Course 1

Course 1: Introduction to Water and Health Programme (Identical to Discussion Page)

How to use the course materials:

The material is divided into Concept and Discussion sections. Most Concept pages are accompanied by a Discussion page. The Concept page gives a brief overview of the topic being considered and each Discussion page amplifies that overview into a more detailed review of the topic. The simple analogy is that the Concept pages are what you would see on a PowerPoint or blackboard summary in a lecture and the Discussion page is what the lecturer would say in class about that topic (or would provide in written lecture notes).

This means that you can use the Concept pages as a quick review of the topics by progressing through them in order using the Arrow icons at the top of the page (or in any order you want) and looking at the Discussion pages to amplify or remind you of the detailed content. This is very useful for a rapid review of course materials.

If you mark the level of understanding you have for each topic (from low to high - red to green) , you can then use these measures of understanding to review only those topics that you need to work on further or had difficulty with on first reading.

You may also add notes to any page or highlight materials for later study. For Help with the StudySpace software, see the Help Section on the left-hand menu. To see a PowerPoint Presentation on the StudySpace software used in these Water-Health courses see this link. PowerPoint or PowerPoint Viewer (free from Microsoft) is required and PowerPoint Viewer is included for installation from the CD

Any page may contain references to extra materials; either on the CD or as an external web reference (URL) (usually marked as Internet Access Required). You can access the CD material directly but you need an internet connection to access the external references. These extra materials and the external web references are NOT required reading but are there for those who wish to look at certain topics in more detail or who want to go to the original sources of material. The CD references are given to amplify the topics and are usually well worth reading even though we will not normally require any detailed knowledge of their contents for this course.

You will also see listings of material such as bibliographies and data sources on the internet. We provide these in an attempt to make the courses more useful to you in your career or studies, but knowledge of them is NOT required. They are there to provide reference materials that might be useful to you.

In short, everything you need to know for this series of courses is on the CD,, but you have been given extra materials and internet references to supplementary materials for clarification if

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c000TitlePage.html[11/3/2014 5:16:52 PM] Course 1

needed, for later use if it is relevant, or for you to pursue individual topics for your own interest.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c000TitlePage.html[11/3/2014 5:16:52 PM] Water and Health Title Page

Water and Health Programme Introduction

The Water and Health Programme consists of a number of individual courses addressing the many issues surrounding the relationships between water and the health of people and populations. This first introductory course will present an overview of;

Historical background to water and health Current and past issues in water and health The current global perspective on these issues Water Management overview - relationship to health issues A brief introduction to other parts of the Water-Health Programme

Other Courses in the Water-Health Programme are:

Course 2 - Water-related Impacts on Health - Principles, Methods and Applications

Course 3 - Technical Solutions for Water and Health

Course 4 - Water Ethics, Governance, Law, Economics and Social Intervention

Course 5 - Challenges for WaSH

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c001Introduction.html[11/3/2014 5:16:52 PM] Introduction - Overview

Historical background to water and health

This section will look at the historical background and the role of water and health issues in ancient and more recent civilizations

This overview will serve to put water and health issues into a much broader perspective and show how problems have occurred. what effects they have had and how solutions have been evolved over the millennia.

We will start with a very broad overview of the history of the and the genesis and role of water in the first few billion years of Earth's history.

We will then look at the role of water and health issues on ancient civilizations starting around 10,000 BCE (Before Current Era) and continue until the present day.

After a brief look at the water cycle (the hydrologic cycle) we will examine the various uses for water and the global and regional use patterns

We will then look at global water issues and then at health issues related to water

We finish this first course with an brief overview of Integrated Water Resource Management (IWRM), one of the most commonly used management "systems" around the world that attempts to improve the overall management of water resources.

There is a list of resources at the end of this first course that will allow you to access data and information on water-related issues. Much of this information will be supplied but some is only available on the Internet.

You will also be given access to an on-line bibliography from UNU-INWEH (Internet Access Required) on Integrated Water Resource Management with more than 3000 searchable references on water-related issues (including water/health topics). This was prepared for the IWRM distance learning programme delivered through the Water Learning Centre (WLC) (Internet Access Required) ions.

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Historical background to water and health Geologic Time Clock

All of the Earth’s expressed as a clock with 12 hours! Notice that:

1. Photosynthesis started around 3.5 billion years ago and led eventually to an oxygen rich atmosphere about 2.3 billion years ago (see the outer purple line for “prokaryotes” that were responsible for photosynthesis)

2. Eurkayotes emerged just over 2 billion years ago followed by multicellular organisms about 1.5 billion years ago

3. Land plants evolved at 450 million years ago allowing land animals to evolve

4. The first vertebrates occurred around 380 millions years ago and dinosaurs existed from 230 to file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c003EarlyHistory1Title.html[11/3/2014 5:16:53 PM] Introduction - Water Supplies

65 million years ago

5. First humans at 2 millions years ago (it almost doesn’t show on the clock!)

6. Modern recorded history and civilization only occupies the last 10,000 years (or less than the blink of an eye on the 12 hour clock!)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c003EarlyHistory1Title.html[11/3/2014 5:16:53 PM] Introduction - Water Supplies

Historical background to water and health Geologic Time Clock

All of the Earth’s evolution expressed as a clock with 12 hours! Notice that:

1. Photosynthesis started around 3.5 billion years ago and led eventually to an oxygen rich atmosphere about 2.3 billion years ago (see the outer purple line for “prokaryotes” that were responsible for photosynthesis) 2. Eurkayotes emerged just over 2 billion years ago followed by multicellular organisms about 1.5 billion years ago 3. Land plants evolved at 450 million years ago allowing land animals to evolve 4. The first vertebrates occurred around 380 millions years ago and dinosaurs existed from 230 to 65 million years ago 5. First humans at 2 millions years ago (it almost doesn’t show on the clock!) 6. Modern recorded history and civilization only occupies the last 10,000 years (or less than the blink of an eye on the 12 hour clock!)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c003History1.html[11/3/2014 5:16:53 PM] Where did the water come from

Where did the water come from?

Surprisingly, it is not certain how water came to be on the Earth. Some speculate that it could have come:

1. From the nebula dust cloud by the early Earth capturing hydrogen from the nebula that was subsequently oxidized to water through chemical reactions. This theory is somewhat at odds with the ratio of Deuterium to Hydrogen in water and the time scale required for it to occur seems to be too long.

2. From water contained in comets bombarding the early Earth (although their models show this could only have contributed about 10% of the water)

3. By the early Earth accreting water by bombardment with primitive very small planets and asteroids present in the outer asteroid belt. According to some calculations, this could account for sufficient water accumulation during the later stages of Earth's formation

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c005SourceofWater.html[11/3/2014 5:16:53 PM] Introduction - The Past

Historical background to water and health Early and Migrations

In East near the Rift Valley, modern humans evolved about 200,000 years ago. The population rose and fell, and small subsets of the people left to go elsewhere, creating their own groups. Those groups spread, small subsets of the original groups leaving, sometimes returning and rejoining, sometimes leaving again. Africa has a huge range of environments—deserts, coastal regions, pampas, rivers, lakes, and mountains, and it is certain that some of these required human adaptations—behavioral, cultural and physical—to the demands of the various climates.

Eventually, we left Africa and colonized other parts of the world

As you examine these early migrations, consider the importance that access to water must have played; humans cannot go without water for more than 3 to 5 days so climatic conditions, lack of potable water and distances between water sources must have played a crucial role in these migrations.

On average, humans require about 2.5 litres of water per day to survive.

For a more detailed calculation of an individual's daily water requirement see the on-line calculator at http://www.csgnetwork.com/humanh2owater.html (Internet Access Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c008HumanMigration.html[11/3/2014 5:16:53 PM] Timeline of Ancient Civilization

Timeline of Ancient Civilizations

Timelines of Major Civilizations

Ancient civilizations usually established themselves near sources of water. Ample water quantity for drinking and other purposes was important to our ancestors, drinking water quality problems were not well known. Although historical records have long mentioned aesthetic problems (an unpleasant appearance, taste or smell) with regard to drinking water, it took thousands of years for people to recognize that their senses alone were not accurate judges of water quality. The three oldest civilization, the Indus, the Mesopotamian and the Egyptian civilizations were founded on water; all were on large river systems or flood plains (the Tigris-Euphrates in Mesopotamia, the Nile in Egypt and the Indus River in present-day India, Afghanistan and Pakistan). Before the major civilizations, there were periods that can be categorized as the Hunter-Gatherer and Agricultural societies. Then came Empires and, much more recently, European dominance. 1. Hunter-gatherer societies (up to about 10,000 years ago) 2. Agriculture (10,000 to 5,000 years ago) 3. Empires (5,000 to 1,000 years ago)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c010TimelineCivilization.html[11/3/2014 5:16:53 PM] Timeline of Ancient Civilization

4. European dominance (1,000 to 50 years ago) 5. The present day

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c010TimelineCivilization.html[11/3/2014 5:16:53 PM] Prehistoric and Hunter-Gatherer

Prehistoric and Hunter-Gatherer Societies

Stone Age: Paleolithic means "Old Stone Age," and begins with the first use of stone tools. The Paleolithic is the earliest period of the Stone Age. They lived as nomadic hunter-gatherers in most cases.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c040HunterGatherer.html[11/3/2014 5:16:54 PM] Agriculture

Agriculture

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c050Agriculture1.html[11/3/2014 5:16:54 PM] Agriculture

Agriculture Where did Agriculture begin?

Agricultural communities started in different places when conditions became suitable

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c060Agriculture2.html[11/3/2014 5:16:54 PM] Distribution of social and techn

Distribution of social and technological systems in early history Click on each map for a larger version in a new window (and then click on that new map to enlarge it)

Distribution of social and technological systems in 2000 BCE

Distribution of social and technological systems in 1000 BCE

Distribution of social and technological systems in 500 BCE

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Distribution of social and technological systems in 200 BCE

See the Discussion page for more detail

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c070CivilizationsEarly.html[11/3/2014 5:16:54 PM] Empires

Empires

Empires developed where there where suitable climatic conditions, available crop plants and/or animals and a sufficiently large population (or conditions that allowed an increase in population from the hunter/gatherer stage). They did NOT develop initially in Europe or Australia. Why?

No indigenous crop plants and/or No indigenous animals for domestication

Note: Australia was “cut off” from the rest of the world 40,000 years ago and had no mammals for domestication nor any suitable crop plants. Imagine trying to domesticate and herd kangaroos or other marsupials. The aboriginal population therefore remained as hunter/gatherers until the arrival of Europeans with wheat, animals (and diseases).

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c080Empires.html[11/3/2014 5:16:54 PM] Barriers affecting Empires

Barriers affecting Empires

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c090Barriers.html[11/3/2014 5:16:54 PM] The Fertile Crescent – General H

The Fertile Crescent – General Historical Context

The Fertile Crescent The Fertile Crescent is the region in the Middle East which encompasses modern-day southern Iraq, Syria, Lebanon, Jordan, Israel and northern Egypt.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c091FertileCrescent.html[11/3/2014 5:16:55 PM] Ancient Chinese Dynasties

Ancient Chinese Dynasties

China is one of the areas where civilization developed earliest. It has a recorded history of nearly 5,000 years.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c092china.html[11/3/2014 5:16:55 PM] The Indus Valley Civilization –

The Indus Valley Civilization – General Historical Context

The Indus Valley Civilization - 3300–1300 BCE

The Indus Valley Civilization (IVC) was a Bronze Age civilization (3300–1300 BCE; mature period 2600–1900 BCE) in the northwestern region of the Indian subcontinent, consisting of what is now mainly present-day Pakistan and northwest India

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c093IndusValley.html[11/3/2014 5:16:55 PM] Egypt – General Historical Conte

Egypt – General Historical Context

Between 5000 and 3100 BCE, Neolithic (late Stone Age) communities in northeastern Africa exchanged hunting for agriculture and made early advances that paved the way for the later development of Egyptian arts and crafts, technology, politics and religion For almost 30 centuries—from its unification around 3100 B.C. to its conquest by Alexander the Great in 332 B.C.—ancient Egypt was the preeminent civilization in the Mediterranean world. People began to settle in the Nile valley in about 7000 B.C.. They farmed the land, kept animals, and built permanent homes on the banks of the Nile.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c095Egypt.html[11/3/2014 5:16:55 PM] Greece – General Historical Cont

Greece – General Historical Context

Map of Ancient Greece showing the major cities

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c097Greece.html[11/3/2014 5:16:55 PM] Rome - General Historical Conte

Rome - General Historical Context

Animated map of the Roman Republic and Empire.

Displayed in the map:

Roman republic 510 BCE-40 BCE

Roman Empire 20 AD-360 AD

Eastern Roman Empire 405 AD-1453 AD

Western Roman Empire 405 AD-480 AD

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c098Rome.html[11/3/2014 5:16:56 PM] The Hydrologic Cycle

The Hydrologic Cycle

This simplified version of the water cycle (the hydrologic cycle) shows the circulation of water in its three phases (liquid, solid [snow] and gaseous [water vapour])

The major functional components of this cycle are:

Precipitation Condensed water vapor that falls to the Earth's surface. Most precipitation occurs as rain, but also includes snow, hail, fog drip,soft hail or snow pellets, and sleet. Approximately 505,000 km3 of water falls as precipitation each year, 398,000 km3 of it over the oceans. The rain on land contains 107,000 km3 (26,000 cu mi) of water per year and a snowing only 1,000 km3 . Canopy interception The precipitation that is intercepted by plant foliage, eventually evaporates back to the atmosphere rather than falling to the ground. Snowmelt The runoff produced by melting snow. Runoff The variety of ways by which water moves across the land. This includes both surface runoff and channel runoff. As it flows, the water may seep into the ground, evaporate into the air, become stored in lakes or reservoirs, or be extracted for agricultural or other human uses.

