Institutional arrangements for resource recovery and reuse in the wastewater sector

322 Pages·2017·6.59 MB·English

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Institutional arrangements
for resource recovery and
reuse in the wastewater
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• A Doctoral Thesis. Submitted in partial fulfilment of the requirements
for the award of Doctor of Philosophy of Loughborough University.
Metadata Record: https://dspace.lboro.ac.uk/2134/23427
Publisher: (cid:13)c Alexandra E.V. Evans
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Please cite the published version.
Institutional Arrangements for Resource Recovery and Reuse in the Wastewater Sector
by
Alexandra E V Evans
Doctoral Thesis
Submitted in partial fulfilment of the requirements
for the award of
Doctor of Philosophy of Loughborough University
30 March 2016
© by Alexandra E V Evans 2016
Abstract
As populations grow and urban centres expand, meeting water demand and wastewater
management requirements will become increasingly difficult. Goal 6 of the Sustainable Development
Goals is to: ‘Ensure availability and sustainable management of water and sanitation for all’. Part of
the approach to achieving this will be reusing wastewater and will require a greater understanding
of the institutional arrangements that support or obstruct reuse. This research was designed to
achieve this and aimed to develop a set of factors that investors could use to assess the institutional
feasibility of reuse in a given setting. The methodology combined a case study approach, focusing on
wastewater systems in Bangalore, India and Hanoi, Vietnam, with triangle analysis to assess: the
content of policies and laws; the structures (formal and informal) to implement laws and reuse
projects; and the culture around acceptance and engagement in reuse. The reuse practices observed
in Bangalore were treatment and use within apartments, centralized treatment and sale to
industries, use in agriculture after natural attenuation, groundwater recharge and lake regeneration.
In Hanoi the only reuse was indirect use from rivers feeding fish ponds and fields, although formal
treatment and use is planned. Critically, both cities have environmental and water resources policies
and laws that advocate reuse, as well as related local legislation. However, support for reuse is not
reciprocated in industrial, agricultural or fisheries law, the result being that reuse does not always
take place as planned. Legislation is required along the whole sanitation chain to the point of
wastewater use. Structures to implement reuse are also vital. In Bangalore the water board has
initiated reuse projects and established the New Initiatives Division but resources are a limiting
factor. Effective institutions include expertise, manpower and financing mechanisms, which are
lacking in both cities. The environment agency is also engaged in reuse though legislation on
recycling in residential and commercial complexes but guidance for users is inadequate,
expectations are perceived to be excessive and monitoring is almost impossible. The driver for reuse
is increasingly the benefits observed by users. In the case of apartments this is a reliable water
source and reduced costs of water supply. As a result, a private sector in wastewater treatment is
becoming established. The active civil society and strong, independent media are instrumental in
providing information to potential users and holding authorities to account in Bangalore. Their
absence in Hanoi is notable. In summary, institutional elements to be considered are: supportive
legislation across all sectors; details of acceptable reuse, deterrents and inducements; budget
allocation; structures to enable reuse; strong civil society, NGOs, courts, media and universities
providing evidence of suitability and safety; donors and finance mechanisms; and stakeholders
willing to use the products. Encumbrances are inconsistent or uncoordinated legislation, lack of
cooperation and insufficient benefit sharing or perceptions of benefits along the reuse chain.
Key words
Institutions; stakeholders; triangle analysis; wastewater use; recycling; water reuse; stakeholders;
policies; legislation; Bangalore; Hanoi.
Acknowledgements
Over the years there have been so many people that I am grateful to for getting me started on the
research path, for introducing me to the wastewater sector and specifically to reuse, as well as those
who have supported me to pursue and finally finish a PhD. I should first thank John Soussan and
Matthew Chadwick, without whom I would now be an accountant not a researcher! They gave me a
love of development work, and showed me how to frame, plan and conduct research. I am forever
indebted to them for shaping my career.

There are several people at the International Water Management Institute (IWMI) that I need to
thank, probably too many to mention, but those that I must name are Pay Drechsel, who gave me
many opportunities and encouragement; Liqa Rashid-Sally, Rob Simmons and Priyanie Amerasinghe,
who, with Pay, introduced me to the world of wastewater use and taught me so much about the
sector; and Frank Rijsberman, without whom I would not be doing a PhD.

I have had many colleagues across the world who have continued to inspire me and kept alive my
love of wastewater management. If I have ever worked on a wastewater project with you, I am
thinking about you now! I would especially like to remember and thank those with whom I
collaborated on this project: Samyuktha Varma, Avinash Krishnamurthy, S. Vishwanath, Nguyễn Duy
Linh, Nguyen Thuy, Krishna Rao and Miriam Otoo. Without this team I would not have been able to
undertake any research in Bangalore or Hanoi. I am also indebted to the project funders, the Swiss
Agency for Development and Cooperation (SDC) and the International Fund for Agricultural
Development (IFAD), as well as IWMI, who coordinated the project on ‘Business Models for
Resource Recover and Reuse,’ within which the study on institutional feasibility of RRR took place.

