Principles and planning opportunities for community scale systems of water and waste management

ELSEVIER Desalination IO (1996) 339-354

Principles and planning opportunities for community scale systems of water and waste management

Peter Newman *, Mike Mouritz Institute for Science and Technology Policy, Mtrdoch University, Perth, Western Australia 6I.50, Australia

Tel. +61 (9) 360-2913; Fax -tdl (9) 310-5531; E-mail: [email protected]

Received 7 May 1995; Accepted 15 August 1995

Abstract

There are social, economic and environmental reasons for shifting towards a more localized, community-scale system of water and waste management in our cities, This paper outlines some of these and provides an historical context as to how we have reached the need for this change. A case study illustrates how a localized system can be better an all three parameters. It is suggested that the best ~pp~~unity for achieving focalized systems is ttt utilize the planning process with its links to community, regulatory powers for environmental management and metropolitan scale strategic processes.

Kqwc~rds: Water; Waste; Local scale; Community technology

1. Introduction

All institutions in the private and public are undergoing change as they come to with new management challenges. This suggests that the water management industry needs to recognize how this change is pushing them towards a more localized, community-scale system for social, economic and environmental reasons.

control, top down management systems are not as productive or as humanly fulfilling as systems that are based on “flexible specialization” bot- tom-up processes [1,2]. This emphasis on participation, that those closest to the final product are

best able to deliver what the customer is looking for, can be applied to the water industry.

2. SociaX rationale for focalized systems

New management systems are showing that Fordist style (production line), command and

*Corresponding author.

The market for the water cycle is a service at the household or industry level, but few would suggest that each househuld or industry should be the basis of urban water management. Rainwater tanks and septic tanks can of course be quite acceptable in isolated situations, but in a city

they are rarely sufficient due to the need for better use of the land required, the opportunities for a larger scale of operation and the potential environmental and health problems of each

001 l-9164/96/$15.00 Capyright 0 1996 l%evier Science 3.V. All rights reserved.

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340 P. Newman, M. Mouritz / Desalination 106 (1996) 339-354

household having autonomy. Cities do not work becomes one of working out how the community best by denying the opportunities of shared man- scale and the natural systems scale could be agement of resources. integrated into something workable.

The social imperative in management systems is to find the right scale at which to operate. There is a growing awareness in studies on cities that the “local milieux” [3] is what makes it function as a source of innovation. For centuries communities have been seen as a basic unit for management of many local resources. As water is a natural resource, it makes sense to try to find a scale that incorporates both the community scale and the scale at which nature is working.

3. Economic rationale for localized systems

The community-based approach to solving problems is developing a new ccherence in today’s political climate. The collapse of commu- nism has shown that heavy-handed authoritarian states cannot be expected to deliver basic human needs, rights and a quality of life. At the same time there is awareness that capitalism based on a market left to itself cannot deliver all this either, especially in the social and environmental area. Thus there is a quest to find an appropriate form of social democratic system that can fulfill economic, social and environmental goals. There is growing support for communitarian approaches that suggest ethical frameworks are most meaningful when deveIoped at the community scale, rather than from individual preference alone or from national systems [4-71. These approaches suggest that both the individual and the State find meaningful roles only when an adequate role is given to the community.

Big systems develop economies of scale but often then lose the ability to provide the small- scale service that is required and often miss local efficiencies. This trade-off is being worked through government enterprises by bringing in more private sector involvement. If done merely to save government funds without seeing any overall benefits, this privatization process needs to be heavily scrutinized. But if it is done in a way that allows more innovation, local relevance and greater efficiency, then it should be encouraged.

The growth of renewable energy in California would not have happened if they had not eased the regularity framework to incorporate more small-scale, localized, private wind energy systems. The same can be said for energy efficiency in the US where huge gains were made by utili- ties recognizing how the end-product service was more important than the mere selling of energy

[W.

The demand for community-based solutions and participation is also now very evident [8,9].

