Brenda
Vidal
*a,
Annelie
Hedström
a,
Sylvie
Barraud
b,
Erik
Kärrman
c and
Inga
Herrmann
a
aDepartment of Civil, Environmental and Natural Resources Engineering, Luleå University of Technology, SE 971 87 Luleå, Sweden. E-mail: brenda.vidal@ltu.se
bDepartment of Civil Engineering and Urban Planning, National Institute of Applied Sciences of Lyon, 34 Avenue des Arts Bâtiment J.-C.-A. Coulomb, 69621 Villeurbanne CEDEX, France
cDivision of the Built Environment, Research Institutes of Sweden, 111 21 Stockholm, Sweden
First published on 30th July 2019
Small on-site sanitation systems are widely present in suburban and rural areas in many countries. As these systems often underperform and have an impact on receiving waters, understanding their overall sustainability is of interest for policy and decision-makers. However, the definition and estimation of indicators defining sustainability are challenging, as it is finding the methodological approach to combine qualitative and quantitative indicators into one comprehensive assessment. In this study, twelve indicators defined by environmental, economic, social, technical and health-related criteria were used to compare nine alternatives of on-site sanitation for single households. A non-compensatory method for multi-criteria decision analysis, ELECTRE III, was used for the assessment together with weights assigned to each indicator by a reference group. Several scenarios were developed to reflect different goals and a sensitivity analysis was conducted. Overall, the graywater–blackwater separation system resulted as the most sustainable option and, in terms of polishing steps for phosphorus removal, chemical treatment was preferred over the phosphorus filter, both options being implemented together with sand filters. Assessing the robustness of the systems was a crucial step in the analysis given the high importance assigned to the aforementioned indicator by the stakeholders, thus the assessment method must be justified. The proposed multi-criteria approach contributes to aid the assessment of complex information needed in the selection of sustainable sanitation systems and in the provision of informed preferences.
Water impactIntegrating the main sustainability dimensions and accounting for tradeoffs between criteria increase the complexity and challenge decision processes when choosing sanitation systems. This study provides researchers and decision-makers with a comprehensive approach to reflect upon sustainability criteria, allocation of weights and scenarios of action that may be encountered when seeking sustainable solutions in the water sector. |
When assessing the sustainability of wastewater treatment systems to facilitate the selection of suitable solutions, criteria based on the three dimensions of sustainability (environmental, social and economic criteria), with the addition of two more in some cases (technical and health criteria), are often used.4 This is done to assure integrity and multidimensionality. However, the definition and estimation of indicators defining sustainability are challenging,5 as it is finding the methodological approach to combine qualitative and quantitative indicators into one comprehensive assessment. Multi-criteria (MCA) methods are tools used to support decision-making processes, particularly in order to deal consistently with large amounts of complex information.6 All MCA approaches require an exercise of judgment and nearly all decisions imply a weighting system of some sort.6 However, the different MCA methods differ in the way the data is combined and the extent to which they can aid practical decision making.
Previous research following decision-making methodology has addressed the challenges of wastewater treatment alternative selection e.g. Kalbar et al. (2012)7 but often present results from specific case studies e.g. Lennartsson et al. (2009)8 or include a limited number of alternatives e.g. Bradley et al. (2002)9 only evaluates two types of OSS. Indicators of different attributes such as those derived from life cycle assessments, cost analysis, mass balances or qualitative parameters have not been combined in a sustainability framework that is not focused in specific case studies and which includes stakeholders' views and scenario analysis. Several studies have discussed and proposed indicators based on sustainability principles to evaluate wastewater treatment systems based on literature data.4,10,11 Furthermore, life cycle approaches,12–15 environmental systems analyses16,17 and sustainability assessments18,19 have been applied. Due to the large number of small-scale and on-site sanitation technologies that currently exist,20 and despite the criteria and indicators already suggested in the scientific literature,8,10,11 there is a lack of application of such information in a knowledge-based decision support context for OSSs that also incorporate the stakeholders' views to handle the trade-offs between indicators. The present study aims at assessing twelve sustainability indicators to compare nine OSSs at household scale using the multi-criteria decision analysis method ELECTRE III,21 and assessing different scenarios. The methodological approach presented here contributes to the understanding of indicators selection and trade-offs in their performance, and intends to provide general considerations when evaluating how sustainable a system is. The results of this study are therefore of interest to analysts, but also to legislators, regulating authorities, producers and operators of on-site sanitation systems who will ultimately be involved in decision-making processes.
