A new integral management model and evaluation method to enhance sustainability of renewable energy projects for energy and sanitation services

1  A new integral management model and evaluation method to enhance sustainability of renewable energy projects for energy and sanitation services.  Pau Lilloa,b*, Laia Ferrer-Martíc, Álvaro Fernández-Baldord, Benito Ramíreze aLocalDevelopmentandInternationalCooperationprogramme,UniversitatPolitècnicade València,CaminodeVeras/n,Valencia,Spain, bEngineeringWithoutBorders,C/Murcia,24,Barcelona,Spain cDepartmentofMechanicalEngineering,UniversitatPolitècnicadeCatalunya,Av.Diagonal 647,Barcelona,Spain dGroupofStudiesonDevelopment,CooperationandEthics,UniversitatPolitècnicade València,CaminodeVeras/n,Valencia,Spain ePracticalAction,Jr.Casuarinas,Cajamarca,Peru Correspondingauthor(*):[email protected],0034686041097 LaiaFerrer‐Martí:[email protected] ÁlvaroFernández‐Baldor:[email protected] BenitoRamírez:[email protected].pe Abstract Autonomoussystemsbasedontheuseofrenewableenergy(RE)haveprovensuitablefor providingenergyandsanitationservicestoisolatedcommunities.However,mostofthese projectsfailduetomanagerialweaknesses.Inthesesystems,designinganappropriate managementmodelisakeyissueforsustainabilityanditisespeciallycomplexifithasto includedifferentREtechnologies.Thispaperisaimeddevelopinganovelmanagementmodel forREprojectstoprovideenergyandsanitationservicesabletodealwithanykindof technology.Moreover,anewmethodtoevaluatethesustainabilityisproposedregardingthe technical,theeconomic,thesocial/ethical,theenvironmentalandthe institutional/organizationaldimension.Inparticular,thecasestudyofPucara(Peru)is presented,inwhichaREprojectwithsixdifferenttechnologieswasimplementedandthe integralcommunitymanagementmodelwasdesignedin2011.Theprojectsustainabilitywas evaluatedin2013andresultsshowedthemanagementmodelhassucceededtostrengthen thesustainabilityoftheproject,especiallyintheinstitutional/organizationalaspects. Keywords Renewableenergyprojects Basicenergyandsanitationservices Ruralareas Managementmodel Sustainability 2  1. Introduction Energyservicesarecrucialforeradicatingpoverty,improvinghumanwelfareandraisingliving standards(Vera,2007).However,providingaccesstotheseservicesremainsamajorchallenge (Bhattacharyya,2012a;MainaliandSilveira,2013;Mainalietal.,2014;Spalding‐Fecheretal., 2005)asthevastmajorityoftheworld’spopulation,especiallyinruralareas,stilllacksaccess totheseservices.Indeed,oneinfourpeopleontheplanetlacksaccesstobasicenergy services,thisbeingahugebarriertoimprovinglivingconditionsandaserioushindranceto economicandsocialdevelopment(IEA,2010).Moreover,thereisageneralizedlackof sanitationservices.UNDP(2006)concludesthatwaterandsanitationcrisisisadirectand immediatethreatforpoorpeopleindevelopmentcountries.Thus,providingappropriateand reliablemodernenergyandsanitationservicesusingsecureandenvironmentallysound technologies,inconformitywithsocioeconomicneedsandculturalvalues,isessentialinthe raceforsustainabledevelopment. Autonomoussystemsbasedontheuseofrenewableenergies(RE)haveprovensuitablefor providingaffordable,reliable,safe,andhigh‐qualityenergyandsanitationservicestoisolated communities.Moreover,REprojectsmightpotentiallystrengthenpeople’sself‐relianceand empowermentandimprovethequalityoftheirenvironment,includingtheimmediate environmentintheirhouseholds(Johanssonetal.,2002). InAndeanruralcommunitiesREbaseddevelopmentprojectshavebeenimplemented,bothby publicorprivateinitiatives(Midillietal.,2006).However,mostoftheseprojectshavefailed duetodeficientmanagerialskills(ESMAP,2010),asthesehaveabiginfluenceonsystems’ sustainability(GomezandSilveira,2012;Palit,2013;Shyu,2013;YadooandCruickshank,2010; Zhang,2011). Thus,establishinganadequatemanagementmodelisakeyprocesswhenimplementingany kindoftechnologyprojectinruralareas.Sanchez(2006)identifiedthatthemanagement modelisthemostimportantfactorinachievingsustainabilityforruralstand‐alone electrificationprojects.Defininganadequatemanagementmodelmaypromotetechnology adoption,reductionofsocialinequalities,productionincrease,andredefinitionofpower structuresandstrengtheningofindividualandcollectiveempowerment.Althoughthereare numerousmanagementmodelsforruraltechnologyprojects,mostofthemaregenerally