I cannot thank my supervisors Mike Smith and Ian Smout enough. They have continued to have faith
in me even when I wasn’t making much headway. They were always willing to read drafts and listen
to my changing ideas. Their constant support and belief in me kept me going. Likewise the support
of my husband, my family, and the staff and governors of Edge Grove School cannot be
underestimated, thank you for giving me the time and space to write up.

I would like to dedicate my PhD to Jeroen Ensink who I worked with in Pakistan and India on one of
my first wastewater projects. He taught me a lot about the subject, about research in general and
about Pakistan. He was always keen to offer support and advice, and became a good friend. He will
be sadly missed by so many people.
Acronyms and Abbreviations
ADB Asian Development Bank
AfDB African Development Bank
AED Agency for Enterprise Development
AHFD Animal Husbandry and Fisheries Department
BBMP Bruhat Bangalore Mahanagar Palike (Greater Bangalore Municipal Corporation)
BDA Bangalore Development Authority
BMA Bangalore Metropolitan Area
BMR Bangalore Metropolitan Region
BWSSB Bangalore Water Supply and Sewerage Board
CBO Community-based organization
CAG Comptroller and Auditor General of India
CCW Coalition for Clean Water
CDD Society Consortium for DEWATS Dissemination Society
CFE Consent for establishment
CFO Consent for operation
CGWB Central Ground Water Board
CII Confederation of Indian Industry
CIWEM Chartered Institute of Water and Environmental Management
CMIE Centre for Monitoring Indian Economy Pvt. Ltd.
COC Chemicals of Concern
COI Census Organization of India
CPCB Central Pollution Control Board
CPHEEO Central Public Health and Environmental Engineering Organisation
CREDAI Confederation of Real Estate Developers' Associations of India
CSE Centre for Science and the Environment
CSO Civil Society Organization
CTW Constructed treatment wetland
CWSS Cauvery Water Supply Scheme
DAC Department of Agriculture and Co-operation
DADF Department of Animal Husbandry Dairying and Fisheries
DAHF Department of Animal Husbandry and Fisheries
DAP Diammonium phosphate
DARE Department of Agricultural Research and Education
DFEE Department of Forest, Ecology and Environment
DFID Department for International Development
DFS Design for Service
DMA Directorate of Municipal Administration
DOC Department of Construction
DONRE Department of Natural Resources and Environment
DPR Direct Potable Reuse
DST Department of Science and Technology
EAWAG Swiss Federal Institute of Aquatic Science and Technology
EC European Commission
EDC Endocrine disrupting compound
EKW East Kolkata Wetlands
EKWMA East Kolkata Wetlands management Authority
EMPRI Environmental Management and Policy Research Institute
EPFs Environmental Protection Funds
ETP Effluent treatment plant
EU European Union
FAO Food and Agriculture Organization of the United Nations
FCO Fertilizer Control Order
FD Fisheries Department
GOI Government of India
GOK Government of Karnataka
DOH Department of Health
HACCP Hazard Analysis and Critical Control Point
HCMC Ho Chi Minh City
HUDCO Housing and Urban Development Corporation Limited
IFAD International Fund for Agricultural Development
INGO International Non-governmental Organization
IPR Indirect Potable Reuse
IWRM Integrated Water Management
IWMI International Water Management Institute
JICA Japan International Cooperation Agency
JMP Joint Monitoring Programme
JNNURM Jawaharlal Nehru National Urban Renewal Mission
KCPF Karnataka Co-Operative Poultry Federation Limited
KFD Karnataka Forestry Department
KMF Karnataka Milk Federation
KSPCB Karnataka State Pollution Control Board
KSDA Karnataka State Department of Agriculture
KUIDFC Karnataka Urban Infrastructure Development and Finance Corporation
KUWSDB Karnataka Urban Water Supply and Drainage Board
LDA Lake Development Authority
LOC Law on Construction
LOEP Law on Environmental Protection
LOWR Law on Water Resources
LPLD Law on Promulgation of Legal Documents
MARD Ministry of Agriculture and Development
MDWS Ministry of Drinking Water and Sanitation
MID Minor Irrigation Department
MLD Million Litres per Day
MOA Ministry of Agriculture
MOC Ministry of Construction
MOEF Ministry of Environment and Forests
MoEFCC Ministry of Environment, Forest and Climate Change
MOH Ministry of Health
MOIT Ministry of Industry and Trade
MOJ Ministry of Justice
MONRE Ministry of Natural Resources and Environment
MOST Ministry of Science and Technology
MOUD Ministry of Urban Development
MOWR Ministry of Water Resources
MPI Ministry of Planning and Investment
MPN Most probable number
NEP National Environment Policy
NFDB National Fisheries Development Board
NGO Non-governmental organization
NUSP National Urban Sanitation Policy
NWP National Water Policy
O&M Operation and maintenance
PAH Polycyclic aromatic hydrocarbons
PC People’s Committees
PhAC Pharmaceutically Active Compound
PHED public health engineering departments
PPP Public Private Partnership
QMRA Quantitative Microbial Risk Assessment
RMC Recommended maximum concentration
RRR Resource Recovery and Reuse
RSC Residual Sodium Carbonate
SADCO Sewerage and Drainage Company
Sandec Department of Water and Sanitation in Developing Countries
SAR Sodium Adsorption Ratio
SAT Soil aquifer treatment
SDC Swiss Agency for Development and Cooperation
SDGs Sustainable Development Goals
SLEIAAK State Level Environmental Impact Assessment Authority, Karnataka
SME Small and medium scale enterprises
SOE State owned enterprises
SPCB State Pollution Control Board
SSWM Sustainable Sanitation and Water Management
STP Sewage Treatment Plant
SuSanA Sustainable Sanitation Alliance
TAC Technical Assistance Centres
TIA Technical Infrastructure Agency
TCN Branch standard
TCNV Vietnamese standard
TC Manufacturer/Base standard
TCV Local standard
TDS Total Dissolved Solids
TSS Total Suspended Solids
TTP Tertiary treatment plant
UASB Upward flow anaerobic sludge blanket
ULB Urban Local Body
UNEP United Nations Environment Programme
UNICEF United Nations Children’s Fund
URENCOs Urban Environmental Companies
USAID United States Agency for International Development
USEPA United States Environmental Protection Agency
VEA Vietnam Environment Administration
VFF Vietnam Fatherland Front
VUFO-NGO Vietnam Union of Friendship Organisations-NGO Resource Centre
VUSTA Vietnam Union of Science and Technology Associations
VWU Vietnam Women’s Union