With water systems there is an extra reason for adopting a localized, community-scale approach: the water cycle is a localized system. For urban storm water this falls into the category of urban catchments where water naturally flows. If water supply, storm water management and wastewater management are to be integrated and all seen as a resource, then obviously the scale of management should be more related to these natural boundaries. The social challenge thus

Thus there may be the same economic gains if a more localized water management system were introduced. Economic gains also depend greatly on technology. As outlined in the next section, large-scale “big-pipes in big-pipes out” approaches in the water industry were based on late 19th century technology (and management approaches). As is now rapidly being shown, there is a large array of new wastewater management technologies, storm water management techniques and water recycling technologies which mean that a more localized scale of water management can occur. Indeed the technologies as shown later work better at small scale. Whether it is in total more efficient than present city-scale systems is yet to be proven, but Table 1 and some data pre- sented later as part of our sustainable urban water systems research project suggests there are savings to be made.

P. Newman, M. Mmritz / Desalination 106 (1996) 339-354 341

Table 1

Total utility costs of an Australian urban water utility

system in 1990 (source: Thomas and McLeod, 1992)

Operational area % of costs in 1990

Water capital costs: Headworks/treatrnent plants Trunk mains Service reservoirs Distribution mains Reticulation mains Property connections and meters

Total water supply capital

Water operational and admin. costs Sewerage capital costs

6 8 4

7 7 2

34

17

Reticulation from consumers 13

Sewer mains 11

Water treatment plants 5 Outfall sewers and disposal 3

Total sewerage capital costs 32

Sewerage oper. admin. costs 16

Total utility costs 100

The major potential for cost savings is in new areas where urban development has yet to provide the “big-pipes” or where large infrastructure needs to be replaced. Table 1 shows that up to 85% of the capital investment in the water system has been in low value-adding pipes and pumps, and less than 15-20% in water treatment. The major question then becomes whether this is sustainable. Is it adequately addressing the priori- ty for environmental management in the water system?

4. Environmental rationale for localized

systems

The most powerful set of reasons that has pushed a rethink of the scale at which urban water should be managed is that associated with the environment. To gain perspective on this it helps to understand an historical perspective on how cities have managed the water cycle for their benefit. To do this requires a perspective on how

l Organic Structure

Fig. 1. Traditional walking city, up to 1850 in Europe.

transport infrastructure and water infrastructure are linked to urban form [ 111.

4. I. The walking, transit and auto city urban

fO?WlS

Much of today’s urban water management and technology was developed in the 19th century. In the walking-based pre- 19th century cities (Fig. l), water was managed with a localized supply and treatment; such small cities were able to manage quite adequately without the need for more extensive supply, collection or treatment. However, when the industrial revolution came and cities grew rapidly, it was no longer feasible to manage cities in this way. The much greater quantities of water needed and the associated increase in sewage as well as the increased storm water from the larger urban area generated the need for new technology, new management processes and new urban form.

The transit-city (Fig. 2) not only provided a new way to solve the problem of where people lived and worked and moved around, but it also provided a way to manage water as set out in Table 2. The result was the “big-pipes” engineer- ing approach - both for bringing water in and for removing waste water. This technology was associated with a particular highly centralized management approach and worked best in the linear or corridor-based transit cities.


* Medium Density - Mixed Use * Grid Based

* Centralised

Fig. 2. Transit city, 1850-1940; industrial world.

dominant city form in

Table 2 19th century solutions to urban water management (i.e., “big pipes in - big pipes out”)

Water supply

l Large-scale water supply system from a few large water sources

Storm water Sewage

l Collect it all l Collect it all and discharge to and discharge receiving waters afler some treat-

ment to receiving 9 Engineer water waters, i.e., courses and drains based on dilution

However, with the 20th century and the auto-

mobile, cities have increased considerably in population size and have sprawled extensively in area and in every direction with low-density development (Fig. 3). Along with problems of automobile dependence, there are now problems with water management in such cities. This is because the large sprawling city is approaching new limits in the capacity of surrounding water supplies and receiving waters, there is new awareness of the ecological value of natural water systems and there are new constraints on the economics of providing the infrastructure for the 19th century “big pipes”-oriented solutions [123 (see Table 3).