focusononesingletechnologyorservice.Amongthem,themostcommonarethoseprivately managed,cooperatively,orbystateorlocalmunicipalitiesorcommunities.Thesemodelshave differentcharacteristicsintermsofownershipofthesystems,levelofuserparticipation, responsibilityforoperationandmaintenance(O&M)ofsystems,users’involvementin infrastructureconstructionandinstallationofequipment,managementoftariffpayments,etc. (ESMAP,2001). Furthermore,establishingarobustmethodtoevaluatethesustainabilityoftechnology projectsmustbeaddressedasakeyelementwithintheprojectmanagementcycle. Appropriateevaluationscansupportdecisionmakingprocedures,enhancelearningprocesses, improvemanagement,developcapacitiesandstrengthencoordinationbetweenstakeholders. However,thevastmajorityoftheevaluationmethodsforREprojectsinruralareasare focusedonenergyorsanitationservicesseparately,anddonotemphasisetheassessmentof thekeyelementsofthemanagementmodel,forinstanceusersparticipation,accountability, organizationandcoordinationskills,etc. 3  IntheAndeancommunityofPucara,intheregionofCajamarca(Peru),thelocalNGO SolucionesPrácticas(PracticalAction)implementedaREprojecttogiveaccesstobasicenergy andsanitationservices.Astand‐alonemicrohydropowerplant,individualsolarphotovoltaic systems,solarwaterheaters,improvedcookstoves,biodigestersandTrombewallswere installedtoprovideelectricity,domestichotwater,upgradedcookingconditionsand enhancedhouseholdheating.Sincethecomplexityofmanagingseveraldifferenttypesof technologiesatatimeinonesinglecommunityisabigchallenge,aninnovativemanagement modelwasneededtodealwithalltheenergyandsanitationservicesatonce.Moreover,the modelincludedthedrinkingwatersystemandlatrinesthatexistedalreadybeforetheRE project’simplementation. ThispaperisaimedatcontributingtothesustainabilityenhancementofREprojectstoprovide energyandsanitationservicesinremoteruralareasbydevelopinganovelmanagementmodel abletodealwithanykindoftechnology.Moreover,anewmethodtoevaluatethe sustainabilityofawiderangeoftechnologiesisproposedregardingthetechnical,the economic,thesocial/ethical,theenvironmentalandtheinstitutional/organizational dimension.Inparticular,wewillpresenttheprojectofPucara,wherethisintegralcommunity managementmodelwasdesignedinAugust2011andtheproject’ssustainabilitywasanalysed inSeptember2013. Therestofthispaperisorganizedasfollows.Section2presentsthecommunityofPucaraand technologiesoftheproject.Themanagementmodeldesignisdevelopedinsection3.In Section4,themethodologyusedtoevaluatetheprojectsustainabilityispresented.Section5 showstheresultsoftheaforementionedevaluation.TheresultsarediscussedinSection6and finallySection7summarizestheconclusions. 2. Description of the case study ThissectiondescribesthemainsocioeconomiccharacteristicsinPucaratoprovidethereader abetterunderstandingofthecontextofthecommunitywheretheprojectwasimplemented. 2.1 Description of the community TheprojectislocatedinthecommunityofPucara,inthenorthernPeruvianAndes,3320 metresabovesealevelandtwohoursjourneyfromthecityofCajamarca,thecapitalofthe region.Inthiscommunitythereare224inhabitantsand29households.Thereisaprimary schoolwith30studentsandtwochurches,butthereisnohealthcarecentre,sovillagersmust gotoanothercommunitytoreceivemedicalassistance. Themajorityofthepopulationisundertheageof25(around62%).Theaverageeducation levelisquitelow,30%ofthepopulationhasnotfinishedprimaryschooland6.1%areilliterate. Eachfamilyownsanaverageof12hectaresoflandforagricultureandlivestock.Whereas agriculturalproductionisintendedforfamilyconsumption,theysellthemilkproducedbybeef cattleandreceiveanaveragemonthlyincomeofS/.790NuevosSolesaperfamily. Intermsofenergyexpensespriortotheimplementationoftheproject,familiesusedtospend amonthlyaverageofS/.16.75NuevosSoles,predominantlyoncandlesandbatteries.They cancollecttheirownfirewoodatnomonetarycost.   aExchangerateUSDollar/NuevoSolisapproximately2.60 4  Beforetheproject’simplementation,Pucarahadalreadyacommunitydrinkingwatersystem andfamilylatrinesforallvillagers.Tomanagethesesystems,aManagementBoardfor SanitationServices(MBSS)composedbylocalvillagers(seeSection3.1)wasestablished,asit ismandatoryaccordingtoPeruvianlawrequirementsb.Eachuserhadtopayamonthlytariffof S/.1NuevoSoltocoveroperationcosts.However,thistariffwasjustenoughtocoverthe operator’ssalary,whoperformedbasicO&Mactionswhenneeded.Whenanydisruption appearedtheMBSShadtoaskthelocalMunicipalityforeconomicaltosupport,which generallyprovideditwithsignificantdelays,thusleavingthecommunitywithoutaccessto theseservicesforexcessivetime. 