APPROPRIATE TECHNOLOGY FOR SIMPLIFIED, CONNECTION ORIENTATED - - PDF document

APPROPRIATE TECHNOLOGY FOR SIMPLIFIED, CONNECTION ORIENTATED SEWERS

KLAUS DIETER NEDER

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In Brazil, as in most developing countries, the deficit on ad- equate basic public infrastructure is still very large, resulting that a good portion of the population still lacks on services related to water supply, sanitation, drainage and solid waste collection. This situation is quite common in the outlying suburbs of cities, where low-income populations are concentrated, as most of the services available in developing countries are located in the richest parts of the cities. This is especially true with regard to sanitation, the focus of this work. Expanding sanitation ser- vices to the outskirts of the cities is therefore a major challenge for developing countries, requiring substantial resources for its realization. An important consequence of this aspect is that the experience gained through the implementation of conventional sanitation services in the richer areas of the cities, is, in most cases, mostly useless when applied in the poor suburbs, where the social, economic, cultural, as well as the prevailing physical environ- mental conditions are quite different from those observed in the finest areas of the cities. This is very important when one considers that the success of a sanitation system is closely related to the environment and the habits of the population of the area where it is installed. To be successful throughout its life time, the various factors that may impact its performance must be considered from design to its operation. In practice this understanding stumbles on the little experience

• n the implementation of sanitation systems in low-income ar-

eas, which results in the ignorance of the problems that can be verified with the conventional approach and the lack of aware- ness on the need to seek solutions to correct the problems. The consideration of an alternative technology for anyone not experienced with this kind of situation just seems unnecessary. This understanding takes some time to occur, usually in a trial and error process, when the use of conventional technology results in low performance systems, emphasizing the limitations

• f this kind of solution.

In developing countries, at public utilities, even these findings are not easily achieved, as most of the agents that are involved with the implementation of sanitation systems are not involved with its operation and maintenance. Thus, it appears that the challenge for achieving full coverage with sanitation depends not only on the availability of financial resources to carry out the works, but also on the promotion of the necessary capacity building of the involved agents, so that they might understand the various factors involved in the imple- mentation of sanitation systems in low income areas and the related possible solutions.

INTRODUCTION

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LIMITATIONS OF CONVENTIONAL SOLUTIONS

Conventional sanitation solutions were developed in urban areas gifted with most conditions that favor its applicability. The noblest areas of cities, where income is higher, where people are more used to manage with public services, including sanitation, where the urban condition and the availability of other public services is generally adequate, ended generating the know as conventional technologies, which work very well in these conditions, but do not hold up in environments where these conditions are ab-

• sent. Several factors may be presented to illustrate this situation,

characterizing the type of limitation that conventional solutions feature out of its “original” application environment. z Economic: Conventional sanitation solutions usually result in investment and operational costs at levels that people in low income areas cannot afford, demanding subsidies that might not be sustainable over the expected lifetime of the system; z Cultural: Conventional sanitation solutions disregard the information deficiency that is verified among the popula- tion to be served, which mostly not used to deal with such a system. This deficiency leads to a low demand for the service, resulting in low level of connections, low availabil- ity for payment of tariffs and also misuse, resulting in low performance of the system. z Infrastructure: Conventional solutions give little attention to the lack of proper urbanization in the area where the systems will be implemented. This fact, together with the usual lack of drainage and solid waste collection services, results in an aggressive environment, that usually promotes the deterioration of the sewers; z Technical: Most of conventional sanitation solutions adopt a basic misconception on its design, which imposes to the users the responsibility to connect to the network. It’s com- mon to see systems that give no special consideration on the topography of the area (regarding the connection) or the characteristics of the internal installations of the household, making it difficult or even impossible to the user to connect to the system; z Institutional: Conventional solutions give little attention to the lack of adequate organizational structure to properly oper- ate, maintain and commercialize the system, contributing to its deterioration, discredit and low economical sustainability. The disregard of these factors creates systems that do not reach the expected number of connections, deteriorate quickly due to the misuse and lack of maintenance, and cannot generate the revenue to make it economically sustainable.

