Climate Resilient Urban Sanitation - Accelerating the Convergence of Sanitation and Climate Action - Resilient Cities Network
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IMPRINT As a federally owned enterprise, GIZ supports the German Government in achieving its objectives in the field of international cooperation for sustainable development. Published by: Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH Registered offices: Bonn and Eschborn, Germany Friedrich-Ebert-Allee 32 + 36 53113 Bonn, Germany T +49 228 44 60-0 F +49 228 44 60-17 66 E info@giz.de I www.giz.de Programme description: Sector Programme Sustainable Sanitation Contact: Mintje Büürma (GIZ) mintje.bueuerma@giz.de Authors: Georges Mikhael (Aguaconsult), Leonie Hyde-Smith (University of Leeds), Bill Twyman (Aguaconsult), Delia Sánchez Trancón (Aguaconsult), Elise Jabagi (Aguaconsult), and Emily Bamford (Rocky Mountain Environmental Consulting) Concept and Sounding Board: Mintje Büürma (GIZ), Annkathrin Tempel (GIZ), Arne Panesar (GIZ), Sebastian Köcke (GIZ) Kathrin Brübach (R-Cities), Femke Gubbels (R-Cities) Design/layout: Julia Woollams, 31% Wool, London/United Kingdom Photo credits: Page 6: © VinothChandar, licensed under CC BY 2.0; Page 7: © Sustainable sanitation, licensed under CC BY 2.0; Page 11: © valkyrieh116, licensed under CC BY-SA 2.0; Page 21: © Mikhael, 2014; Page 25: © Lior Sperandeo BORDA/GIZ; Page 31: © Dan Grinwis, Unsplash; Page 32: © anttilipponen, licensed under CC BY 2.0; Page 35: © Archivo GIZ/PERIAGUA; Page 37: © Abishek Naraya; Page 38: © Lior Sperandeo BORDA/GIZ; Page 41: © Danie van der Merwe, Wikipedia Commons; Page 43 left: © diario Los Tiempos, Cochabamba – Bolivia; Page 43 right: © Deutsche Welle, David Flores; Page 47: © Lior Sperandeo BORDA/GIZ; Page 61: © Ivan Bandura, Unsplash; Page 69: © EEJCC, Wikipedia Commons. URL links: This publication contains links to external websites. Responsibility for the content of the listed external sites always lies with their respective publishers. When the links to these sites were first posted, GIZ checked the third-party content to establish whether it could give rise to civil or criminal liability. However, the constant review of the links to external sites cannot reasonably be expected without concrete indication of a violation of rights. If GIZ itself becomes aware or is notified by a third party that an external site it has provided a link to gives rise to civil or criminal liability, it will remove the link to this site immediately. GIZ expressly dissociates itself from such content. Maps: The maps printed here are intended only for information purposes and in no way constitute recognition under international law of boundaries and territories. GIZ accepts no responsibility for these maps being entirely up to date, correct or complete. All liability for any damage, direct or indirect, resulting from their use is excluded. On behalf of: German Federal Ministry for Economic Cooperation and Development (BMZ) Division 103 – Water-, Sanitation- and Hygiene Management Postfach 12 03 22 53045 Bonn www.bmz.de GIZ is responsible for the content of this publication. Bonn, June 2021
FOREWORD Cities are incredibly vulnerable to climate policymakers to achieve better outcomes. Being change. Although sanitation is a critical urban resilient is about identifying the most important system and service, it is not widely considered priorities for a city faced with multiple challenges, a climate change issue. While water has long recognizing that shocks and stresses are been recognized as a central component of interconnected, and solutions must be as well. climate change adaptation, there is only sparse In undertaking this assignment, we reached out to research and evidence on the impacts of climate our partners in four cities. We would like to extend change on sanitation infrastructure and services, our heartfelt thanks to them for providing us with and therefore limited discussion of effective deep insights into the current climate-related approaches for adaptation. challenges of urban sanitation in their cities, as However, we believe sanitation can be a crucial well as the opportunities for urban resilience which driver for climate change adaptation and may arise through sanitation. For Cape Town: we mitigation. Through investments in resilient would like to thank Amy Davison, Claire Pengelly, sanitation systems, we can safeguard public Gareth Morgan, and Mogamat Armeen Mallick; for health and further, create a sustainable economy Chennai: Abishek S. Narayan, Ashok Natarajan, around sanitation services, as well as foster Krishna Mohan Ramachandran, M R Jaishankar, innovation as a pivotal component of combating Phillip Ligy, Santhosh Raghavan, and Sheela Nair; climate change at the global scale. We also believe for Lusaka: Amanda Mallaghan, Bwalya Funga, that a shift to sustainable sanitation will require Chola Mbilima, and Mwansa Nachula Mukuka; and a coordinated effort with other urban services, for Santa Cruz de la Sierra: Carina Castro, Carlos a better understanding what resilient sanitation Gongora, Cinthia Asin, Erica Plata, Humberto systems are and how they can contribute to a Cáceres Magnus, Ivy Beltran, Jose Daniel Medrano, city’s overall resilience. We can continue to try Marco S. Salinas, and Ronald Pasig. to solve urban sanitation with single, targeted We would also like to share a special thanks to our interventions. But at the pace of growth, and the reviewers who gave us constructive and thoughtful pace of in particular climate-related challenges, feedback, inputs and points for discussion. This we will fail to provide adequate infrastructure includes Kim Andersson, Akshaya Ayyangar, and services. Without a doubt we must focus on Stefan Gramel, Christoph Lüthi, John Matthews, developing responses and solutions that have Elke Peetz, Thorsten Reckerzügl, Parama Roy, multiple benefits. Building holistic urban resilience Stephanie Wear and Juliet Willetts. Furthermore, requires that cities gain a better understanding of we would also like to thank our colleagues all their challenges including sanitation and seek to Anna Berg, Jens Götzenberger, Anna Kristina solve them holistically in partnership with people Kanathigoda, Robert Kranefeld, Helmut Lang, outside of government including technical experts, Brenda Mwalukanga, David Nonde Mwamba, community leaders, and businesses. Sandra Schuster and Marcel Servos for their The Sector Programme Sustainable Sanitation contributions to this study. at the Deutsche Gesellschaft für Internationale We hope that reading this publication will be as Zusammenarbeit (GIZ) GmbH and the Resilient insightful and joyful as this collaboration and study Cities Network (R-Cities) – partnered to conduct has been for us. this study to improve our understanding of the impacts of climate change on urban sanitation and Katrin Brübach Arne Panesar the role and potential of sanitation in the context of urban and climate resilience. We are hoping Global Director of Programs, Head of Sector Programme Innovation & Impact, Sustainable Sanitation, to contribute to the wider understanding of these Resilient Cities Network Deutsche Gesellschaft issues, as well as provide a first set of guiding für Internationale principles that can support practitioners and Zusammenarbeit (GIZ) GmbH 4