2.2 Renewable energy technologies implemented in the project Thedesignofthetechnologiesthatwouldbeimplementedintheprojectwasdefined accordingtotheresultofthepreviousenergydemandandsocioeconomicanalyses.However, thelimitedbudgettheNGOhadforthisprojectrestrictedthedecision‐makingprocess regardingthekindandnumberofsystemstobeimplementedinPucara. Concerningaccesstoelectricity,off‐gridREsystemswereused,astheyhaveprovensuitable forruralcontexts(forexample,Pasternak,2000;Chaureyetal.,2004;Nguyen,2007;Borgeset al.,2007;Benecke,2008;Lhendup,2008;Breyeretal.,2009;LoveandGarwood,2011; Terrapon‐Pfaffetal.,2014a,2014b).Acombinationofamicrohydropowerminigridand individualphotovoltaicsystemswereselected. Amicrohydropowerplantproduceselectricalpower(alternatingcurrent)throughtheuseof thegravitationalforceoffallingwater,drivingawaterturbineandgenerator.Thistechnology waschosenbecausemicrohydrosystemsareusuallythelowestcostoptionforoff‐gridrural electrification(Coelloetal.,2006;REN21,2008;WilliamsandSimpson,2009;;Kaygusuz, 2011),theenergyiscontinuouslyavailable(Drinkwaardetal.,2010),theyhaveflexiblepower productionforelectricalequipment(GuitongaandClemens,2006),arereliableforoff‐grid systems(vanElsetal.,2012)andthetechnologyrequireslittlemaintenanceandislong‐lasting (Paish,2002). Individualphotovoltaicsystemsgenerateelectricityfromsolarradiationandaresuitablefor providingdecentralizedelectricalservicestoindividualhomesorbusinesses(Jacobson,2007) inremoteareas(ChaureyandKandpal,2010a),havelowrunningcosts(Gullbergetal.,2005), arefrequentlycheaperthanphotovoltaicminigrids(Millinger,2012),thecomprehensibilityof thesourcetendstoleadtoalargeracceptabilityofthetechnology(GarcíaandBartolomé, 2010),andaretypicallyusedforprovidingbasicelectricityservicestoruralhouseholds (ChaureyandKandpal,2010b;Valeretal.,2014). Afteraneconomicanalysis,themicrohydropowerplantwasinstalledtoelectrifyonlythe closest22households,theschoolandbothchurches.Asextendingthisminigridtoreachthe farthestuserswouldbeveryexpensive,inthisprojectindividualphotovoltaicsystemswere consideredagoodalternativeforelectrifying7householdslocatedfarfromthemicrohydro powerplant. Regardingaccesstoimprovedcookingfacilities,lowcosttubularhouseholdbiodigestersand improvedcookstoveswereconsideredintheproject.   bArticleNo.173oftheRegulationsoftheGeneralLawofSanitationServices;LawNo.26338 5  Biodigestersproducebiogasandorganicfertilizerthroughtheanaerobicdigestionofdungand water.ThisprocesstakesplaceinatubularPVC(geomembrane)reactor,whichisburiedina trenchandcoveredwithagreenhouse,inordertoincreaseprocesstemperatureandminimise overnighttemperaturefluctuations(Ferreretal.,2011;Garfíetal.,2012).Biogasisstoredina reservoirinthekitchen,tobeuseddirectlyforcooking,andorganicfertilizerisdepositedina basinlocatedunderthebiodigesteroutlet.Thistechnologyhasthepotentialtocontributeto thereductionofwoodconsumption(KatuwalandBohara,2009);biogasisproducedmainly fromrawmaterialsthatarelocallyavailableandcanbeharnessedincontrollable,containable anduseablequantities(Walekhwaetal.,2009);theindoorenvironmentisimprovedandcrop productivityisincreased(Garfíetal.,2011;2012).However,thistechnologyisonly appropriateforfamilieswhoownenoughcattle,thusensuringasufficientquantityofdung availabletofeedthesystem.Intermsofworkloadreductionforwomenandchildren, biodigestersdonotcommonlyhaveastrongimpactinAndeancommunitiesbecausealthough thefirewoodcollectionworkloadcanbereduced,itisnecessarytocollect20kgofdungand 60litresofwaterperfamilydaily,whichcanbeaheavytaskdependingonthecharacteristics ofeachhousehold.Moreover,biodigestersinstalledinAndeancommunitiesonlyprovide enoughbiogastocookfor2hoursaday(Garfíetal.,2012),sothedemandforcookingisnot fullycoveredandfirewoodcollectionisstillnecessary. Improvedcookstovesareaimedatreducingindoorairpollution,firewoodconsumptionand greenhousegasemissions(Troncosoetal.,2013;Venkataramanetal.,2010).Thesystem installedinPucarahasacombustionchamberwhereefficientfirewoodcombustiontakes