THE PERCEPTION OF THE PROBLEM

In Brazil, the search for alternative more sustainable sanitation solutions was an effort that has emerged throughout the 80s, with the participation of some actors from the Brazilian sanita- tion sector, including the academia and civil society, with the major role of ABES, with the participation of some international actors (1). The process culminated in the publication, in 1986,

• f the a new national technical norm, NBR 9649, for the design
• f wastewater collection networks, which incorporated vari-
• us aspects that resulted from the research performed during

this period, including, among others, the use of 100 mm as minimum diameter of pipes and the use tractive tension as the criterion for the hydraulic design of networks. Although the new norm opened the door for the adoption of new solutions in the sanitation area, including the Condominial model, in practice, a very slow response to the new concepts was verified. The fact is that most agents promoting sanitation in Brazil did not feel the need to change their own concepts in the area of sanitation, understanding that the experience gained so far was sufficient to meet any new situation. The lack of experience in low income areas created the illusion that conventional solu- tions were suitable for any kind of situation, a vision that, in some extent, still continues today. In this sense, the great challenge for the adoption of new appropriate technology is to induce the perception and under- standing of the problems that can occur with the use conven- tional technology outside of its “natural” environment, the wealthier and urbanized neighborhoods of cities. The fact is that the technicians involved with the implementa- tion of new sanitation systems will only move towards the use

• f appropriate technology when aware of the limitations of con-

ventional models and the need to develop solutions for every problem that this technology can experience. Therefore, techni- cians need to break with their past experience, recognizing it as an experience limited to particular situations and probably not applicable to new different situations. To work with a scenario of expanding basic sanitation to all the population, the understanding of these problems is the basis to understand the solutions that might be proposed. In this regard, capacity building programs for the dissemina- tion of appropriate technologies should give special emphasis to the presentation and discussion of the problems that can occur with the use of conventional systems, as a prerequisite for the presentation of a new technology, which can be present as a solution for those problems.

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ALTERNATIVE TECHNOLOGIES FOR WASTEWATER COLLECTION

Alternative sanitation technologies, seeking to resolve the problems encountered with conventional solutions, with the goal of improving the efficiency of the investment, have shown that the implementation of sewerage systems can be optimized in several ways, especially when you consider the various factors that occur in the area where they will be

• implemented. Some common aspects can be included as a

“must” for appropriate technology, and should be considered in every new project. z Facilitate and enable the household connection. The project should look for the individual situation of each household to be connected, regarding the location, depth and ease of the connection. The project should also include the evaluation on the convenience to stimulate the con- struction of indoor facilities in order to easily allow the

• connection. This procedure is intended to allow a high rate
• f adherence to the system, avoiding high costs or techni-

cal complications that prevent the user to connect to the network; z Induce demand and proper use of the system. A process

• f community engagement with the project should be im-

plemented, seeking to achieve adequate ownership of the new system by the community, through the understanding

• f the benefits that can be achieved by its implementation.

This generates demand, willingness to pay and appropriate use of the facilities; z Consider the conditions of existing infrastructure in the

• area. Look for greater physical integrity for the new system.

This can be achieved through careful consideration of the existing urbanization situation, locating pipes and inspec- tion elements in more protected areas; z Reduce investment and operation / maintenance costs. Project should use proper design criteria that enables the adoption of minimum diameters for the collection tubes (usually 100 mm), the use of narrower and shallower ditches, (reducing volumes of excavation and backfill); the use of smaller quantities of manholes (and of smaller size), and also adopt a special care on the definition of the pathways for the network, looking for safe locations and reducing the extent of

• pipes. These design criteria can result in cost reductions of up

to 40% over the conventional design, allowing for lower tar- iff rates and therefore increased sustainability of the system; z Encourage the development of institutional organiza-

• tion. Promote the necessary administrative and operational

capacity to implement and maintain the system, recog- nizing the need for adequate support for its operation, maintenance and commercialization, within a professional framework for customer support; z Consider a tariff model that reflects the principles adopted in conception of the system, giving the users the savings and benefits arising from the implementation and proper operation of the system.