EXECUTIVE SUMMARY Our climate is rapidly changing, with impacts acutely observed in urban areas where 55 per cent of the world’s population lives. Impacts are most prominently felt on the water cycle; however, drought, flooding and other extreme weather events are also impacting sanitation systems. This report has been commissioned by Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH, in collaboration with Resilient Cities Network (R-Cities) to better understand how climate change impacts will affect urban sanitation systems, and what needs to be done to address this. An ‘urban sanitation system’ refers to the (India), Lusaka (Zambia) and Santa Cruz de la combination of the sanitation service chain (i.e., Sierra (Bolivia). To date, the increased climate infrastructure and services for containment, resilience of sanitation services has been an transport, treatment, and disposal or reuse of indirect benefit rather than the primary driver of faecal waste) and the enabling environment within action. Adaptation responses to water scarcity and which it operates (e.g., institutional arrangements, droughts primarily focus on ensuring reliable water monitoring, planning). This system is susceptible supply services through diversifying and enhancing to four direct climate change shocks and stresses: water sources. As part of these efforts, cities such (i) extreme heat, (ii) water scarcity and droughts, as Santa Cruz introduced regulatory mechanisms (iii) increased precipitation, flooding, and extreme to ensure the regular emptying of pit latrines. In weather, and (iv) rising sea levels. The penultimate Chennai, wastewater recycling became a legal impact is reported to be the most significant for requirement for new developments. urban sanitation systems. Flooded onsite (i.e., pit latrines or septic tanks) and offsite (i.e., sewer To date, the increased climate networks) sanitation facilities are damaged – resilience of sanitation services has leading to a loss of access to sanitation – and / or been an indirect benefit rather than are no longer able to contain the waste, leading the primary driver of action. to the contamination of the environment and the outbreak of diseases such as cholera. Lower- Adaptation to flooding on the other hand involved income communities, typically in flood-prone the construction of lined and elevated containment areas, are most likely to endure the impacts of the systems in cities such as Lusaka. In Cape Town, failure of urban sanitation systems. so-called ‘container-based’ sanitation services were delivered to 20,000 residents of informal Lower-income communities, typically settlements. Vulnerability mapping was also in flood-prone areas, are most likely to implemented in Cape Town and Lusaka to avoid endure [climate-related] impacts of the construction of sanitation facilities in flood prone areas or to avoid contamination of groundwater. failure of urban sanitation systems. Evidently, significant gaps remain in the global The adaptation response to this threat of climate effort to create climate resilient urban sanitation change on sanitation systems was considered systems. One of these gaps is the lack of metrics. in four cities: Cape Town (South Africa), Chennai To address this, the authors present a strawman 5
EXECUTIVE SUMMARY proposal for a City Sanitation Resilience Approach However, there are also opportunities. The (CSRA), an adaptation of the City Water Resilience sanitation sector has developed numerous urban Approach. To avoid ‘reinventing the wheel’, strategies, targets, and plans. There is potential the CSRA incorporates existing tools from the to incorporate resilience into these, particularly at sanitation sector such as the excreta flow diagram city-level. Furthermore, the globally recognised set (SFD) and the City Service Deliver Assessment of principles, Citywide Inclusive Sanitation (CWIS), (CSDA). These tools would contribute to the could be further revised to drive resilience rather development of City Sanitation Characterisation than simply acknowledge it. Reports and City Sanitation Resilience Profiles; To finance these urban sanitation strategies and however, they would need to be strengthened to plans, the opportunity exists to better capitalise better consider resilience. on climate finance. SDG 13.a pledges to jointly One of the other key gaps identified is the need mobilise USD 100 billion annually to strengthen to strengthen the integration and coordination climate resilience in development countries. within and outside of sanitation systems. This Similarly, the Paris Agreement has led to major includes the political and institutional bottlenecks, funds being made available through mechanisms which act as a serious brake on service delivery such as the Green Climate Fund and the Global and sustainability, particularly for vulnerable Environmental Facility. Ultimately, dodging the bill communities. The final critical gap identified is for climate resilient sanitation systems is not a the need to develop a better understanding of the sustainable option. cost of resilience and financing that gap. No data Another opportunity and co-benefit of climate is available on the global cost of achieving climate resilient urban sanitation is the mitigation of resilient urban sanitation, nor the cost of a ‘do- greenhouse gas emissions. The sanitation sector nothing’ scenario. is estimated to contribute between 2 and 6 per cent Existing political and institutional of the global methane emissions, and between 1 and 3 per cent of nitrous oxide emissions. Much of bottlenecks act as a serious these emissions are generated from wastewater break on service delivery and disposal directly into the environment without sustainability, particularly for reuse. As such, the global expansion of treatment vulnerable communities. not only increases the resilience of sanitation Above: Furious Cyclone ‘Nilam’ Chennai 6
EXECUTIVE SUMMARY systems but could also play an important role in capacities when facing these challenges. It is not mitigating climate change. just sanitation infrastructure that must be resilient to everchanging shocks and stresses, but also the The global expansion of treatment interconnected social, institutional, and physical not only increases the resilience of systems. As the old adage goes, ‘resilience is not sanitation systems but could also an end state; it’s a journey’. play an important role in mitigating ‘Resilience is not an end state; climate change. it’s a journey.’ To systematically plan for and develop climate Furthermore, the current and future needs resilient urban sanitation systems, the start of a of urban populations are at the centre of a conceptual framework is proposed by the authors vulnerability-led perspective to resilience. based on the City Water Resilience Framework This is critical because climate change is (CWRF). The proposed framework needs to be likely to exacerbate the current inequalities further developed via a thorough consultation of urban sanitation provision. To address this, process with stakeholders; however, alignment urban sanitation systems need to look beyond with CWRF would be a good starting point. Adoption ‘infrastructure’ and ‘coverage’; they need of the four dimensions of CWRF is proposed, which to provide suitable platforms for inclusive are (i) leadership and strategy, (ii) planning and feedback and consultation from urban finance, (iii) infrastructure and service delivery, residents, as well as adequate monitoring, and (iv) health and environment. Overarching goals warning, and response mechanisms. cities should strive for are also proposed for each dimension. For instance, under the leadership and To achieve climate resilient urban sanitation, strategy, cities should aim to: create empowered resilience needs to become one of the foundations communities, achieve a consistent strategic vision, of sanitation planning. Furthermore, resilience and coordinate governance to avoid the current could become an opportunity for silos between fragmentation and silos. urban systems to be finally broken, allowing for effective integration between sanitation and There is no blueprint for achieving climate for instance drainage, solid waste, energy, and resilience for urban sanitation systems. Climate transport. This integration should be a continually change manifests itself differently around the evolving process and must be adaptable to the globe and even within individual cities. Cities changing risks, vulnerabilities, and capacities of start from different levels of preparedness and urban populations. Above: Wastewater in street – informal settlement near Cape Town, South Africa 7
CONTENTS 1 INTRODUCTION 10 1.1 PROJECT BACKGROUND AND OBJECTIVES 11 1.2 URBAN SANITATION IN A CHANGING CLIMATE 12 1.2.1 Cities and Climate Change 12 1.2.2 The Impact of Climate Change on Urban Sanitation 13 1.2.3 The Sanitation Crisis: Increasing Vulnerability to Climate Change 14 1.3 THE INTERNATIONAL DISCOURSE OF CLIMATE CHANGE AND SANITATION 15 1.3.1 The Sustainable Development Goals 15 1.3.2 The Paris Agreement 15 1.3.3 The Sendai Framework for Disaster Risk Reduction 17 1.4 DEFINITIONS 17 1.4.1 Urban Climate Resilience 17 1.4.2 Qualities of a Resilient System 17 1.4.3 The Sanitation Service Structures 18 1.4.4 Sanitation System 20 1.4.6 Climate Resilient Urban Sanitation 21 2 THE IMPACT OF CLIMATE CHANGE ON URBAN SANITATION 22 2.1 EXTREME HEAT 23 2.2 WATER SCARCITY AND DROUGHT 24 2.3 INCREASED PRECIPITATION, FLOODING AND EXTREME WEATHER 26 2.4 RISING SEA LEVELS 27 3 ADAPTION RESPONSES TO URBAN SANITATION – CASE STUDIES 28 3.1 CITIES BACKGROUND 31 3.1.1 Cape Town 32 3.1.2 Chennai 33 3.1.3 Lusaka 34 3.1.4 Santa Cruz 35 3.2 DEMAND AND WILLINGNESS FOR CLIMATE RESILIENT URBAN SANITATION 36 3.2.1 Cape Town 36 3.2.2 Chennai 37 3.2.3 Lusaka 38 3.2.4 Santa Cruz 38 3.3 ADAPTATION RESPONSES TO SPECIFIC SHOCKS AND STRESSES 39 3.3.1 Water scarcity and droughts 39 3.3.2 Flooding 42 8
CONTENTS 4 SANITATION AND URBAN RESILIENCE: GAPS AND OPPORTUNITIES 44 4.1 KEY GAPS 45 4.1.1 Integration and coordination within and outside sanitation systems 45 4.1.2 Global metrics for climate resilient urban sanitation 46 4.1.3 Understanding the cost of resilience and financing the gap 46 4.2 KEY OPPORTUNITIES 47 4.2.1 Climate resilient and sanitation in urban strategies, targets, and plans 47 4.2.2 Climate finance for resilient sanitation 48 4.2.3 Sanitation and GHG Mitigation 49 5 FRAMEWORK FOR CLIMATE RESILIENT URBAN SANITATION 50 5.1 LEADERSHIP AND STRATEGY 52 5.1.1 Create empowered communities 52 5.1.2 Strategic vision 53 5.1.3 Coordinated governance 54 5.2 PLANNING AND FINANCE 55 5.2.2 Adaptive and integrated planning 56 5.2.3 Sustainable funding and finance 57 5.3 INFRASTRUCTURE AND SERVICE PROVISION 59 5.3.1 Effective disaster response and recovery 59 5.3.2 Effective asset management 59 5.4 ENVIRONMENT AND HEALTH 60 5.4.1 Healthy urban communities and protected natural environments 60 5.4.2 Equitable service provision 61 6 AN ASSESSMENT TOOL FOR URBAN SANITATION RESILIENCE 62 6.1 GUIDELINES 63 6.2 STEP 1: UNDERSTANDING THE SYSTEM 64 6.3 STEP 2: ASSESSING URBAN SANITATION RESILIENCE 64 7 CONCLUSION 66 ACRONYMS 70 ANNEXES 71 Annex A: Glossary 71 Annex B: The Sustainable Development Goals 75 Annex C: Case study interviewees 77 ENDNOTES 78 9
1. INTRODUCTION 1.1 PROJECT BACKGROUND AND OBJECTIVES This report has been commissioned by Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH, in collaboration with Resilient Cities Network (R-Cities) to better understand how climate change impacts will affect urban sanitation systems, and what needs to be done to address this. It does so by collating and reflecting on existing knowledge and highlighting how some cities have approached adaptation. It intends to engage with and propose to a diverse set of sector leaders an outline of the next steps needed to support cities in building the climate resilience of their sanitation services and infrastructure. also present us with an opportunity to ‘build back better’, more efficiently and effectively. A vast array of stakeholders across sanitation systems are likely to be able to capitalise on this report, including: 1. local government and local structures; 2. utility and sanitation engineers responsible for designing, operating and maintaining systems; 3. city planners and decision-makers (e.g., councillors); 4. national government and their often- fragmented sanitation ministries; 5. policy makers and regulators influencing sanitation systems; and 6. development partners and international The report was prepared at a time when, according financing institutions keen to support and to the directors of UNICEF and the WHO “progress accelerate change, including but not limited against sanitation targets in the Sustainable to Germany’s Federal Ministry for Economic Development Goal 6 has been too slow… And Cooperation and Development (BMZ) and its this challenge comes amid the trials of a global implementing organisations GIZ, Kreditanstalt [COVID-19] pandemic, an economic recession, für Wiederaufbau (KfW), Physikalisch- and an on-going climate crisis”1. While the world Technische Bundesanstalt (PTB), and is evidently facing multiple global challenges Bundesanstalt für Geowissenschaften und negatively impacting local communities, this can Rohstoffe (BGR). Above: Informal settlement, Cape Town 11