Criteria category | Indicator | Unit | Qualitative/quantitative | Aim | Evaluation method |
---|---|---|---|---|---|
Environmental | Nutrient removal (tot-N and P) | % | Quantitative | High removal | Mass balance calculations |
Potential for nutrient recycling (N, P) | % | Quantitative | High potential | Mass balance calculations | |
Global warming potential (GWP) | Kg CO2-eq. per year | Quantitative | Low potential | Life cycle analysis | |
Cumulative energy demand (CED) | MJ per year | Quantitative | Low demand | Life cycle analysis | |
Energy recovery | H-M-L | Qualitative | High recovery | Qualitative evaluation | |
Economic | Capital cost | € per year | Quantitative | Low cost | Cost analysis |
Operation & maintenance cost | € per year | Quantitative | Low cost | Cost analysis | |
Socio-cultural | Social acceptance | VH-H-M-L-VL | Qualitative | High acceptance | Qualitative evaluation |
Technical | Robustness | H-M-L | Qualitative | High robustness | Qualitative evaluation |
Health | Risk of pathogen discharge | VH-H-M-L-VL | Qualitative | Low risk | Qualitative evaluation |
A brief description of the indicators is given below, including how they were evaluated, the main sources of the input data and assumptions. Further detailed information is found in the ESI.†
Type of system | No. | Description |
---|---|---|
Soil-based | A1 | Wastewater collected in a three-chamber septic tank and pumped to a sub-surface sand filter with distribution pipes. Effluent collected at the bottom of the filter with drainage pipes |
A2 | As A1, but the wastewater continues infiltrating and percolating through the underlying soil instead of being collected under the sand filter | |
A3 | As A1, but with additional polishing step for phosphorus (P) removal (alkaline P-filter) using the filter media Polonite® | |
A4 | Chemical precipitation unit installed inside the house (under the sink) and dosed when water flows. Flocculation and sedimentation occurs in the septic tank (larger volume than alternatives A1–A3). Subsequent sand filter as A1 | |
A5 | As A4, but the wastewater continues infiltrating and percolating through the underlying soil as A2 | |
Source separation | S1 | Ultra-low-vacuum toilet for blackwater (BW) collection, BW stored in a holding tank and transported to a central outside treatment facility (using urea (1%) for hygienization) once a year. Separate collection of graywater (GW) in a septic tank and subsequent sand filter |
S2 | Urine-diverting toilet and collection of GW and feces in a septic tank with subsequent sand filter. Urine collected in a container and transported to a centralized facility for hygienization (6 months' storage) | |
Package plants | P1 | A single unit buried underground with three sedimentation tanks and two bioreactors with aeration. Effluent filters through alkaline P-filter with Polonite® material |
P2 | A single unit buried underground operating in a 2-phase semi-continuous regime with activated sludge process, with equalization tank, aeration tank and chemical dosing |
The alternatives with sand filters (A1, A3, A4, S1 and S2) included a distribution chamber placed between the septic tank and the sand filter and an inspection chamber situated after the sand filters as recommended in existing guidelines.37 Alternatives with drain field (A2 and A5) had no inspection chamber because the wastewater continues infiltrating through the soil (no outlet).
Ultra-low-flush vacuum toilets with 0.6 L per flush (EcoVac®38) and low-flush urine-diverting toilets with 0.3 for small flush and 2.5 L for big flush (EcoFlush®39) were included in the source separation options S1 and S2, respectively.
Septic tank volume (m3) | Phosphorus removal mainly by | Electricity usea (kW h y−1) | Biogas production | Sand/gravel used for construction (m3) | |
---|---|---|---|---|---|
a Electricity use refers to the consumption during operation of the facilities. | |||||
A1 | 2.2 | Sand | 7.5 (pump) | Yes | 39 |
A2 | 2.2 | Sand | 7.5 (pump) | Yes | 16 |
A3 | 2.2 | P-filter | 7.5 (pump) | Yes | 39 |
A4 | 4 | Coagulant sedimentation | 7.5 (pump) | Yes | 39 |
+1 (dosing equipment) | |||||
A5 | 4 | Coagulant sedimentation | 7.5 (pump) | Yes | 16 |
+1 (dosing equipment) | |||||
S1 | 1.2 (GW) and 6 (BW) | BW separation | 7.5 (pump) | Minor (only sludge from GW) | 39 |
S2 | 2.2 (GW + feces) and 3 (urine) | Urine diversion | 7.5 (pump) | Minor (only sludge from GW) | 39 |
P1 | ≈2.5 | P-filter | 450 (whole plant) | Yes | 0 |
P2 | 2.5 | Coagulant sedimentation | 550 (whole plant) | Yes | Negligible |
The system boundaries for the LCA-based indicators GWP and CED (Fig. 1) included the treatment of BW with 1% urea, e.g. about one year of storage depending on the temperature,40,41 storage of urine for six months40 and storage of anaerobically digested and dewatered sludge for six months (as in e.g. Kjerstadius et al. 201642); that is, when the wastewater fractions can be safely reused.40
The sludge in the septic tanks is collected once a year based on current Swedish practice43 and transported to the nearest WWTP located 50 km away (distance assumed).
The different components produced in Scandinavia (septic tanks, distribution and inspection chambers, package plants) were assumed to be transported for an average distance of 500 km, and Polonite® filter material was assumed to be transported by cargo ship for 300 km and truck for 800 km from the production site in Poland. Transport of the construction materials, e.g. sand or gravel, to the sites was included (50 km assumed), but not the transport of the smaller-sized components such as pumps, dosing equipment or dosing chemicals. The emissions from transport when making service visits, e.g. once a year for package plants, were disregarded.
