Starting with a single treatment plant in 2018, the state now operates 59 plants, comprising 39 faecal sludge treatment plants (FSTPs) and 20 co-treatment facilities. Most of these plants were constructed by Jal Nigam, the technical wing of Department of Urban Development, UP and later transferred to the urban local bodies (ULBs) for operation and maintenance (O&M). Hari Prakash Haihyvanshi and Subrata Chakraborty, Centre for Science and Environment, have prepared an assessment report of the O&M arrangement in the state based on research funded by the Bill & Melinda Gates Foundation. Here is an extract.
Uttar Pradesh has made significant strides in improving sanitation through faecal sludge and septage management (FSSM). The CSE study was aimed to conduct a landscaping of the existing operation and maintenance arrangements in place till September 2024.
The objective of the study was to review the existing operation and maintenance arrangements at FSSM plants, analyse the financial and other factors that contribute to the functionality and sustainability of the treatment plants and identify areas of improvement and provide recommendations with a focus on enhancing functionality and sustainability of the plants.
The functionality and sustainability of FSTPs depend heavily on their effective O&M. In UP, the handover of treatment plants has been delayed by over a year due to various reasons. When the handover finally took place, it was limited to a single page that simply listed a broad inventory.
Key documents such as the detailed project report (DPR), warranty papers for electro-mechanical units, and operational manuals were not provided to the ULBs by the Jal Nigam or the contractors responsible for constructing the plants. In the absence of operation manual and other related documents, ULBs faced challenges in operating the plants and obtaining warranty-based repairs for electro-mechanical components.
The plants are primarily operated by one of three entities: the ULB, SHGs or a contractor. ULBs are using three sources for funding the O&M expenses: own-source revenue (OSR), State Finance Commission (SFC) funds and AMRUT Mitra programme for SHGs. The ULB and SHG-managed plants are more cost-effective than those managed by contractors. However, dedicated efforts are required to enhance their utilization.
The contractor-managed plants demonstrate higher capacity utilization (42% on average) compared to ULB and SHG-managed plants (18% on average). Low prioritization of desludging by ULBs contributes to underutilization. Payment delays exceeding three months were observed in seven out of 12 plants, severely impacting SHGs and contractors. The delay is mainly caused by poor coordination among stakeholders, rather than a lack of funds.
Only 14 plants maintain daily records, and only four submit monthly reports as per the format issued by the government. No ULBs have conducted quality testing of treated water or bio-solids. Out of seven reviewed contracts, three requires to define clear terms, including payment clauses, roles and responsibilities, penalty provisions, and performance standards. In addition, short contract duration leads to increased administrative efforts and lack of continuity.
The competition between the ULB and the contractor in providing the desludging services has restricted the contractor’s revenue to 25,000-45,000 INR per month, which is inadequate to sustain the plant operations effectively. Discussions with the contractor and further analysis indicate that transferring all desludging requests and fees to the contractor could make this arrangement financially viable.
The report makes the following recommendations, including strengthening the handover process. Standardize handover protocol including documents like detailed project reports (DPRs), warranty papers, and operational manuals to avoid operational hurdles. Improve contract terms to clearly define the terms of engagement, role and responsibilities, payment terms and penalty clauses. Establish robust systems for timely payments to contractors and SHGs to maintain service quality. This is an important component in ensuring the sustainability of the plant operations. ULBs may consider establishing an escrow account to ensure timely payment to contractors.
Additionally, mandate the use of SOPs for O&M of FSTPs and Co-treatment Plants in Uttar Pradesh and ensure that all plant operators adhere to the prescribed schedules to operate and maintain the treatment plants efficiently. Cities to prepare a city-level desludging plan, prioritizing scheduled desludging from government institutions and raising public awareness about regular desludging practices to increase plant utilisation rate.
ULBs could direct all desludging requests and fees to the contractor to en-sure long-term sustainability of desludging fee-based O&M model, enabling them to generate enough revenue to operate the plant effectively. The success of this arrangement could provide a scalable solution for other ULBs, promoting the efficient management of FSSM services over the long term, without incurring additional financial costs on the ULB.
The findings from Uttar Pradesh’s FSSM journey offer critical learnings for sanitation planning in other parts of India and developing countries in the Global South. Cities must adopt decentralized approaches tailored to their specific needs, integrating municipal, community-led, and private sector participation for efficient service delivery. Ensuring financial sustainability requires innovative funding mechanisms, including escrow accounts and user fee-based models. Capacity building is essential, with municipal bodies requiring enhanced technical expertise and contract management skills. Transparent monitoring practices, including regular quality-testing of treated water and robust record-keeping, must be institutionalized to ensure long-term efficiency.
Compiled by Rajashri Ramakrishnan