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Development Partner Roundtable and Policy Dialogue Session on Sustainable Sanitation in Asia20–22 September 2018ADBI, Tokyo, Japan
Organized by the Asian Development Bank Institute and the Bill & Melinda Gates Foundation.
Eventhoughaccesstoimprovedsanitationfacilitieshasimproved,progressinaccesstosafelymanagedsanitationservicesisstillslow.Globally,4.5billionpeoplestilllackaccess to safelymanaged sanitation (UNICEF andWHO 2017). Such inappropriatemanagement of excreta is a main source of pollution of public water bodies,rivers,canals,andponds,particularly intheurbanareasofmanyAsiandevelopingcountries.AccordingtoasurveyconductedbytheJapanInternationalCooperationAgency (2012), in Jakarta, Indonesia, although the share of residents with accessto improved sanitation facilities has reached 87% (85% to septic tanks and 2% toseweragesystems),theriversinthecityareseriouslypolluted.
Oneof thecausesofwaterpollutionmaybeattributed to improperdecentralizedwastewater management. According to the United Nations Children’s Fund andtheWorld Health Organization (2017), about half the global population is usingnon-sewered sanitation—and its poormanagement is among the leading causesofwaterpollution.Todiscuss the innovative ideasonacceleratingtheprogressonsafely managed sanitation through citywide inclusive sanitation and fecal sludgemanagement,theAsianDevelopmentBankInstitute(ADBI)hostedtheDevelopmentPartnerRoundtableandPolicyDialogueSessiononSustainableSanitationinAsiaon20–22 September 2018.More than40participants attended, including25officialsfrom various development organizations and 9 government officials from Asiancountries.Basedonthediscussionsattheevent,thispolicybriefdrawsoutlessonsandrecommendationsforinstitutionalarrangementsforsustainablesanitation.
The Challenge
ThemajorityofurbanresidentsinAsiandevelopingcountriesareusingseptictanks,manyofwhich are improperly installed and sometimes inaccessible for desludging.Septic tanks often do not conform to the desired quality parameters, and many
ADBI Policy Brief No. 2018-3 (December) 2
are designed only to handle black water (wastewaterfrom toilets containing pathogens) and not gray water(wastewater from household use other than toilets).The prevalent “on-demand” desludging system often isincapable of improving the condition of water bodiesbecauseseptictankscanbecomeinefficientinprimary(orinitial)treatmentlongbeforetheyarefullanddesludged.Inaddition,theefficiencyofthedesludgingsystemisoftenpoorduetofactorssuchasunaffordabledesludgingfees,poor quality of desludging services by the unregulateddesludging operators, and the illegal disposal of sludgeat locations other than sludge treatment plants (STPs)(causedbydistanceorsludgedisposal feesat theplant,etc.). Moreover, the development of STPs is far behindthatofseweragesystemsindevelopingcountries,andthelevelofutilizationofsuchplantsisoftenpoorduetothelackofaregulardesludgingsystemandthepoordesignoftheSTPs,amongotherfactors.
Insuchacontext,thispolicybriefexplainshowJapan’sdecentralized wastewater management system, orpackaged aeratedwastewater treatment plant (PAWTPor johkasou in Japanese), evolved and how it works.Thefollowingarethekeyelementsthataretakenfromthe Japanese experience and relevant for wastewatermanagementindevelopingcountries:
• Establishment of a qualification, examination,and training system for installation vendorsand/or workers of decentralized wastewatertreatmentfacilities
• Introductionofaregulardesludgingsystem• Establishment of a qualification and training
systemfordesludgingvendorsand/orworkers• Establishment of a qualification, examination,
and training system for maintenance vendorsand/or operators of PAWTP or similar facilitiesforcommercialbuildings
• Strengthening of the inspection of PAWTP orsimilarfacilitiesforcommercialbuildings
Japan’s Decentralized Wastewater Management SystemEvolution of the Non-Sewered Sanitation System in Japan
Before 1945, vault toilets, which had a watertightstructure and functioned as a temporary storage for“night soil” (fecal sludge), were themost popular styleof toilets in Japan. Night soil was transported to rural
areas and used as fertilizer. In the 1950s and 1960s,however, the increasing amount of night soil fromgrowingurban areasbecamea serious social problem;municipalities carried out the treatment of night soil,and the government promoted the development ofadvancednightsoiltreatmenttechnologies.Asaresult,by the time the nationwide development of seweragesystemsstartedinthemid-1970s,morethan1,100 nightsoiltreatmentfacilitieshadbeenbuiltacrossthecountry.