4.2. Towards a sustainable future city

The future city, hopefully a more sustainable city, needs to provide an integrated solution to

Table 3 Environmental problems with 19th century urban water management

l Receiving waters cannot sustain organic loads and especially nutrient loads from outfalls

l Urban creeks and wetlands are now valued inher- ently, i.e., for their ecological and recreational qualities rather than their ability to channel or dilute wastes

l Storm water from sprawling bitumen-based cities is excessive in quantity and quality

l Water supply augmentation solutions are becoming economically and environmentally questionabIe

Table 4 Transport-oriented goals for a sustainable city

Progressive reduction in the need for travel through land use changes Dense corridors and subcentres to enable high- speed electric transit to be viable Pedestrian-oriented high-density mixed land use in subcentres Traffic calming to enable streets to regain their role in community buiIding rather than as conduits for traffic Demand-responsive local transit to supplement line-haul rapid transit Bicycle facilities as a standard part of all transport

the need for a more socially sensitive, economically efficient and environmentally sustainabIe urban water management system. It will require new technology, new urban management processes and new urban form.

The processes for rebuilding the urban form of the auto city are well underway and are based on the reduction of automobile dependence as set out in Table 4. The goals as far as water management are concerned are set out in Table 5 in order to achieve a more sustainable city. The natural systems around and within a city need to have more of their ecological integrity main- tained, but it is also necessary to try to build more soft surfaces, i.e., less bitumen which in a

P. Newnan, M. Mouritz / Desalination 106 (1996) 339-354 343

l Low Density l Separated uses

l Arterial Grid and cul de sac Based l DecentraIiged

Fig. 3. AutomobiIe city, 1940-present, US and most Australian cities.

Table 5

Water-oriented goals for a sustainable city

l Ocean and river outfalls made redundant

l Recycling of water for various urban and peri-

urban uses

l Recycling of nutrients and organics

l Creeks and wetlands an integral part of city but

managed for their ecological integrity l Increased soft surfaces (and reduced urban sprawl)

for storm water retention

0 Reduced requirement for large pipes

city like Los Angeles can be more than 60% of the land area due to the excessive parking and road area requirements of a high car dependent city. Berry et al. [ 131 found that the more car dependent low density cities in the US had the largest storm water pollution problems.

The kind of urban technologies and water management processes that are being developed with potential to solve these problems within the new ecological and economic constraints are set out in Table 6. All of these technologies and

Table 6

Water and sustainable cities

New urban New urban management

technologies process

l SmalI-scale high- = Water sensitive

quality sewage treatment design processes

l Localized storm water l Total water cycle

treatment and recycling planning

l Water harvesting for l Urban integrated localized supply purposes catchment management

l Water efficient l Localized community

appliances, fittings processes in water and technologies management

management approaches are actively being exam-

ined by urban water authorities in Australia fac- ing increasing pressure to be more economically efficient and environmentally effective [14-l 61. It is also a growing international movement [ 171.

4.3. Why local scale?

The importance of these new urban technologies, and the new urban management processes,

344 P. Newman, M. Mouritz /Desalination 106 (1996) 339-354

is that they are all better used in the “flexible specialization” mode of localized management. The reasons for this include:

a. The nature of the technology - Small- scale systems like those developed by Memtec, Biocycle and Ecomax [ 1 S] actually work better at the small-scale level. They are not very economi- cal for individual households nor for traditional large sewerage works, but are best for the 50- 500 household scale. This is probably associated with the thermodynamics of removing nutrients at the tertiary level of treatment.

b. The nature of nature - Integrated storm water management, water sensitive design and the recycling of water all require detailed knowledge of local natural processes. This intimate

knowledge of local soils, slopes, creeks, wetlands - as well as knowledge of the urban aspects of nature (i.e. open space, community gardens, street trees) - all are ideally suited to the role of a local environmental scientist working in a local authority or local community-based organization with responsibility for local urban water management. The reality is that nature is diverse and each urban catchment would have different requirements within the broad goals of a city’s overall management strategy.

c. The nature of integrated water management - It is not possible to manage the full water system incorporating water supply, storm water, treatment and recycling unless it is integrated at the point where water is needed [ 191. This

light rail). Urban Villages (walking distance to transit stops) Mixed Use. Low Density areas within short bus or cycle distance of transit/ Urban Village. ,,

Fig. 4. Future city.

P. Newman, M. Mouritz / Desalination X06 (1996) 339-354 345

requires a more localized management system as well as changes at the consumer end.