Infiltration file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c100WaterCycleTitle.html[11/3/2014 5:16:56 PM] The Hydrologic Cycle

The flow of water from the ground surface into the ground. Once infiltrated, the water becomes soil moisture or groundwater. Subsurface flow The flow of water underground. Subsurface water may return to the surface or eventually seep into the oceans. Water returns to the land surface at lower elevation than where it infiltrated, under the force of gravity or gravity induced pressures. Groundwater tends to move slowly, and is replenished slowly, so it can remain in aquifers for thousands of years. Evaporation (Evapotranspiration) The transformation of water from liquid to gas phases as it moves from the ground or bodies of water into the overlying atmosphere. The source of energy for evaporation is primarily solar radiation. Evaporation often implicitly includes transpiration from plants, though together they are specifically referred to as evapotranspiration. Total annual evapotranspiration amounts to approximately 505,000 km3 of water, most of which (434,000 km3) evaporates from the oceans. Sublimation The state change directly from solid water (snow or ice) to water vapor. Deposition This refers to changing of water vapor directly to ice. Advection The movement of water — in solid, liquid, or vapor states — through the atmosphere. Without advection, water that evaporated over the oceans could not precipitate over land. Condensation The transformation of water vapor to liquid water droplets in the air, creating clouds and fog. Transpiration The release of water vapor from plants and soil into the air. Water vapor is a gas that cannot be seen. Percolation Water flows horizontally through the soil and rocks.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c100WaterCycleTitle.html[11/3/2014 5:16:56 PM] Main components of the water cyc

Main components of the water cycle

The major features and components of the water cycle are:

Water Storage in Oceans Ice caps around the world. Oceans in movement Ice and glaciers Evaporation: Contribution of snowmelt to stream flow Evaporation drives the water cycle Surface runoff Sublimation: Main components of the water cycle - Part 2 Evapotranspiration: Importance of rivers Transpiration: Watersheds and rivers Water storage in the atmosphere Groundwater begins as precipitation Condensation: Groundwater storage: Condensation in the air Groundwater flows underground Precipitation: Springs Ice caps around the world.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c105WaterCycle1.html[11/3/2014 5:16:56 PM] Main components of the water cyc

Main components of the water cycle - Part 2

The major features and components of the water cycle are:

Water Storage in Oceans Ice caps around the world. Oceans in movement Ice and glaciers Evaporation: Contribution of snowmelt to streamflow Evaporation drives the water cycle Surface runoff Sublimation: Main components of the water cycle - Part 2 Evapotranspiration: Importance of rivers - Part 2 Transpiration: Watersheds and rivers - Part 2 Water storage in the atmosphere Groundwater begins as precipitation - Part 2 Condensation: Groundwater storage - Part 2 Condensation in the air Groundwater flows underground - Part 2 Precipitation: Springs - Part 2 Ice caps around the world.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c110WaterCycle1.html[11/3/2014 5:16:56 PM] Freshwater Availability on Earth

Water Distribution

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Note the small amount of freshwater on Earth (2.5% of the total water) and the even smaller percentage of that 2.5% that is easily available in rivers, lakes, swamps, soil, the atmospher and in organisms (biological water)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c115WaterDistribution.html[11/3/2014 5:16:56 PM] Freshwater Availability on Earth

Atmospheric Water Cycling The earth's water is cycled through the atmosphere (clouds, climate and weather are some of the results of this cycling). It happens on a global scale and is responsible for massive heat transfers around the Earth's atmosphere. Satellites have revealed the scale and complexity of this cycling in both the oceans and the atmosphere and have also revealed other events related to this cycling such as forest fires, vegetation changes, dust clouds, etc.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c116EarthsAtmosphere.html[11/3/2014 5:16:57 PM] Introduction - Water Supplies

Present Situation - Water Supplies and Sanitation

What is the current situation with regard to provision of safe water and sanitation?

According to the United Nations, the world has already (in 2010) met the Millennium Development Goals (MDGs) for increasing by 50% the with access to improved drinking water by 2015:

As they state, the quality of this water is unknown so that the improvement in access to safe water is also unknown. The distribution of this improved access across regions and countries is very uneven. To quote the 2012 Report on progress towards the MDGs;

"TARGET: Halve, by 2015, the proportion of the population without sustainable access to safe drinking water and basic sanitation.

The number of people using improved drinking water sources reached 6.1 billion in 2010, up by over 2 billion since 1990. China and India alone recorded almost half of global progress, with increases of 457 million and 522 million, respectively.

The work is not yet done. Eleven per cent of the global population—783 million people—remains without access to an improved source of drinking water and, at the current pace, 605 million people will still lack coverage in 2015.

In four of nine developing regions, 90 per cent or more of the population now uses an improved drinking water source. In contrast, coverage remains very low in Oceania and sub-Saharan Africa, neither of which is on track to meet the MDG drinking water target by 2015. Over 40 per cent of all people without improved drinking water live in sub- Saharan Africa. Since it is not yet possible to measure water quality globally, dimensions of safety, reliability and sustainability are not reflected in the proxy indicator used to track progress towards the MDG target. As a result, it is likely that the number of people using improved water sources is an overestimate of the actual number of people using safe water supplies. Continued efforts are required to promote global monitoring of drinking water safety, reliability and sustainability and to move beyond the MDG water target to universal coverage."

Rural areas fared worse than urban areas Progress towards the MDGs on the sanitation target has been much slower.

"Sanitation coverage increased from 36 per cent in 1990 to 56 per cent in 2010 in the developing regions as a whole. Despite progress, almost half of the population in those regions—2.5 billion—still lack access to improved sanitation facilities."

The greatest progress was achieved in Eastern and Southern Asia, where sanitation coverage in 2010 was, respectively, 2.4 and 1.7 times higher than in 1990. In contrast, progress was slowest in Western Asia and sub- Saharan Africa, and no improvement was achieved in Oceania over the 20-year period. At the current pace, and barring additional interventions, by 2015 the world will have reached only 67 per cent coverage, well short of the 75 per cent needed to achieve the MDG target."

"The number of people who do not use any facility and resort to open defecation has decreased by 271 million since 1990. But there remain 1.1 billion people—or 15 per cent of the global population—with no sanitation facilities at all. Daily, entire communities are exposed to the considerable health and environmental hazards of inadequate human waste disposal. In 11 countries, a majority of the population still practices open defecation. Even in countries with rapidly growing economies, large numbers of people still must resort to this practice: 626 million in India, 14 million in China and 7 million in Brazil. Nearly 60 per cent of those practicing open defecation live in India."

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c120PresentSituation.html[11/3/2014 5:16:57 PM] Introduction - Water Supplies

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c120PresentSituation.html[11/3/2014 5:16:57 PM] The Hydrologic Cycle Looking at our Earth from space, with its vast and deep oceans there is an abundance of water for our use. However, only a small portion of Earth's water is accessible for our needs. How much fresh water exists and where it is stored affects us all. This animation uses Earth science data from a variety of sensors on NASA Earth observing satellites as well as cartoons to describe Earth's water cycle and the continuous movement of water on, above and below the surface of the Earth.

Sensors on a suite of NASA satellites observe and measure water on land, in the ocean and in the atmosphere. These measurements are important to understanding the availability and distribution of Earth's water -- vital to life and vulnerable to the impacts of climate change on a growing world population.

See the Discussion page to play the NASA Video

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c150WaterCycleVideos.html[11/3/2014 5:16:57 PM] The Hydrologic Cycle

Why is water so important?

Essential for all life on Earth Some observations: Each person requires about 2 to 4 litres per day to survive (varies with weight, climatic conditions and activity level)

70% of water is used for agriculture 20% by industry 10% for domestic use

2000 - 5000 litres used to grow daily food intake (1 apple = 70litres, 150g of steak requires 2025 litres, 100g of vegetables require 20 litres, 1 slide of bread requires 40 litres)

Water use has been growing at more than twice the rate of population increase in the last century.

Water withdrawals are predicted to increase by 50 percent by 2025 in developing countries, and 18 per cent in developed countries

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c160Importanceofwater.html[11/3/2014 5:16:57 PM] The Hydrologic Cycle

Climate Change, Water and Health

Floods may increase water-borne parasites Heavy rainfall events cause storm water runoff that may contaminate water bodies used for recreation

Flooding and heavy rainfall can cause overflows from sewage treatment plants into fresh water sources.

Changes in temperature and precipitation, as well as droughts and floods, will likely affect agricultural yields and production.

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file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c170climatechange.html[11/3/2014 5:16:57 PM] Civilizations and Water

Water and Civilizations

Early civilizations were extremely dependent on a constant, reliable water source. Most were founded close to a freshwater source (lake, river or groundwater); this is still true today even with advances in water transport and treatment. Agriculture and water supply are inextricably linked; more water is needed for agriculture than for human consumption. Technological advances in water supply and safety came about after cities were established – agricultural development and food surpluses allowed cities to become established.

Water technologies are normally developed first for irrigation of crops, then for water supplies for people in settlements and cities, sometimes for aesthetic reasons (fountains, pools and local micro- climate modification), for waste disposal and for recreation.

Thus civilization, technological development, agricultural development, urbanization and water supplies are closely linked.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c200WaterandCivilizationTITLE.html[11/3/2014 5:16:57 PM] Civilizations and Water

The Fertile Crescent

About 6,000–7,000 years ago, farming villages of the Near East and Middle East became urban centers. During the Neolithic age (ca. 5700–2800 B.C.), the first successful efforts to control the flow of water were driven by agricultural needs (irrigation). Irrigation probably began to develop at a small scale during the Neolithic age in the so-called “fertile crescent,” an arc constituting the comparatively fertile regions of Mesopotamia and the Levant, delimited by the dry climate of the Syrian Desert to the south and the Anatolian highlands to the north.

Water for irrigation agriculture and human consumption was important in this relatively dry area.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c202WaterandCivilization.html[11/3/2014 5:16:57 PM] Civilizations and Water

Egypt

The Nile River has been the most important water source for Egypt for millenia. A highly developed, but very locally controlled, system of irrigation by flooding the fields developed very early and allowed agriculture to thrive based on the annual floods of the Nile River. This supplied both water and nutrients to the soil.

This local control probably allowed the Egyptians to survive (often violent) changes in Dynasties, rulers and wars since it was not dependent upon centralized control.

Irrigation by canals (from 3000 BCE) from the river and fairly large scale (from 2600 BCE) developed later and were important in supporting the increasing population.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c203WaterandCivilization.html[11/3/2014 5:16:58 PM] Civilizations and Water

Greece

The ancient Greeks invented many features of modern civilization. Their achievements in water technology were impressive; in 250 BCE they invented the water mill and in circa 250 BCE they pioneered the water wheel. They had air and water pumps, indoor plumbing, central heating, showers and built canal locks and an ancient version of the Suez Canal.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c205WaterandCivilization.html[11/3/2014 5:16:58 PM] Civilizations and Water

Rome

Pont-du-Gard - Roman Aqueduct

Rome developed many water transport systems, some of amazing complexity and sophistication, using siphons to move water uphill, aqueducts to cross valleys, dams to store and control water, piped water in cities, water wheels and cisterns for storing water. After the fall of the Roman Empire, many of these structures decayed and were not equaled until much later in history

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c260WaterandCivilization.html[11/3/2014 5:16:58 PM] Civilizations from 1000 AD to th

Civilizations from 1000 AD to the present

In the past 1000+ years there have been developments in sanitation and water technologies, but in overall terms, most of the innovations were already there in the ancient European, Middle Eastern, Asian and South American civilizations.

In many cases, those early innovations were essentially lost until later in history and, in the Dark Ages in Europe, the water and sanitation systems were inferior to those earlier civilizations.

In many parts of the world, the lack of progress can be partially explained by the constant warfare and invasions that occurred throughout this period.

Some advances in engineering and technology did occur in the 16th, 17th and 18th centuries but large improvements in the health and hygiene of the populations did not happen until late in the 19th century in Europe. This occurred for many reasons, including water treatment to remove pathogens and then contaminating chemicals, and led to a much improved population health.

Fundamental changes began to appear as science and knowledge were institutionalized for the first time when the development of modern universities started in the 13th century, and the agricultural world began to industrialize from the 18th century

Sanitation in towns around Europe was one of the great achievements of the 19th century. During the century the role of water in the transmission of several important diseases – cholera, dysentery, typhoid fever and diarrhoeas – was realized. The final proof came when the microbes causing these diseases were discovered. Especially cholera served as a justification for the sanitary movement around the world in the 19th century

In the early 20th century the health problems associated with water pollution seemed to have been resolved in the industrialized countries when chlorination and other water treatment techniques were developed and widely taken into use. Microbiological problems related to water were largely considered a problem of the developing world. However, in the late 20th century the biological hazards transmitted by water emerged again in the post-modern Western world. Anxiety about chemical and radioactive environmental hazards and their impacts on human health mounted in the 1960s. The overall amount of known biological and chemical health hazards transmitted by water increased manifold during the last half of the 20th century.

From: A Brief History of Water and Health from Ancient Civilizations to Modern Times Chloe Parker IWA WaterWiki - http://www.iwawaterwiki.org/xwiki/bin/view/Articles/-ABRIEFHISTORYOFWATERANDHEALTHFROMANCIENTCIVILIZATIONSTOMODERNTIMES (Internet Access Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c280AD1000toPresent.html[11/3/2014 5:16:58 PM] European Dominance

European Dominance Why did the European nations come to dominate? A small advantage in European ships and weapons and then the Industrial Revolution

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c281EuropeanDominance.html[11/3/2014 5:16:58 PM] Untitled 1

Population Increase The graph of actual population increase shows the dramatic increase in the last 300 years. Some of this increase can undoubtedly be ascribed to better water management in agriculture, drinking water and sanitation.

For Millenia before that, the population only increased slightly.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c282population.html[11/3/2014 5:16:58 PM] Civilizations from 1000 AD to the present

Summary of All History (or, more accurately, the last 6000 years)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c285HistoryWorldoneChart.html[11/3/2014 5:16:58 PM] Civilizations from 1000 AD to the present

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c285HistoryWorldoneChart.html[11/3/2014 5:16:58 PM] Civilizations from 1000 AD to the present

The chart shows the various empires, dynasties and other civilizations from about 3500 BCE to the present day in the different regions of the world

Note that the various Indian and Chinese empires and dynasties have existed until the present day, the American ones survived for a very long time until the Aztecs were conquered by Spain.

The rise of the Greco-Roman civilizations replaced the power of the Egyptian and Sumerian/Assyrian/Persian ones around 100 to 30 BCE

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c285HistoryWorldoneChart.html[11/3/2014 5:16:58 PM] Global Health Risks

Water and Global Health Risks The global burden of diseases and injuries - World Health Organization 2009 update (on CD) World Health Statistics - 2013 - World Health Organization (on CD)

More than one third of the world’s deaths can be attributed to a small number of risk factors. The 24 risk factors described in this report are responsible for 44% of global deaths and 34% of DALYs; the 10 leading risk factors account for 33% of deaths. Understanding the role of these risk factors is key to developing a clear and effective strategy for improving global health.

The five leading global risks for mortality in the world are high blood pressure, tobacco use, high blood glucose, physical inactivity, and overweight and obesity. They are responsible for raising the risk of chronic diseases, such as heart disease and cancers. They affect countries across all income groups: high, middle and low.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c300GlobalHealthRisksTitle.html[11/3/2014 5:16:59 PM] Water and Sanitation-related Dis

Water and Sanitation-related Diseases

1. Waterborne Diseases

Waterborne diseases are caused by pathogenic microbes that can be directly spread through contaminated water. Most waterborne diseases cause diarrheal illness [Note: not all diseases listed below cause diarrhea]. Eighty-eight percent of diarrhea cases worldwide are linked to unsafe water, inadequate sanitation or insufficient hygiene.

These cases result in 1.5 million deaths each year, mostly in young children. The usual cause of death is dehydration. Most cases of diarrheal illness and death occur in developing countries because of unsafe water, poor sanitation, and insufficient hygiene.

Other waterborne diseases do not cause diarrhea; instead these diseases can cause malnutrition, skin infections, and organ damage.

2. Sanitation & Hygiene-Related Diseases

Sanitation and hygiene are critical to health, survival, and development. A significant amount of disease could be prevented through better access to adequate sanitation facilities and better hygiene practices. Improved sanitation facilities (for example, toilets and latrines) allow people to dispose of their waste appropriately, which helps break the infection cycle of many diseases.