1. INTRODUCTION In line with the detailed objectives of this study, the climate change adaptation responses: Cape report is divided into the following seven chapters: Town, Chennai, Lusaka, and Santa Cruz de la Sierra (hereafter referred to as Santa Cruz). hapter 1: This introduction, which outlines C the project background, introducing urban Chapter 4: An overview of the key gaps sanitation in a changing climate, framing the and opportunities for climate resilient international climate change discourse, and urban sanitation. introducing key definitions. Chapter 5: The proposal of a framework for hapter 2: An overview of the impacts of C climate resilient urban sanitation. climate change on urban sanitation, considering hapter 6: A strawman proposal for the future C the following climate change impacts: extreme development of a tool to assess the resilience heat, water scarcity and drought, increased of urban sanitation systems. precipitation, flooding and extreme weather, and rising sea levels. Chapter 7: The conclusion, providing a summary of key takeaways from the report. hapter 3: A selection of case studies from C four cities presenting their sanitation-related 1.2 URBAN SANITATION IN A CHANGING CLIMATE 1.2.1 CITIES AND Box 1 CLIMATE CHANGE CLIMATE CHANGE IN 100 CITIES Our climate is rapidly changing. Today, the A 2015 assessment7 of climate change in 100 frequency of flooding, drought, and other extreme cities had the following key findings: weather events are having a devastating impact on communities, a trend that is set to continue unless - Mean annual temperatures in 39 cities urgent action is taken by the global community2. Of have increased at a rate of 0.12 to 0.45°C the 1,000 most severe disastersa that have occurred per decade between 1961 and 2010. since 1990, water-related disasters accounted for - Mean annual temperatures for the 100 90 per cent of these.3 selected cities are projected to increase by Increasing temperatures, as a result of global 1.3 to 3.0°C by the 2050s, and 1.7 to 4.9°C warming, has already been experienced across by the 2080s. most regions of the world4. An estimated 20 - Mean annual precipitation for the 100 to 40 per cent of the global population live in cities is projected to change by -9 to +15 regions that, by 2015, had already experienced per cent by the 2050s, and -11 to +21 per warming of more than 1.5°C above pre-industrial cent by the 2080s. levels5. This trend is set to continue, with global temperatures being estimated to increase by at - Sea levels in 52 coastal cities are projected least 2°C by 2100, leading to more extreme and to rise 15-60 cm by the 2050s, and 22-124 unpredictable weather events such as heavy cm by the 2080s. precipitation and drought.6 a The Centre for Research on the Epidemiology of Disasters classifies natural disasters according to the type of hazards that provoke. The classifications are geophysical (e.g., earthquake, volcanic activity), meteorological (e.g., extreme temperature, storm), hydrological (e.g., flood, landslide), climatological (e.g., drought, wildfire), biological (e.g., epidemic, insect infestation) and extraterrestrial (e.g., impact, space weather). Retrieved from EM-DAT: https://www.emdat.be/classification. 12
1. INTRODUCTION While projections for future climate change are most often defined globally and nationally, the 1.2.2 THE IMPACT OF CLIMATE risks are not the same everywhere. Extreme CHANGE ON URBAN SANITATION weather events have differing impacts on both The impacts of climate change are felt first urban and rural communities within the same through the impacts on the water cycle14. This region. The sheer size and density of populations in turn leads to major secondary impacts for in urban areas leaves residents particularly the sanitation chain, especially in the case of vulnerable to climate change8. For example, an sewers which rely heavily on water for transport, increased demand for water, particularly during treatment, and disposal. Drought, flooding, and warmer temperatures, can leave residents more other extreme weather events can all undermine vulnerable to water scarcity. At the same time, the provision of basic sanitation services, with the prevalence of concrete and tarmac surfaces in disastrous health impacts for urban populations.15 urban areas reduces infiltration, leading to rapid surface run-off, which in turn can lead to more During extreme climate-related events, non- flash flooding and landslides9. These events can resilient urban sanitation systems will often: destroy urban infrastructure, undermine access 1. Lose their ability to deliver essential services to basic services and decimate livelihoods. These due to direct infrastructure damage (from issues combined with the well documented impacts floods, windstorms, and tide surges) or lack of of the Urban Heat Island Effect, means global water (e.g., during a drought or when extreme warming is magnified in urban areas.10 cold weather turns water into ice). At the same time, cities are also a key contributor 2. Become a significant source of chemical and to climate change, as urban activities are major biological contamination of ecosystems, water sources of greenhouse gas (GHG) emissions. bodies and soil by means of their discharges Estimates suggest that cities are responsible and pollution overload in the case of flooding for around 70 per cent of global CO2 emissions, and overflows, leading to major public health with transport and buildings being among the impacts and increased water scarcity. largest contributors.11 This contamination may sometimes be Today, around 55 per cent of the world’s irreversible and may also affect areas beyond population lives in urban areas, a proportion that local and national borders. For example, in is expected to increase to 68 per cent by 205012. Europe, there are over 150 transboundary Projections show that urbanisation, combined rivers whose combined watersheds cover with the overall growth of the world’s population more than 40 per cent of the land surface could add another 2.5 billion people to urban areas area of the region, leading to widespread by 2050, with close to 90 per cent of this increase contamination of water sources, if sanitation taking place in Asia and Africa13. It is therefore vital systems are inundated.16 that city authorities, urban citizens, and businesses take important steps now, to plan and respond to More gradual climatic changes such as rising climate change. sea levels will also have an impact on urban sanitation systems. Some coastal communities Most recently, COVID-19 has drastically changed and infrastructure will experience gradual the world we live in. The pandemic has affected flooding, making them uninhabitable, damaging urban populations the most, endangering not only infrastructure, and reducing access to sanitation.17 public health, but also disrupting the economy and the fabric of society. At the same time, the pandemic has helped highlight the importance of a functioning and resilient urban water, sanitation, and hygiene (WASH) system, and will be an important theme during post-COVID recovery in urban areas. 13