place,withthreecookersandachimneytochannelthesmokeoutdoors.Thistechnologyis widelyspreadinruralPeruvianareas,butsinceintheregionofCajamarcamanypeopleare stillnotawareofitsbenefits,themajorityofhouseholdsstillusetraditionalstoves. Duetobudgetconstraints,onlyfivebiodigesterscouldbeinstalled,butimprovedcookstoves certifiedbySENCICOcwerebuiltineveryhousehold,complementingthebiodigestersin householdswherebothtechnologieswereinstalledandcontributingtothescaling‐upprocess ofthistechnology. Concerningaccesstoimprovedheatingtechnologies,Trombewallswereinstalled.This technologycanreducebuildings’energyconsumptiontoagreatextent(GöksalandKartal, 2010;Hordeski,2011)andfinelyadjusttheindoorhumidity(Chenetal.,2006).Thewall absorbsdiffusedanddirectsolarradiationduringthedayandtransferstheheattotheinterior ofthethickstoragemasswallbyconvectionorconductionatnight(AgrawalandTiwari,2011; TorcelliniandPless,2004).Inthiscase,classicTrombewalls,inwhichplasticandanairspace separatethewallfromtheoutdoorenvironment(Saadatianetal.,2012),wereselecteddueto theirlowcost,easyinstallationandsimplicityinrepairingthemwhenneeded.Foroptimal performance,thesewallswerepositionedfacingnorth;materialswithhighheat‐storage capacity,suchasstoneandadobe,wereused;andtheexternalsurfaceofthewallwas colouredblacktoincreasetheabsorptionrate(ThumannandMehta,2008).Trombewallsnot onlyprovidethermalcomfortinthespacesconnectedtothesystem,butalsoinadjacent spaces(Boukhrisetal.,2009).   cNationalTrainingServicefortheConstructionIndustry(SENCICO)isapublicinstitutionthat,among otheractivities,analysestheperformanceofdifferentkindsofimprovedcookstovesandcertifiestheir appropriatenessforruralhouseholdsinPeru. 6  InPucara,familiesnormallymeetinthekitchenintheeveningsand,asitisaheatedspace, Trombewallswouldhavecausedinsignificanttemperaturevariation(ThumannandMehta, 2008).Hence,itwasdecidedtoinstallthesesystemsinbedroomswithanyoftheirwallsfacing northandfreeofshadingobstacles.Takingtheseconsiderationsintoaccount,7Trombewalls wereinstalled,asthiswastheamountofhousesthatmettherequirementsforthis technology. Finally,sanitationserviceswereimprovedbyinstallingsolarwaterheaters,whichheatup waterfromtheexistentcommunitynetworkpipelineusingsolarradiation.Whilethis technologyisbeingincreasinglypromotedindifferentcountries(Changetal.,2008;Lietal., 2011;Grieveetal.,2012),ithasoftenbeenoverlookedinmostdevelopingcountriesinspiteof thefactthatmanyregionshavehighannuallevelsofsolarradiation(LangnissandInce,2004). ToprovethesuitabilityandpromotethedisseminationofthistechnologyinruralAndean communities,solarwaterheaterswereinstalledinPucaratoprovidehotwaterforbathingfor 19usersandtheschool.Itwasnotpossibletoprovidethisservicetoallfamiliesbecausethe budgetfortheprojectwasinsufficient. 3. Management model  ThissectionpresentsthemanagementmodelofPucara.Firsttheprocessesofdesigningand implementingthemodelareexplained.Next,thestakeholdersofthemanagementmodeland thetechnologyclassificationaredetailed. 3.1 Management model design Designingthemanagementmodelforatechnologyprojectinruralareasisalwaysadifficult task.Indeed,thebiggertheamountoftechnologiestobemanaged,themorecomplexthe managementmodel.Thatisthereasonwhythemajorityofmanagementmodelsarefocused ononesingletechnologyorservice.Indeed,priortotheimplementationofthisproject,there werenomanagementmodelsinPeruthatinvolvedsomanytechnologiesasinPucara, especiallyconsideringthemixturebetweenenergyandsanitationservices.Infact,inPeru thereonlyexistedmanagementmodelsforruralelectrificationorfordrinkingwatersystems andlatrines.Hence,therewasnomodelforTrombewalls,biodigesters,solarwaterheatersor improvedcookstoves,andtherewerenomodelstodealwithenergyandsanitationservicesat once.Forthesereasons,anewadhocmanagementmodelhadtobedesignedforPucara. Aparticipatoryprocesswascarriedoutduringthefirst6monthsoftheprojectwithdifferent stakeholderssuchastheHousing,BuildingandSanitationRegionalManagement;Energyand MinesRegionalManagement;OSINERGMINd;localNGOs,engineersandsociologists;Practical Action’s(PA)technicalteam;andvillagersfromPucaratodefineanappropriatemanagement model. Thefirstoutcomeofthisprocesswasthatacommunitymanagementwasthebestoptionin thisarea,ascommunitymanagedprojectsareconsideredtobesuccessful(UNDP,2002).In ruralPerutwocommunitymanagementmodelshaveprovensuccessfulforenergyand