In this study, the nine alternatives were assessed using twelve indicators in an evaluation matrix where the best outcome was represented by the maximum evaluation on each indicator. First, a pairwise comparison was carried out. Each alternative a was compared to another b according to two major concepts namely the concordance and the discordance. An outranking relation S between a and b was stated (a S b) (i) “if there were enough arguments to decide that a was at least as good as b “[majority principle measured by a concordance index C(a,b)], “while there was no essential reason to refute the relation” [measured by discordance indices Di (a,b)].49
To calculate the concordance index C(a,b), the alternatives were evaluated against each indicator by pairwise multiplying the partial concordance values ci (a,b) obtained when comparing alternative a to b by the corresponding weights. The larger C(a,b) is, the stronger the evidence that a is preferred over b.49 Preference (pi) and indifference (qi) thresholds were defined for each indicator and used to calculate the concordance values ci (a,b). The indifference threshold (qi) allows one alternative strategy to be considered “insignificantly worse” than another alternative with respect to a given indicator even though its evaluation may be (slightly) lesser in value. The preference threshold (pi) determines if the value of one alternative on the indicator i is “strongly preferred” over another alternative on the indicator i. Both thresholds can be expressed as a constant number or as a percentage.
To calculate the discordance index Di (a,b), the definition of veto thresholds (vi) can be used, which expresses the possibility of the alternative a to be discredited if it is exceeded by the performance of b by an amount greater than the veto threshold, regardless of the other indicators. No veto threshold (vi) was used in this study and therefore the discordance index Di (a,b) = 0 for all pairs of alternatives.
Then, an index called the degree of credibility of the statement a S b (δ(a,b)) is calculated by aggregating the concordance index and discordance indices. The degree of credibility δ(a,b) indicates the extent to which a outranks b. Because in this study the discordance index was zero, the credibility of the outranking relation was equal to the concordance index C(a,b). Two preliminary rankings were then established based on the values of δ(a,b), namely descending and ascending preorders or distillations. In the descending distillation, the process ranks alternatives from the best to “less good” alternatives, whereas in the ascending distillation the alternatives are ranked from the “least bad” to the worst. A final ranking is the result of the intersection of the two distillations.
The ELECTRE III-IV software version 3.x was used for the computations.50 Further detailed descriptions of the methodology can be found in the scientific literature.49,51,52
(1) |
W i = weight of indicator i,
= points allocated by a stakeholder for each indicator, between 0 and 100,
W* = total points given by a stakeholder to all the indicators,
n = number of stakeholders.
Scenario 2, in opposition to scenario 1, represented areas with sensitive eutrophicated receiving waters as described in Swedish legislation,53 and high importance was given to the indicator nutrient removal. Scenario 2 areas were characterized by larger population density and considerable presence of farmland where the nutrients from the OSS could be potentially recycled. For scenario 2, the indicators nutrient removal and potential for nutrient recycling were given the highest importance and alternatives A1 and A2 were removed from the analysis, as they generally do not comply with the existing guidelines on nutrients removal.54,55
Scenario 3 represented a change in political strategy, with higher demands on energy recovery and with special focus on climate change mitigation (e.g. lowering the emissions and the energy use). For scenario 3, the indicators energy recovery, CED and GWP were given the highest weights, while the other indicators remained in the same order of importance.
The weights of the three scenarios were modified based on Simos' card method to establish weights.52,56 Simos' card method consists of placing the indicators (which are written on cards for better visualization) in order of importance with the possibility to add blank cards in between the indicators to represent larger differences. The schematic representation of the cards' order can be found in the ESI.†
In this study, the lifetime of Polonite® filters was assumed to be three years based on distributors' recommendations (2–4 years,57). However, previous full-scale studies e.g. Vidal et al. (2018) have shown that the alkaline material can become saturated or clogged after less than three years of use.24 Because precise estimations of the lifetime of such alkaline filters are complex due to the changes in P load, flow dynamics and weathering reactions affecting the removal mechanisms,58 the lifetime of the Polonite® filters was decreased from three to two years in the sensitivity analysis.
The removal of nutrients was assumed to be of the same importance for both N and P, and a single weight was assigned by the reference group for the indicator nutrients removal without nutrient specification. However, there are no requirements for N removal for wastewater systems for less than 10000 PE in Europe,59 and the input of P to the Baltic Sea should be reduced to a larger extent (41%) than the N (13%) to combat eutrophication.60 In the sensitivity analysis, more importance was given to the removal of P (100% of the weight) than to the removal of N (0%).
The cost for the treatment of blackwater (with urea) and the urine (storage) was not included in the analysis, as it is generally not covered by the homeowners. However, if the costs were to be included as suggested in previous reports,28,36 the yearly O&M cost would increase. The investment cost for the treatment systems has been reported to be generally low,61 and mainly covers the eventual installation of grids, pumps, storage tanks, coverage for already existing manure tanks and the routine sampling. An increase in the yearly O&M cost was assessed in the sensitivity analysis, based on the price of urea of €300 per metric ton62 and the cost reported for urea sanitization of BW,63 between €35–110 per household and year (approximated, considering inflation), which covered for infrastructure investment, spreading of the sanitized BW and sampling. In this study, the O&M cost was intended to reflect a possible management fee that municipalities could introduce to the homeowners and was set to €20 for urine and €50 for BW, considering that the spreading on farmland was not included in the study boundaries.
The BW was assumed to be reused at a 100% rate for the estimation of the indicator potential for nutrients recycling. However, this assumption may not be realistic, e.g. not all municipalities have the infrastructure for treatment and reuse. In the sensitivity analysis, the BW was assumed to be taken to a centralized WWTP and reused to the same extent as the sludge fraction (i.e. 34% instead of 100%). The contributing emissions to the GWP were modified considering that the BW was not treated with urea (which adds extra nitrogen) but mixed in the wastewater treatment plant, and the emissions of ammonia nitrogen during storage were doubled from 5% to 10% total nitrogen, as for sludge.