1. INTRODUCTION Box 2 SANITATION ALSO CONTRIBUTES TO CLIMATE CHANGE According to18, faeces and the overall sanitation decomposition of faeces (mainly anerobic chain contribute to climate change through the processes, whether at containment or treatment emission of 3 main gasses: carbon dioxide (CO2), stages), with the former contributing between 2 methane (CH4) and nitrous oxide (N2O), with the and 6 per cent of global CH4 emissions, and the latter two having the most significant impact. latter contributing between 1 and 3 per cent of Methane alone accounts for more than 20 per N2O emissions.21 cent of current climate warming.19 Untreated wastewater released into the Some CO2 is emitted from biological processes environment generates a greenhouse gas during the containment (e.g., in a pit latrine footprint roughly three times greater than when or septic tank) and treatment of the faeces, the same wastewater is treated in a traditional however the majority is emitted from the energy wastewater treatment plant22,23. As only 20 per consumed to manage the waste across the cent of wastewater produced globally is treated, chain, mainly powering treatment plants20. CH4 this represents a significant opportunity for and N2O are emitted from the natural biological GHG mitigation.24 1.2.3 THE SANITATION CRISIS: people still practice open defecation of whom 9 percent lives in urban areas.26 INCREASING VULNERABILITY There are wide disparities between countries TO CLIMATE CHANGE in terms of access to basic sanitation services in urban areas. For example, in North America Over the last few decades, a truly global effort and Western Europe close to 100 per cent of has been made to improve water, sanitation, urban households have access to at least basic and hygiene conditions for millions of people sanitation services, whereas in Central Africa in worldwide. Since 1990, 6 billion people gained many cities, this remains less than 40 per cent27. access to improved water and 2.1 billion people At the same time, climate change threatens to have gained access to improved sanitation.25 undermine the positive progress made over the Despite this progress, the world remains past decade as climate resilience has not been in the midst of a sanitation crisis. Around 2 considered in the provision of the new, basic billion people globally still lack access to basic sanitation systems installed. sanitation of whom 30 percent lives in urban Globally, sanitation planning and associated areas (see Box 3), whilst around 670 million infrastructure development has not kept pace Box 3 KEY FACTS - THE URBAN SANITATION CRISIS28 Basic sanitation refers to facilities not shared offsite. Around 53 per cent (or 2.2 billion people) with other households and are designed to of the world’s urban population do not yet have hygienically separate excreta from human access to safely managed sanitation services. contact, including a handwashing facility with Over 600 million people also do not have access soap and water. to safely managed water supply; something Safely managed sanitation refers to basic which is imperative for functioning sanitation sanitation facilities where excreta are safely and hygiene systems, particularly during a disposed of in situ or transported and treated climate-related crisis. 14
1. INTRODUCTION with rapid population growth and urbanisation, Where sanitation systems do exist, adaptation to creating a sanitation crisis in urban areas29. The climate change, learning and reflection has been urban poor, particularly those without access to slow or completely missing. Deficiencies here are basic water and sanitation services are the most a particular weakness of today’s urban sanitation vulnerable to the impacts of climate change30. They systems globally, and the sector is chronically are the least likely to be able to access safe water under-managed32. This leaves communities, during a drought and are also most likely to have systems, and infrastructure susceptible or their homes flooded as a result of flash-flooding vulnerable to climate change. and sea-level rise.31 1.3 THE INTERNATIONAL DISCOURSE OF CLIMATE CHANGE AND SANITATION 1.3.1 THE SUSTAINABLE particularly in urban areas36. Research suggests very few trade-offs between these two SDGs and DEVELOPMENT GOALS sanitation, but rather demonstrates a strong need for integrated interventions37, and an opportunity In 2015, 193 countries adopted a set of goals, for CRUS to be recognised as a major priority for known as the Sustainable Development Goals urban development. (SDGs) which aim to end poverty and protect the natural environment as part of a new Sustainable Development Agenda33. Each goal sets specific 1.3.2 THE PARIS AGREEMENT targets to be achieved to help guide progress In December 2015, 195 nations adopted the to 2030. Three of the SDGs are most relevant to Paris Agreement which aims to strengthen Climate Resilient Urban Sanitation (CRUS): the global response to the threat of climate SDG6: Ensure availability and sustainable change by “limiting the temperature increase management of water and sanitation for all to 1.5°C above pre-industrial levels”38. This will be achieved through a series of global, regional, SDG11: Make cities and human settlements and country-level efforts. The Paris Agreement inclusive, safe, resilient, and sustainable works on a 5-cycle of climate action. Each nation SDG13: Take urgent action to combat climate is required to develop their successive Nationally change and its impacts. Determined Contributions (NDCs). Through their NDCs countries primarily outline and communicate The targets for each of these SDGs is provided actions they plan to take to reduce GHG emissions in Annex B. to reach the goals of the Paris Agreement. Planned As seen in Figure 1, sanitation has strong adaptation and resilience building measures at links with nearly all goals, including SDG11 the country-level are also communicated in the and SDG1335. The former has a relatively high NDCs39. The NDCs are non-binding. However, they direct call for actionb on sanitation, as well as provide an indication of national policy priorities synergiesc with its respective targets, while and interests. A recent analysis showed that within SDG13 has a moderate level of call for action all submitted NDCs only few concrete actions have and synergies with its targetsd. For instance, been proposed with regard to sanitation.40 water and sanitation systems must be resilient The Paris Agreement re-emphasises the role to climate change; but they also play a vital role of National Adaptation Plans (NAPs) which in supporting broader climate resilience efforts, were established under the Cancun Adaptation b ‘Call for action’ refers to a connection where an SDG target requires action on sanitation to support the achievement of such target. c ‘Synergies’ refers to two-way positive connections with sanitation for each SDG target, whether an action in sanitation could support the achievement of a target, and if achievement towards the target could support sanitation objectives (Diep, et al., 2020). d ‘Trade offs’, seen in Figure 1, refers to a ‘negative’ link between an SDG target and sanitation, whereby the achievement of a target might not be supportive of the sanitation target. 15
1. INTRODUCTION Figure 1. Spider-web representation of breadth of connections between goals and SDG634 Trade-offs Synergies Calls for Action Calls for Action Synergies Trade-offs framework. NAPs were created to enable least Water), which includes the guiding wastewater developed and other developing countries to and faecal sludge interventions under a changing identify medium- and long-term adaptation climate through the development of a wastewater needs and develop implementing strategies and master plan and guidelines42. Thus far only 22 programmes to address them41. The NAP process developing countries have submitted NAPs, none would build on existing activities, providing a of which include the case study cities considered in platform for coordination of adaptation efforts and this report. national level. For example, Saint Lucia developed a water sector NAP (Sectoral Adaptation Plan for 16