sanitationtechnologies.Ontheonehand,themicroenterprisemanagementmodelforoff‐grid electrificationprojectsdesignedbyPA,whosemainstakeholderistheRuralElectricityService Unit(RESU),hasprovensuitableinAndeanruralcommunities(Sanchez,2006;Ferrer‐Martíet   dPeruviansupervisorybodyforinvestmentinenergyandmining 7  al.,2010;Ferrer‐Martíetal.,2012;YadooandCruickshank,2012).Ontheotherhand,the legallyestablishedPeruvianmodelforruralwaterandsanitationservices,whosemain stakeholderistheManagementBoardofSanitationServices(MBSS),iswidespreadamong ruralcommunitiesinPeru(CastilloandVera,1998). TheMBSS,whichalreadyexistedinPucarabeforetheREprojectimplementation,hasrigid regulations,iscompletelyfocusedondrinkingwaterandsanitationand,accordingtothelaw, itisnotpossibletoincludetechnologieswhicharenotstrictlyrelatedtosanitationservices. Hence,thismodelwasnotfeasibleforallthetechnologiesconsideredintheproject. Moreover,thePA’smicroenterprisemodelwasonlyfocusedonstandalonerenewableenergy technologiesforruralelectrification,asmicrohydropowerplants,windturbinesorsolar photovoltaicsystems.Thismodelistoostandardisedtodealwithdifferenttechnologieswhich requirecompletelydiverseoperationandmanagementtasksassolarwaterheaters,improved cookstoves,biodigestersorTrombewalls.Thus,thismodelwasnotappropriateforthe technologiesimplementedinPucara. Consideringthisandtakingintoaccountthatestablishinganindependentmodelforeach technologyinthesamecommunitywouldhavebeenextremelycomplextomanage,anew integralmodelwasdesignedtodealwithalltheREtechnologiesatonce.Thisnovel managementmodelwasbasedontheexperiencesoftheMBSSandRESUbutnewroles, regulations,tariffsystemsandorganizationalproceduresweredefined.Moreover,themodel wasextendedtoincludenotonlythesystemsoftheREprojectbutalsothedrinkingwater systemandthelatrinesalreadyexistinginPucara.Moreover,itisimportanttohighlightthat thismanagementmodelwasconceivedinawaythatanynewtechnologyinstalledinthe communityinthefuturecouldbeincludedinit.Hence,ithastheadvantagethatitcanbevery easilydisseminatedamongruralcommunitiesandmightevenpromotetheadditionofnew systemstotheexistingones. Figure1showsageneralschemeofthenewintegralmanagementmodel. PLEASEINSERTFIGURE1 Figure1.Generalschemeofthemanagementmodel Themanagementmodelwasdesignedconsideringtheinternalsocialrelationswithinthe community,itsformsoforganization,values,andgroupandindividualcapacities,whichwere especiallystrengthenedtoensurethecorrectfunctioningofthesystems.Itisbasedonthe combinationandflexibilityincreaseoftheRESUandtheMBSS,whocoexistandshare stakeholders,toprovideauniqueintegralmanagementmodel.Theyareresponsibleforthe technicaloperationandmaintenanceofthesystems,whichareunderthecontroloftheRESU ortheMBSSdependingonthetechnologyanditsO&Mrequirements.TheRESUandtheMBSS areredefinedwithrelationshiptotheiroriginalstandards,sothattheycanworktogetherto keepthepopulationinformedandtrainedaboutthesystems,andtopromoteimprovement andexpansionofthesystemsifneeded.Thefinancialsustainabilityisguaranteedbydefininga specialtariffsystemthatcoverstherunningandmaintenancecostsandbyinvolvingthe Municipalitywhengreaterfundsareneeded.Theusersarethemainstakeholdersinthis scheme,astheyhavethepowertodemocraticallydefinethenormsandregulationsin communityassemblies;havetheobligationtoattendmonthlyfinancialreviewmeetings;and areabletochooseandcontroltheirrepresentatives,asthereisaControlUnitaimedat supervisingeachstakeholderandthroughwhichcomplaintsabouttheservicecanbemade.In ordertopromotesynergydevelopmentwithawiderangeofstakeholders,theclosestHealth 8  CareCentrealsocontributestothecorrectuseofthesystems,asitsworkerscarryoutperiodic campaignstotrainthepopulationinhealthyhabits. 3.2 Management model implementation process Strongemphasiswasgiventotheprocessofimplementationofthemanagementmodelin ordertopromotesustainability.Theimplementationstrategywasbasedontheideathatany strategyforpromotingaccesstoenergyandsanitationserviceshastoconsidervarious dimensionssuchasthetechno‐economic,socio‐political,environmental,financial,governance, etc.