Hygiene refers to acts that can lead to good health and cleanliness, such as frequent hand washing, face washing, and bathing with soap and clean water. Practicing personal hygiene in many parts of the world can be difficult due to lack of clean water and soap.

Providing access to safe water and sanitation facilities, and promoting proper hygiene behavior are important in reducing the burden of disease from sanitation and hygiene-related diseases.

3. Vector or Insect-borne Diseases Associated with Water

Water plays a critical role in the spread of insect-borne diseases because many insects, such as mosquitos, breed around water. An increase in water, especially from flooding, can directly impact the number of mosquitoes and other insects that breed around water, potentially creating high-risk environments for disease.

Infected insects can transmit deadly disease to humans through their bite, such as malaria, dengue fever, and West Nile encephalitis. Worldwide, over one million people die each year due to mosquito-borne diseases, most of them young children in sub-Saharan Africa. Insect-borne diseases are rarely contracted in North America, but some have become more common recently, such as West Nile virus

4. Neglected Tropical Diseases associated with water

Worldwide, approximately 1 billion people are affected by one or more neglected tropical diseases (NTDs). According to the World Health Organization, the diseases are named neglected because they "persist exclusively in the poorest and the most marginalized communities, and have been largely eliminated and thus forgotten in wealthier places". Neglected tropical diseases are most often found in places with unsafe drinking water, poor sanitation and insufficient hygiene practices. These diseases can cause severe pain, disabilities, and death.

Modified from: Center for Disease Control, USA http://www.cdc.gov/healthywater/wash_diseases.html (Internet Access Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c350Diseases.html[11/3/2014 5:16:59 PM] Water and Sanitation-related Dis

Modern Water Treatment Systems A combination selected from the following processes is used for municipal drinking water treatment worldwide:

Pre-chlorination - for algae control and arresting any biological growth Aeration - along with pre-chlorination for removal of dissolved iron and manganese Coagulation - or flocculation Coagulant aids, also known as polyelectrolytes - to improve coagulation and for thicker floc formation

Sedimentation - for solids separation (removal of suspended solids trapped in the floc) Filtration - removing particles from water Desalination - Process of removing salt from the water Disinfection - for killing bacteria.

There is no unique solution (selection of processes) for any type of water. Also, it is difficult to standardize the solution in the form of processes for water from different sources. Treatability studies for each source of water in different seasons need to be carried out to arrive at most appropriate processes. The above mentioned technologies are well developed, and generalized designs are available that are used by many water utilities (public or private). In addition to the generalized solutions, a number of private companies provide solutions by patenting their technologies. The developed world employs a considerable amount of automation for water and wastewater treatment. The developing nations worldwide use automation along with manual operations. The level of automation is a choice of operators. The aspects that govern the choice of level of automation are capital and operating costs, skills available locally, operators comfort, integration of automation & control with rest of the component of water supply and so on.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c360ModernWaterTreatment.html[11/3/2014 5:16:59 PM] Water and Sanitation-related Dis

Sanitation Technologies and Methods Sanitation

Sanitation refers to the safe disposal of human excreta. This entails the hygienic disposal and treatment of human waste to avoid affecting the health of people. Sanitation is an essential part of the Millennium Development Goals. The most affected countries are in the developing world. Population increase in the developing world has posed challenges in the improvement of sanitation. Lack of provisions of basic sanitation is estimated to have contributed to the deaths of approximately 3.5 million people annually from water borne diseases.

The World Health Organization states that: "Sanitation generally refers to the provision of facilities and services for the safe disposal of human urine and feces. Inadequate sanitation is a major cause of disease world-wide and improving sanitation is known to have a significant beneficial impact on health both in households and across communities. The word 'sanitation' also refers to the maintenance of hygienic conditions, through services such as garbage collection and wastewater disposal" The earliest evidence of urban sanitation was seen in Harappa, Mohenjo-daro and the recently discovered Rakhigarhi of Indus Valley civilization. This urban plan included the world's first urban sanitation systems. Within the city, individual homes or groups of homes obtained water from wells. From a room that appears to have been set aside for bathing, waste water was directed to covered drains, which lined the major streets.

Modern Sewage Treatment

Modern sewage treatment is the process of removing contaminants from wastewater and household sewage, both runoff (effluents), domestic, commercial and institutional. It includes physical, chemical, and biological processes to remove physical, chemical and biological contaminants. Its objective is to produce an environmentally safe fluid waste stream (or treated effluent) and a solid waste (or treated sludge) suitable for disposal or reuse (usually as farm fertilizer).

Sewage treatment is the process that removes the majority of the contaminants from wastewater or sewage and produces both a liquid effluent suitable for disposal to the natural environment and a sludge. To be effective, sewage must be conveyed to a treatment plant by appropriate pipes and infrastructure and the process itself must be subject to regulation and controls.

Some wastewaters require different and sometimes specialized treatment methods. At the simplest level, treatment of sewage and most wastewaters is carried out through separation of solids from liquids, usually by sedimentation. By progressively converting dissolved material into solids, usually a biological floc, which is then settled out, an effluent stream of increasing purity is produced.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c370Sanitation.html[11/3/2014 5:16:59 PM] Water as a Source of Conflict

Water as a Source of Conflict

Water as Promoter of Peace Although water can certainly be a source of conflict and even military actions, most water conflicts are resolved peacefully This is because of the importance of water to both (or all) of the countries, regions, or areas involved in the disputes. A settlement where water continues to be available, perhaps with a changed distribution or entitlement, seems to be the most common outcome of water disputes. In many cases the water source itself is very vulnerable to diversion or deliberate overuse. The key element seems to be the relative strength or power of the disputing parties; where they are similar, the dispute is often settled quickly. Where they are very unequal, it may take much longer if it even happens at all.

Most disputes are very local in scope, even down the level of neighbours disputes over water rights or withdrawals.

The list of water conflicts in 2012 from the Water Conflict Chronology website shows that relatively few are large-scale conflicts and most are about local concerns.

Summary:

On balance, most observers think that water conflicts at the international level have normally led to a peaceful resolution through treaties or negotiations. Some local disputes are still occurring and are often more difficult to resolve, although they affect relatively few people. The incidence, scope and importance of acts of terrorism is difficult to predict but could be locally significant .

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c410WaterConflict.html[11/3/2014 5:16:59 PM] Data

Data, Information, Knowledge and Synthesis

There are innumerable sources of information on water issues, health issues and health issues involving water.

They range from sites containing processed information such as graphs and maps, sites with a limited range of data to comprehensive sites containing very large databases encompassing many different subjects.

Quite recently, the United Nations has made most of its vast store of data available to anyone who wants to download it. The United Nations Statistical Division is the agency responsible for these efforts, but many other UN agencies publish such datasets.

Many other datasets are available from governments, NGOs, universities, institutes, private sector companies and others.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c500ListofDatabasesTitle.html[11/3/2014 5:16:59 PM] Other Sources of Data

Other Sources of Data: Waterbase Other useful sources of data include: Waterbase The WaterBase project is an ongoing project of the United Nations University. Its aim is to advance the practice of Integrated Water Resources Management (IWRM) in developing countries. Predictive modeling and decision support for water management in developing countries are plagued with a number of related problems: lack of money, lack of expertise, inadequate training capacity, dependence on experts from other countries. At the same time water resources are under increasing pressure, and aquatic ecosystems are being damaged by people who lack the resources to explore the consequences of decisions before they are made. http://www.waterbase.org (Internet Access Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c501Waterbase.html[11/3/2014 5:16:59 PM] Gapminder World

GapMinder Gapminder is a software program and associated databases that allow you to look at world statistical data in a very interactive manner.

You can download "Gapminder Offline" from http://www.gapminder.org/world-offline/ (Internet Access Required) to use on your desktop or you can use the Gapminder web-based program at http://www.gapminder.org/ (Internet Access Required). Both produce similar results.

Gapminder gives an interactive view of the data, in this case, life expectancy versus income, over long time periods. Individual countries can be highlighted and tracked and the axes can be changed.

.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c510GapMinder.html[11/3/2014 5:17:00 PM] Water Management

Water Management

Management of water sources, supplies and distribution, coupled with waste disposal has been a concern of human societies from the earliest days of human settlements.

The early hunter-gatherer societies were nomadic and travelled between water sources

Early agricultural societies were established close by reliable water sources; irrigation processes developed later

Early city civilizations were also established on or close to water sources and some developed quite sophisticated water management and distribution systems. These systems were sometimes the limiting resources controlling further development.

Greek and Roman cities had reasonably well-developed water systems, but sanitation was usually a more primitive set of processes.

The technologies were lost for many years in Europe after the fall of the Roman Empire and were not reintroduced until the 18th and nineteenth centuries.

In the late 19th century, water management and safe water supplies became an important issue in the rapidly expanding towns and technologies for water treatment and sanitation were developed.

At the same time, it became clear that better water management methods were required; too many people and agencies were managing different aspects of the water cycle and human consumption and they often had competing and conflicting goals.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c800WaterManagementTitle.html[11/3/2014 5:17:00 PM] Water Management

Water Management Recent Developments in Water Management

In the 20th Century, water management and sanitation developed into a complex interacting system in the industrialized countries.

It started as a set of individual management processes for the various resources (water supply, purification and distribution, and waste disposal systems), but it soon became evident that these resources needed to be coordinated to be most effective and safe.

During the past 80 years an evolving integration of these processes, and the institutions operating them, has happened.

More recently, the concept of Integrated Water Resource Management (IWRM) has come to be the dominant theoretical basis for integrating and managing all of the complex set of resources, processes, governance structures, social and legal issues that surround water and sanitation management

The usual scale of IWRM is at the watershed, or drainage basin scale.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c810WaterManagement1.html[11/3/2014 5:17:00 PM] Water Management

Water Management Integrated Water Resource Management (IWRM)

IWRM developed from early concepts of integrating water agency and institutional activities to today's concept of adaptive management of integrated water and sanitation systems on a watershed scale where all the interests of all the people and institutions are taken into account.

IWRM is the theoretical basis for a process to do this, but particular IWRM plans are developed for each instance. There is no "common template" for IWRM for every watershed; it has to be developed through extensive consultations to take into account the interests of all of the stakeholders.

The evolution of IWRM was a slow process and evolved through four main stages: 1. The Sectoral Approach - 1820 to 1950s 2. The Cooperative Approach - 1960s and 1970s 3. Management-oriented IWRM - 1980s 4. Goal-oriented IWRM - 1990s to present

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c820IWRM.html[11/3/2014 5:17:00 PM] Towards IWRM

Towards IWRM

"IWRM is not a new idea, (it evolved) in the 1970s-80s as a response to sectoral approaches to water management.

While the conceptualization of the idea (cross-sectoral, participatory-driven, co-ordinated approaches to land and water management, on a watershed basis, at the scale of river valleys and river basins), has captured much interest and action, little work has been done in developing a rigorous theoretical basis.

IWRM derives from new approaches to resource management and planning, one which seeks collaboration and consensus building and using a systems approach to resource management.

The challenge remains to build this theoretical framework – should it be built solely on systems theory, or on a theory of consensual planning, on a theory of ecosystems science?"

Bruce Hooper

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c830TowardsIWRM.html[11/3/2014 5:17:00 PM] Progress towards IWRM

Progress towards IWRM?

More and more agencies are establishing administrative frameworks that permit and even encourage the management of water on a watershed basis.

Less frequently, however, is the management of water integrated with that of other resources that affect or are affected by water.

These other resources may include, at minimum, the intensity and nature of agricultural activities, forestry, and commercial fisheries.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c835ProgressIWRM.html[11/3/2014 5:17:00 PM] Water Management

Water Management - Summary Integrated Water Resource Management The process of IWRM has been described in many documents from many different sources, but the general consensus of most is based on the broadly accepted definition of IWRM as: "a process which promotes the coordinated development and management of water, land and related resources in order to maximize economic and social welfare in an equitable manner without compromising the sustainability of vital ecosystems and the environment " The Global Water Partnership (Internet Access Required)

This evolved from the Dublin Statement and Conference Report [on CD] (1992) and express a holistic, comprehensive, multi-disciplinary approach to water resource problems worldwide. It is based on four “guiding principles” which cover environmental, social, political, and economic issues:

1. “Fresh water is a finite and vulnerable resource, essential to sustain life, development, and the environment. . .”

2. “Water development and management should be based on a participatory approach, involving users, planners, and policy-makers at all levels. . .”

3. “Women play a central part in the provision, management, and safeguarding of water. . .”

4. “Water has an economic value in all its competing uses and should be recognized as an economic good. . . .”

The emphasis of the Dublin Statement on the economic value of water rather than water as a universal right is highly contested by NGOs and human rights activists. Up till today it is still the only binding UN document that makes a statement on the issue. In November 2002, however, the UN Committee on Economic, Social and Cultural Rights (Internet Access Required) adopted General Comment No. 15, which was formulated by experts as a comment on articles 11 and 12 of the International Covenant on Economic, Social and Cultural Rights. (Internet Access Required) In this comment, water is recognized not only as a limited natural resource and a public good but also as a human right. This step - adopting General Comment No. 15 - is seen as a decisive step towards the recognition of water as universal right, although the document has no legally binding power.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c840IWRM1.html[11/3/2014 5:17:01 PM] IWRM Problems and Issues

IWRM Problems and Issues The process of IWRM has not been without its critics; many people have criticized many aspects of the process and its results. In their paper -"Finding Practical Approaches to Integrated Water Resources Management" , John Butterworth, Jeroen Warner, Patrick Moriarty, Stef Smits and Charles Batchelor deal with many of those criticisms and suggest potential solutions.

ABSTRACT: Integrated Water Resources Management (IWRM) has often been interpreted and implemented in a way that is only really suited to countries with the most developed water infrastructures and management capacities. While sympathetic to many of the criticisms leveled at the IWRM concept and recognizing the often disappointing levels of adoption, this paper and the series of papers it introduces identify some alternative ways forward in a developmental context that place more emphasis on the practical in finding solutions to water scarcity. A range of lighter, more pragmatic and context-adapted approaches, strategies and entry points are illustrated with examples from projects and initiatives in mainly 'developing' countries. The authors argue that a more service- orientated (WASH, irrigation and ecosystem services), locally rooted and balanced approach to IWRM that better matches contexts and capacities should build on such strategies, in addition to the necessary but long-term policy reforms and river basin institution-building at higher levels. Examples in this set of papers not only show that the 'lighter', more opportunistic and incremental approach has potential as well as limitations but also await wider piloting and adoption.

Butterworth, J.; Warner, J.; Moriarty, P.; Smits, S. and Batchelor, C. 2010. "Finding practical approaches to Integrated Water Resources Management". www.water-alternatives.org Volume 3 Issue 1 Local version: IWRMconcepts and practice.pdf (on CD)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c850IWRMEXTRA.html[11/3/2014 5:17:01 PM] Distribution of Water on the Ear

Summary

We have seen the central importance of water to life on Earth and how it is distributed and cycled through the atmosphere, fresh and sea water.

It is an unfortunate fact that only a very small percentage of water is fresh water available for human consumption and use.

The population is increasing to 9 billion by 2050 and large parts of the Earth, mainly developing countries, will be under even more severe water stress than they are now.