Beginninginthelate1950s,duetothecountry’srapideconomicgrowth,thedemandforflushtoiletsbecamehigh.Ontheonehand,thelackofrunningwatermadeitimpossibletousethetraditionalvaulttoiletsasflushtoilets;on theother,developing the sewerage systemand connecting households to it might have taken along time. Hence, PAWTP technology was developedfor use with flush toilets. In the 1970s, together withthe sewerage system, PAWTPs became a prominentmeasure for thedisseminationof flush toiletsand theimprovementofsanitation.Atthetime,PAWTPstreatedonlyblackwater.
From the early 1980s onward, the pollution of publicwater bodies caused by gray water became highlyvisible. In 1983, the Johkasou Act (PAWTP Act) wasenacted toovercome this situation.Thepassingof thePAWTP Act is worth mentioning in that the ministryin charge usually drafts such laws and presents themto parliament for voting. In the case of the PAWTPAct, however, since its contents affected multipleministries and no single ministry took charge ofdrafting it, it was the parliamentarians who compiledthe draft—with the support of the stakeholders ofJapan’sdecentralizedwastewatermanagement system,such as the PAWTP operation andmaintenance (O&M)vendors and desludging operators. They supportedthe promulgation of the PAWTP Act since improvingthe country’s decentralized wastewater managementsystem was vital for them to continue their business.ThelawclearlydefinedthelegalbasisfortheinstallationofmanufacturedPAWTPsaswell as theirmaintenance,inspection, and cleaning (desludging).To ensure thesemeasures were translated into reality, the law furtherspecified the responsibilities and duties of the PAWTPoperators and established a state certification system.Accordingly,thestatecertificationofPAWTPinstallationworkersandmaintenanceoperatorswascreated.Whenthe PAWTP Act was amended in 2000, the PAWTPdefinitioneliminatedtheblackwater-onlytype,makingit compulsory for allnewly installedPAWTP facilities totreatbothblackwaterandgraywater.
Institutional Mechanisms for Sustainable Sanitation: Learning from Successful Case Studies2 3
Institutional Structure, Clear Responsibilities, and Efficient Compliance
The PAWTP Act delineates the roles and responsibilitiesof various stakeholders of the decentralizedwastewatermanagementsystem inJapan (seeFigure1). Inadditionto specifying the responsibilities and duties of PAWTPoperators,thelawalsospecifiesthoseofusers,thecentralgovernment, municipalities, inspectors, desludgingbusinesses,andtraininginstitutions.Asmentioned,statecertification systems for PAWTP operators, installationworkers,andmaintenanceoperatorswerecreated.
Quality Design and Appropriate Installation of PAWTP Units
Japanensuresthatitsdecentralizedwastewatertreatmentplants are performing well through adequate qualitycontrol of the design and manufacturing process. Acorporate body that intends to manufacture standardPAWTPs in a factory must receive approval issued by
the central government.Moreover, a designated testinginstitutiontestsanynewtypeofPAWTP.TheinstitutionalarrangementalsoensuresthatonlyadequatelydesignedPAWTP systems are installed during construction. Themunicipality grants permission to build only when theproposedPAWTPtobeusedatagivensiteispreapproved.
ThePAWTPActalsomandates theconstructionvendor(i) to be registered by the prefectural government;(ii) toemployateachbusinessofficeinstallationworkerswho have been licensed (after completing a courseor an examination) by the Japan Education Centerof Environmental Sanitation (JECES), the designatedexamining agency; and (iii) to have the licensedinstallation workers conduct or supervise all PAWTPinstallationworks.Consequently,onlyqualifiedworkersengageinPAWTPinstallationworks.
Such a robust institutional structure ensures that onlyqualitywastewatertreatmentfacilitiesare installedanddonesoproperly,thuseliminatingthedeficiencyinthe
Figure 1. Roles of Stakeholders in the 1983 Johkasou Act (PAWTP Act) in Japan
Must receive approval by the central government to make standard PAWTP units, upon meeting the structural standards prescribed under the Building Standards Law
Performance of a new design must be tested by a designated institution
Building Permits
Issued by the municipality only when
1. the type of PAWTP is approved by the centralgovernment,
2. the PAWTP maintenance vendor is registered by the prefectural governor, and
3. the desludging vendoris approved by the municipality.
Installation
PAWTP installation can only be carried out by the installation business registered by the prefectural governor. The installation business must assign an installation worker who has a license issued by the Minister of Land, Infrastructure, Transport and Tourism in each place of business.