The robustness of the alternatives was considered one of the most important indicators for the reference group. However, determining qualitatively the performance of each alternative in terms of robustness was challenging and the assessment could vary based on available data. In the sensitivity analysis, the performance of alternatives S2, P1 and P2 was increased from low to medium robustness, and the indifference and preference thresholds were increased from 0.5 to 1 and from 1 to 2 respectively, to include the uncertainty associated to the assessment of the indicator.
Criteria | Indicators | Unit | Sand filter | Drain field | Sand filter + P-filter | Chem. P removal + sand filter | Chem. P removal + drain field | GW, BW | Urine diversion | Package plant | Package plant |
---|---|---|---|---|---|---|---|---|---|---|---|
A1 | A2 | A3 | A4 | A5 | S1 | S2 | P1 | P2 | |||
a hh = household. b VH = very high; H = high; M = medium; L = low; VL = very low. | |||||||||||
Environmental | Tot-N removal | % tot-N | 30 | 35 | 30 | 30 | 35 | 95 | 85 | 40 | 40 |
P removal | % P | 40 | 40 | 90 | 90 | 90 | 90 | 80 | 90 | 90 | |
Potential for N recycling | % N | 2 | 2 | 2 | 2 | 2 | 90 | 70 | 2 | 2 | |
Potential for P recycling | % P | 5 | 5 | 8 | 29 | 29 | 81 | 53 | 9 | 29 | |
Global warming potential | Kg CO2-eq. per hha per year | 54 | 35 | 88 | 67 | 53 | 80 | 73 | 104 | 95 | |
Cumulative energy demand | MJ per hha per year | 2806 | 2403 | 3393 | 3985 | 3663 | 4471 | 3952 | 7627 | 8562 | |
Energy recovery | H-M-Lb | Medium | Medium | Medium | High | High | Low | Medium | Medium | High | |
Economic | Capital cost | € per year | 468 | 465 | 761 | 564 | 605 | 686 | 581 | 627 | 650 |
Operat. & maint. cost | € per year | 166 | 166 | 377 | 380 | 380 | 287 | 253 | 536 | 481 | |
Socio-cultural | Social acceptance | VH-H-M-L-VLb | Very high | Very high | High | Medium | Medium | High | Low | High | High |
Technical | Robustness | H-M-Lb | High | High | Medium | Medium | Medium | Medium | Low | Low | Low |
Health | Risk of pathogens discharge | VH-H-M-L-VLb | Medium | High | Low | Low | Medium | Very low | Medium | Low | Low |
In the same line, the highest potential for nutrients recycling was attained by the source separation systems for both P and N. Alternatives S1 and S2 had 90% and 79% tot-N recycling potential respectively, in contrast to the recycling potential of about 2% tot-N of the rest of the alternatives. In terms of P recycling potential, the results ranged from the higher potential of alternatives S1 (81%) and S2 (53%), to the moderate potential of the alternatives with chemical P removal (29% for A4, A5 and P2) and the low potential for the rest of the alternatives (<9%).
The GWP and the CED were the lowest for A2 followed by A1, the standard drain field and sand filter, due to the lower use of components and consumables (extra tanks, chemicals, P-filter). The GWP for A2 and A1 was 35 and 54 kg CO2 eq. per household per year, respectively, whereas the largest values were attained by P1 and P2, with an annual emission of 104 and 95 kg CO2 eq. per household, respectively. Moreover, the CED was the highest for the alternative P2 and P1 with an annual CED of 8562 and 7627 MJ per household, more than three times the lowest CED which was attained by A2 (2403 MJ per household). For most of the alternatives, the largest contributors for both indicators were the production of the tanks and the treatment of the sludge which had a CED of approximately 1 MJ kg−1 of sludge and a GWP of 0.01 kg CO2 eq. kg−1 of sludge considering anaerobic digestion and dewatering processes64 and the Swedish electricity mix. However, the largest contributor in terms of GWP and CED for the package plants was the electricity use, as P1 and P2 consume 450 and 550 kW h per year in comparison to the rest of the alternatives whose only electricity consumption was that of the pump (7.5 kW h per year).
The alternatives with chemical P removal (A4, A5, P2) had the highest energy recovery based on the larger volumes of sludge produced after the addition of chemicals and the likely higher content of organic matter present in the sludge. The alternatives with conventional septic tanks and further treatment (A1, A2, A3, S2) and the packaged plant with Polonite® filter (P1) had medium energy recovery. Alternative S1 had the lowest production of sludge and hence the lowest energy recovery, because the GW treated on-site produces smaller volumes of sludge as compared to the mixed wastewater and no biogas production was assumed for the BW treatment.