The history of civilizations over the centuries is one of improvement in technologies of water management and supply, at even a fairly rapid rate during the Greco-Roman era, followed by a long period of dormancy until the Renaissance and the 19th century, when increasing populations spurred efforts to clean and supply water to the rapidly increasing city populations.

As the knowledge about the health issues surrounding water such as microbiological contamination and chemical pollution increased, more effort was devoted to water treatment and sanitation technologies. Eventually, chlorination of water supplies and safer distribution systems led to a drastic increase in the safety of the water supply leading to the eradication in developed countries of most water-borne infectious diseases. Even so, periodic outbreaks of protozoal and viral water-related diseases require constant vigilance.

It is important to remember that water issues and problems cannot be dealt with in isolation; just considering the interactions between water, food and energy, it is clear that they are closely related and interdependent. To solve water problems many related issues must be considered. In a similar vein, food problems cannot be solved without considering water and energy issues.

It is also important to recognize the gains that have been made on the last two decades in supplying safe water and sanitation to much of the world's population previously without it.

Subsequent courses in this programme will deal with some of these topics in more detail and will introduce other topics in water and health.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c890Summary.html[11/3/2014 5:17:01 PM] References List

Reference Materials

The Concept and Discussion Pages are identical

Bibliography

On-line Bibliography for IWRM

There is a substantial (+3200 references) bibliographic database available for searching on all aspects of IWRM, including water-health issues, at the Mendeley Website http://www.mendeley.com/groups/search/?query=un+water (Internet Access Required)

Search for "UN Water Learning Centre" go to "Papers" in the left-hand section and you can then search that IWRM database for any one of hundreds of keywords.

Go directly there now (Internet Access Required)

Briefly, to perform a full search on the numerous "tags" in the Bibliography, download the up-to-date full list of "Tags" from http://www.colinmayfield.com/wlc/tagslisting.txt (Internet Access Required). A local version of the listing of tags is here. This version may not be completely up-to-date.

Then, when in the "papers" section of the Group, click on any one of the "Top Tags" from the right-hand sidebar and replace its name in the URL bar at the top of the browser with the one you want to use.

The reason for this convoluted process is that Mendeley does not allow searches on all of the tags, only on a predetermined set of popular tags.

Extra Reading Materials on the CD - A selected List

If accessing this list causes problems (the browser does not return properly to the course materials), try right-clicking on the link and "open in a new window" or "Open in a new tag" or similar instructions in other browsers.

Disease

World Health Statistics - WHO 2012

Water-based diseases - Bachurova - IWA

Global health Risks - WHO 2010

Which Came First: Burden of Infectious Disease or Poverty? - Chase - PLOS 2010

Bibliography of Safe Water, Small Scale and Household Water Treatment - Microsoft Word

Drinking Water

Drinking Water Quality - Parker - IWA

Bibliography of Safe Water, Small Scale and Household Water Treatment - Microsoft Word

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c950ReferenceMaterial.html[11/3/2014 5:17:01 PM] References List

History

A Brief History of Water and Health - Parker - IWA

Ancient Water Technologies - Mays - Springer

Building terrestrial planets Morbidelli, Lunine, O'Brien, Raymond and Walsh

Water Gods – From Wikipedia

Health

Health Impact Assessment for Sustainable Water Management - Parker - IWA

Health-related Risk Assessment - Parker - IWA

Bibliography of Safe Water, Small Scale and Household Water Treatment - Microsoft Word

IWRM

The Dublin Statement

Web Issue Analysis: An Integrated Water Resource Management Case Study - Thelwall, Vann and Fairclough

Practical Approaches to IWRM - Butterworth, Warner, Moriarty, Smits and Batchelor - PLOS 2010

IWRM at a Glance - GWP

IWRM Background - For sustainable use of water - Snellen and Schrevel 2004

IWRM Brochure - Guidelines at a River basin Level - WWAP - UINESCO

Finding Practical Approaches to Integrated Water Resources Management - Butterworth, Warner, Moriarty, Smits and Batchelor

Water Conflict Chronology Timeline - Pacific Institute

Water for Peace - WWAP - UNESCO

Patterns in International Water Resource Treaties - Hamner and Wolf 1998

The Millenium Development Goals Report 2012 - UN

Safe Water for the Community - CDC

Water for Peace - WWAP - UNESCO

Sanitation

Sanitation - Miller -IWA

Helping Sanitation Enter the Era of Sustainability - Miller - IWA

Bibliography of Safe Water, Small Scale and Household Water Treatment - Microsoft Word

Water Quality

Water Quality and Purity - Parker - IWA

Bibliography of Safe Water, Small Scale and Household Water Treatment - Microsoft Word

file:///F|/Dropbox/WaterHealthNewFinal/Course1/concepts/wh001mo001c001c950ReferenceMaterial.html[11/3/2014 5:17:01 PM] Water and Health Title Page

Water and Health Programme Course 1 - Introduction

How to use the course materials:

The material is divided into Concept and Discussion sections. Most Concept pages are accompanied by a Discussion page. The Concept page gives a brief overview of the topic being considered and each Discussion page amplifies that overview into a more detailed review of the topic. The simple analogy is that the Concept pages are what you would see on a PowerPoint or blackboard summary in a lecture and the Discussion page is what the lecturer would say in class about that topic (or would provide in written lecture notes).

This means that you can use the Concept pages as a quick review of the topics by progressing through them in order using the Arrow icons at the top of the page (or in any order you want) and looking at the Discussion pages to amplify or remind you of the detailed content. This is very useful for a rapid review of course materials.

If you mark the level of understanding you have for each topic (from low to high - red to green) , you can then use these measures of understanding to review only those topics that you need to work on further or had difficulty with on first reading.

You may also add notes to any page or highlight materials for later study.

For Help with the StudySpace software, see the Help Section on the left-hand menu. To see a PowerPoint Presentation on the StudySpace software used in these Water-Health courses see this link. PowerPoint or PowerPoint Viewer (free from Microsoft) is required and PowerPoint Viewer is included for installation from the CD

Any page may contain references to extra materials; either on the CD or as an external web reference (URL) (usually marked as Internet Access Required). You can access the CD material directly but you need an internet connection to access the external references. These extra materials and the external web references are NOT required reading but are there for those who wish to look at certain topics in more detail or who want to go to the original sources of material. The CD references are given to amplify the topics and are usually well worth reading even though we will not normally require any detailed knowledge of their contents for this course.

You will also see listings of material such as bibliographies and data sources on the internet. We provide these in an attempt to make the courses more useful to you in your career or studies, but knowledge of them is NOT required. They are there to provide reference materials that might be useful to you.

In short, everything you need to know for this series of courses is on the CD,, but you have been given extra materials and internet references to supplementary materials for clarification if needed, for later use if it is relevant, or for you to pursue individual topics for your own interest.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d000TitlePage.html[11/3/2014 5:18:27 PM] Water and Health Title Page

Water and Health Programme Introduction to the Programme

The Water and Health Programme consists of a number of individual courses addressing the many issues surrounding the relationships between water and the health of people and populations.

Overview of Water-Health Programme Courses

Course 1 Introduction to Water & Health

History of Early Civilizations

History of Water

History of Water and Health

Global Water Issues – importance of water, current access to water and sanitation, history of water resources.

Global Health Issues – water quantity, water quality and health overview; global burden of waterborne disease; history of water-health; London cholera outbreak case study.

Water Supply (Water Quantity and Quality) - water cycle, hydrology, case studies for surface water e.g., Lake Victoria, marine and oceanic systems, groundwater.

Global Water Use and the Hydrogeological cycle – Patterns of use (global and regional) Consumptive versus non- consumptive uses, comparison of patterns of use, types of use and trends - water for human consumption, water for food, water for energy, water for industry, water for ecosystem health, water for recreation and tourism; management approaches for multiple uses IWRM watershed management.

Water Management and Introduction to IWRM – A brief overview of the history and practices of Integrated Water Resource Management

Information Sources on Water and Water-Health issues

Course 2 Water-Related Impacts on Health – Principles, Methods and Applications

Introduction – Viewing water and health through different macro lenses of user of water, needs and usage of water, quality of water and availability of water. Closer look at the intersection of these lenses where impacts occur from a needs assessment and risk assessment perspective. Look at processes for the identification of potential hazards and impacts and standard methods for evaluating prioritizing and reporting acute and chronic exposures to different types of contaminants and applied in assessing and responding in situations with threats of significant potential for causing harmful effects local scale and global scale. Health issues associated with extreme events, watershed diseases, hygiene and drought and flooding.

Water Quality – What are contaminants affecting water quality, biological microbiological and chemical and physical. What are pollution sources, point source and diffuse non-point sources.

Impacts of Water Quantity and Quality on Health – Impacts of water quality and quantity on environmental and public health. Practical methods for measuring and assessing water quality, methods for monitoring and surveillance of water quality and hygiene for use by households, schools, and the community.

Exposure - Disease transmission routes and exposure routes and exposure pathways to contaminants in water, pathogens and parasites and toxic chemicals. Acute and chronic exposures. The faecal-oral exposure pathway of disease and zoonosis. Factors influencing exposures, including differences in life-stages, children, pregnant women and other vulnerable populations.

Toxicology Epidemiology and Risk Assessment - Basic principles and methods and applications. Brief history of epidemiology and application of demographics pertaining to water-related disease. General risk assessment frameworks and integration of risk communication and risk management, including deterministic versus probabilistic risk assessment, cumulative risk assessment, and qualitative and quantitative studies. Drinking water guidelines by the World Health Organization and their development and application.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d001Introduction.html[11/3/2014 5:18:27 PM] Water and Health Title Page

Case studies - Examples of case studies and different types of contaminants and exposure pathways such as, food contamination, guinea worm, arsenic in drinking water, fluoride, pesticides and pharmaceuticals and personal care products.

Social surveys – What are social surveys. How are social surveys conducted and constructed. Data analysis and information.

Risk Communication and Risk Management Challenges –Demographics, language and literacy, and hazard identification of public health emergency of international concern.

Course 3 Technical Solutions for Water & Health

Water Treatment Methods and Water Distribution Systems– Introduction to safe drinking water and the multiple-barrier approach and other water treatment methods. Novel water treatment and purification systems. Examples of different types of water distribution systems. Household water treatment systems.

Source Water Protection - Protecting the source water supply and health issues associated with water treatment and distribution (see also Course 1 and 2). To be added in future are the following topics –water towers, reservoirs, cisterns and rain barrels and other rain and water collection and storage methods for water supply and case studies.

Point of Use, Conventional Drinking Water Treatment, and Advanced Drinking Water Treatment - Selection for the optimization of treatment system configuration- multiple barrier approach.

Sanitation and Wastewater Treatment systems including - Decentralized Treatment, Constructed Wetlands, Conventional Waste Water Treatment, and Advanced Waste Water Treatment -– Overview, sanitation hygiene and wastewater, Ecosan, waste treatment systems, health issues associated with waste treatment (see also Course 1 and 2), non-technical solutions (constructed wetlands). Resource materials are provided on education and participatory approaches. Case studies of wastewater treatment and wetlands construction.

Course 4 Water Ethics, Governance, Law, Economics and Social Intervention

Water and Ethics

Human Rights & Social Justice

Managing Water

Integrating Water and Health

Challenges to Integration

Moving Forward -- Managing Watersheds for Health

Course 5 Challenges for WaSH

Introduction – About 2.5 billion people lack improved sanitation facilities, and 768 million people still use unsafe drinking water sources, according to the latest estimates of the WHO/UNICEF Joint Monitoring Programme for Water Supply and Sanitation (JMP), released in early 2013. Inadequate access to safe water and sanitation services, coupled with poor hygiene practices, kills and sickens thousands of children every day, and leads to impoverishment and diminished opportunities for thousands more.

Challenges for WaSH - The following challenges for WaSH are discussed in the course: disease prevention; disease intervention; maternal health; newborn infant and preschool health; school health.

Water and Sanitation -The importance of water and sanitation in religious and cultural traditions, and in ecological food webs and food networks.

Applications of WaSH – including WaSH and Energy; WaSH and social well-being; WaSH and Tourism, and WaSH in disasters. Case studies for WaSH file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d001Introduction.html[11/3/2014 5:18:27 PM] Water and Health Title Page

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d001Introduction.html[11/3/2014 5:18:27 PM] Untitled 1

Course 1 - Introduction to the Water-Health programme

Overview

To see a PowerPoint Presentation on the StudySpace software used in these Water-Health courses see this link on the CD.

PowerPoint or PowerPoint Viewer (free from Microsoft) is required and it is included for installation from the CD

Early History of the Earth

The history of water and civilizations

Human evolution and water - Prehistoric times

Ancient civilizations and water

The last 1000 years

Progress through the centuries

The Water Cycle

The Hydrologic cycle

Cycling of water

Quantity of water recirculating in the cycle

Residence times of water in various parts of the cycle

Amount of water available for use by populations

Global Climate Change and its Effects on the cycle

Water Resources (details of surface, water, groundwater, oceanic and coastal systems)

Water availability

Why Water is important in Health

Global Water Issues

Population Pressure

Water quantity

Water uses

Water quality issues

Distribution

Patterns of use

Global and regional

Consumptive and non-consumptive

Uses of water

Drinking water (municipal, treated at home, untreated)

Agriculture (arable, animal watering, aquaculture, etc) file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d002Course1.html[11/3/2014 5:18:27 PM] Untitled 1

Industrial

Ecosystem requirements

Water and Civilizations

Ancient Water Systems

1000 CE to the Present day

Civilization Timeline and History Overview

Global Health Issues related to water

Overview of water related illnesses and health problems

Water requirements for health

Water requirements for other activities

Water and Diseases

Water Quantity, Quality, Health requirements (hygiene and sanitation)

Oveview of Water Treatment

Overview of Sanitation

Water Conflicts

Water Management

Integrated Water Resource Management

History, Theory, Practices, Outcomes and Assessment

Data and Information Access

Bibliographic Information

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d002Course1.html[11/3/2014 5:18:27 PM] Introduction - Water Supplies

Historical background to water and health - 2

Complete History of the Earth - The Geologic Time Clock

All of the Earth’s evolution expressed as a clock with 12 hours in a different graphical representation

Notice that:

1. Photosynthesis started around 3.5 billion years ago and led eventually to an oxygen rich atmosphere about 2.3 billion years ago (see the outer purple line for “prokaryotes” that were responsible for photosynthesis)

2. Eukayotes emerged just over 2 billion years ago followed by multicellular organisms about 1.5 billion years ago

3. Land plants evolved at 450 million years ago allowing land animals to evolve

4. The first vertebrates occurred around 380 millions years ago and dinosaurs existed from 230 to 65 million years ago

5. First humans at 2 millions years ago (it almost doesn’t show on the clock!)

6. Modern recorded history and civilization only occupies the last 10,000 years (or less than the blink of an eye on the 12 hour clock!)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d003EarlyHistory1Title.html[11/3/2014 5:18:27 PM] Introduction - Water Supplies

The (GTS) is a system of chronological measurement that relates stratigraphy to time, and is used by geologists, paleontologists, and other earth scientists to describe the timing and relationships between events that have occurred throughout Earth's history. The table of geologic time spans presented here agrees with the dates and nomenclature set forth by the International Commission on Stratigraphy standard color codes of the International Commission on Stratigraphy. Evidence from radiometric dating indicates that the Earth is about 4.54 billion years old.