(Bhattacharya,2012a)andprojectbeneficiariesmustbethekeyactorsinshapingtheir ownsocialandeconomicdevelopment,notonlythepassiverecipientsofexternalassistance (Ortizetal.,2012).Indeed,thesustainabilityoftechnologyprojectsisthreatenedbymany factors.Inadditiontotechnicalaspects,economic,social,environmentalandorganizational issuesneedtobeconsideredandstrengthened. Duringtheimplementationprocesstheimplicationandmotivationofthepopulationwasvery muchpromotedinallphasesoftheproject.Forinstance,theirparticipationindecision‐making wasencouragedbypromotinghorizontalprocesseswhereeverybody’svoiceistakeninto account.Infact,organizationalskillstocontrolthesystemswereimprovedbyestablishing periodicmeetingsanddefiningadequaterolesandprocedures,accordingtolocalcontext. Themanagementmodelimplementationprocessespeciallyfocusedonstrengtheninglocal capacitiesandfieldtrainingprogrammesweredeveloped.Intheseprogrammesespecial emphasiswasputonstrengtheningpracticalcapacities,thusensuringlocalvillagerscould reallyapplytheoreticalknowledgeachievedonrealO&Mactivities.Forinstance,theusers activelyparticipatedwheninstallingtheREtechnologiesandtheseprocesseswerealsoused tostrengthenpracticalcapacities.Aspartofthetrainingprocess,itwascrucialtoensurethat theoperatorshadenoughinformationaboutwheretobuysparepartsorcomponentsforall technologiestocopewithcorrectivemaintenanceautonomously. Thedevelopmentofproductiveinitiativeswaspromotedasevenlittletheeconomicincomes increasepopulationqualityoflife.Moreover,economicincomeshaveproventobevery effectivetostrengthentheimplicationanduser’smotivationtomaintaintheprojects.Villagers wereencouragedtoinvestinmicrobusinessestakingadvantageofthenewtechnologies, especiallyforelectricity.Todothat,showingsuccessfulexperiencescarriedoutinsimilarareas wasveryillustrative. Finally,environmentalconsciousnesswasraisedthroughspecialtrainings,especiallyfocusing onefficientuseofnaturalresources.Severalworkshopsweredevelopedtodiscusshowthe forestcouldbemaintainedthroughasustainableuseoffirewood,howthedungcanbereused asenergyresourceandwhyfuelconsumptionshouldbereducedtopreventenvironmental damage. 3.3 Management model stakeholders Management Board of Sanitation Services (MBSS) TheMBSSisresponsiblefortheoperationandmaintenancetasksofsanitationsystems;the preparationoftheannualworkplanandbudget,calculationandcollectionofthemonthly tariff,whichprovidesareservefundtopayforoperationandthepreventiveandcorrective maintenanceofthesystems;theimpositionofpenaltiesonusers;thepromotionofhealthy habitsinhouseholds;theorganizationofcommunityclean‐upcampaignsandotherminor 9  functions.IntheproposedmodelMBSSfunctionsarewidenedwithrespecttoitsoriginal definition,astheamountoftechnologiesunderitsresponsabilityincreased(seeSection3.4). Rural Energy Service Unit (RESU) Whilethisnamenormallyrefersto“ElectricServices”,inPucaraitrefersto“EnergyServices”, asthesystemsarerelatedtocookingandheatingaswell.TheRESUisamicroenterprise formedbytwolocalvillagers,whoareresponsibleforoperation,preventiveandcorrective maintenance;thecollectionofmonthlytariffs,whichprovideareservefundtopayfor operationandpreventiveandcorrectivemaintenanceofthesystems;servicecut‐offand/or replacement;promotionoftheextensionofservicestonewusersandotherminorfunctions. ItmustbenotedthatneworganizationalprocedureshavedefinedtoallowtheRESUandthe MBSSsharingrepresentatives.Thesestakeholdersshouldbedeeplyinvolvedandcoordinated onewiththeothertoperformtheiractivitiesinthemostefficientway.Infact,iftherewereno legalrestrictions,therecouldonlybeonesingleinstitutionperformingallthesetasks. Users Eachuserisresponsibleforusingandmaintainingtheirsystemsappropriately,aswellas payingthespecifictariffsdefinedforeachtechnology,whichcanbeflatratetariffs,variable dependingontheconsumption,orvariabledependingontheextentoftherepairs(seeSection 3.4).Moreover,theusersmakeupaGeneralAssembly,whichisthehighestauthorityinthe managementmodel,andisresponsiblefortheelectionoftheMBSSandRESUpersonnel;the approvalofplansandbudgets;themonitoringandevaluationoftheMBSSandRESUactivities; andotherfunctionsthatmayberequired.TheGeneralAssemblymeetsmonthlyandthe attendanceofusersismandatory.Incaseanyuserdoesnotattend,andhasnoimportant justification,aS/.10NuevosSolesfineisimposed. Control Unit (CU) TheCUiselectedbytheGeneralAssemblyandiscomposedoflocalpeople,mainlyauthorities. SpecificregulationshavebeendefinedtogivetheCUtheresponsibilitytomonitorthe