Alternatives A1 and A2 had the lowest capital costs because of their simplicity and smaller number of components used compared to the rest of the alternatives. The source separation alternatives S1 and S2 required investments in double tanks, one for BW in S1 and one for urine in S2, and their yearly investment cost differed in approximately €100, the investment in adapted toilets being the main contributor to the difference. The cost of the ultra-low-flush vacuum toilet considered in the GW–BW separation option was much higher (€1407)38 than the urine diversion toilet (€456)39 which was only slightly more expensive than a conventional toilet. Alternatives A4 and A5 had medium capital costs of €564 and €605 per year respectively, reflecting the inclusion of the chemical dosing equipment in contrast to A1–A3 which did not have such component. Alternative A3, P1 and P2 had the highest capital cost; the costs associated to the Polonite® filter bag and tank contributed in A3, whereas the purchase of the package plants constituted the main cost for P1 and P2. A similar pattern was observed in the indicator O&M cost. The alternatives with the lowest yearly cost for O&M were A1 and A2 with €166, followed by the source separation alternatives S2 (€253) and S1 (€287), which have a yearly emptying of two tanks instead of one. The soil-based systems with polishing step had nearly the same O&M cost, €377 for A3 and €380 for A4 and A5, the main difference being that the Polonite® filter was exchanged every third year whereas the chemicals needed to be purchased every year. The package plants P1 and P2 had high yearly O&M costs due to the management contracts with the providers, which included routine maintenance such as cleaning, replacement of worn parts and sampling of sludge and effluent water.
In terms of social acceptance, the conventional systems (A1 and A2) had very high acceptance because of their convenience and low complexity as reported in the literature.8 For the package plants (P1 and P2), acceptance was high despite the complexity of the plants. This was because the design of the plants made them convenient for the operators, who did not have to monitor them regularly as management and maintenance were assumed to be carried out by trained personnel and were included in the management contracts (at least once a year). However, the alternatives with chemical dosing equipment installed inside the households (A4 and A5) had medium acceptance, because of the inconvenience of more frequent monitoring (e.g. refilling the dosing tank), which may require greater effort from the homeowners than e.g. changing a P-filter every 2–3 years as in A3. The GW and BW system (S1) had higher acceptance than the system with urine diversion (S2), as generally reported in the literature.65 Urine-diversion systems have been found to cause problems with odors and inconveniences (e.g. extra cleaning) and users require pre-knowledge about the system.66,67
The robustness was high for A1 and A2 considering that these systems generally work well if they are correctly designed and loaded,23 the main risk being the clogging of the filter material.27,68 The soil-based alternatives with polishing steps (A3–A5) had medium robustness because of the increased number of risks when adding extra components and consumables, e.g. P-filter, P-removal chemicals.66 The GW and BW separation (S1) also had medium robustness because even though only the GW is treated on-site, the holding tank for BW does not adapt to flow fluctuations in the same way as a septic tank with an outlet and the alternative requires monitoring of two tanks instead of one. The urine diversion system (S2) and the package plants (P1 and P2) had lower robustness based on the added complexity of the systems; the urine-diverting toilets may present problems with the blockage of the urine-conducting pipe69 or ventilation malfunctioning, whereas the package plants generally had an increased risk of failure due to the presence of e.g. moving parts, sensors or electrical control systems27 and they are often sensitive to operational disturbances.36
The GW and BW separation system (S1) had the lowest risk of pathogen discharge to receiving waters because the feces, which is the fraction that contains the largest pathogen load in wastewater, was stored in a holding tank and collected and treated in a separate facility. The results for each alternative varied depending on the number of technical treatment barriers that were included in the sanitation systems, as discussed by e.g. Stenström et al. (2013).70 The package plants (P1 and P2) and the sand filters with Polonite® filter (A3) and chemical P-removal (A4) had two barriers and thus a lower risk of pathogen discharge than the alternative A1 with only sand filter (one barrier) and S2 (one barrier for fecal fraction), or the alternatives A2 and A5 with drain fields (one barrier). The risk of pathogens discharge was the highest for the drain field without further treatment (A2) due to its single-barrier filter material and because the receiving body was the groundwater instead of surface water which would be more preferable.
Indicators | Indifference threshold (q) | Preference threshold (p) | Definition approach |
---|---|---|---|
a (Eurostat, 2016).72 | |||
Tot-N removal | 10 | 40 | Data uncertainty |
P removal | 20 | 40 | Data uncertainty |
Potential for N recycling | 20 | 30 | Data range and uncertainty |
Potential for P recycling | 10 | 40 | Data range and uncertainty |
Global warming potential | 10% | 20% | EU target of 20% reduction of GHG emissions by 2020a |
Cumulative energy demand | 1000 | 3000 | Data range and uncertainty |
Energy recovery | 0.5 | 1 | Change in category |
Investment cost | 50 | 100 | Data range |
Operation and maintenance cost | 50 | 100 | Data range |
Social acceptance | 1 | 2 | Change in category, high uncertainty |
Robustness | 0.5 | 1 | Change in category |
Risk of pathogens discharge | 0.5 | 1 | Change in category |
For a quantitative indicator i, the indifference qi and preference pi thresholds were defined as an absolute value based on the uncertainty associated to the data and the range of the values across the alternatives of the indicator in question. Only the indicator GWP had both thresholds as percentage values because of the reference used.72
The thresholds established for a qualitative indicator i were defined in terms of the number of categories on the scale that separated two alternatives, e.g. if low = 1, medium = 2, high = 3, then pi = 1 (change in category). The higher pi (pi = 2) for the qualitative indicator social acceptance reflected the greater uncertainty associated with the evaluation of the indicator.