Such a license is issued to an individual who has passed the nationalexamination for PAWTP installation workers administered by the Japan Education Center of Environmental Sanitation (JECES).
Owner of PAWTP Unit
Must pay for
1. initial and subsequent annual inspection of water quality,
2. periodic maintenance (once every 3 or 4 months), and
3. annual desludging.
Must deploy technical supervisors for large-scale PAWTP units (> 500 persons).
Desludging Vendor
Approved by the mayor upon con�rming the technical standards of the Ministry of the Environment
Usually, desludging technicians who hold JECES certi�cates are employed.
Municipalities are obligated to support job transfers for workers.
Inspection Agency
Inspection carried out through a PAWTP inspection agency designated by theprefectural (provincial)government
Maintenance Vendor
Registered by the prefectural government
Employs PAWTP operators licensed by the Minister of the Environment to be assigned in O&M work. Such a license is issued to individuals who have passed the national examination for PAWTP operators administered by JECES or who have completed the training course for PAWTP operators administered by JECES.
ADBI Policy Brief No. 2018-3 (December) 4
wastewater management system arising out of suchconsiderations.
Regular Inspection and Efficient Operation and Maintenance of PAWTP Units
The PAWTPActmandates the PAWTPmanager (ownerof the household or the PAWTP unit) to accept theeffluent water quality inspections by the PAWTPinspectors designated by the prefectural governor,onceimmediatelyaftertheinstallationoftheplantandannuallythereafter.Similarly,thePAWTPmanagerisalsoobligatedtoconductperiodicmaintenanceworkoftheplant per the predefined schedule. This work can beentrustedtoaPAWTPmaintenancevendor.
SpecialmeasuresmustbetakentoensureadequateO&Manddesludgingfor large-scalePAWTPunits (equivalenttomore than 500 persons). For such units, the PAWTPmanager must deploy a PAWTP technical supervisor.This is to ensure that non-household units (e.g., officecomplexes and apartment buildings), which producea large quantity of wastewater in a limited area, areadequatelymanaged.
The municipality ensures compliance by PAWTPmanagersfortheabovementionedmandates.Basedontheresultsoftheinspection,theprovincialgovernmentmay issueanorder to improve theO&Mordesludgingprocedures.
Regular Desludging by Qualified Desludging Workers
In Japan, regular desludging is implemented as part ofthe decentralizedwastewatermanagement system.ThePAWTP Act obligates PAWTP managers to periodically(once a year) conduct desludging works, which can beentrustedtoamunicipality-approveddesludgingvendor.Themunicipalityensurescompliancewiththelaw.
A corporate body that intends to join the PAWTPdesludging business needs to obtain the approval ofthe mayor of the targeted municipality. This approvalmay be given for a limited period and is issued ifthedesludging equipment and capability of the entityapplying as a PAWTP desludging vendor conform tothe technical standards prescribed by the ministerial
ordinance. The applicant must also show that thecompanyhasnotviolatedanyofthetermsofthePAWTPActduringthepreceding2years.Althoughtrainingandnationalexaminationarenotlegallymandatoryforthedesludging workers, since the desludging vendor issubject tomunicipality approval,manymunicipalitiesapply the condition that the vendor employ certifieddesludging technicians who have completed theJECEStrainingcourse.Therefore,inreality,onlytrainedprofessionalscanengageindesludgingworks.
In addition, municipalities are obligated to supportthe job transfer of desludging workers according totheActonSpecialMeasuresConcerningStreamliningof Domestic Waste Disposal Business Incidental toImprovementofSewerage(1975)inordertoprotectthedesludgingworkersfromanticipatedunemployment.
Institutional Framework for New TechnologyAlthough O&M of the existing system is thoughtto be critical for the sustainability of fecal sludgemanagement (FSM) solutions, there is also a need fora framework for developing new technology. ManydevelopingcountriestendtorelyonconventionalFSMtechnologies and usually lack an arrangement wherenewtypesoftechnologiescanbedevelopedandtestedfor conformity with effluent water quality standards.The case of Japan is relevant towards this discussion,insofar as a PAWTP manufacturer is free to proposenew designs and seek approval after undergoingtesting through a designated testing institution. Sucha frameworkmaybe effectivewithparticipation froma range of stakeholders, such as academicians andentrepreneurs.