WASA Water and Sanitation Agency
WEDC Water Engineering and Development Centre
WHO World Health Organization of the United Nations
WGUIWSS Working Group on Urban and Industrial Water Supply and Sanitation
WQAA Water Quality Assessment Authority
WRD Water Resources Department
WSP Waste stabilization pond
WSS Water supply and sanitation
WW Wastewater
WWC World Water Council
WWT Wastewater treatment
WWTP Wastewater treatment plant
WWTU Wastewater treatment and use
YMSK Yele Mallappa Shetty Kere
Table of Contents
1 Introduction .............................................................................................................. 1
1.1 Chapter Outline ............................................................................................................................ 1
1.2 The Research Context ................................................................................................................... 1
1.2.1 Population Growth and Water Resources ........................................................................... 1
1.2.2 Domestic Water Supply and Sanitation .............................................................................. 2
1.3 Justification for the research ........................................................................................................ 4
1.4 The Research Question ................................................................................................................. 5
1.5 Contribution to Knowledge .......................................................................................................... 6
1.5.1 Institutional Aspects of Wastewater Use ............................................................................ 6
1.5.2 Sustainable Development Goals ......................................................................................... 6
1.5.3 Institutional Analysis Methods ............................................................................................ 7
1.6 Scope of the Study ........................................................................................................................ 7
1.6.1 Terminology ........................................................................................................................ 8
1.7 Composition of the Thesis ............................................................................................................ 8
2 Literature Review .................................................................................................... 10
2.1 Chapter Outline .......................................................................................................................... 10
2.2 Literature Review Strategy ......................................................................................................... 11
2.3 Why is Wastewater Use Taking Place? ....................................................................................... 12
2.3.1 Urban Growth and Water Demand ................................................................................... 13
2.3.2 Water Demand .................................................................................................................. 14
2.3.3 The Cost of Providing Water ............................................................................................. 15
2.3.4 Wastewater Generation and Sanitation Infrastructure .................................................... 15
2.3.5 Environmental Protection and Wastewater Treatment .................................................... 17
2.3.6 Summary ........................................................................................................................... 17
2.4 Wastewater Reuse Terminology ................................................................................................ 18
2.5 Wastewater Applications ............................................................................................................ 20
2.5.1 Use in Agriculture .............................................................................................................. 20
2.5.2 Use in Aquaculture ............................................................................................................ 22
2.5.3 Use for Municipal Purposes ............................................................................................... 23
2.5.4 Industrial Use .................................................................................................................... 25
2.5.5 Environmental Flows and Aquifer Recharge ..................................................................... 25
2.6 Risks and Benefits Associated with Wastewater Reuse ............................................................. 27
2.6.1 Pathogenic Risks................................................................................................................ 28
2.6.2 Chemical Risks and Benefits .............................................................................................. 31
2.6.3 Environmental and Societal Benefits of Wastewater Use ................................................. 36
2.6.4 Societal Risks - Commodification of Wastewater ............................................................. 41
2.7 Risk Reduction ............................................................................................................................ 42
2.7.1 International Thinking and Guidance ................................................................................ 42
2.7.2 Treatment Options ............................................................................................................ 43
2.7.3 Non-Treatment Options for Irrigation ............................................................................... 43
2.7.4 Sanitation Safety Planning ................................................................................................ 45
2.7.5 Obtaining Value from Reuse ............................................................................................. 45
2.8 Public Perception and Engagement in Reuse ............................................................................. 46
2.8.1 Reuse Projects ................................................................................................................... 47
2.8.2 Introducing Safe Reuse Practices ...................................................................................... 48