Description | Ranking of alternatives | |
---|---|---|
Scenario 0 | With original weights from reference group | S1 > A1, A4 > A3 > A2 > A5 > S2 > P2 > P1 |
Scenario 1 | Lowest importance to nutrients-related indicators (e.g. northern Sweden) | A1, A4 > A2, S1 > A5 > A3 > S2 > P2 > P1 |
Scenario 2 | Highest importance to nutrients-related indicators (e.g. areas with farmland) | S1 > S2 > A4 > A5 > A3, P2 > P1 (A1, A2)* |
Scenario 3 | Highest importance to energy recovery, CED and GWP (e.g. change in political strategy) | A4, A5 > A1 > A3, P2 > A2 > S1 > S2 > P1 |
The chemical removal of P in A4 outranked the Polonite® filter as polishing step in A3 despite their similar performance in terms of robustness (both showed medium robustness), risk of pathogen discharge (low risk in both cases), and nutrients removal (30% N removal and 90% P removal for both alternatives). Their ranking was influenced by differences in the potential for P recycling, which was higher for A4 which had larger volumes of sludge produced after the chemical P removal step (34% reuse) compared to the low P recycling from the Polonite® filters (5% reuse). Furthermore, the capital cost was higher for A3 (€761 per year) than for A4 (€564 per year), whereas the O&M costs were nearly the same (€377 and €380 respectively).
The alternative with urine diversion (S2) was ranked in position 6. Despite having high performance in terms of nutrients recycling, surpassed only by S1, all the soil-based alternatives generally performed better than S2 in terms of robustness and risk of pathogen discharge, which influenced the final ordering. The two package plants (P1 and P2) attained the last positions in the ranking, due to their weak performance on the indicator robustness and their high investment and O&M costs.
On the other hand, when the highest importance was given to the nutrient treatment and nutrient recycling potential (scenario 2), the source separation systems S1 and S2 clearly outranked the remaining alternatives (Table 6) because of their good performance on the indicators in focus.
Scenario 3 benefited the soil-based alternatives that included chemical removal of P, due to their higher potential to recovery energy and moderate GWP and CED. The source separation alternatives S1 and S2 dropped to the end of the ranking because of their relatively high GWP, mainly due to the use of extra tanks, transport of larger volumes and the N2O emissions during treatment and storage of the BW and urine. The package plants had similar GWP and CED, but differed mostly in the potential to recover energy, as P2 produced larger volumes of sludge.
Modified parameter | Ranking | Comments |
---|---|---|
None | S1 > A1, A4 > A3 > A2 > A5 > S2 > P2 > P1 | Baseline (scenario 0) ranking |
1. Decrease in the lifetime of Polonite® from 3 to 2 years | S1 > A1, A4 > A3 > A2 > A5 > S2, P2 > P1 | Increase in O&M cost, GWP and CED in A3 (28%, 16% and 7% respectively) and in P1 (19%, 7% and 3% respectively) |
2. Include the cost for BW and urine treatment | S1 > A1, A4 > A3 > A2 > A5 > S2 > P2 > P1 | Increase O&M cost in S1 and S2, when assuming a municipal fee of €50 and €20 hh−1 y−1 for BW and urine management respectively |
3. Change the weight of the importance of P (100%) and N (0%) removal | S1 > A1, A4 > A5 > A2 > A3 > S2 > P2 > P1 | There are no requirements for N removal for wastewater systems for less than 10000 PE |
4. Decrease in the reuse of BW to 0% | S1 > A1 > A4 > A3 > A2 > A5 > S2 > P1 > P2 | BW is collected and treated in a WWTP together with sludge instead of urea; lower potential to recycle nutrients and lower GWP |
5. Increase robustness of S2, P1 and P2 from low to medium | S1 > A1 > A4 > S2 > A2 > A3, P2, P1 > A5 | Considering they are managed properly and less failures occur |
6. Change indif. and pref. thresholds for indicator Robustness | S1 > A1 > A4 > S2 > A2 > A3 > P2, P1 > A5 | To reflect the uncertainty in the evaluation of robustness, the indif. and pref. thresholds were increased to 1 and 2 respectively |
Increasing the O&M cost for the BW and urine treatment did not affect the final ranking of the alternatives (Table 7.2), likely because the weight of the indicator was not so high. Even when the additional cost was doubled to €100 per household per year, the ordering remained unaffected. Increasing the importance of P removal to the detriment of N only affected the middle-ranked alternatives (Table 7.3). For example, A5 (drain field with chemical removal of P) outranked alternatives A2 and A3 despite the fact that both A5 and A3 had 90% P removal. The lower costs possibly benefited A5. The changes from 100 to 0% in the reuse of BW (Table 7.4) decreased the potential to recycle nutrients for S1 but also reduced the GWP because of the urea avoided. However, these changes did not affect significantly the ranking because the indicator potential for nutrients recycling had a low weight. The changes in the indicator robustness in terms of the performance (Table 7.5) or the indifference and preference thresholds (Table 7.6) did not affect significantly the top ranking of the alternatives. However, an increase in the robustness from low to medium and an increase in the indifference and preference thresholds proved to be beneficial for the urine diversion option S2 which outranked three more alternatives as compared to scenario 0, and detrimental for A5, which dropped to the last position.