Adequate Installation of the Decentralized Wastewater Treatment Facilities
Inadequateinstallationnotonlycouldaffectthequalityof the effluent but also could hinder the desludgingprocess.LessonsfromJapansuggestthatstandardizedtreatment facilities couldprovideanoptimal solution.However,amorefeasiblesolutionwouldbetoensurethe quality of installation works by introducinga qualification and training system for installation.Othersolutionsfocusontheuseofnewtechnologytomitigate the harmful effects of existing inadequately
Institutional Mechanisms for Sustainable Sanitation: Learning from Successful Case Studies4 5
installed decentralized wastewater treatment facilities.For example, the development of affordable sensorsthat can keep long-term records of effluent quality,combinedwithgeographic informationmapping tools,couldhelpoptimizethedesludgingpatternsandcheckthewater pollution.
Scheduled Desludging versus On-Demand DesludgingJapan’s experience in establishing and effectivelyenforcinga setdesludging frequencyhasbeenagreatsuccess.ArecentstudybytheAsianDevelopmentBank(Huang2018)highlightinganexamplefromIndonesia,adevelopingcountry,alsodemonstratesthatthevolumeoftreatedsludgeincreasedsignificantlyafterascheduleddesludging campaign began in 2015. The same studyalso showed a sharp decrease in the number of septictanks being desludged in Malaysia after 2008, whendesludgingbecameoptional.Theseexamplesrevealthatscheduleddesludginganditseffectiveenforcementareessentialevenindevelopingcountrycontexts.
Moreover, discussions of desludging frequency shouldbe considered in tandem with desludging fees. Thecost of desludging is seen as a heavyburden formanyhouseholds in developing countries. Considering the“user-payprinciple,”ideassuchasthecross-subsidizationofdesludgingfromtherichtothepoororfromcommercialtohouseholdusersandsoonshouldbeconsidered.ThePhilippines and Indonesia have adopted an approachthatcombinesdesludgingfeeswithwaterbills.Thiswasfoundtobeeffectiveandacceptabletohouseholds.
Another,ratherunconventional,approachthatemergedfrom the discussions on ensuring the sustainabilityof the scheduled desludging vouched for accountingthe spillover effects of FSM. ADBI has documented theexperienceofDumagueteCityinthePhilippines,wherethe successful management of FSM increased thenumberof tourists to thecityand, in turn, thenumberof tourist-related businesses. Having realized the valueadded by an efficiently managed FSM in the form ofincreasedefficiencyoftheirstaffandexpandedbusiness,
suchbusinessesarethenwillingtopay forqualityFSMservices.Thus, intheproposednovelapproach,priorityshould be given to improve access to safelymanagedFSM services where the user’s willingness to pay cangradually be improved by providing efficient services.Nevertheless, the Dumaguete study has demonstratedthat it is also possible to recover the costs of FSMprovision by monetizing its spillover effects, includingincreasesinpropertytaxrevenues.
Regulation of the Desludging Business and WorkersConsideringJapan’sexperience,oneeffectivesuggestionis forthegovernmenttoestablishatrainingsystemfordesludging workers—and one in which only properlytrained workers are allowed to engage in desludgingactivitiessothatthemunicipalregulatoryauthoritycandirectandmanagethem,trainthem,andpromotetheirstandinginthecommunity.
However, a number of factors could affect theimplementationofsuchpoliciesindevelopingcountries.Lessons from the World Bank’s experience in Indiahighlight that the number of fecal sludge treatmentplants played a critical role in regulating the informalprivate sector involved in desludging services. Whentreatment facilitiesaresparse, thecostofdeliveringthecollected sludge to a treatment facility is high—thus,the informal sectorhasnoor littlevalueadditionwhentheyare formalized.WaterAid, aglobalnongovernmentorganization,hasexperiencedinthecontextofIndiathatthelackofvisibilityofthedesludgingworkersitselfposedachallengetowardformalizingthepeopleinvolved.
Given such challenges, alternative policy optionsbecome relevant.For instance,a scheduleddesludgingsystem, when effectively implemented, will createopportunities for informal private sector businesses tojoin the regulated system. Other ideas to improve theformalizationofdesludgingworkersincludedevelopingenterprises for the sanitation workers and improvingthe desludging fee payment contracts between thedesludgingvendorsandpublicentities.