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THE CONDOMINIAL MODEL OPTION

Facing the above highlighted issues, which belong to what might be called appropriate technology, the Condominial model, for the implementation of sanitation networks, offers an excellent conceptual basis for the promotion of solutions that seek to be adequate to the reality where they will be applied. From the basic concepts that characterize a Condominial system, it is possible to adopt design criteria, construction methods, implementation methodologies and other procedures that aim to solve the main problems that might affect the success of a sanitation solution. The Condominial model, as proposed by Brazilian engineer José Carlos Melo, meets most of the goals aimed by appropriate technology and is based on two main principles: z From the point of view of implementation design, the Condominial model innovates in relation to the conven- tional approach, considering the possibility of establishing a collective connection, called the Condominial Branch, which performs the connection of several homes before being connected to the main network, located in the public

• area. This possibility enables a series of advantages from

the standpoint of the cost of the system, its operation and maintenance; z The model also innovates by considering public participa- tion in the implementation of the system as an indispens- able activity of the process, incorporating, during the construction phase, a Community Mobilization program, which seeks the involvement, participation and ownership

• f the new system by the population to be served, in order

to increase its economical and operational sustainability. Extensive descriptions of the Condominial Model have been documented on several occasions and can be highlighted by the volumes edited by the Ministry of Cities of Brazil, which were coordinated by the Engineer José Carlos Melo (6) as well as through work of others who reported experiences developed with the use of model, including experiences outside Brazil. It should be noted that the basic concepts of the Condominial Model have generated different interpretations regarding the design criteria and implementation methodology, which has led to discussions about the most correct form to implement the

• system. This becomes clear when one compares, for example,

the experiences in Brasilia and Salvador, two major system applications in Brazil, which used different methodologies for the implementation of the model, both under the same general “Condominial” designation.

APPLICATIONS OF THE CONDOMINIAL SYSTEM

The Condominial Model, despite already counting with applica- tions bordering on 30 years of existence, is still relatively little used in Brazil. The Federal District is probably the only Brazilian state where its application was institutionalized, assuming a permanent place at the utility. The experience of Caesb is interesting because the concepts of the Condominial Model have been assimilated as the basis for the development of a comprehensive implementation method-

• logy, which included the establishment of criteria and pro-

cedures contemplating all the implementation phases (design, budgeting, procurement, construction and community partici- pation) and exploration phases (operation, maintenance, tariff policy and commercialization), creating a sustainable model for the company. A presentation of most of these aspects can be found in the annexes of the International Seminar on the Condominial System promoted by Caesb in 2011 (8). Using the basic concepts of the Condominial System, Caesb practically reached the full coverage on sanitation services in the Federal District, currently assisting more than 1 million people. The example of Salvador, although using a different meth-

• dology, also enabled a significant increase in coverage with

sanitation services, which probably would be difficult to achieve with a conventional approach. In Salvador the assimilation of the model by the utility was not as extensive as in Caesb, and was based on a simpler process for defining the engineering solution, demonstrating that the model is capable to be adapted to various conditions of implementation. Annex 1 presents the main aspects that differentiate the application of the model in Brasilia and Salvador.In both situations the model allowed significant expansion of coverage, demonstrating its applicability as a viable alternative to the water and sanitation utilities. In addition to the diverse experiences in Brazil, the application of the model has occurred in other countries, which can be high- lighted trough the excellent experience held by Sedapal in Lima (2). This case is very important due to the difficulties that were

• vercome by the project team, including the physical characteris-

tics of the area where the system was implemented, consisting of mountain / rocky area on the outskirts of Lima, and the cultural difficulties of dealing with a majority populations of indigenous

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• rigin, in conditions of extreme poverty, all of this within the

structure of a traditional water and sanitation utility. A similar situation was found in the experience developed in the neigh- borhood of El Alto, in La Paz (3), which also faced great difficulties arising from the conditions that exist on site. In Bolivia the model came to give rise to issue a new standard for network design, incorporating the concepts of the Condominial system(7). The replication of the Condominial Model, in Brazil and abroad, necessarily demands some fixes in the form of disclosure and dissemination, considering that still persist some mistaken views that affect its greater replication. Ideas like “the Condominial branch necessarily has to go through the back of the lots” or “the resident must be responsible for the maintenance on the branch” were disseminated without being necessarily part of the model.