1. INTRODUCTION 1.3.3 THE SENDAI FRAMEWORK • Priority 3: Investing in disaster risk reduction FOR DISASTER RISK REDUCTION for resilience. • Priority 4: Enhancing disaster preparedness The Sendai Framework for Disaster Risk Reduction for effective response and to “Build Back Better” (2015 - 2030) was adopted in 2015 as an outcome in recovery, rehabilitation, and reconstruction. of the Third United Nations World Conference on Disaster Risk Reduction in Sendai, Japan. Sanitation is not explicitly mentioned in the framework. However, under Priority 4 the The framework identifies four priority areas for framework emphasises as one of the targets “To action, namely: promote the resilience of new and existing critical • Priority 1: Understanding disaster risk. infrastructure, including water, transportation and telecommunications infrastructure, educational • Priority 2: Strengthening disaster risk facilities, hospitals and other health facilities, governance to manage disaster risk. to ensure that they remain safe, effective and operational during and after disasters in order to provide live-saving and essential services”.43 1.4 DEFINITIONS This section introduces some of the key definitions and concepts used in the report. A comprehensive glossary of the terms used is provided in Annex A. 1.4.1 URBAN 1.4.2 QUALITIES OF CLIMATE RESILIENCE A RESILIENT SYSTEM According to the IPCC, the term resilience refers to The City Resilience Framework suggests that “the capacity of social, economic and environmental resilient systems have seven main qualities systems to cope with a hazardous event or trend which allow to maintain functionality in the face of or disturbance, responding or reorganizing in ways climate-related shocks and stresses: reflective, that maintain their essential function, identity and robust, redundant, flexible, resourceful, inclusive, structure, while also maintaining the capacity and integrated47. Referred to throughout this report, for adaptation, learning and transformation”44. and provided in Annex A, these qualities are defined Urban resilience can therefore be defined as the by the City Resilience Framework as such: capacity of individuals, communities, institutions, 1. Reflective: Reflective systems are accepting of businesses, and systems within a city to survive, the inherent and ever-increasing uncertainty adapt, and grow no matter what kinds of chronic and change in today’s world. They have stresses and acute shocks they experience.45, 46 mechanisms to continuously evolve and will modify standards or norms based on emerging evidence, rather than seeking permanent solutions based on the status quo. As a result, people and institutions examine and systematically learn from their past experiences and leverage this learning to inform future decision-making. 17
1. INTRODUCTION 2. Robust: Robust systems (similar to 6. Inclusive: Inclusion emphasises the need resistance48) include well-conceived, for broad consultation and engagement of constructed, and managed physical assets, communities, including the most vulnerable so that they can withstand the impacts of groups. Addressing the shocks or stresses hazard events without significant damage or faced by one sector, location, or community in loss of function. Robust design anticipates isolation of others is an anathema to the notion potential failures in systems, making provision of resilience. An inclusive approach contributes to ensure failure is predictable, safe, and not to a sense of shared ownership or a joint vision disproportionate to the cause. Over-reliance to build city resilience. on a single asset, cascading failure and design 7. Integrated: Integration and alignment between thresholds that might lead to catastrophic city systems promotes consistency in decision- collapse if exceeded are actively avoided. making and ensures that all investments are 3. Redundant: Redundancy refers to spare mutually supportive to a common outcome. capacity purposely created within systems so Integration is evident within and between that they can accommodate disruption, extreme resilient systems, and across different scales pressures, or surges in demand. It includes of their operation. Exchange of information diversity: the presence of multiple ways to between systems enables them to function achieve a given need or fulfil a particular collectively and respond rapidly through function. Examples include distributed shorter feedback loops throughout the city. infrastructure networks and resource reserves. Redundancies should be intentional, cost-effective, and prioritised at a city-wide 1.4.3 THE SANITATION scale, and should not be an externality of SERVICE STRUCTURES inefficient design. The sanitation service chain (see Figure 2), also 4. Flexible: Flexibility implies that systems referred to as the sanitation chain, is a context- can change, evolve, and adapt in response specific series of technologies, infrastructure to changing circumstances. This may and services utilised for the management favour decentralised and modular of human excreta (urine and faeces), faecal approaches to infrastructure or ecosystem sludgee, and wastewater, for their collection (or management. Flexibility can be achieved capture), containment, transport (or conveyance), through the introduction of new knowledge transformation (or treatment), utilisation (or reuse) and technologies, as needed. It also means or disposal (adapted from Tilley, et al., 2014). considering and incorporating indigenous There are two main types of sanitation chains: or traditional knowledge and practices in onsite and offsite. Onsitef or non-sewered new ways. sanitation chains refer to the technologies, 5. Resourceful: Resourcefulness (similar to infrastructure and services required to safely response / recovery49) implies that people and operate and maintain toilets which hold waste institutions can rapidly find different ways onsite for a certain period (e.g., containers, pits, to achieve their goals or meet their needs or septic tanks). Depending on the design of the during a shock or when under stress. This containment structure and number of users, may include investing in capacity to anticipate emptying of faecal sludge is undertaken on a future conditions, set priorities, and respond, scheduled or on-demand basis, and transported for example, by mobilising and coordinating by vehicles via road networks to centralised or wider human, financial, and physical decentralised treatment facilities. resources. Resourcefulness is instrumental Offsite or sewered sanitation chains refer to to a city’s ability to restore functionality of technologies, infrastructure and services required critical systems, potentially under severely to safely operate and maintain toilets connected constrained conditions. to a piped network. The piped network could be a conventional or a non-conventional (e.g., 18