For all the tested changes, the first three solutions remained the same, indicating that the ranking is reasonably robust. The aforementioned alternatives dominated the ranking due to their superior performance in comparison to the rest of the options as the method applied is based on outranking relations.
Including the treatment of the BW in the yearly cost to be paid by the homeowners, or assuming that the BW is not sanitized with urea but transported to a central WWTP, did not affect the first position of S1 in the final ranking (Table 6). The results indicated that BW separation was still preferred despite the introduction of an additional fee (e.g. €50) by the municipalities in order to cover the investment and operational costs of the treatment with urea, showing that there is an economic margin if management fees are to be introduced by the local authorities.
Furthermore, even if the BW was not sanitized with urea but treated in a centralized WWTP (Table 7.4), alternative S1 outranked the others, suggesting that the option to have GW–BW separation could be chosen proactively even if the municipal infrastructure for urea sanitization is not yet available. Other treatment options such as anaerobic digestion could also be considered if the aim is to increase the energy recovery in the form of biogas and reduce the emissions.74 Wet composting of BW, on the other hand, would generally require some energy input for stirring and aeration12 and to increase the temperature,75 and the O&M costs can be twice that of urea treatment.63
In comparison, the urine diversion alternative S2 had a higher risk of pathogen discharge since the feces were treated in a sand filter on-site. However, scenario 2 showed that urine diversion is a sustainable alternative when it is important to remove and recycle both N and P. Furthermore, diverting the urine gives the homeowner the possibility to reduce energy, emissions and costs related to collection and storage if used locally, an option not available with the other alternatives.12 The use of the wastewater fractions as fertilizers was not included in the scope of the study. However, urine is a cleaner fertilizer compared to BW, with significantly lower cadmium content, e.g. 0.6 mg cadmium per kg P compared to 11 mg in BW.17 A comprehensive assessment with a transition theory perspective reported that BW systems generally perform better than urine diversion systems because of technical malfunctioning of the latter or because the urine diversion toilets are less socially accepted than the low-flush or vacuum toilets used in the GW–BW separation systems.65 When the robustness of S2 was medium as for S1, or the preference threshold was widened, the urine diversion system improved its position in the final ranking of alternatives (Table 7.5 and 6). Improving the technology used in urine diversion systems and decreasing the failures associated to e.g. clogging of pipes would increase the robustness of the system and hence the overall sustainability.
In the baseline scenario, the ranking suggests that BW separation (S1) or a sand filter with (A4) or without chemical removal of P (A1) would be the most sustainable options of the alternatives studied. For example, A4 had a higher risk of pathogen discharge compared to S1, higher O&M costs and considerably lower removal of N. Systems like A4 require the installation of dosing equipment and a larger septic tank than a conventional one (4 instead of 2.2 m3) whereas for S1, double tanks and the installation of a low-flush vacuum toilet are required. Although the robustness of both systems was assessed as “medium,” it must be noted that the robustness of A4 will be so only if the dosing equipment is correctly managed.12
Alternatives with a drain field (A2 and A5) were penalized with respect to the health indicator because of their higher risk of pathogens reaching the groundwater unnoticeably, as compared to the systems with an outlet pipe discharging to surface waters. If groundwater contamination was not a potential problem, A1 and A2 would not outrank each other as they had similar performance in most of the indicators.
In this study, simpler systems were assessed as “better” than advanced ones such as package plants on the indicators social acceptance and robustness based on studies reporting performance of different commercial package plants13,66 and monitoring reports.36 This assumption contributed to the low ranking of the alternatives with package plants P1 and P2. However, the recent development of on-site technology for package plants, which often include sensors and alarm systems to assure treatment efficiency, can make these options to actually be considered robust and reliable when managed properly resulting in high nutrients reduction.27 Moreover, the land area requirements were not included as indicator in the study but their inclusion would have benefited the package plants as they are more compact and typically require less area than e.g. sand filters or drain fields.4 Additionally, package plants can be installed in areas where bedrock, soils or fluctuating groundwater tables limit the implementation of soil-based systems.27 The two package plants showed large similarities in the performance of most of the indicators. Only in indicators potential for P recycling and energy recovery was P2 significantly superior to P1.
The main differences between the polishing steps in terms of indicator performance were related to the potential to recycle P and recover energy, GWP and robustness. Polonite® filters can be reused on farmland30 although data regarding the use of by-products from OSSs is still poor, making it difficult to make accurate assumptions. The development of a legal and institutional framework for the collection and reuse of alkaline filter materials like Polonite®, which is considered a waste product after its usage and hence is managed by the corresponding authorities, would benefit alternatives like A3 and P1. Although not included in the scope of the study, there are differences in the quality of the recyclable fractions (sludge and filter material) between both options. In chemical precipitation systems, both contaminant metals and P can be found in the sludge since the metals are bound to particulate material, making it less attractive from the recycling point of view.16 Metals can also accumulate in Polonite® filters, although most of their content probably deposits in the septic tank66 and the low concentrations accumulated in the filter material would likely not restrict their use as fertilizers.77 Alternative A4 had around 23% lower GWP than A3. About half of the emissions during the construction phase in alternative A3 (33 out of 73 kg CO2-eq.) originated from the production of the filter material and the extra tank. However, the lower maintenance requirements make the use of Polonite® filters more convenient for the users and slightly more robust than the chemical P removal, although both A3 and A4 were assessed as having medium robustness.