POINTS FOR THE DISSEMINATION OF APPROPRIATE TECHNOLOGY

The dissemination of alternative technologies, more appropriate to the reality of the demand for sanitation services in Brazil and

• ther developing countries, necessarily involves a critique of the

conventional model, focused on the limitations that this model has faced in the periphery and low income areas of cities. The perfect understanding of these limitations is the basis for build- ing an alternative model, more appropriate to our reality. In this case some points are universal and can serve as a starting point for a program of dissemination. z Change the focus of the project. Conventional designs have focused on urbanism as the working basis for the de- velopment of a sanitation project. In the case of appropriate technology, this focus should be given for the household connection, which has often been overlooked by designers. By focusing on the connection as the ultimate goal of the project, the designer will be faced with situations where the called “Condominial Branch” will emerge as natural option to allow the connections; z Consideration of the reality of each individual user. Focusing on the connection, the conditions to allow an easy connection to the public network should become a goal of the project. In this sense the internal installations of each household must be assessed, demanding the design of the necessary measures to make them comply with appropriate use conditions, including its construction in situations in which these installations are not available. The user has to be seen as an integrated part of the sanitation system and a participant of the development of the technical solution to be adopted. In this sense the project can even identify the need to format a subproject in order to encourage future users to implement their internal facilities, which must

12 consist of, at least, a sanitary module that allows the con- nection to the sewers. There are already experiences, as the

• ne in Lima, Peru, in which the infrastructure project has

promoted initiatives that helped families to prepare their homes to receive the sewers. This can be achieved by vari-

• us procedures such as providing information and technical

support; creating micro credit lines for the construction of sanitary modules, networking with suppliers in order to provide lower cost building materials, etc.; z Participation of the community. As a result of the focus

• n the connection and on the needs of each user, com-

munity participation in the implementation process should be mandatory. Community participation is necessary for the project to acquire the knowledge of the local situation (internal household facilities, ideal connection point in the lot, the ideal pathway for the networks to meet the local situation, etc.), and is necessary for the community, which, through the process will learn on the necessary information for the adequate use of the system (demand generation, willingness to pay, proper use and care, etc.). These goals require the designer to enter the homes to be assisted and share his ideas with the locals; z Develop a social intervention strategy. The approach to the community cannot be seen as a telluric activity that hap- pens calmly and smoothly. In addressing the population, the project should be prepared to listen and give answers to various questions that plague the residents, such as qual- ity of services, cost of tariffs, neighborhood safety, need for urbanization, etc.., As the community sees the utility as part

• f the governmental structure that administers the city, it is

seen as co-responsible for solving the problems that afflicts

• them. Political developments should not be discarded,

since the participation of the community always arouses the attention of different political groups, ranging support or criticize to the solution, according to their political conve-

• nience. The strategy to address the issues and ramifications
• f the community engagement process must be articulated

and professional, and should be shared by all project par- ticipants who will have contact with the population. z Changing the sequence of project design. With the aim

• f designing the system according to the characteristics of

each household within the community, the final design of the sewers network only makes sense if drawn in real time, throughout the construction of the network. In this sense the sequence of the implementation of the project should be changed, and therefore the final design should be run during the works, according to the local conditions at the time of its execution; z Search the economy in the preparation of projects. The commitments that are assumed to residents include a guarantee that you they will be charged only by the actual minimum costs of the system. This aspect is very important in low-income areas, where the search for the system’s sustainability should meet the users capability to pay. In this sense the design criteria and construction methods must be carefully defined so as not to unnecessarily hinder the solution to be implemented. The definition of realistic design parameters (target population, per capita consump- tion, rate of return of sewage infiltration coefficient of the networks, etc.) and proper definition of design criteria, (minimum diameter, minimum slope, minimum cover; etc.) must be carefully chosen, not to result in an oversized and