administrationofboththeRESUandtheMBSS(useoftariffs,non‐payingclients,qualityof service,etc.),andensurecomplianceofusers’obligations;auditingwater,sanitationand energyservices;andaddressingcomplaints,suggestionsorconflicts.Itshouldoperate impartiallyanditscontrollingtasksshouldbecompletelyseparatedfrompoliticalaffairs. District Municipality ThelegalownerofthesystemsistheDistrictMunicipality,whichsignsaconcessioncontract assigningtheservicemanagementtotheMBSSandtheRESU;thus,itcannotinterferewith day‐to‐dayoperations.However,asthelegalowner,themunicipalitysharesresponsibilityfor replacingequipmentwhenneeded,soitmustaddtothereservefundswhentheyare insufficient,reinforcingthesustainabilityofthesystems. 3.4 Technology classification ConsideringtheMBSSrigiditytoincludenewtechnologies,twocriteriawereemployedto decidewhethereachtechnologyshouldbeoperatedandmaintainedbytheRESUorthe MBSS: 1.‐MonitoringsimplicityfortheRESUortheMBSS,regardingthekindofmaintenance ofthetechnology. 2.‐PossibilityfortheMBSStodoit,accordingtoregulations,asitcanonlyinclude sanitationservices 16  Notallvillagershadaccesstoallthetechnologiesduetosomeoftheircharacteristicsand budgetlimitations.Whereasallusershadaccesstoelectricityandimprovedcookstoves,notall familiescouldbeprovidedwithsolarwaterheaters,biodigestersandTrombewalls. Furthermore,asmicro‐creditsareonlyavailablefornewusers’connectionstothemicrohydro powerplant,andinthecaseofindividualsystemsnewusersmustpayforthewholesystemat once,equityisaffectedandthescoresofsometechnologiesislowered.Hence,whereasthe decisionaboutthemicro‐creditofferwastakenbytheGeneralAssembly,itseemsnottobe thebestsolutionandmicro‐creditsshouldbeavailableforallusersandtechnologies. Anotherimportantissuethathasdiminishedthescoresisrelatedtogenderequity.InAndean communitiespowerstructuresarebiasedtowardsmasculinedomination,andtheroleof womenisgenerallylimitedtohouseholdaffairs.Thesestructuresaresorigidthatitisvery difficulttoreachambitiousobjectivesintermsofgenderequityduringtheperiodof implementationoftheseprojects.Forthatreason,despitepromotingtheinvolvementof womenintheO&Mtrainingprocessandtheinclusionofwomeninthestaff,theseobjectives couldnotbereached.Womenandchildrenbenefittedespeciallyfromdifferentservicesto havemoretimeforthemselves,astheycanstayawakelongeratnightthankstoimproved lightingconditionsathomeandtheworkloadisreduced.However,womenoftenusethisextra timetoextendtheirworkloadinhouseholdtasks(Fernández‐Baldoretal.,2014),andthatcan beareasonwhythisindicator’sscoreislowinsomecases.Sincereachinggenderequitygoals hasproventobeaverydifficulttaskinAndeancommunities,specialmeasuresshouldbe includedinfuturemodelstopromoteit.Ofcourse,thestrategiestoaddresstheseissuesneed tobedefinedinaccordancetothesocioeconomiccharacteristicsofthecommunitywherethe projectisimplemented. Theprocessoftechnologyadoptionwasespeciallyconsideredaswell,asitisadeterminant factorinpromotingsustainability(Ruiz‐Mercadoetal.,2011;Troncoso,2013).Therefore peoplewereinvolvedduringthewholeprocessoftheproject,evenaslabour.Withanactively involvedandmotivatedpopulationintheproject,usersadopttechnologymorecompletely, therebyminimisingtheriskofsystemneglectordeterioration,whichwillhaveapositiveeffect intermsofsustainability.Moreover,theappearanceoflocalinnovationswaspromotedto strengthenthetechnologyadoptionprocess,butonlyfewideasrelatedtoimproved cookstoves,biodigestersandTrombewallsappeared. Finally,amajorissueregardingsustainabledevelopmentishealthimprovement,andinthis caseallthetechnologiesarehighlyvaluedastheyreduceindoorairpollution,reducefirerisks andlowertheprobabilityofdiseases. 6.5 The environmental dimension Theindicatorsusedforthisdimensionwerebasedonhighlyambitiousenvironmentalcriteria, asNatureisakeyissueinAndeanvillagers’worldvision.Thatisthereasonwhy,althoughall thetechnologiesuserenewableresourcesandnoadverseenvironmentalimpactshave occurred,thescoreshavenotbeenashighasifsoftercriteriahadbeenused. Onlyelectricitysubstitutes“dirty”fuelslikebatteries,candlesorkerosene,whiletherestof themreducefirewoodneeds,whichisconsideredbytheauthorsasarenewableresourceas itsuseinPucaraisresponsibleandequilibratedwiththeforestproduction.Localmaterials wereusedingeneral,exceptforthesolarpanels,theturbine,thebiodigesters’sgeomembrane andthesolarwaterheaters’pipes.Finally,manyofthetechnologiesarenoteasilyre‐usedor recycledafterreachingtheirlifespan.Solarpanels,batteriesandelectronicdevices, 17  greenhouseplastics,geomembrane,PVCpipesanddebriscannotbereusedorrecycledinthe area.Onlythemicrohydropowerplantwaterchannelcanbereusedforirrigation,thesolar waterheaters’watertankcanbereusedforliquidstorageandwoodfromTrombewalls structurescanbeusedasfirewood. 