In terms of indicators choice, the over-representation of the environmental dimension in the study was reduced during the analysis as the stakeholders placed the lowest weights to three of the five environmental indicators (Fig. 2) hence the distribution of weights was considered to be well spread among the different sustainability dimensions. Besides, the categorization of the indicators under the five main dimensions (Environmental, Economic, Socio-cultural, Technical and Health-related) could be done differently as some indicators are of different nature. For example, the Environmental indicators could be grouped into two categories: “Nutrient-related indicators”, which would include the Nutrient removal and Potential for nutrient recycling in a context of water quality and resource recovery; and “Energy-related indicators”, including the CED, GWP and Energy recovery, relevant in a context of climate change and energy efficiency.
Complete independence among indicators is difficult to verify and most analysists assume that the criteria are not all independent.78 Often, the most suitable criteria for a judgement of alternatives are interconnected and present multiple interactions between them.78,79 Given that all indicators may not be completely independent, the selection of an appropriate aggregation method gains great importance as some methods are more susceptible to interference than others. For example, the weighted sum (a compensatory method) is sensitive to the presence of dependent criteria in the form of ‘double-counting’ in contrast to the ELECTRE III method which uses a non-compensatory aggregation approach.22 The indicators used in the present study were considered to avoid double-counting as they represented separate aspects of value as described in Dodgson et al. (2009).6 Furthermore, the interrelationship between criteria can be assessed using different methodologies capable of handling criteria interactions and synergies, which was not included in the present study. Some methods proposed in the literature for modelling criteria interactions are decision making trial and evaluation laboratory (DEMATEL) and analytical network process (ANP) which can be combined and used as hybrid techniques to determine relationships between criteria.80 These models could be further applied to the present study for understanding criteria interactions together with the ELECTRE III method, as shown in previous studies dealing with multi-criteria decision making.81
Several issues were not included in the study boundaries, which probably had an impact on the results. The estimations for the energy recovery were based on sludge volumes as an indication, rather than on composition and content with regard to the potential for biogas production, which might have resulted in an over-simplification of the process. Furthermore, the varying nutrients' plant availability of the different fractions (sludge, Polonite® filter material, BW, urine), as discussed elsewhere,12,17,82 was not considered in this study. The energy and resources that would be saved by replacing mineral fertilizers with sanitation by-products was also not taken into account, although their use contributes significantly to the energy and emissions balance.17,74
Ordinal scores, as those used to assess the qualitative performance indicator, are well handled by compensatory methods such as ELECTRE III as they are not converted into cardinal scores, which introduce uncertainty in compensatory aggregation methods.22 Moreover, data uncertainty was managed by the use of indifference and preference thresholds. The focus and priorities of the decision-makers (represented by the reference group in this study) affected the ranking of alternatives as seen in the evaluation of scenarios, but only to some extent since a general pattern can be extracted from them (Table 6), as discussed in the above sections.
Finally, the optimal on-site sanitation solution will also depend on the local individual conditions (e.g. space availability, soil type and conditions, slope, groundwater table) and the operators' personal preferences and economy.
Conventional soil-based systems without polishing step generally do not comply with the existing Swedish guidelines in terms of P reduction. However, in this study, they outranked other alternatives capable of fulfilling these recommendations, indicating the importance of setting clear goals and requirements that apply in a decision-making process. When removal of P is required due to sensitive receiving waters, BW separation (S1) or chemical removal of P (A4) were preferred over Polonite® filters (A3) given that additional infrastructure needs to be implemented to facilitate the use of source-separation systems. Furthermore, in areas where nutrient removal is important (scenario 2), S1 and urine diversion (S2) were the most sustainable options. Sand filters generally outranked drain fields, which is in line with the current recommendations in terms of preferable receiving water body. Package plants have the potential to be robust systems when the technology is operated adequately and are favored in comparison to simple sand filters or drain fields when nutrients removal is prioritized. In scenario 3, the soil-based alternatives with chemical removal A4 and A5 obtained the first positions of the ranking, whereas the source separation alternatives worsened their positions. Since the ranking was influenced by the performance on indicators related to emissions and energy use, further research including the substitution of synthetic fertilizers would be needed to obtain a more complete picture. The results also showed that the sustainability of urine diversion systems would increase considerably if they were more user-friendly and robust, e.g. lower failure associated to clogging of pipes and odors.
Improved estimations and data on the performance of the OSSs, emissions and social acceptance are needed for more accurate evaluations and estimations of the indicators. Determining the most sustainable alternatives will depend on the trade-offs and main focus or objectives of the decision-maker, as well as on the existing regulations and local conditions. Overall, the methodological approach of ELECTRE III proved to be suitable for the assessment of sanitation alternatives with regard to their sustainability, as both qualitative and quantitative indicators were used in this study. Furthermore, the use of thresholds contributed to dealing with data uncertainty. The methodological framework and resulting ranking of alternatives could be used to support decision-making processes concerning sanitation systems.
Footnote |
† Electronic supplementary information (ESI) available. See DOI: 10.1039/c9ew00425d |
This journal is © The Royal Society of Chemistry 2019 |