees to redress complaints

information and document accessible to citizens



15Module 5: Basics

Institutional framework

General framework


Organisational

requirements

Municipal departments

and their role in implementation

Example from CSP

Cochin


Module 2: Basics 16

Goals Protection of environmental quality and health conditions

Money for service quality – ULB is guardian of public money

Accountability for delivery and quality of servicesTransparent and well defined responsibilities for all

tasksAuthorities act as service providers to the public

Principles

Mechanisms Decentrali-zation

Delegation SupervisionProfessiona

li-zation•decision making close to executing actors

•division of town into zones

•clear line structure

• transfer of functions to external actors

•private sector / CBOs etc.

•capacity building to workers

•equipment•human resource development

•well educated staff

•day-to-day supervision of services

•data base•SLBs

Institutional frameworkMunicipality is responsible for urban sanitation from collection to disposal of liquid and solid wastes


Module 4: Extras 17

Sector Sanitation related responsibilities of ULBs DepartmentsWater supply 1. Water supply for domestic, industrial & commercial

purpose• Water supply,

Public works, PHE

Sanitation 1. Public health, sanitation conservancy & solid waste management

2. Public amenities including public conveniences

• Drainage, SWM, Public works, PHE

Urban planning

1. Urban planning including town planning2. Regulation of land-use and construction of buildings3. Planning for economic and social development 4. Roads and bridges5. Fire services6. Vital statistics including registration of births & deaths

• Town planning, Records, Public works, PHE

Socio- economic development & poverty alleviation

1. Safeguarding interests of weaker sections of society

2. Slum improvement and upgradation3. Urban poverty alleviation4. Promotion of cultural, educational and aesthetic aspects.

• Slums, Employment

Environment protection

1. Urban forestry, protection of the environment and promotion of ecological aspects

2. Regulation of slaughter houses and tanneries

• Water Supply, Public works, PHE, Environment

Municipal departments and their role in implementation (1)


Module 4: Extras 18

Municipal Departments

Role

Water Supply • All aspects related to implementing water supply schemes including construction/ construction supervison, and O& M

Public works • Repair of sewer, laying new sewer, • Construction of treatment facilities • Roads

Drainage • All aspects related to planning, construction, O&M, management, connection, etc

Solid waste management

• Cleaning of roads & gutters, drainage pipe, under ground gutter maintenance

• Construction, maintenance & management of public /community toilets


All four departments:• Project/ contract management• Monitoring related to their fields of activity


Module 4: Extras 19


Role

Public Health Engineering (PHE)

• Health and hospital management, • Management of diseases control • Project / contract management • Monitoring

Town planning • All aspects related to town planning• Inter- and intra-departmental coordination • Project / contract management

Slums / Enchroachment

• Slum development, special provisions, pro poor projects, encroachment removal

Environment • Environment protection related issues of urban development • Monitoring



Module 4: Extras 20


Role

Records • Maintenance of records • Data updating

Finance & Administration

• Procurement• Collection of taxes and user fee • Salaries and payments • Recruitments • Tarining and capacity building



Module 4: Extras 21

Municipal departments and their role in implementation – Scenario from CSP Kochi (3)

Scenario is taken from CSP Kochi / Main Report p. 82

MOUD = Ministry of Urban DevelopmentCPHEEO = Central Public Health and Environmental Engineering OrganisationCoC = Corporation of CochinKWA = Kerala Water AuthorityGoK = Government of Kerala


22Module 5: Basics

Steering body – City Sanitation Task Force


Agencies directly

responsible Agencies

indirectly involved

Re-pres. from civil society /

communities

Eminent individuals

and practicione

rs

Repres. from

private sectorRepres. of

higher levels of

Govt.

NGOs working in relevant sectors

Repres. from

Unions

Repres. from formal

and informal

companies

Repres. from

educational and

cultural sector

Who is involved?