Extra Material:

The geology or deep time of Earth's past has been organized into various units according to events which took place in each period. Different spans of time on the GTS are usually

delimited by changes in the composition of strata which correspond to them, indicating major geological or paleontological events, such as mass extinctions. For example, the boundary

between the Cretaceous period and the Paleogene period is defined by the Cretaceous–Paleogene extinction event, which marked the demise of the dinosaurs and many other groups of

life. Older time spans which predate the reliable fossil record (before the Proterozoic Eon) are defined by the absolute age. (from Wikipedia

http://en.wikipedia.org/wiki/Geologic_time_scale)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d003EarlyHistory1Title.html[11/3/2014 5:18:27 PM] A simpler view of the history of

Where did the water come from?

A simpler view of the history of the Universe and the Earth.

Humans appear in the last few minutes of the clock.

All of recorded history is shorter still!

There are many interesting questions (many still to be answered) about this evolutionary process

An interesting one from our point of view in this course is "Where did the water come from on Earth?"

That question is not as easy to answer as one might expect!

In a paper on the formation of planets, Morbidelli et al. (Adobe Reader required) model the early evolution of differently-sized planets and speculate that water could have come from three sources;

1. From the nebula dust cloud by the early Earth capturing hydrogen from the nebula that was subsequently oxidized to water through chemical reactions. This theory is somewhat at odds with the ratio of Deuterium to Hydrogen in water and the time scale required for it to occur seems to be too long.

2. From water contained in comets bombarding the early Earth (although their models show this could only have contributed about 10% of the water)

3. By the early Earth accreting water by bombardment with primitive very small planets and asteroids present in the outer asteroid belt. According to their calculations, this could account for sufficient water accumulation during the later stages of Earth's formation

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d005Sourceofwater.html[11/3/2014 5:18:28 PM] A simpler view of the history of

Wherever the water came from, it now comprises about 0.0005 to 0.005 of the Earth's mass - a significant but still small percentage. The evolution of life could not proceed until there was liquid water and the first procaryotes (single celled organisms with no distinct membrane around their nucleus) evolved in that water around 4.2 billion years ago. They eventually produced atmospheric oxygen in sufficient quantities for single-celled eucaryotes (with a nuclear membrane) to evolve followed by multicellular eucaryotes, marine animals ( which later colonized the land surface), followed by primates and humans.

A video of stages in the formation of the Earth is available at http://www.bbc.co.uk/science/earth/earth_timeline (Internet Connection Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d005Sourceofwater.html[11/3/2014 5:18:28 PM] Human Migration Timeline

Human Migration Timeline

In an excellent analysis of human genetics, Stephen Oppenheimer was able to trace the migration routes of humans from Africa around the entire Earth over a period of 160,000 years.

The results were compiled and presented in an interactive animation available on-line at http://www.bradshawfoundation.com/journey/ (Internet Access Required). With this, you can track the migration of humans and relate it to major climatic events such as the glaciation periods, large volcanic eruptions causing climate change and other factors. Based on a synthesis of the mtDNA and Y chromosome evidence with archaeology, climatology and fossil study, Stephen Oppenheimer has tracked the routes and timing of migration, also placing it in context with ancient rock art around the world.

Also available is the Journey of Mankind lecture film at http://www.bradshawfoundation.com/stephenoppenheimer/journey_of_mankind.php. (Internet Access Required)

If you have problems with the video playing intermittently, allow more of it to download by pressing "Pause" and waiting till more video has downloaded before starting to "Play" again.

The image below is the final view of human migration patterns from the website. Click the image to go to the animation on the Internet at http://www.bradshawfoundation.com/journey/ (Internet Access Required)

Homo sapiens are supposed to have appeared in East Africa around 200,000 years ago. The oldest individuals found left their marks in the Omo remains (195,000 years ago) and the sapiens idaltu (160,000 years ago), that was found at the Middle Awash site in Ethiopia. Recent claims of remains of anatomically modern humans from 400,000 years ago, found at Qesem Cave (Israel), are controversial. Some authors argue that these remains are from or their ancestors. From there they spread around the world. An exodus from Africa over the Arabian Peninsula around 125,000 years ago brought modern humans to Eurasia, with one group rapidly settling coastal areas around the and one group migrating north to steppes of Central Asia. There is some evidence for the argument that modern humans left Africa at least 125,000 years ago using two different routes: the Nile Valley heading to the Middle East, at least into modern Israel (Qafzeh: 120,000–100,000 years ago); and a second one through the present-day Bab-el-MandebStrait on the Red Sea (at that time, with a much lower sea level and narrower extension),

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d008HumanMigration.html[11/3/2014 5:18:28 PM] Human Migration Timeline

crossing it into the Arabian Peninsula, settling in places like the present-day United Arab Emirates (125,000 years ago) and Oman (106,000 years ago)] and then possibly going into the Indian Subcontinent (Jwalapuram: 75,000 years ago). Despite the fact that no human remains have yet been found in these three places, the apparent similarities between the stone tools found at Jebel Faya, the ones from Jwalapuram and some African ones suggest that their creators were all modern humans. These findings might give some support to the claim that modern humans from Africa arrived at southern China about 100,000 years ago (Zhiren Cave, Zhirendong, Chongzuo City: 100,000 years ago, and the Liujiang hominid: controversially dated at 139,000–111,000 years ago). Since these previous exits from Africa did not leave traces in the results of genetic analyses based on the Y chromosome and on MtDNA (which represent only a small part of the human genetic material), it seems that those modern humans did not survive or survived in small numbers and were assimilated by our major antecedents. An explanation for their extinction (or small genetic imprint) may be the Toba catastrophe theory (74,000 years ago). However, some argue that its impact on human population was not dramatic. According to the Recent African Origin theory a small group living in East Africa migrated north east, possibly searching for food or escaping adverse conditions, crossing the Red Sea about 70 millennia ago, and in the process going on to populate the rest of the world. According to some authors, based in the fact that only descendants of a particular genic group (L3) are found outside Africa, only a few people left Africa in a single migration to a settlement in the Arabian peninsula. From that settlement, some others point to the possibility of several waves of expansion close in time. For example, Wells says that the early travelers followed the southern coastline of Asia, crossed about 250 kilometers [155 miles] of sea (probably by simple boats or rafts]), and colonized Australia by around 50,000 years ago. The Aborigines of Australia, Wells says, are the descendants of the first wave of migration out of Africa. There is some evidence (Internet Access Required) that the human race was reduced to about 10,000 individuals 74,000 years ago. We only just escaped extinction! Around 50,000 years ago the world was entering the last ice age and water was trapped in the polar ice caps, so sea levels were much lower. Today at the Gate of Grief the Red Sea is about 12 miles (20 kilometres) wide but 50,000 years ago it was much narrower and sea levels were 70 metres lower. Though the straits were never completely closed, there may have been islands in between which could be reached by simple rafts. Shell middens 125,000 years old indicate that the diet of early humans in Eritrea included sea food obtained by beachcombing. This has been seen as evidence that humans may have crossed the Red Sea in search of food sources on new beaches. Modified from: Wikipedia: http://en.wikipedia.org/wiki/Early_human_migrations (Internet Access Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d008HumanMigration.html[11/3/2014 5:18:28 PM] History of Civilization

Timelines of Ancient Civilizations

Some initial observations:

No major health differences between populations on the various continents during the Stone Age. We all started from the same place as hunter-gatherers. At least four more stages in development after that:

1. Hunter-gatherer societies (up to about 10,000 years ago) 2. Agriculture (10,000 to 5,000 years ago) 3. Empires (5,000 to 1,000 years ago) 4. European dominance (1,000 to 50 years ago) 5. The present day The next few pages provide a capsule view of the stages in development and important civilizations and their relation to water over the centuries. We also will attempt to explain the divergence between different parts of the world in terms of development of civilizations and technology.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d010TimelineCivilization.html[11/3/2014 5:18:28 PM] Hunter-gatherer society

Prehistoric and Hunter-Gatherer Societies

A hunter-gatherer society is one whose primary subsistence method involves: 1) direct procurement of edible plants and animals from the wild, and 2) foraging and hunting without significant recourse to the domestication of either.

The Mesolithic or "Middle Stone Age” was the period in the development of human technology between the Paleolithic and Neolithic periods of the Stone Age. Flint tools, bows, fishing tackle and canoes appear.

The Neolithic, or “New Stone Age” was an era of primitive social and technological development including villages, agriculture, animal domestication

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d040HunterGatherer.html[11/3/2014 5:18:28 PM] Agriculture and Human Developmen

Agriculture and Human Development

A major change occurred about the 10th millennium BCE with the adoption of agriculture. The Sumerians first began farming c. 9500 BCE. By 7000 BCE, agriculture had been developed in India and Peru separately; by 6000 BCE, to Egypt; by 5000 BCE, to China.

• About 2700 BCE, agriculture had come to Mesoamerica.

• Although attention has tended to concentrate on the Middle East's Fertile Crescent, archaeology in the Americas, East Asia and Southeast Asia indicates that agricultural systems, using different crops and animals, may in some cases have developed there nearly as early.

• The development of organized irrigation, and the use of a specialized workforce, by the Sumerians, began about 5500 BC. Stone was supplanted by bronze and iron in implements of agriculture and warfare.

• Agricultural settlements had until then been almost completely dependent on stone tools. In Eurasia, copper and bronze tools, decorations and weapons began to be commonplace about 3000 BC. After bronze, the Eastern Mediterranean region, Middle East and China saw the introduction of iron tools and weapons

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d050Agriculture1.html[11/3/2014 5:18:28 PM] Agriculture

The Origins of Agriculture

Major Crops

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The 5 most important crops were, and are:

• Wheat - in Syria/Turkey/Iran

• Maize - in Mexico

• Rice - in China

• Potato - in Peru

• Cassava - in Brazil

• The “other five” are millet, sorghum, sweet potato, yams and bananas

Domesticated animals were, and are:

• Cow, horse, sheep, pig, goat, camel, llama, chicken, duck and turkey.

• and NOT – water buffalo, zebra, kangaroo, wombat, etc.

Why these plants and animals?

· Why at these locations?

· Why not elsewhere?

· Why have there been no new discoveries of “domesticatable” plants or animals?

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d060Agriculture2.html[11/3/2014 5:18:29 PM] Agriculture

The simple answers:

· Where nature provided suitable animals and plants for domestication, people developed agriculture.

· All major domestic crops and animals were in use 4000 years ago. No others have been found since then, although many have been tried.

· Notice: none of the crops are native to Europe The result was that: Agriculture enabled the population to increase by 100-fold from 10 million at the end of the Stone Age to 1 billion at the beginning of the Industrial Revolution (circa 1810-1820). More food improved nutrition and general health but, because of increased population density, led to the spread of new and infectious diseases such as measles and smallpox. May also have resulted in more deficiency diseases (iron and others) However, overall effect was favourable as shown by increased population.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d060Agriculture2.html[11/3/2014 5:18:29 PM] Distribution of social and techn

Distribution of social and technological systems in early history - An Overview

Click on each map for a larger version in a new window (and then click on that new map to enlarge it)

Distribution of social and technological systems in 2000 BCE

There are one or two state societies in the Middle East and South America, but most of the world is comprised of hunter-gatherer, nomadic, simple farming, or complex farming societies

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d070CivilizationsEarly.html[11/3/2014 5:18:29 PM] Distribution of social and techn

Distribution of social and technological systems in 1000 BCE

Agriculture enabled expansion of farming communities either through spread of the methods or by conquest (probably mainly by conquest!) It led to the establishment of larger communities and eventually kingdoms and civilizations in what is now China, India, Iran, Egypt and Mexico.

Why in those places? 1.Spread of agricultural technology and crops was easiest in an East-West direction since the major land masses are arranged in that direction and:

2. There are barriers in the North-South direction such as mountains, the Central American forest and the Saharan

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d070CivilizationsEarly.html[11/3/2014 5:18:29 PM] Distribution of social and techn

desert

Distribution of social and technological systems in 500 BCE

More state societies emerge in India and China. Empires develop in the Middle East

Distribution of social and technological systems in 200 BCE

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d070CivilizationsEarly.html[11/3/2014 5:18:29 PM] Distribution of social and techn

Then: More Empires develop in Rome, Greece, India and China. More state societies develop.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d070CivilizationsEarly.html[11/3/2014 5:18:29 PM] Barriers affecting Empires

Empires - General Historical Context

For a large scale economic, social and cultural unit like an Empire to develop, there are some obvious criteria:

1. A population large enough and producing enough excess food to

sustain non-agricultural workers an education system to produce skilled workers and bureaucrats a concentration of artisans and bureaucrats in cities and a ruling class sufficiently powerful to impose order and organization in some manner

2. Some kind of armed force to protect the Empire against invaders and/or internal rebellion

3. A succession program for the rulers to prevent too much competition for the ruling positions

Interesting early examples of Empires are those of China and Mongolia.

They had different ways of establishing and maintaining their Empire - the Mongolians under Kublai and Genghis Khan rapidly expanded by force of arms with superior fighting strategy and tactics - their succession was by a meeting of the leaders in their capital city - this saved Europe when the conquering army off Genghis Khan had to return to Mongolia for those succession meetings just before they finished their conquests. Nothing had stopped them until that point.

The Chinese Empires were based on a well-organized bureaucracy (which is why top civil servants today are often called "mandarins") and either negotiation or treaties between regions,. Some actually used water as a weapon against rebellious provinces; in times a water shortages, they cut off rebellious provinces and gave the water to loyal ones - a very powerful incentive to stay loyal. External threats were dealt with by a large armed force, but even if that failed, the invaders were often assimilated into Chinese culture and society.

For an animated view of the rise and fall of civilizations and empires from 1 to 900 CE - Right-click this link and "Open in new window" It is a very large map of the world that cycles through the period from 1 to 900 CE - you can enlarge or decrease the size of the map by zooming your browser and then move around it by using the page "sliders"

Derived and modified from: http://commons.wikimedia.org/wiki/ (Internet Access Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d080Empires.html[11/3/2014 5:18:29 PM] Barriers affecting Empires

Barriers affecting Empires

Physical barriers played a large role in allowing and preventing the spread of crops, technologies and social institutions in early history. Travel and communications was very difficult in a North-South direction in Africa, South-East Asia and Australia and in South America due to deserts, large ocean expanses, small islands, mountain ranges and other difficult terrain. It was easier in an East-West direction between Asia, the Middle East and Europe by overland routes with many intermediate stopping places. The result was that:

· Civilizations that developed early on the Eurasian continent gradually came into contact with each other and transferred technology and institutional arrangements.

· Europe had no native crops and did not develop an early civilization but was able to “import” agriculture, crops and technologies from the others (Iran, Egypt and China) since movement was easy in that East-West direction.