• ver costly system. All these aspects complement the con-

ceptual basis of what can be called appropriate technology and are as important as the model itself. z A focus on network security. In the final design, networks and inspection elements shall be located in a way to protect the system of the risks involved with the environment in which they are deployed. Protecting network from traffic, preventing erosion, reducing the number of elements of in- spection, giving preference in locating networks in protected areas, hindering access to the system, etc., are concerns that should guide the designer during all phases of the project; z Transfer of knowledge. The community participation pro- cess should be used as a way to transfer as much knowl- edge as possible to the community, especially regarding all aspects related to the effectiveness and sustainability of

the sewer system, including aspects to avoid problems of misuse and vandalism; z Adequate tariff policy. Appropriate technology should see the user as the ultimate beneficiary of the achievements resulted from the use of the technology and the commu- nity participation. Tariff policy should allow that all cost and quality gains resulting from the implementation of the project are extended to the user; z Creation of proper maintenance and commercialization areas at the utility, as part of the project. In this sense these areas should be prepared to know and implement all the agreements and conditions established with the commu- nity during the works. Should domain the skills needed to perform the maintenance services, having the organizational capacity to provide the necessary services with the prompt- ness and quality necessary to ensure the smooth operation of the system. It is up to the areas of maintenance and market- ing system to honor the agreements signed with the users, under the penalty of demoralization of the project; z Tariff model that stimulates the economy. The quest for sustainability of sanitation, which involves all its compo- nents, encompasses networks, pumping stations and treat-

• ment. In this respect the practice of measuring the water

consumed and the adoption of a tariff structure that stimu- lates the economy, helping to reduce the overall sanitation system cost, will allow lower rates and greater sustainability. An area with a good tariff structure, which stimulates the economy through metering in each residence, will probably consume less water on a per capita basis when compared to areas without metering and a tariff structure indifferent to the volume consumed. Lower water consume will produce less sewer, resulting in networks of smaller diameter and smaller pumping and handling expenses. Promote the es- tablishment of a professional commercial structure, coupled with a tariff policy that stimulates the economy in water consumption, should also be the goal of a sewerage project. For the dissemination of the technology remains still the need

• f the perception, on the part of the utility, that the community

participation creates obligations for both parties. The user agrees with a number of obligations, including authorizing the imple- mentation of the system to the agreed characteristics; ensuring the physical integrity of the network and its inspection elements; use the network properly and pay the bills for the service. As a counterpart the utility undertakes to complete the works on time, with appropriate quality and costs, to charge only the agreed tariffs, to perform maintenance services quickly and professionally and to maintain an answering service that enables an effective channel of communication with the community. In this respect, it is noteworthy that the sustainability and replication of the model depends on the compliance by the utility, of all the agreements made with the community, which normally create a large expec- tation with respect to the quality and care of the service.

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CHALLENGES TO THE APPROPRIATE TECHNOLOGY REPLICATION

The replication of alternative sanitation technologies is a quite complex multi-disciplinary task, involving the complete cycle of a project, from its conception to its operation, where the end user plays a very important role. Replication must consider the technical, economic, cultural, environmental, political and organizational factors which, each in its own way, may affect the performance of the solution one wants to implement.

The Condominial model has been used, in most cases suc- cessfully, as a basis for implementing solutions that seek to approach the reality of the areas to be served.There are already extensive applications of the model in several countries and abundant literature on the subject, detailing each of the steps required for its implementation. The inherent characteristics of alternative technologies, that break the traditional concepts regarding the implementation

• f sanitation systems, represent a challenge to replicate this

type of solution, given that it demands the change of con- cepts rooted in most of the sectors tasked with the implemen- tation of such systems. This change will only be achieved on the basis of consistent technical arguments and never through speeches that disregard past experience of the involved agents and the circumstances in which they applied. The recognition of prior sector experience, the respect for the way it was obtained and the search for true discussion with the actors is the main challenge that the new technology requires to be spread. Moreover the discussions regarding new models should focus on the consideration of the technical aspects involved with the systems, leaving aside criticism of any kind, which only tend to turn people off the process that you want to deploy. On the other hand, there should always be a concern regarding the external conditions that contribute to the success or failure

• f a project, noting that a model for a sanitation network is
• nly part of a larger system, which includes several actors

at the community and the utility, many of them not directly linked to its implementation, but who play a fundamental role in its performance. REFERENCES