23Module 5: Basics

Responsible for

Launching MSWM

Campaign

Generating

awareness

Approval of project

documents and reports

Approving the MSWM-

PlanField visits

to supervise progress

Communi-cation of progress

Overall guidance to implementing agency

Recommend

permanent respon-sibilities


e.g. Municipal Corporation

Steering body – City Sanitation Task Force


24Module 5: Basics

Organisational requirements for implementation

• clearly defined roles for all institutions• ensure adequate involvement of ULBs• include communities / CBOs• create new departments / cells if advisable• ensure institutional accountability for all parts, e.g. onsite sanitation

Institutions

• avoid overlapping acountability• clearly defined coordination mechanism / MoU• well defined interfaces between the actors

Interfaces

• clarify discrepancies in information on land ownership titles between State Government and ULB

• clear strategy to deal with encroachments

Land ownership


Module 2: Basics 25

Management - General orientation / basic idea

The municipal authorities should make concerted efforts to inculcate among their officers and staff a sense of

pride in the work they do, and to motivate them to do their best to improve the

level of services in the city and the image of the municipal administration.


Module 2: Basics 26

• Who or what guides you?• How do you adapt your work to

changing conditions?• Do you evaluate the

achievements?• Do you communicate

achievements and needs to upper and lower levels?

Management key questions

• leadershipManagement principles / tools

Leadership involves• establishing a clear vision,• sharing that vision with others so that

they will follow willingly,• providing the information, knowledge

and methods to realize that vision, and • coordinating and balancing the

conflicting interests of all members and stakeholders,

• take a decision after discussion and ensure implementation.

• framework / rules of conduct • communication / information flow• follow-up• adjustment / intervention / decision• Capacity Development / Human

Resource Development

Discuss in group:


Module 2: Basics 27

Management - elements

The circular model of

managementLevels of

managementHuman

resourcesImportant

management tasks


Module 2: Basics 28

Levels of management

Upper Management

Middle Management

Lower Management

strategy goals, policy decisions framework for urban sanitation overall annual planning overall monitoring formation city sanitation task force technical supervision, monitoring

operations guidance operations quality control operations supervision of strategy & plan

implementation specific annual planning responsibility for service contracts stakeholder management working counterpart city sanitation task

force implementation and supervision of day-

to-day operations / services guidance and human resource

development monitoring of contractors complaints redress maintenance infrastructure and

equipment reporting

Mayor, PresidentCommissioners,Chief Officers

Health Officers, Engineers

Sanitary inspectors,

ward officers and

supervisors

Is there something to be added?


Module 2: Basics 29

Management of urban sanitation

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What is Management ?The Management Cycle

Citizens are responsible for Proper handling od waste water

and septage at source Avoid littering of drains; Delivery of wastewater and

septage

Municipality is responsible for: Management of waste water and septage

from collection to disposal Sensitization of citizens for recycling,

reuse, rainwater harvesting and overall urban sanitation;


30Module 5: Basics

Human resources

• Manpower Needs Assessment / sufficient staff available• senior staff has the capacity to supervise• external experts available for speific tasks

Staff

• Training Needs Assessment• dedicated training budget• continous training as per phasing of CSP• include all staff groups: technical, managerial / leadership,

communication

Human resource

development

• revision / assessment of DPRs• comprehensive inspection and monitoring• community participation• data collection and management

New requirements


31Module 5: Basics

Important management tasksProduct and service

management

Implementation management

Data management

Staff management

Stakeholder management

Fund mobilization and financial management


Module 4: Extras

Important management tasks – product and service management

O & M

establish and enforce guidelines and standards

water supply

waste water management

access to toilets

storm water management

M & E

establish and execute monitoring system

facilities

services

customer response complaints

service level benchmarking

Non-municipal facilities

private onsite facilities

community toilets

provision of support and guidance

supervision

Fault-clearing service

establish fault-clearing service

establish guidelines and standards

operate and supervise

32


Module 4: Extras 33

Important management tasks – implementation management

Planningfeasibility studies as per CSP

action plan / recommendation

obtain approval for feasibility study

compile DPR

decision on implementation mode / PPP etc.

coordinate multiple stakeholder / departments

obtain project approval

Contracting

preparation of tendering documents

initiate tendering process

evaluate offers

contract negotiations

issue contract

establish implementation plan and calendar

Implementing

supervise implementation of contract

budget control

project hand-over


Module 4: Extras 34

Important management tasks – data management

Collectioncustomer data /

complaints

consumption / service usage

financial data

project data

system & facility data / monitoring

supporting data

Storage

databases

information management system

geographical data

pictures

Retrieval

reporting

data / information exchange

projections


Module 4: Extras 35

Important management tasks – staff management

Staffing

manpower needs assessment as per CSP

job descriptions

hiring

working equipment etc.