“priority should be given to improve access to safely managed FSM services where the user’s willingness to pay can gradually be improved by providing efficient services”
ADBI Policy Brief No. 2018-3 (December) 6
Focus on Non-Household Users
Although the focus of the United Nations SustainableDevelopment Goal on safely managed sanitation hasbeen on household-level users, non-household users,suchasbigapartmentcomplexes,offices,andshoppingcomplexes, can generate large quantities of waste ina small area, thus contributing to the water pollutionproblem. Considering the experience in Japan, onerecommendation is tohaveaqualificationandtrainingsystem for the operators of advanced decentralizedwastewater treatment systems (PAWTP or similarfacilities) for commercialbuildings. Inaddition, there isaneedtostrengthentheenforcementofthepenaltyfornon-householduserswhofail toengagesuchqualifiedoperatorsandtodeployqualified technical supervisorsfortheirlarge-scalesystems.
– Allow the currently prevailing anaerobic-typewastewatertreatmentfacilities,ontheconditionthattheirmaintenance,includingsludge management, be substantiallyimproved.
– Promote the conversionof aerobicPAWTPorsimilarfacilitiesfornon-householdusersandhigh-incomehouseholds.
– Establish an institutional frameworkincludingasystemtotestnewtechnologysothatlargerstakeholdersofthesanitationspectrum can contribute through thedevelopmentofnewtechnology.
• Qualification and training system for theinstallation of decentralized wastewatertreatmentfacilities
– Mostdesirable is for treatment facilities tobestandardizedasperstructuralstandardsandperformancetestingsystems.
– Introduce a qualification and trainingsystemforinstallationtoensurethequalityof installationworks(ofdiversifieddesignsof decentralized wastewater treatmentfacilities)forarealisticpolicymeasure.
• Establishment and enforcement of a regulardesludgingsystem
– Establish desludging frequency as a rule,and enforce compliance. The timing ofdesludgingshouldnotbelefttotheusers.
– In developing countries, the cost ofdesludgingisaheavyburdenforhouseholds.This may require some form of cross-subsidization from the rich to the poor orfromcommercialuserstohouseholdusers.
– Potentially give priority to first provideaccesstosafelymanagedservicesandthenmonetize users’ increased willingness topayoncetheyrealizethevalueadditionoftheFSMservice.
– Promote means to monetize the spillovereffectsofFSM.
• Regulation of the desludging business andworkers
– Asafirststep,politiciansandadministratorsareurgedtoholddiscussionswithexistingdesludging businesses and/or workers toget a feel for the situation on the groundand their demands for a better workingenvironment.
– Establish a training system for desludgingworkers, specifically one in which onlyproperly trained workers are allowed toengage in desludging activities so thatthe regulatory authority can direct andmanage them, train them, and promotetheirsocial standing.
– Possible alternative measures includeincreasing the number of treatmentfacilities, improvingthepaymentcontractsof sanitation workers, and increasing thevisibilityofsanitationworkers throughtheformationofenterprises.
• Focusonnon-householdusers
– Establishaqualificationandtrainingsystemfortheoperatorsofadvanceddecentralizedwastewater treatment systems (PAWTP orsimilarfacilities)forcommercialbuildings.
Institutional Mechanisms for Sustainable Sanitation: Learning from Successful Case Studies6 7
Asian Development Bank Institute
ADBI, located in Tokyo, is the think tank of the Asian Development Bank (ADB). Its mission is to identify effective development strategies and improve development management in ADB’s developing member countries.
ADBI Policy Briefs are based on events organized or co-organized by ADBI. The series is designed to provide concise, nontechnical accounts of policy issues of topical interest, with a view to facilitating informed debate.
The views expressed in this publication are those of the authors and do not necessarily reflect the views and policies of ADBI, ADB, or its Board or Governors or the governments they represent.
ADBI encourages printing or copying information exclusively for personal and noncommercial use with proper acknowledgment of ADBI. Users are restricted from reselling, redistributing, or creating derivative works for commercial purposes without the express, written consent of ADBI.
Asian Development Bank InstituteKasumigaseki Building 8F3-2-5 Kasumigaseki, Chiyoda-kuTokyo 100-6008JapanTel: +813 3593 5500www.adbi.org
References
Huang,J.2018.Fecal Sludge Management: Lessons Learned from Large-Scale Experiences in Asia.PresentationattheDevelopmentPartnerRoundtableonSustainableSanitationinAsia.Tokyo,Japan.21September.
JapanInternationalCooperationAgency.2012.The Project for Capacity Development of Wastewater Sector through Reviewing the Wastewater Management Master Plan in DKI Jakarta in the Republic of Indonesia.Finalreport.
UnitedNationsChildren’sFund(UNICEF)andWorldHealthOrganization(WHO).2017.Progress on Drinking Water, Sanitation and Hygiene: 2017 Update and SDG Baselines.Geneva.