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ANNEX 1

COMPARISON OF CONDOMINIAL SYSTEMS IN BRASILIA AND SALVADOR

by Klaus Dieter Neder and Ivan Paiva Aspect Brasília Salvador

Institucional Initial motivator fact Political - External to the Utility Political - External to the Utility Receptivity in the company Positive Positive Assimilation in the formal structure of the company Partial Full Partial Assimilation by the administration of the company Full Partial Value of the system for the company High High Continuity Full Full Future Prospects Full adoption of the system, as a standard solution by the company . Maintenance of condominium techni- cal solution by adopting another name to differentiate the fare, consider- ing that just EMBASA will operate the branches. Types of sewerages The Condominial System is the standard for Caesb since 1991 The Condominial system is used in areas of disorderly occupation and the conventional system is used in regular areas. Technical Standards for design and execution Detailed by CAESB itself Detailed by EMBASA itself Minimum diameter for branches 100 mm 150 mm (currently). At the beginning of the program was 100 mm Minimum depth within the lots 40cm 40cm Minimum depth on sidewalks 70 cm 65 cm Minimum diameter of Inspection boxes 40 cm 40 cm Minimum slope 0.5 % 0.5 % Bidding Standards CAESB’s EMBASA’s Management and supervision of the works CAESB EMBASA and consultant

18 Tariff Model Specific tariff for the system Yes Yes Tariff criteria 1. Sidewalk Branch - 100 % of the water

• bill. Same value as the conventional

system. 2. Internal Branch (garden plot and background ) : 2.1 - If maintenance is by the commu- nity - 60 % of the water bill 2.2 - If maintenance is by Caesb - 100 %

• f the water bill

Yes. The rate for condominial system is 45 % with user maintenance and 80 % with maintenance performed by EMBASA Connection fee Yes No Value According to the length of the Branch

• System design

Bidding Bidding based on Basic project only - Design on Condominial Branch and public sewers prepared by CAESB own team Defines the public network and estimates the condominial extensions, which will be detailed during the works. The basic designs were developed by companies contracted by EMBASA . Executive projects of networks and exten- sions are performed during construction by the contractor Implementation Options Internal and external branches. Three options are evaluated, according to the local situation: Sidewalk, garden and back of the lot. The final choice is taken by the community, being the result of a negotiation process between Caesb and locals. No location options for the branch, the technical solution is a “ wherever pos- sible” according to the characteristics of the occupation Executive project for the Branch Throughout the works, together with the community, as part of the commu- nity mobilization process. The project is implemented by CAESB , with support from a consultant. Throughout the work, together with the community , as part of the community mobilization process. The project is run by contractors , with oversight of supervision consultant. Executive project for the Public Sewers Throughout the work, by CAESB Throughout the work, by contractor, with

• versight of supervision consultant.

Construction of the system Community participation in the works of the condominial branch

• Optional. Just the condominial branch

construction can be run by the commu-

• nity. The other components are responsi-

bility of Caesb. 1. Execution by Caesb - the resident pays connection fee , corresponding to the cost of the condominial branch ; 2. Execution by the neighbors - Free from connection fee. There is no option for the work to be performed directly by the community Only EMBASA performs works, trough contractors. Branches construction Accomplishment of the works of condo- minial branches by contractor or by the condominium itself. Although offered to the community the number of connec- tions performed by self – construction is very small. Contractors Public sewers construction Contractors Contractors Community Mobilization Realization Technical realization trough Caesb, together with a consultant Technicians under the supervision of the contractor and coordination of EMBASA Coordination Community Mobilization Area of CAESB Community Mobilization Area of EMBASA Agreement letter Informal term signed between the par- ties, however, necessary to implement the system. The goal is 80 % subscrip- tion Informal term signed between the par- ties, however, necessary to implement the system. The goal is 80 % subscription Obligation to connect Yes, due to law. Yes Results Number of connections 214,600 252,416 connections (2008 ) Community meetings held 7,800 10,000 Preference for Branch location Sidewalk Not applicable Preference for Branch maintenance By CAESB By users due to the reduced rate. In prac- tice the EMBASA also maintains extensions Branch maintenance by users Small Large

APPROPRIATE TECHNOLOGY FOR SIMPLIFIED, CONNECTION ORIENTATED SEWERS