Operation

work plans

guidance and advise

intra- and inter-team communication and cooperation

supervision / follow-up

Human resource development

capacity needs assessment

continuous training as per phasing of CSP

include all staff levels

quality and impact controll


Module 4: Extras 36

Important management tasks – stakeholder managementInstitutional

stakeholders

organize information and data exchange

meetings

Awareness building

identify target groups as per CSP

initiate measures to mobilise greater public participation

identify behavioural changes required

develop related sanitation communcation themes

implement pilot campaigns

Community engagement

identify areas of community engagement as per CSP

prepare and discuss action plan

identify actors and approaches

guide implementation

monitor and evaluate


Module 4: Extras 37

Important management tasks – fund mobilization and financial management

Fund mobilization

identify sources of finance for projects

communicata & coordinate with superior governments

assessing finances from other sources including communities

consultations on financing sources such as PPP

Revenue generation

initiate actions to improve tax recovery

initiate actions to improve collection of charges

initiate tariff adaptation

Financial management

double entry accrual accounting

track costs of project implementation

track costs of services / cost recovery

financial planning


38Module 5: Basics

Finances

Types of costs

Management tools

Standard costs – sewer

Management tasks

Standard costs – waste water

tratement

Standard costs - toilets

Standard costs – disposal systems


39Module 5: Basics

Management tasks in financing

•O&M cost recovery•collection of charges•adapt tariffs to service quality•services for the poor

Cost recovery

•make use of government schemes•make use of international schemes•plan for PPP or other private financing• financing from own sources

Financing of projects

•controlling of project costs•double entry accrual accounting system• track costs of service provision

Financial planning &

management


40Module 5: Basics

Financial requirements – types of costs

Financial requirements

Operations cost

Staff cost

Maintenance

Renewal of existing

Facilities New facilities

Cost of services

Administration

• Capital costs: Asset renewal, asset expansion, debt services

• Operating costs: Staff, electricity, chemicals, services from third party, bad debt, transport and truck capital cost, fuel cost, administrative cost, discharge fee

• Contingent costs: Cost of borrowing, exchange rate loss


41Module 5: Basics

Financial management tools

• Costs not charged are carried forward and kept under review

• Participatory budgets, realistic, outcome based

Double entry accrual based accounting system

• IT applications• GIS applications

E-Governance

• Ensure basic services for poor• Prioritizing interventions

Internal budget earmarking

• Standard procedure• Competition• Transparency• Comprehensive ToR with deliverables

Procurement

• Using GIS• Collection efficiency: 85%

Property tax reform

• Achieve full recovery of O&M• reasonable level

Adaptation of user charges

• defined system• defined procedures• benchmarks• cost tracking

Controlling

• annual• external

Audit

Income generation

Follow up

Increase efficiency


Module 4: Extras 42

Examples of standard costs

Unit Cost (INR) O & M Individual Toilet 10,000-15,000 NA

Community Toilet 50,000-10,0000 9,000 / year/ seat Public Toilet 50,000-10,0000 12,000 / year/ seatAwareness

around construction &

use, hand washing

50-100 / household/year 25-50 / household/year

Construction of new facilities – Toilets


Module 4: Extras 43

Examples of standard costs

Unit Cost (INR) New soak away pits (for septic tanks) 2,000-5,000Septage management system 1 bed /1,300 households