· The kingdoms of Sub-Saharan Africa were involved to a very limited extent

· The civilizations in the American continent (Mayans, Incas and Aztecs) were isolated from Eurasia and also largely from each other

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d090Barriers.html[11/3/2014 5:18:29 PM] The Fertile Crescent – General H

The Fertile Crescent – General Historical Context

The Fertile Crescent is regarded as the birthplace of agriculture, urbanization, writing, trade, science, history and organized religion and was first populated c.10,000 BCE (Before Current Era) when agriculture and the domestication of animals began in the region. By 9,000 BCE the cultivation of wild grains and cereals was wide-spread and, by 5000 BCE, irrigation of agricultural crops was fully developed. By 4500 BCE the cultivation of wool-bearing sheep was practiced widely. The first cities began around 4300 BCE and cultivation of wheat and grains was practiced. The unusually fertile soil of the region encouraged the cultivation of wheat as well as rye, barley and From 3400 BC, the priests (who were also the rulers of the cities) were responsible for the distribution of food and the careful monitoring of surplus for trade.

By 2300 BCE, soap was produced from tallow and ash and was in wide use. Attention to one’s person in terms of hygiene was stressed in that human beings were thought to have been created as help-mates to the gods and so should make themselves presentable in the performance of their duties (this was especially so for the Priestly Class). By 2000 BCE, Babylon controlled the Fertile Crescent and the region saw advances in law (Hammurabi’s famous code) literature (The Epic of Gilgamesh, among other works) religion (the development of the Babylonian pantheon of the gods) science and math. From 1900-1400 BCE trade with Europe, Egypt, Phoenicia and the Indian sub-continent was flourishing, resulting in the spread of literacy, culture and religion between these regions.

The region changed hands many times through the ages. By 600 BCE the Assyrians controlled the Fertile Crescent and, by 580, the Neo-Babylonian Chaldean Empire under Nebuchadnezzar II ruled the region. In 539 BCE Babylon fell to the Cyrus the Great after the Battle of Opis and the lands fell under the control of the Achaemenid Empire (also known as The First Persian Empire). Alexander the Great invaded the area in 334 BCE and, after him, it was ruled by the Parthians until the coming of Rome in 116 CE. After the short-lived Roman annexation and occupation, the region was conquered by the Sassanid Persians (c. 226 CE) and, finally, by the Arabian Muslims in the 7th century CE.

By then, the knowledge from the cities which grew up beside the Tigris and Euphrates Rivers had long been disseminated throughout the ancient world but the cities themselves were mostly in ruins through the destruction caused by the many military conquests in the region as well as natural causes such as earthquakes and fire. Over-use of the land and urbanization also resulted in the decline and eventual abandonment of the cities. Eridu, considered by the early Mesopotamians to be the first city on earth, built and inhabited by the gods, had been abandoned since 600 BCE, Uruk, the city of Gilgamesh, since 200 CE and Babylon, the city which gave writing, law and culture to the world was a vacant ruin.

Modified from Wikipedia

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d091FertileCrescent.html[11/3/2014 5:18:30 PM] Ancient Chinese Dynasties

Ancient Chinese Dynasties - General Historical Context

"Territories of Dynasties in China" by Ian Kiu - Zhou Dynasty 1000 B.C. from "The Chou Dynasty, 11th-9th Centuries B.C."Warring States 350 B.C. from "The Contending States- Boundaries of 350 B.C."Han Dynasty 100 B.C. from "Economic Development under the Earlier Han Dynasty, ca. 100 B.C."Sui Dynasty 581 A.D. from "The Sui Dynasty, 581-618 A.D."Tong Dynasty 700 A.D. from "The T'ang Dynasty, 618-906 A.D.-Boundaries of 700 A.D."Albert Herrmann (1935). History and Commercial Atlas of China. Harvard University Press.. Licensed under Creative Commons Attribution-Share Alike 3.0 via Wikimedia Commons - http://commons.wikimedia.org/wiki/File:Territories_of_Dynasties_in_China.gif#mediaviewer/File:Territories_of_Dynasties_in_China.gif

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d092china.html[11/3/2014 5:18:30 PM] Ancient Chinese Dynasties

Extra: Click Image for a PowerPoint slideshow summarizing the Chinese Dynasties (on CD)

Extra: If you have difficulties with PowerPoint, the file is available here as an Adobe Acrobat Reader PDF file on the CD

Summary:

China is one of the areas where civilization developed earliest. It has a recorded history of nearly 5,000 years.

More than a million years ago, primitive human beings lived on the land now called China. About 400,000 to 500,000 years ago, the Peking Man, a primitive man that lived in Zhoukoudian southwest of Beijing, was able to walk with the body erect, to make and use simple tools, and use fire. Six to seven thousand years ago, the people living in the Yellow River valley supported themselves primarily with agriculture, while also raising livestock. More than 3,000 years ago these people began smelting bronze and using ironware.

In China, slave society began around the 21st century B.C. Over the next 1,700 years, agriculture and animal husbandry developed greatly and the skills of silkworm-raising, raw-silk reeling and silk-weaving spread widely. Bronze smelting and casting skills reached a relatively high level, and iron smelting became increasingly sophisticated. The Chinese culture flourished, as a great number of thinkers and philosophers emerged, most famously Confucius.

In 221 B.C., Qin Shi Huang, the first emperor of the Qin Dynasty, established a centralized, unified, multi-national feudal state. This period of feudal society continued until after the Opium War in 1840. During these 2,000 years, China's economy and culture continued to develop, bequeathing a rich heritage of science and technology, literature and the arts. The four great inventions of ancient China - paper-making, printing, the compass and gunpowder - have proved an enormous contribution to world civilization.

Chinese civilization peaked at Tang Dynasty (618-907) when Tang people traded with people all over the world. This is why Chinese residing overseas often call themselves Tang Ren, or the People of Tang.

In 1840, anxious to continue its opium trade in China, Britain started the Opium War against China. After the war, the big foreign powers forcibly occupied "concessions" and divided China into "spheres of influence"; thus, China was transformed into a semi- colonial, semi-feudal society.

In 1911, the bourgeois democratic revolution (the Xinhai Revolution) led by Sun Yat-sen abolished the feudal monarchy, and established the Republic of China, therefore starting the modern history of China.

In 1949, Chinese Communist Party established the People's Republic of China, driving Kumingtang Party to Taiwan Island.

From: http://polaris.gseis.ucla.edu/yanglu/ECC_HISTORY_SUMMARY.htm (Internet Access Required)

Extra - A very detailed timeline is available at http://en.wikipedia.org/wiki/Timeline_of_Chinese_history (Internet Access Required)

Extra - Another good, short history is at http://condensedchina.com/index.html (Internet Access Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d092china.html[11/3/2014 5:18:30 PM] The Indus Valley Civilization -

The Indus Valley Civilization - 3300–1300 BCE - General Historical Context

The Indus Valley Civilization (IVC) was a Bronze Age civilization (3300–1300 BCE; mature period 2600–1900 BCE) in the northwestern region of the Indian subcontinent, consisting of what is now mainly present-day Pakistan and northwest

India. Flourishing around the Indus River basin, the civilization extended east into the Ghaggar-Hakra River valley and the upper reaches Ganges-Yamuna Doab; it extended west to the Makran coast of Balochistan, north to northeastern Afghanistan and south to Daimabad in Maharashtra. The civilization was spread over some 1,260,000 km², making it the largest known ancient civilization.

The Indus Valley is one of the world's earliest urban civilizations, along with its contemporaries, Mesopotamia and Ancient Egypt. At its peak, the Indus Civilization may have had a population of well over five million. Inhabitants of the ancient Indus river valley developed new techniques in handicraft (carnelian products, seal carving) and metallurgy (copper, bronze, lead, and tin). The civilization is noted for its cities built of brick, roadside drainage system, and multistoried houses.

The Indus Valley Civilization is also known as the Harappan Civilization, as the first of its cities to be unearthed was located at Harappa. There were earlier and later cultures, often called Early Harappan and Late Harappan, in the same area of the Harappan Civilization. The Harappan civilisation is sometimes called the Mature Harappan culture to distinguish it from these cultures. Over 1,056 cities and settlements have been found, out of which 96 have been excavated, mainly in the general region of the Indus and Ghaggar-Hakra river and its tributaries. Among the settlements were the major urban centres of Harappa, Lothal, Mohenjo-daro (UNESCO World Heritage Site), Dholavira, Kalibanga, and Rakhigarhi.

Modified from Wikipedia

Extra: Documentary Video "Masters of the River" - from http://dharma-documentaries.net/the-indus-valley-the-masters-of- the-river (Internet Access Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d093Indus.html[11/3/2014 5:18:30 PM] Egypt – General Historical Conte

Egypt – General Historical Context People began to settle in the Nile valley in about 7000 B.C.. They farmed the land, kept animals, and built permanent homes on the banks of the Nile. Since early history, civilization in Egypt has been closely linked with the annual flooding of the Nile River. Daily life in ancient Egypt revolved around the Nile and the fertile land along its banks. The yearly flooding of the Nile enriched the soil and brought good harvests and wealth to the land. The ancient Egyptians thought of Egypt as being divided into two types of land, the 'black land' and the 'red land'.

The 'black land' was the fertile land on the banks of the Nile. The ancient Egyptians used this land for growing their crops. This was the only land in ancient Egypt that could be farmed because a layer of rich, black silt was deposited there every year after the Nile flooded.

The 'red land' was the barren desert that protected Egypt on two sides. These deserts separated ancient Egypt from neighbouring countries and invading armies. They also provided the ancient Egyptians with a source for precious metals and semi-precious stones.

Narmer (also known as Menes) was the first Egyptian pharaoh to conquer and rule over Upper and Lower Egypt. (3100 BCE)

The first stone pyramid built in ancient Egypt was the 'Step Pyramid'. The Step Pyramid was built at Saqqara for the

pharaoh Djoser. It was made by building several 'steps' or layers of stone on top of each other.

In about 2200 B.C. the government in ancient Egypt collapsed and many people fought to become the ruler of ancient Egypt. For about 150 years, Upper and Lower Egypt had different rulers. Ahmose was a pharaoh who ruled ancient Egypt from 1550 B.C. to 1525 B.C.. In about 1550, Ahmose became pharaoh of Upper and Lower Egypt. The Assyrians came from Mesopotamia. They conquered Egypt in 669 B.C., and controlled the country until 525 B.C The Persians came from the Near East. They conquered Egypt in 525 B.C. and controlled the country until 332 B.C. file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d095Egypt.html[11/3/2014 5:18:30 PM] Egypt – General Historical Conte

Alexander the Great (352-323 B.C.) came from Macedonia. Alexander had conquered much of Greece and the Levant by the time he was about 20 years old. In 332 B.C. Alexander conquered Egypt.

He founded the city of Alexandria on the Mediterranean coast, then left Egypt to continue his battles in the Near East. Alexander conquered territories as far east as India. However, in 323 B.C. he died of a fever.

In A.D. 642 Egypt was conquered by Arabs who came from lands in the east.

1517 – The Ottaman Turks ruled Egypt In the late eighteenth century, the French ruler, Napoleon Bonaparte invaded Egypt. In 1798, he fought against the rulers of Egypt called the Mamelukes. Napoleon and the Mamelukes fought a major battle near the pyramids of Giza.

A built in the 1960s to control the annual flooding of the Nile, and to create a reservoir. The water flowing from the Nile sources collects south of the dam forming Lake Nasser. Lake Nasser covers much of the area that was ancient Nubia.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d095Egypt.html[11/3/2014 5:18:30 PM] Egypt – General Historical Conte

Egypt – General Historical Context People began to settle in the Nile valley in about 7000 B.C.. They farmed the land, kept animals, and built permanent homes on the banks of the Nile. Since early history, civilization in Egypt has been closely linked with the annual flooding of the Nile River. Daily life in ancient Egypt revolved around the Nile and the fertile land along its banks. The yearly flooding of the Nile enriched the soil and brought good harvests and wealth to the land. The ancient Egyptians thought of Egypt as being divided into two types of land, the 'black land' and the 'red land'.

The 'black land' was the fertile land on the banks of the Nile. The ancient Egyptians used this land for growing their crops. This was the only land in ancient Egypt that could be farmed because a layer of rich, black silt was deposited there every year after the Nile flooded.

The 'red land' was the barren desert that protected Egypt on two sides. These deserts separated ancient Egypt from neighbouring countries and invading armies. They also provided the ancient Egyptians with a source for precious metals and semi-precious stones.

Narmer (also known as Menes) was the first Egyptian pharaoh to conquer and rule over Upper and Lower Egypt. (3100 BCE)

The first stone pyramid built in ancient Egypt was the 'Step Pyramid'. The Step Pyramid was built at Saqqara for the

pharaoh Djoser. It was made by building several 'steps' or layers of stone on top of each other.

In about 2200 B.C. the government in ancient Egypt collapsed and many people fought to become the ruler of ancient Egypt. For about 150 years, Upper and Lower Egypt had different rulers. Ahmose was a pharaoh who ruled ancient Egypt from 1550 B.C. to 1525 B.C.. In about 1550, Ahmose became pharaoh of Upper and Lower Egypt. The Assyrians came from Mesopotamia. They conquered Egypt in 669 B.C., and controlled the country until 525 B.C The Persians came from the Near East. They conquered Egypt in 525 B.C. and controlled the country until 332 B.C. file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d095Eygypt.html[11/3/2014 5:18:30 PM] Egypt – General Historical Conte

Alexander the Great (352-323 B.C.) came from Macedonia. Alexander had conquered much of Greece and the Levant by the time he was about 20 years old. In 332 B.C. Alexander conquered Egypt.

He founded the city of Alexandria on the Mediterranean coast, then left Egypt to continue his battles in the Near East. Alexander conquered territories as far east as India. However, in 323 B.C. he died of a fever.

In A.D. 642 Egypt was conquered by Arabs who came from lands in the east.

1517 – The Ottaman Turks ruled Egypt In the late eighteenth century, the French ruler, Napoleon Bonaparte invaded Egypt. In 1798, he fought against the rulers of Egypt called the Mamelukes. Napoleon and the Mamelukes fought a major battle near the pyramids of Giza.