6.6 The institutional/organisational dimension Thisdimensionisthemostdependentonthemanagementmodelanditisthebestvaluedin Pucara,whichmeansthatthedesignofthemanagementmodelwaseffective,efficientand appropriateforruralAndeancontexts. Inallcasestherewasstrongemphasisonstrengtheningusers’andstaff’scapacities, developinganefficienttrainingprocesstoensureallstakeholdershadtheappropriate knowledgeaboutthetechnologiesandthemanagementmodel. Alluserswereinvolvedduringtheinstallationofthesystems.Thisprocessinvolvedaroutine offrequentcommunitymeetingsandcollaboration,whichincreasedthesenseofcommunity andstrengthenedthemechanismsforconflictresolution.Inaddition,open‐accessassembly decisionmakingwasestablished,whichpromotedhorizontalpowerprocedures,andhigh ratesofuserassistancewereidentified,thusenablinghighqualitydemocraticprocesses. Furthermore,accountabilityandanswerabilityarereallyemphasised,astransparentfinancial accountsarekeptandeffectivechannelsaredefined,throughwhichcomplaintsaboutthe servicecanbemade.Hence,allstakeholdersfeelconfidentwiththemanagementmodel. Therefore,managerialandoperationalautonomy,whichisrecommendedbyZomers(2003),is guaranteedasexternaldependencewasnotidentified.ThisallowsPucara’svillagersto strengthenorganizationalandinstitutionalassets,encouragingcollectiveempowerment processesandpromotingthedevelopmentofnewprojectsaimedatimprovingtheirliving conditions. 7. Conclusions Inthispaperwedevelopanintegralmanagementmodelandweevaluatethesustainabilityof theREprojectimplementedinPucara(Peru).Aninnovativemanagementmodelwascreated toprovidebasicenergyandsanitationserviceswithsixdifferenttechnologies:amicrohydro powerplant,individualphotovoltaicsystems,biodigesters,improvedcookstoves,Trombe wallsandsolarwaterheaters.Themanagementmodelwasbasedonthecombinationofthe RuralEnergyServiceUnitandtheManagementBoardofSanitationServices,whocoexistand sharestakeholders,andareresponsibleforthetechnicaloperationandmaintenanceofthe systems.Itisfocusedonencouragingautonomousmanagementofalltechnologiesandis conceivedinawaythatanynewtechnologyinstalledinthecommunityinthefuturecouldbe includedinit.Hence,ithastheadvantagethatitcanbeveryeasilydisseminatedamongrural communitiesandmightevenpromotetheadditionofnewsystemstotheexistingones.Since thismodelgivesthecommunitytheopportunitytomanageallsystemsatonce,evenmixing energy,waterandsanitationservices,itrepresentsastepchangecomparedtoexistingones. Moreover,anovelevaluationmethodologywasproposedtoassessfivedimensionsof sustainabledevelopment:technical,economic,social/ethical,environmentaland institutional/organizational.Thetechnicaldimensionisoneofthebestvalueddimensionsfor allthetechnologies,asappropriateO&Mservicesweredefined,systemsaregenerallyinwell conditionanddisruptionsarerare.Theeconomicdimensionhasshowndisparatescores; biodigestersarethemostvaluedinthiscaseastheypromoteincome‐generatingactivitiesand 18  reducecostsforenergy.Thesocial/ethicaldimensionistheworstvalueddimensionforalmost allthetechnologies;notallvillagershadaccesstoallthetechnologiesduetothe characteristicsofsomeofthemandbudgetlimitations.Theenvironmentaldimensioniswell valuedinallcases.However,thescoresarenotashighasexpectedforREtechnologies becausehighstandardenvironmentalindicatorsareused.Theorganisational/institutional dimensionhasobtainedthehighestscoresforallthetechnologies,thusconfirmingthatthe managementmodelhasprovensuitableforthiskindofprojectsinruralareas.Atthesame time,theevaluationhasidentifiedsomeweaknessesinotherdimensionsthatshouldbe overcomeintheraceforsustainabledevelopment,andstrategiestopromoteeconomic,social andenvironmentaldevelopmentarerecommended. Acknowledgments Theauthorswouldliketothanktheanonymousreviewersfortheirvaluablecomments,which havehelpedtoenhancethispaper.Theauthorsaregratefulforalltheassistanceandsupport 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