Cost of land As per market rates Cost of construction 5,00,000/bed

Cost of Vacuum trucks 8,00,000- 15,00,000Cost of emptying 500-1,200/ tank

Rejuvenating connections to sewer lines 400-1,500/ household

Improving existing disposal system


Module 4: Extras 44

Component

Capital Cost O & M

Rate (Rs/m)Rate

(Rs/m/year) % of

CapitalConventional Sewerage

Street collector sewer (generally 150 - 300 mm dia) 600 48 8%

Branch Sewer (400 mm to 800 mm) 1,400 112 8%Trunk Sewer (800+ mm) 3,000 240 8%

Small Bore Sewerage Street collector sewer

(generally 100 - 250 mm dia) 300 15 5%Branch Sewer (300 mm to 500 mm) 700 35 5%

Trunk Sewer (500+ mm) 1,500 75 5%Simplified Sewerage

Street collector sewer (generally 100 - 250 mm dia) 300 15 5%

Branch Sewer (300 mm to 500 mm) 700 35 5%

Examples of standard costs – Types of sewage lines


Module 4: Extras 45

Examples of standard costsWaste water treatment

Wastewater Treatment

Capital Cost O & M

Rate (Rs/m)Rate

(Rs/m/year)% of

Capital

• Primary Treatment 3,038,750 364,650 12%

• Secondary Treatment 8,206,000 984,720 12%

• Tertiary Treatment 18,937,154 2,272,458 12%

• Decentralised

Wastewater Treatment 16,412,000 328,240 2%


46Module 4: Activities

Discuss who are the drivers in terms of• Government (National, State, ULB)• Institutions and departments• Private sector• Society and communities

Try to analyze what exactly is the driving power

What are the drivers for successful implementation of a CSP?

Moderated discussion



Activity:Compare institutional set-up in the home towns of the participants

1. Form working groups (5 min):

2. Group discusses and analyses institutional set-up for urban sanitation in the home towns of the participants

3. The group summarizes its discussion in a poster and appoints one or more presenters (10 - 15 min).

4. Every group presents its findings to the other groups and discusses with them



Focus of the group discussions discussion:

1. Which departments of the ULB, which organizations at ward level and which institutions / actors from outside the ULB are involved in urban sanitation?

2. What are their roles, responsibilities and tasks?

3. Please assess the performance of the specific institution

4. Are there any options for easy improvement without much costs?

5. What would you personally improve?




Presentation

Compile a table showing all organisations / departments involved per city

indicate their level (ULB, ward, outside ULB etc.)

liste their role, responsibilities and tasks

list their performance, options for improvement and your personal view



Module 2: Activities 50

Activity: Stakeholders in urban sanitation – roles and responsibilities

• Urban sanitation is a joint undertaking of numerous authorities, institutions, groups and private sector organizations.

• The stakeholder landscape provides a simplified graphical overview of key stakeholders, their function in the system, and their importance.

• Construction of a stakeholder landscape for urban sanitation in your city is the task of this group work.



Activity: Stakeholders in urban sanitation – working steps1) List all actors being involved in urban sanitation2) Classify the actors according to two criteria:

a) Assign the organizations considered to three spheres of function:Core organizations, contributing organizations, outer layer organizations

b) Assign the stakeholder to one of the 6 core sectors organisation involved in urban sanitation:Municipal departments / agencies, Government bodies, Civil society organizations, private sector, financing organizations, informal sector

3) Characterize the actors with regard toa) their interest in the project:

supportive, neutral, hesitant, adverse, b) their power to influence the project:

strong, reasonable, low, c) their responsibility on urban sanitation

4) Locate the stakeholders in a diagram according to their function and symbolize them with a circle. If a stakeholder has a high power to hamper or stop urban sanitation processes use red color. Furthermore you can symbolize positive relationships between actors by drawing a connecting line between them. Negative relationships may be symbolized by red lines with a lightning symbol ().



Activity: Stakeholders in urban sanitation – stakeholder landscape



Activity: Stakeholders in urban sanitation – working steps ctd.

4) Discuss how the stakeholder’s contribution could be improved / made more efficient.

5) After having compiled the stakeholder landscapes each group presents its results for discussion to the plenary. Groups should particularly consider whether the analysis has brought up new insights in terms of relevance and role of stakeholder groups.


54Module 5: Basics

Indo-German Environment Programme (IGEP)Deutsche Gesellschaft fürInternationale Zusammenarbeit (GIZ) GmbH

Sustainable Urban HabitatB-5/2, First Floor, Safdurjung Encalve, New Delhi-110029, Tel: +91-11-49495300/01/02

Thank you very much

[ Module 5] Requirements for implementation of a CSP

Documents

urban development

urban sanitation

urban poorcommunity

branch sewer

trunk sewer

construction use

cost of borrowing

fuel cost