4.4. Future city form

The kind of city form which would enable such solutions to be worked out is set out in Fig. 4 as future city, showing the establishment of more localized urban management areas based around transit-oriented urban villages. The inher- ent reductions in transport energy use in such a city are already being realized in cities that are adopting such a strategy (e.g., Toronto, Stock- holm, Portland, Zurich [see 201).

utilizes open space in the northwest and south- east corners of the site for drainage purposes, Otherwise in each case the designs comprise two loop roads extending from the existing street system. The major orientation of the roads is east west along the maximum slope of the site. These roads serve a mix of single and grouped housing sites.

Public open space (POS) is concentrated in the central (higher portion) of the site, with grouped housing fronting onto the POS on three sides.

These localized areas can also become the basis for water management using small-scale waste water treatment systems, recycling locally and using various water harvesting possibilities. The city has reduced automobile dependence produced from enhanced transit and greater localized (walking-based) destinations; the city also has the possibility of stopping or significantly slowing urban sprawl. In addition, such a city has the chance to increase the proportion of soft surface in order to improve local storm water management. Such a city would have strongly linked systems with centralized coordination but considerably greater local orientation and community involvement.

5.2. The built environment - towards sustainable

The conventional and proposed designs incorporate a fairly traditional approach to development with the proposed incorporating some marginal use of water-sensitive features. How- ever, the towards sustainable design required a complete redesign of the site so as to integrate the localized water reuse and storm water harvesting techniques.

5. Case study of a localized, community-scale urban water management system

The sustainable urban water systems project at Murdoch was given the task of reviewing a sub- division in Perth (called Palmyra) that had the opportunity to introduce some innovative water management. In this case study an evaluation has been undertaken of three design options: Option 1, Conventional; Option 2, Proposed; and Option 3, Towards sustainable (Figs. 5 and 6).

The main feature introduced into the towards sustainable design is the emphasis on integrating water sensitivity into the design as a higher prior- ity than normally undertaken in the urban design process. This has been achieved by using the Water Sensitive Urban Design (WSUD) Guide- lines and selecting Best Planning Practices and Best Management Practices to meet the water sensitivity objectives for the site [21]. To achieve these objectives a rather different design was developed.

5.1. The built environment - conventional and proposed

In this design roads are re-oriented to cross the site (north-south) rather than run longitudinal- ly to reduce road and drainage gradients. The roads have been staggered from existing street patterns to allow the development to match the existing tiering of the site and to avoid four-way intersections. However, to maintain legibility and access, 10 m wide landscaped pathways are provided as visual and pedestrian extensions to the existing street pattern.

Designs 1 and 2 vary only in respect to drain- Though the total quantity of POS is main-

age requirements. The “conventional” design tained at approximately 30%, it is dispersed


o-_cca= ..-, ., p :,... ;(, &h

~p@$g . . . . ,_<r. >. I

Fig. 5. Palmyra design options (sustainable urban water systems project).

Legend I existing road I road reserve I single residential m grouped housing l public open space m drainage reserve - roadway - - lane way . . ..-... s...--.. public

>r,c.cc >.1>1, Option 3: Towards Sustainable Development

Fig. 6. Palmyra waste water treatment/reuse system (sustainable urban water systems project).

P. Newman, M. Mouritz ! Desalination 106 (1996) 339-354 347

onto each tier of the site. This allows for local retention of storm water and local effluent re- treatment systems to be incorporated into the site. Thus within the site a series of sub-catchments has been formed to facilitate storm water and waste water management.

The lot yield from the towards sustainable option has been made comparable with that of options 1 and 2 consistent with the design constraints adopted for all designs, but could have been increased to be more consistent with the goal of economic efficiency, i.e., more people could have been able to enjoy the same or indeed improved landscape/POS features.

the interior of the dwelling, outside water conservation is encouraged through deployment of xeriscape practices and a community-based irrigation system which uses the most efficient irrigation technology and is managed to optimize water efficiency both in household gardens and in the public open space.