1. INTRODUCTION SANITATION SERVICE CHAIN Collection & Disposal Transport Treatment Containment Or Reuse Figure 2. The sanitation service chain for both onsite and offsite sanitation simplified, small-bore) sewer, with centralised or solutions, and can be heavily integrated into urban decentralised treatment facilities. Offsite sanitation ecosystems, flood protection, and wellbeing. is heavily reliant on large quantities of water to However, in some cases they may contribute to transport the waste (or wastewater) through increased GHG emissions (e.g., wetlands). gravity fed sewers; in many cases the topography Innovative waste-to-resource solutions focus on of the city also necessitates the use of energy transformation of the faecal waste into useful by- intensive pumping / lift stations to transport the products, including but not limited to: wastewater to treatment facilities. 1. recycled water (e.g., for agricultural, (re) Conventional, nature-based and innovative forestation, urban parks, or industrial use), solutions exist for treating faecal waste, from both onsite (faecal sludge) and offsite 2. distilled water, (wastewater) systems and transforming it into 3. soil conditioners and fertilizers from each the useful by-products. Conventional solutions urine and faeces, are typically focused on centralised treatment and disposal, with transformation (e.g., water 4. carbonised and non-carbonised solid fuel, recycling, biogas-to-energy, etc.) considered 5. biogas-to-energy, and an add-on to treatment rather than a driver for the design of the rest of the sanitation chain. 6. insect production (used as protein for animal Conventional centralised treatment systems with feed or other insect by-products). a relatively small footprint are energy reliant As with the recycling of domestic solid waste, and intensive, while those with a larger footprint when the focus of the faecal waste system is on require less (or no) energy. Few incentives transformation, the following becomes critical: are found for the integration of conventional segregation at source (i.e., separate collection treatment and transformation systems with other of urine, faeces and water at the toilet), avoiding urban systems; in some cases, regulation even contamination (i.e., no heavy metals), and avoiding disincentivises integration (e.g., use of treated dilution (i.e., no addition of water for flushing). sludge in agriculture is heavily regulated). Evidently, innovative waste-to-resource solutions Nature-based solutions for treatment of faecal favour onsite sanitation systems with urine- waste are increasingly being implemented. They diverting toilets (i.e., separation of urine and often require much less energy than conventional faeces). It also incentivises integration, not only e Faecal sludge refers to waste found in onsite facilities, such as septic tanks and pit latrines. The waste is made from partially digested human excreta and other materials disposed of into containment structures, such as flush water, cover material, anal cleansing materials, and in many cases inappropriately disposed of solid waste (e.g., plastic bottles). f Onsite systems are part of a category of non-networked decentralised systems, as per BMZ guidelines. These include household level (e.g., pit latrines or toilets with septic tanks), and treatment level (e.g., sludge treatment) facilities for a limited number of users, such as a neighbourhood. Networked, decentralised sanitation systems include smaller sewer systems with up to a few thousand people connected. 19
1. INTRODUCTION into the different by-product markets, but also an update of the Millennium Development Goal other waste systems (e.g., biowaste, agricultural (MDG) sanitation ladder to the sanitation service waste, etc.). ladder as defined in Table 1. The global indicator used for Target 6.2 is the ‘proportion of population At a global level, UN member states set Target using safely managed sanitation services including 6.2 of SDG6 as follows: “By 2030, achieve access a handwashing facility with soap and water’51. to adequate and equitable sanitation and hygiene Safely managed sanitation applies to both onsite for all and end open defecation, paying special and offsite sanitation, ensuring that toilets are safe attention to the needs of women and girls and (including appropriate hygiene facilities) as well as those in vulnerable situations”50. To monitor this, the associated services across the sanitation chain. the Joint Monitoring Program (JMP) has proposed Table 1. The JMP sanitation ladder service levels and definitions52 Service Level Definition Safely Managed se of improved facilities that are not shared with other households and U where excreta are safely disposed of in situ or transported and treated offsite Basic Use of improved facilities that are not shared with other households Limited Use of improved facilities shared between two or more households Unimproved Use of pit latrines without a slab or platform, hanging latrines or bucket latrines Open Defecation isposal of human faeces in fields, forests, bushes, open bodies of water, D beaches or other open spaces, or with solid waste 1.4.4 SANITATION SYSTEM 1.4.5 SUSTAINABLE SANITATION The ‘sanitation system’ describes the The Sustainable Sanitation Alliance (SuSanA) combination of the sanitation service chain defines sustainable sanitation as a system designed and its so-called enabling environment within to meet certain criteria and to work well over the which it operates. This includes for instance long-term53. It considers the entire sanitation institutional arrangements and coordination, chain and includes five features or criteria in its monitoring, planning, financing, regulation definition; systems need to be economically and and accountability, environment, learning and socially acceptable, technically and institutionally adaptation, as well as the capacity of actors appropriate, and protect the environment and and their inter-relationships. natural resources54. While the last criterion includes elements of climate resilience, its focus is on the preservation or recycling of resources consumed (e.g., energy, water), rather than resilience to climate change. 20
1. INTRODUCTION 1.4.6 CLIMATE RESILIENT From a technical standpoint, CRUS means that all the links in the sanitation chain continue to operate URBAN SANITATION as intended despite climate-related shocks and This report proposes the use of CRUS as a stresses. The strength, or resilience of this chain description of sanitation systems that can ultimately allows the safe management of human survive, adapt, and function in the face of waste, from collection all the way through to safe climate-related chronic stresses and acute disposal or reuse. shocks. In turn, CRUS also strengthens the Acute shocks can be classed as sudden, intense overall resilience of towns and cities – allowing events that threaten an urban community and them to continue providing essential sanitation their sanitation systems55,56. Examples include services and protect public health in the face rapid onset flooding, hurricanes, landslides, fires, of climate-related crises. disease outbreaks and infrastructure failures. The impact of these acute shocks is exacerbated by chronic stresses that may weaken the fabric of an urban community over time.57 Above: Trials for the design of faecal sludge treatment facilities in Lusaka 21
2 THE IMPACT OF CLIMATE CHANGE ON URBAN SANITATION