A dam built in the 1960s to control the annual flooding of the Nile, and to create a reservoir. The water flowing from the Nile sources collects south of the dam forming Lake Nasser. Lake Nasser covers much of the area that was ancient Nubia.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d095Eygypt.html[11/3/2014 5:18:30 PM] Greece – General Historical Cont

Greece – General Historical Context

The history of Greece starts in Neolithic times with some small settlements, prroceeds through the Bronze Age when Aegean civilization is a general term for the Bronze Age civilizations of Greece around the Aegean Sea. There are three distinct but communicating and interacting geographic regions covered by this term:Crete, the Cyclades and the Greek mainland. Crete is associated with the Minoan civilization from the Early Bronze Age. The collapse of the Mycenaean civilization coincided with the fall of several other large empires in the near east, most notably the Hittite and the Egyptian. The Greek Dark Ages (ca. 1100 BC–800 BC) refers to the period of Greek history from the presumed Dorian invasion and end of the Mycenaean civilization in the 11th century BC to the rise of the first Greek city-states in the 9th century BC and the epics of Homer and earliest writings in alphabetic Greek in the 8th century BC. Ancient Greece was an ancient civilization belonging to a period of Greek history that lasted from the Archaic period of the 8th to 6th centuries BC to the end of antiquity (ca. 600 AD). In common usage it refers to all Greek history before the Roman Empire, but historians use the term more precisely. Some writers include the periods of the Minoan and Mycenaean civilizations, while others argue that these civilizations were so different from later Greek cultures that they should be classed separately. Traditionally, the Ancient Greek period was taken to begin with the date of the first Olympic Games in 776 BC, but most historians now extend the term back to about 1000 BC. In Ancient Greece the basic unit of politics in Ancient Greece was the polis, sometimes translated as city-state. "Politics" literally means "the things of the polis". Each city was independent, at least in theory. Some cities might be subordinate to others (a colony traditionally deferred to its mother city), some might have had governments wholly dependent upon others (the Thirty Tyrants in Athens was imposed by Sparta following the Peloponnesian War), but the titularly supreme power in each city was located within that city. This meant that when Greece went to war (e.g., against the Persian Empire), it took the form of an alliance going to war. It also gave ample opportunity for wars within Greece between different cities. The traditional date for the end of the Ancient Greek period is the death of Alexander the Great in 323 BC. Ancient Greece is considered by most historians to be the foundational culture of Western Civilization. Greek culture was a powerful influence in the Roman Empire, which carried a version of it to many parts of Europe. The Hellenistic period of Greek history begins with the death of Alexander the Great in 323 BC and ends with the annexation of the Greek peninsula and islands by Rome in 146 BC. Although the establishment of Roman rule did not break the continuity of Hellenistic society and culture, which remained essentially unchanged until the advent of Christianity, it did mark the end of Greek political independence. During the Hellenistic period the importance of "Greece proper" (that is, the territory of modern Greece) within the Greek-speaking world declined sharply. The great centres of Hellenistic culture were Alexandria and Antioch, capitals of Ptolemaic Egypt and Seleucid Syria.

(Modified from Wikipedia)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d097Greece.html[11/3/2014 5:18:31 PM] Rome - General Historical Conte

Rome - General Historical Context

600 BC The Etruscans establish cities from northern to central Italy 282 BC 282-272: War with Pyrrhus 264 BC 264-241: War with Carthage (First Punic War) 218 BC Hannibal invades Italy 135BC First Servile War prompted by slave revolts 73 BC Slave uprising led by the gladiator called Spartacus 64 BC Pompey captures Jerusalem 45 BC Julius Caesar defeats Pompey to become the first dictator of Rome 44 BC Julius Caesar assassinated 44 BC The Triumvirate of Marc Antony, Lepidus, and Octavian (later known as Caesar Augustus) become the rulers of Rome 31 BC Antony and Cleopatra are defeated by Octavian 27 BC Octavian becomes Caesar Augustus, the first Roman emperor until 14AD 14AD Death of Augustus and Tiberius, stepson of Caesar Augustus, becomes emperor until 37AD 37 Gaius (Caligula) crowned Emperor 41 Caligula is killed and Claudius proclaimed Emperor 54 Emperor Claudius is murdered and Nero is proclaimed Emperor 64 Fire destroyed much of Rome - the Christians are blamed for the destruction 68 The death of Nero ended the infamous Julio-Claudian dynasty 75 The Roman emperors start to build the Coliseum in Rome as a place of gladiatorial combat 180 Commodus succeeds his father Marcus Aurelius and gains imperial power 305 Constantine becomes the first Christian emperor 380 Christianity is declared the sole religion of the Roman Empire by Theodosius I 410 The Visigoths, led by Alaric, sack Rome heralding the total decline of the Roman Empire 455 The Vandals, led by Gaiseric, sack Rome 476 The last Roman Emperor was Romulus Augustulus who was defeated by Odoacer who was a German Goth

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d098Rome.html[11/3/2014 5:18:31 PM] Hydrologic Cycle - The Water Cyc

Hydrologic Cycle - The Water Cycle

The water cycle describes the existence and movement of water on, in, and above the Earth. Earth's water is always in movement and is always changing states, from liquid to vapor to ice and back again. The water cycle has been working for billions of years and all life on Earth depends on it continuing to work.

.

The water cycle has no starting point, but most water is in the world's oceans. The sun, which drives the water cycle, heats water in the oceans. Some of it evaporates as vapor into the air; a relatively smaller amount of moisture is added as ice and snow sublimate directly from the solid state into vapor. Rising air currents take the vapor up into the atmosphere, along with water from evapotranspiration, which is water transpired from plants and evaporated from the soil. The vapor rises into the air where cooler temperatures cause it to condense into clouds.

Air currents move clouds around the globe, and cloud particles collide, grow, and fall out of the sky as precipitation. Some precipitation falls as snow and can accumulate as ice caps and glaciers, which can store frozen water for thousands of years. Snowpacks in warmer climates often thaw and melt when spring arrives, and the melted water flows overland as snowmelt. Most precipitation falls back into the oceans or onto land, where, due to gravity, the precipitation flows over the ground as surface run- off. A portion of runoff enters rivers in valleys in the landscape, with streamflow moving water towards the oceans. Runoff, and groundwater seepage accumulate and are stored as freshwater in lakes.

Not all runoff flows into rivers, though. Much of it soaks into the ground as infiltration. Some of the water infiltrates into the ground and replenishes aquifers (saturated subsurface rock), which store huge amounts of freshwater for long periods of time. Some infiltration stays close to the land surface and can seep back into surface-water bodies (and the ocean) as groundwater discharge, and some groundwater finds openings in the land surface and emerges as freshwater springs. Yet more groundwater is absorbed by plant roots to end up as evapotranspiration from the leaves.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d100WaterCycleTitle.html[11/3/2014 5:18:31 PM] Main components of the water cyc

Main components of the water cycle - Part 1

Water storage in oceans:

The water cycle sounds like it is describing how water moves above, on, and through the Earth ... and it does. But, in fact, much more water is in storage; for long periods of time than is actually moving through the cycle. The storehouses for the vast majority of all water on Earth are the oceans. It is estimated that of the 332,600,000 cubic miles (mi3) (1,386,000,000 cubic kilometers (km3)) of the world's water supply, about 321,000,000 mi3 (1,338,000,000 km3) is stored in oceans. That is about 96.5 percent. It is also estimated that the oceans supply about 90 percent of the evaporated water that goes into the water cycle.

During colder climatic periods more ice caps and glaciers form, and enough of the global water supply accumulates as ice to lessen the amounts in other parts of the water cycle. The reverse is true during warm periods. During the last ice age glaciers covered almost one-third of Earth's land mass, with the result being that the oceans were about 400 feet (122 meters) lower than today. During the last global "warm spell," about 125,000 years ago, the seas were about 18 feet (5.5. meters) higher than they are now. About three million years ago the oceans could have been up to 165 feet (50 meters) higher.

Oceans in movement

You might think that the water in the oceans moves around because of waves, which are driven by winds. But, actually, there are currents and "rivers" in the oceans that move massive amounts of water around the world. These movements have a great deal of influence on the water cycle. The Kuroshio Current, off the shores of Japan, is the largest current. It can travel between 25 and 75 miles (40 and 121 kilometers) a day, 1-3 miles (1.4-4.8 kilometers) per hour, and extends some 3,300 feet (1,000 meters) deep. The Gulf Stream is a well known stream of warm water in the Atlantic Ocean, moving water from the Gulf of Mexico across the Atlantic Ocean towards Great Britain. At a speed of 60 miles (97 kilometers) per day, the Gulf stream moves 100 times as much water as all the rivers on Earth. Coming from warm climates, the Gulf Stream moves warmer water to the North Atlantic.

Evaporation:

Evaporation is the process by which water changes from a liquid to a gas or vapor. Evaporation is the primary pathway that water moves from the liquid state back into the water cycle as atmospheric water vapor. Studies have shown that the oceans, seas, lakes, and rivers provide nearly 90 percent of the moisture in our atmosphere via evaporation, with the remaining 10 percent being contributed by plan Heat (energy) is necessary for evaporation to occur. Energy is used to break the bonds that hold water molecules together, which is why water easily evaporates at the boiling point (212° F, 100° C) but evaporates much more slowly at the freezing point. Net evaporation occurs when the rate of evaporation exceeds the rate of condensation. A state of saturation exists when these two process rates are equal, at which point, the relative humidity of the air is 100 percent. Condensation, the opposite of evaporation, occurs when saturated air is cooled below the dew point (the temperature to which air must be cooled at a constant pressure for it to become fully saturated with water), such as on the outside of a glass of ice water. In fact, the process of evaporation removes heat from the environment, which is why water evaporating from your skin cools you.

Evaporation drives the water cycle

Evaporation from the oceans is the primary mechanism supporting the surface-to-atmosphere portion of the water cycle. After all, the large surface area of the oceans (over 70 percent of the Earth's surface is covered by the oceans) provides the opportunity for such large-scale evaporation to occur. On a global scale, the amount of water evaporating is about the same as the amount of water delivered to the Earth as precipitation. This does vary geographically, though. Evaporation is more prevalent over the oceans than precipitation, while over the land precipitation routinely exceeds evaporation. Most of the water that evaporates from the oceans falls back into the oceans as precipitation. Only about 10 percent of the water evaporated from the oceans is transported over land and falls as precipitation. Once evaporated, a water molecule spends about 10 days in the air

Sublimation:

Sublimation describes the process of snow and ice changing into water vapor without first melting into water. Sublimation is a common way for snow to disappear in certain climates.

It is not easy to actually see sublimation happen, at least not with ice. One way to see the results of sublimation is to hang a wet shirt outside on a below-freezing day. Eventually the ice in the shirt will disappear. Actually, the best way to visualize sublimation is to not use water at all, but to use carbon dioxide instead, as this picture shows."Dry ice" is solid, frozen carbon dioxide, which sublimates, or turns to gas, at the temperature -78.5 °C (-109.3°F). The fog you see in the picture is a mixture of cold carbon

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d105WaterCycle1.html[11/3/2014 5:18:31 PM] Main components of the water cyc

dioxide gas and cold, humid air, created as the dry ice sublimates.

Sublimation occurs more readily when certain weather conditions are present, such as low relative humidity and dry winds. It also occurs more at higher altitudes, where the air pressure is less than at lower altitudes. Energy, such as strong sunlight, is also needed. If I was to pick one place on Earth where sublimation happens a lot, I might choose the south side of Mt. Everest. Low temperatures, strong winds, intense sunlight, very low air pressure - just what is needed for sublimation to occur.

Evapotranspiration:

Although some definitions of evapotranspiration include evaporation from surface-water bodies, such as lakes and even the ocean, on this Web site, evapotranspiration is defined as the water lost to the atmosphere from the ground surface and the transpiration of groundwater by plants through their leaves.

Transpiration:

Plant transpiration is an invisible process;since the water is evaporating from the leaf surfaces, you don't just go out and see the leaves "breathing". During a growing season, a leaf will transpire many times more water than its own weight. A large oak tree can transpire 40,000 gallons (151,000 liters) per year.

The amount of water that plants transpire varies greatly geographically and over time. There are a number of factors that determine transpiration rates:

Temperature Transpiration rates go up as the temperature goes up, especially during the growing season, when the air is warmer.

Relative humidity: As the relative humidity of the air surrounding the plant rises the transpiration rate falls. It is easier for water to evaporate into dryer air than into more saturated air.

Increased movement of the air around a plant will result in a higher transpiration rate. When moisture is lacking, plants can begin to senesce (premature ageing, which can result in leaf loss) and transpire less water.Plants transpire water at different rates. Some plants which grow in arid regions, such as cacti and succulents, conserve precious water by transpiring less water than other plants.

Water storage in the atmosphere

The water cycle is all about storing water and moving water on, in, and above the Earth. Although the atmosphere may not be a great storehouse of water, it is the superhighway used to move water around the globe. There is always water in the atmosphere. Clouds are, of course, the most visible manifestation of atmospheric water, but even clear air contains water; water in particles that are too small to be seen. One estimate of the volume of water in the atmosphere at any one time is about 3,100 cubic miles (mi3) or 12,900 cubic kilometers (km3). That may sound like a lot, but it is only about 0.001 percent of the total Earth's water volume. If all of the water in the atmosphere rained down at once, it would only cover the ground to a depth of 2.5 centimeters, about 1 inch.

Condensation:

Condensation is the process in which water vapor in the air is changed into liquid water. Condensation is crucial to the water cycle because it is responsible for the formation of clouds. These clouds may produce precipitation, which is the primary route for water to return to the Earth's surface within the water cycle. Condensation is the opposite of evaporation.

You don't have to look at something as far away as a cloud to notice condensation, though. Condensation is responsible for ground-level fog, for your glasses fogging up when you go from a cold room to the outdoors on a hot, humid day, for the water that drips off the outside of your glass of iced tea, and for the water on the inside of your home windows on a cold day.

Condensation in the air

Even though clouds are absent in a crystal clear blue sky, water is still present in the form of water vapor and droplets which are too small to be seen. Depending on meteorological conditions, water molecules will combine with tiny particles of dust, salt, and smoke in the air to form cloud droplets, which grow and develop into clouds, a form of water we can see. Cloud droplets can vary greatly in size, from 10 microns (millionths of a meter) to 1 millimeter (mm), and even as large as 5 mm. This process occurs higher in the sky where the air is cooler and more condensation occurs relative to evaporation. As water droplets combine (also known as coalescence) with each other, and grow in size, clouds not only develop, but precipitation may also occur. Precipitation is essentially water cloud in its liquid or solid form falling form the base of a cloud. This seems to happen too often during picnics or

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d105WaterCycle1.html[11/3/2014 5:18:31 PM] Main components of the water cyc

when large groups of people gather at swimming pools.

As we said, clouds form in the atmosphere because air containing water vapor rises and cools. The key to this process is that air near the Earth's surface is warmed by solar radiation. But, do you know why the atmosphere cools above the Earth's surface? Generally, air pressure, is the reason. Air has mass (and, because of gravity on Earth, weight) and at sea level the weight of a column of air pressing down on your head is about 14 ½ pounds (6.6 kilograms) per square inch. The pressure (weight), called barometric pressure, that results is a consequence of the density of the air above. At higher altitudes, there is less air above, and, thus, less air pressure pressing down. The barometric pressure is lower, and lower barometric pressure is associated with fewer molecules per unit volume. Therefore, the air at higher altitudes is less dense. Since fewer air molecules exist in a certain volume of air, there are fewer molecules colliding with each other, and as a result, there will be less heat produced. This means cooler air. Do you find this confusing? Just think, clouds form all day long without having to understand any of this.

Precipitation:

Precipitation is water released from clouds in the form of rain, freezing rain, sleet, snow, or hail. It is the primary connection in the water cycle that provides for the delivery of atmospheric water to the Earth. Most precipitation falls as rain.

The clouds floating overhead contain water vapor and cloud droplets, which are small drops of condensed water. These droplets are way too small to fall as precipitation, but they are large enough to form visible clouds. Water is continually evaporating and condensing in the sky. If you look closely at a cloud you can see some parts disappearing (evaporating) while other parts are growing (condensation). Most of the condensed water in clouds does not fall as precipitation because their fall speed is not large enough to overcome updrafts which support the clouds. For precipitation to happen, first tiny water droplets must condense on even tinier dust, salt, or smoke particles, which act as a nucleus. Water droplets may grow as a result of additional condensation of water vapor when the particles collide. If enough collisions occur to produce a droplet with a fall velocity which exceeds the cloud updraft speed, then it will fall out of the cloud as precipitation. This is not a trivial task since millions of cloud droplets are required to produce a single raindrop.