5.3. The water system

The main water features of the design are outlined in Table 7. While the conventional and proposed are essentially traditional, the towards sustainable design has a number of special features which involve the application of the Water Sensitive Design Urban Guidelines [21]. Specifi- cally, the water system within the towards sustainable design includes the application of: 9 Water efficiency - measures include the use of best available water-efficient technologies in

l LocaIized sewage treatment and recycling - the design uses a community-scale anaerobic decomposition system and tertiary polishing by dividing the site into a number of subcatchments and locating the treatment system below the POS. Effluent reuse is then achieved through the use of treated effluent for the watering of these spaces.

l Integrated storm water management - the design has incorporated a storm water management approach involving innovative best management practices which allow for the storm water run-off generated from impervious surfaces to be either infiltrated into the soil profile or harvested for use by vegetation.

l Dual water supply - scheme water is sup- plied in a standard fashion, but in addition a community supply system utilizing local groundwater for residential outdoor and POS use is incorporated into the design.

Table 7 Comparison and summary of water elements of the three designs

Conventional Proposed Towards sustainable

Water supply: Scheme water Water supply: Scheme Water supply: Scheme water supplemented in standard fashion and water in standard fashion and by community groundwater scheme as a groundwater bores for POS groundwater bores for POS secondary supply for all outdoor use in

households and for POS

Water conservation: No interior/outside water conservation devices

POS: Design dominated by high water use plants

Sewerage: Standard reticulation system

Water conservation: No interior/outside water conservation devices

POS: Design partially water sensitive

Sewerage: Standard reticulation system

Storm water: Large sumps and piped system

Storm water: Limited application of WSUD-BMPs

Water conservation: Complete application of low water use appliances and technologies

POS: Design using all water-sensitive design techniques

Sewerage: Not connected to mains; community scale Ecomax system with wastewater recovery for use in the POS

Storm water: Application of a full range of WSUD-BMPs

34x P. Newman, M. Mouritz / Desalination 106 (1996) 339-3.54

Collectively the water system and urban de- term operating cost of the local treatment and sign solution represent an integrated package of reuse system against the operating costs of a design features which make this design option centralized system. The data illustrate that it is substantially different from the normal urban not until you get towards a discount rate of 20% development projects undertaken in Australia. that the localized system becomes uncompetitive.

6. Results

In terms of meeting water-sensitive design objectives, the towards sustainable design fairs substantially better than could be imagined, as this was the design focus. This is summarized in Table 8.

These costs do not of course consider the wider social and environmental cost that would need to be considered if a full environmental cost benefit or preferably a least cost analysis was undertaken. Even if such techniques are developed, there is always a number of social and environmental factors that cannot be quantified.

The evaluation of these options is done in terms of: household water use - inside (Fig. 7’) POS water (Fig. S), household water use - outside (Fig. 9), total water use (Fig. lo), capital costs of development (Fig. 1 l), charges to the consumer (Fig. 12) and costs to the manager (Fig. 13).

6.3. htitutional and social issues

6.1. Water efJiciency

The potential water consumption for the towards sustainable design is estimated to be 28% less than for the conventional or proposed designs. This illustrates the significant potential saving from the integrated design solution provided by the towards sustainable design innovations.

Although the hypothetical nature of the project limited the degree of social analysis undertaken, it was possible to review the planning process that occurred at this site. This analysis highlighted that because of the complex and often conservative nature of the urban development process, broad stakeholder support would be required before attempting to fully implement this type of concept, even as a demonstration project. To gain this support, attention needs to be given to designing and adequately resourcing a planning and consultation process aimed at introducing the types of innovations envisaged by this study.

6.2. Capital and operating costs

The capital costs illustrate that the towards sustainable design is cost competitive but potentially more environmentally benign than the other development options considered. The capital cost estimate for the towards sustainable design is within 10% of the proposed development costs. However, water related operating costs of this design are approximately 11% lower, while cost reductions of up to 25% are likely to flow on to residents of this form of development. In relation to operating cost, a range of discount rates from 6-30% have been applied to evaluate the long-

Implementation of the more innovative elements of the design, such as a small-scale wastewater treatment and recycling system, plus the community-scale second class water system, will require social acceptance and institutional changes that are quite challenging. The question of social acceptance is one that requires further examination; however, there is growing evidence that the community is willing to become involved in these types of reforms. The institutional impli- cations are probably more difficult to resolve as they involve the need for new agreements to be formulated between the various agencies respon- sible for regulating and administering policy in these areas, including planning departments, water authorities, health departments and local

P. Newman, M. Mouritz / Drsalination 106 (1996) 339-354 349

Table 8 Achievement of WSUD objectives

WSUD objectives

Water balance:

Design 1 Design 2 Design 3

l Maintain appropriate aquifer levels, recharge and stream flow characteristics in accordance with assigned beneficial uses l Prevent flood damage in developed areas * Prevent excessive erosion of water ways, slopes and banks

Water conservation: l Minimize the import and use of scheme water l Promote the reuse of storm water l Promote the reuse and recycling of effluent l Reduce irrigation requirements l Promote regulated self-supply

Water quality: 9 Minimize water-borne sediment loadings l Protect existing riparian or fringing vegetation l Minimize the export of pollutants to surface or groundwater l Minimize the export and impact of pollution from sewerage

Environmental/social: l Maintain water-related environmental values l Maintain water-related recreational and cultural values l Any necessary, site-specific water-sensitive objective identified by the appropriate resource management authority

* ** ***

*** *** *** * * *

* * *** * * *** * * *** * ** *** * * ***

* 9 * * * * * * *** * * ***

* * * * * * * * *

Achievement: low=*; medium=**; high=***

government, to name just a few of the key stake- holders.

A key institutional issue is that this form of design response calls for the establishment of more localized management structure, which could potentially involve private water service companies. This should be seen as consistent with the growing move to private sector involvement in water and wastewater service delivery, but with one substantial difference - a smaller, more localized approach. While the emerging practice of private investment in the water industry has to date been focused on large-scale investment, the type of design solution arrived at in this study would potentially facilitate smaller and medium-size water service companies to form. This is similar to what has been happening in the renewable energy technology and energy effi-

ciency fields: small-scale private firms are providing the innovative edge to introduce the sustainable technoIogies.

Some final thoughts about institutional aspects are thus put forward.

7. Institutional opportunities for localized

systems

The institutional opportunities for moving

towards a more localized system tend to involve

a greater use of the planning system [22,23]. In most cities town planning legislation provides the framework for the following:

a. A metropolitan scale process that can en- sure infrastructure is adequate for achieving broad sustainability goals as well as achieving equity and economic goals. These goals will need

Fig. ‘7. Household water use, inside.

Fig. 8. Public open space water (bore).

P. Newman, 44. Mourifz /Desalination IO6 (1996) 339-354 351

Fig. 9. Household water use, outside.

kllannum

Fig. 10


Fig. 11. Capital costs of development.

Fig. 12. Charges to the consumer.

P. Newman, M, Mouritz / Desalination 106 (1996) 339-354 353

Fig. 13. Costs to manager.

to be linked to urban form goals at the metropolitan scale which will mostly involve transport infrastructure priorities as outlined. Environmen- tal goals on water systems can be applied through environmental legislation and simultaneously within the planning system.

b. A local scale process that can Iink a local management system to local government and the local community. Planning legislation ensures that participatory processes are used for any land use questions involving water management. This will be required for localized storm water management involving such technologies as artificial wetland filtration and water harvesting. The inte- gration of recycled water from waste treatment also requires land use decisions. Industrial uses or community garden uses can be managed locally under a planning scheme.

c. A regulation system for ensuring high standard waste management and water quality. This can also be done through the planning system at local government level as is building regulation, land use regulation and some health and transport regulation.

The institutional processes are not hard to adjust to localized systems, as long as the centralized system which presently exists in most national and state systems really wants to make the change.

8. Conclusions

There are good technical reasons for changing to a localized urban water management system based on social, economic and environmental rationales:

l Social - new management systems based on localized, flexible specializations and the new communitarian approaches to social democracy;

. Economic - new mixtures of public and private involvement that encourages innovation and new technology that operates best at the localized level;

l Environmental - new constraints on water supply augmentation, run-off and discharge problems to receiving waters and the overall need to minimize excessive or unnecessary use.

354 P. Newman, M. Mouritz 1 Desalination IO6 (1996) 339-354

Solutions to all these seem to work best if fitted into a localized system where the natural attributes and functioning of urban catchments can be best understood and managed. The planning system in most cities lends itself to incorporating more responsibility for the water cycle if such a system was desired.

Making such changes will not be easy for those who have been part of an institutional system where all expertise and power for the urban water system were rigorously controlled in a top- down management system. The changes will probably only occur when communities begin to grasp a vision for change and demand it through the political system.

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Documents

Principles and planning opportunities for community scale systems of water and waste management