2. THE IMPACT OF CLIMATE CHANGE ON URBAN SANITATION Climate change has varied effects in different parts of the world. Some areas will warm substantially more than others. Some will receive more rainfall, while others will be subjected to more frequent droughts. People, ecosystems and infrastructures are being impacted by regional temperature and precipitation variations. Many urban sanitation systems are not adequately equipped to cope with the effects of current climate variability58,59. This chapter details the impact of climate change on sanitation systems. It is divided into four sections, representing direct shocks and stresses caused or exacerbated by climate change: extreme heat; water scarcity and droughts; increased precipitation, flooding, and extreme weather; and rising sea levels. In practice, one region can be prone to several and cascading risks, and thus deal with multiple uncertainties concurrently. Where possible, impacts are considered on infrastructure and service provision, finance, the water cycle, environment, and public health. 2.1 EXTREME HEAT Rising temperatures are one of the most Depending on the process by which onsite prominent consequences of climate change. treatment is expected, increased temperatures There is substantial evidence of climatic warming can have either a positive or negative impact on over the last century, with 2015 to 2019 being the waterless toilets. Waterless sanitation facilities warmest five years on record60. Climate models can either treat biosolids through dehydration also indicate an increase in the occurrence, (e.g., urine diverting toilet) or biodegradation (e.g., length, and severity of heat-related events in composting toilet). Both do not require sewage most countries61. Urban areas are particularly infrastructure and minimise environmental vulnerable due to the Urban Heat Island Effect, and groundwater pollution when being safely whereby cities (roads, buildings, etc.) absorb managed. However, temperature and humidity and re-emit the sun’s heat more than natural play an essential role in their operation. landscapes, resulting in higher temperatures. Increased temperatures and low humidity compromise biodegradability in composting Extreme heat can increase the risk of public health toilets due to the lack of sufficient moisture in the for the over 700 million users of unimproved biosolids to support microbial growth65. Similarly, sanitation facilities globally, over half in urban worms used in vermicomposting may struggle areas62. The poor design and construction of these to survive at extreme temperatures, even the facilities can increase the existing risk of infection most tolerant compost worms can die off as and diseases such as diarrhoea and Hepatitis A63. the temperature of the tank approaches and Increased odours caused by extreme heat can also, surpasses 35°C.66 in turn, disincentivise and limit toilet usage.64 23
2. THE IMPACT OF CLIMATE CHANGE ON URBAN SANITATION Extreme heat can positively impact the biological aeration, waste sludge processing, functioning of septic tanks by increasing the stabilisation ponds, and chlorination71. Processes temperature of wastewater, thus improving such as activated sludge and aerobic film reactors anaerobic digestion and pathogen inactivation. are less impacted by such changes due to a high This also results in reduced sludge accumulation, level of technological input and mechanisation.72 reducing the emptying frequency and cost to Water bodies receiving treated wastewater consumers67. However, a septic tank’s soakawayg, effluent are likely to be negatively impacted by which relies on aerobic digestion, is likely to be increase in temperature. Increasing temperatures negatively impacted by high temperatures due to alter the properties of water bodies, lowering greater oxygen demand by biochemical treatment the levels of dissolved oxygen, increasing the processes in the soil.68 concentration of nutrients and pollutants as well as Sewer networks are likely to be negatively the rate of evapotranspiration, and reducing their impacted by higher temperatures. Wastewater ability to host organisms73. Climatic changes can fermentation increases with higher temperatures, also alter water bodies’ physical, chemical, and thus producing more hydrogen sulphide, biological properties, affecting natural processes and increasing a network’s susceptibility to such as pollutant transportation and biochemical corrosion69. This in turn increases the cost of transformations74. As most wastewater treatment maintaining a sewer network, requiring more effluents are discharged in surface water bodies, frequent maintenance to avoid collapse of piping the associated impacts such as pollutant and and supply disruptions. nutrient discharge may aggravate the anticipated changes in water temperature. Therefore, sewage Increased temperatures have an impact treatment effluents associated with higher on natural and non-mechanised treatment temperatures constitute a significant threat to processes, less so on mechanised ones. Studies aquatic ecosystems in the receiving waters and have shown that natural treatment processes may increase algae bloom proliferation.75 are subjected to decreased performance during colder seasons, with warmer seasons creating For users of sanitation facilities and sanitation more favourable treatment conditions due to service providers, intense heat waves can increased bacterial removal efficiencies70. However, trigger various heat stress conditions such as a temperature above the optimal range of a cardiovascular and respiratory disorders76. biological treatment process will negatively impact In additional to the occupational health risks of it; the maximum threshold depends on the type of sanitation workers, physical functions, capacity, process. The main treatment processes impacted and productivity may become restricted. by temperature changes are sedimentation, 2.2 WATER SCARCITY AND DROUGHT Anthropogenic activities have significantly hydrological systems on which some sanitation increased the number of drought years, a trend systems rely on. which is expected to continue due to climate At the user-interface level, in conditions of change. Climate model projections highlight drought and reduced water availability, securing the Mediterranean region (including southern sufficient volumes of water for the normal Europe, northern Africa, and West Asia) as operation of flush toilets may be challenging. future hydro-climatic change hot spots77. Water scarcity can impact the frequency of Irregularities in dry weather due to extreme flushing, the functionality of the handwashing drought can cause a severe imbalance in water stations, and the overall cleanliness of the toilet, cycles, resulting in low surface water volumes potentially reducing the level of hygiene by exposing and groundwater recharge, thus affecting the g A soakaway (or soak pit) is a covered, porous-walled chamber that allows effluent from a septic tank to slowly soak into the ground. Small particles are filtered as the effluent percolates through the soil, and organics are digested by microorganisms (adapted from (Tilley, et al., 2014)). 24
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