Precipitation rates vary geographically and over tim. Precipitation does not fall in the same amounts throughout the world, in a country, or even in a city. For example, in Georgia, USA, it rains fairly evenly all during the year, around 40-50 inches (102-127 centimeters (cm)) per year. Summer thunderstorms may deliver an inch or more of rain on one suburb while leaving another area dry a few miles away. But, the rain amount that Georgia gets in one month is often more than Las Vegas, Nevada observes all year. The world's record for average-annual rainfall belongs to Mt. Waialeale, Hawaii, where it averages about 450 inches (1,140 cm) per year. A remarkable 642 inches (1,630 cm) was reported there during one twelve-month period (that's almost 2 inches (5 cm) every day!). Is this the world record for the most rain in a year? No, that was recorded at Cherrapunji, India, where it rained 905 inches (2,300 cm) in 1861. Contrast those excessive precipitation amounts to Arica, Chile, where no rain fell for 14 years

The map below shows average annual precipitation, in millimeters and inches, for the world. The light green areas can be considered "deserts". You might expect the Sahara area in Africa to be a desert, but much of and Antarctica are deserts.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d105WaterCycle1.html[11/3/2014 5:18:31 PM] Main components of the water cyc

On average, the 48 continental United States receives enough precipitation in one year to cover the land to a depth of 30 inches (0.76 meters).

Ice caps around the world.

The vast majority, almost 90 percent, of Earth's ice mass is in Antarctica, while the Greenland ice cap contains 10 percent of the total global ice-mass. The Greenland ice cap is an interesting part of the water cycle. The ice cap became so large over time (about 600,000 cubic miles (mi3) or 2.5 million cubic kilometers (km3)) because more snow fell than melted. Over the millenia, as the snow got deeper, it compressed and became ice. The ice cap averages about 5,000 feet (1,500 meters) in thickness, but can be as thick as 14,000 feet (4,300 meters). The ice is so heavy that the land below it has been pressed down into the shape of a bowl. In many places, glaciers on Greenland reach to the sea, and one estimate is that as much as 125 mi3 (517 km3) of ice "calves" into the ocean each year;one of Greenland's contributions to the global water cycle. Ocean-bound icebergs travel with the currents, melting along the way. Some icebergs have been seen, in much smaller form, as far south as the island of Bermuda.

Ice and glaciers

The climate, on a global scale, is always changing, although usually not at a rate fast enough for people to notice. There have been many warm periods, such as when the dinosaurs lived (about 100 million years ago) and many cold periods, such as the last ice age of about 20,000 years ago. During the last ice age much of the northern hemisphere was covered in ice and glaciers, and, as this map from the University of Arizona shows, they covered nearly all of Canada, much of northern Asia and Europe, and extended well into the United States.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d105WaterCycle1.html[11/3/2014 5:18:31 PM] Main components of the water cyc

The vast majority, almost 90 percent, of Earth's ice mass is in Antarctica, while the Greenland ice cap contains 10 percent of the total global ice mass. The Greenland ice cap is an interesting part of the water cycle. The ice cap became so large over time (about 600,000 cubic miles (mi3) or 2.5 million cubic kilometers (km3)) because more snow fell than melted. Over the millennia, as the snow got deeper, it compressed and became ice. The ice cap averages about 5,000 feet (1,500 meters) in thickness, but can be as thick as 14,000 feet (4,300 meters). The ice is so heavy that the land below it has been pressed down into the shape of a bowl. In many places, glaciers on Greenland reach to the sea, and one estimate is that as much as 125 mi3 (517 km3) of ice "calves" into the ocean each year—one of Greenland's contributions to the global water cycle. Ocean-bound icebergs travel with the currents, melting along the way. Some icebergs have been seen, in much smaller form, as far south as the island of Bermuda.

Contribution of snowmelt to streamflow

A good way to visualize the contribution of snowmelt to streamflow in rivers is to look at the hydrograph below, which shows daily mean streamflow (average streamflow for each day) for four years for the North Fork American River at North Fork Dam in California. The large peaks in the chart are mainly the result of melting snow, although storms can contribute runoff also. Compare the fact that minimum mean-daily streamflow during March of 2000 was 1,200 cubic feet per second (ft3), while during August streamflows ranged from 55-75 ft3.

Note that runoff from snowmelt varies not only by season but also by year. Compare the high peaks of streamflows for the year 2000 with the much smaller streamflows for 2001. It looks like a major drought hit that area of California in 2001. The lack of water stored as snowpack in the winter can affect the availability of water (for streamflow) in streams the rest of the year. This can have an effect on the amount of water in reservoirs located downstream, which in turn can affect water available for irrigation and the water supply for cities and towns.

Surface runoff

Many people probably have an overly-simplified idea that precipitation falls on the land, flows overland (runoff), and runs into rivers, which then empty into the oceans. That is "overly simplified" because rivers also gain and lose water to the ground. Still, it is true that much of the water in rivers comes directly from runoff from the land surface, which is defined as surface runoff.

When rain hits saturated or impervious ground it begins to flow overland downhill. It is easy to see if it flows down your driveway to the curb and into a storm sewer, but it is harder to notice it flowing overland in a natural setting. During a heavy rain you might notice small rivulets of water flowing downhill. Water will flow along channels as it moves into larger creeks, streams, and rivers. This picture gives a graphic example of how surface runoff (here flowing off a road) enters a small creek. The runoff in this case is flowing over bare soil and is depositing sediment into the river (not good for water quality). The runoff entering this creek is beginning its journey back to the ocean.

As with all aspects of the water cycle, the interaction between precipitation and surface runoff varies according to time and geography. Similar storms occurring in the Amazon jungle and in the desert Southwest of the United States will produce different surface-runoff effects. Surface runoff is affected by both meteorological factors and the physical geology and topography of the land. Only about a third of the precipitation that falls over land runs off into streams and rivers and is returned to the oceans. The other two-thirds is evaporated, transpired, or soaks into groundwater. Surface runoff can also be diverted by humans for their own file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d105WaterCycle1.html[11/3/2014 5:18:31 PM] Main components of the water cyc

uses

The U.S. Geological Survey (USGS) uses the term streamflow to refer to the amount of water flowing in a river.

Amended from the United States Geological Survey web site at http://ga.water.usgs.gov/edu/watercycle.html (Internet bAccess Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d105WaterCycle1.html[11/3/2014 5:18:31 PM] Main components of the water cyc

Main components of the water cycle - Continued - Part 2

Importance of rivers

Rivers are invaluable to not only people, but to life everywhere. Not only are rivers a great place for people (and their dogs) to play, but people use river water for drinking-water supplies and irrigation water, to produce electricity, to flush away wastes (hopefully, but not always, treated wastes), to transport merchandise, and to obtain food. Rivers are indeed major aquatic landscapes for all manners of plants and animals. Rivers even help keep the aquifers underground full of water by discharging water downward through their streambeds. And, we've already mentioned that the oceans stay full of water because rivers and runoff continually refreshes them.

Watersheds and rivers

When looking at the location of rivers and also the amount of streamflow in rivers, the key concept to know about is the river's "watershed". What is a watershed? Easy, if you are standing on the ground right now, just look down. You're standing, and everyone is standing, in a watershed. A watershed is the area of land where all of the water that falls in it and drains off of it goes into the same place. Watersheds can be as small as a footprint in the mud or large enough to encompass all the land that drains water into the Mississippi River where it enters the Gulf of Mexico. Smaller watersheds are contained in bigger watersheds. It all depends of the outflow point;all of the land above that drains water that flows to the outflow point is the watershed for that outflow location. Watersheds are important because the streamflow and the water quality of a river are affected by things, human-induced or not, happening in the land area "above" the river-outflow point

Streamflow is always changing, from day to day and even minute to minute. Of course, the main influence on streamflow is precipitation runoff in the watershed. Rainfall causes rivers to rise, and a river can even rise if it only rains very far up in the watershed; remember that water that falls in a watershed will eventually drain by the outflow point. The size of a river is highly dependent on the size of its watershed. Large rivers have watersheds with lots of surface area; small rivers have smaller watersheds. Likewise, different size rivers react differently to storms and rainfall. Large rivers rise and fall slower and at a slower rate than small rivers. In a small watershed, a storm can cause 100 times as much water to flow by each minute as during baseflow periods, but the river will rise and fall possibly in a matter of minutes and hours. Large rivers may take days to rise and fall, and flooding can last for a number of days. After all, it can take days for all the water that fell hundreds of miles upstream to drain past an outflow point.

One part of the water cycle that is obviously esential to all life on Earth is the freshwater existing on the land surface. Just ask your neighbor, a tomato plant, a trout, or that pesky mosquito. Surface water includes the streams (of all sizes, from large rivers to small creeks), ponds, lakes, reservoirs (man-made lakes), and freshwater wetlands. The definition of freshwater is water containing less than 1,000 milligrams per liter of dissolved solids, most often salt.

The amount of water in our rivers and lakes is always changing due to inflows and outflows. Inflows to these water bodies will be from precipitation, overland runoff, ground-water seepage, or tributary inflows. Outflows from lakes and rivers include evaporation and discharge to groundwater. Humans get into the act also, as people make great use of diverted surface water for their needs. So, the amount and location of surface water changes over time and space, whether naturally or with human help. Certainly during the last ice age when glaciers and snowpacks covered much more land surface than today, life on Earth had to adapt to different hydrologic conditions than >those which took place both before and after. And the layout of the landscape certainly was different before and after the last ice age, which influenced the topographical layout of many surface-water bodies today. Glaciers are what made the Great Lakes not only "great," but also such a huge storehouse of freshwater Surface water keeps life going

Water on the land surface really does sustain life, and this is as true today as it was millions of years ago. Dinosaurs held their meetings at the local watering hole 100 million years ago, just as antelopes in Africa do today. And, since groundwater is supplied by the downward percolation of surface water, even aquifers are happy for water on the Earth's surface. You might think that fish living in the saline oceans aren't affected by freshwater, but, without freshwater to replenish the oceans they would eventually evaporate and become too saline for even the fish to survive.

Usable freshwater is relatively scarce and represents only about three percent of all water on Earth and freshwater lakes and swamps account for a mere 0.29 percent of the Earth's freshwater. Twenty percent of all freshwater is in one lake, Lake Baikal in Asia. Another twenty percent is stored in the Great Lakes (Huron, Michigan, and Superior). Rivers hold only about 0.006 percent of total freshwater reserves. You can see that life on Earth survives on what is essentially only a "drop in the bucket" of Earth's total water supply

Groundwater begins as precipitation

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Anywhere in the world, a portion of the water that falls as rain and snow infiltrates into the subsurface soil and rock. How much infiltrates depends greatly on a number of factors. Infiltration of precipitation falling on the ice cap of Greenland might be very small, whereas, as this picture of a stream disappearing into a cave in southern Georgia, USA shows, a stream can act as a direct funnel right into groundwater!

Some water that infiltrates will remain in the shallow soil layer, where it will gradually move vertically and horizontally through the soil and subsurface material. Eventually it might enter a stream by seepage into the stream bank. Some of the water may infiltrate deeper, recharging ground-water aquifers. If the aquifers are shallow or porous enough to allow water to move freely through it, people can drill wells into the aquifer and use the water for their purposes. Water may travel long distances or remain in ground- water storage for long periods before returning to the surface or seeping into other water bodies, such as streams and the oceans.

In places where the water table (the top of the saturated zone) is close to the land surface and where the water can move through the aquifer at a high rate, aquifers can be replenished artificially

Groundwater storage:

Large amounts of water are stored in the ground. The water is still moving, possibly very slowly, and it is a part of the water cycle. Most of the water in the ground comes from precipitation that infiltrates downward from the land surface. The upper layer of the soil is the unsaturated zone, where water is present in varying amounts that change over time, but does not saturate the soil. Below this layer is the saturated zone, where all of the pores, cracks, and spaces between rock particles are saturated with water. The term groundwater is used to describe this area. Another term for groundwater is "aquifer," although this term is usually used to describe water-bearing formations capable of yielding enough water to supply peoples' uses. Aquifers are a huge storehouse of Earth's water and people all over the world depend on groundwater in their daily lives.

At a certain depth the ground, if it is permeable enough to hold water, the soil is saturated with water. The top of the pool of water in this hole is the water table.

To access freshwater, people have to drill wells deep enough to tap into an aquifer. The well might have to be dozens or thousands of feet deep. But the concept is the same - access the water in the saturated zone where the voids in the rock are full of water.

You see water all around you every day as lakes, rivers, ice, rain and snow. There are also vast amounts of water that are unseen; water existing in the ground. And even though groundwater is unseen, it is moving below your feet right now. As part of the water cycle, groundwater is a major contributor to flow in many streams and rivers and has a strong influence on river and wetland habitats for plants and animals. People have been using groundwater for thousands of years and continue to use it today, largely for drinking water and irrigation. Life on Earth depends on groundwater just as it does on surface water.

Groundwater flows underground

Some of the precipitation that falls onto the land infiltrates into the ground to become groundwater. Once in the ground, some of this water travels close to the land surface and emerges very quickly as discharge into streambeds, but, because of gravity, much of it continues to sink deeper into the ground. If the water meets the water table (below which the soil is saturated), it can move both vertically and horizontally. Water moving downward can also meet more dense and water-resistant non-porous rock and soil, which causes it to flow in a more horizontal fashion, generally towards streams, the ocean, or deeper into the ground.

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As this diagram shows, the direction and speed of ground-water movement is determined by the various characteristics of aquifers and confining layers (which water has a difficult time penetrating) in the ground. Water moving below ground depends on the permeability (how easy or difficult it is for water to move) and on the porosity (the amount of open space in the material) of the subsurface rock. If the rock has characteristics that allow water to move relatively freely through it, then groundwater can move significant distances in a number of days. But groundwater can also sink into deep aquifers where it takes thousands of years to move back into the environment, or even go into deep ground-water storage, where it might stay for much longer periods.

Springs

A spring is a water resource formed when the side of a hill, a valley bottom or other excavation intersects a flowing body of groundwater at or below the local water table. A spring is the result of an aquifer being filled to the point that the water overflows onto the land surface. They range in size from intermittent seeps, which flow only after much rain, to huge pools with a flow of hundreds of millions of liters per day.

Springs may be formed in any sort of rock, but are more prevalent in limestone and dolomite, which fracture easily and can be dissolved by rainfall that becomes weakly acidic. As the rock dissolves and fractures, spaces can form that allow water to flow. If the flow is horizontal, it can reach the land surface, resulting in a spring.

Water from springs usually is remarkably clear. Water from some springs, however, may be "tea-colored." In Florida, many surface waters contain natural tannic acids from organic material in subsurface rocks, and the color from these streams can appear in springs. If surface water enters the aquifer near a spring, the water can move quickly through the aquifer and discharge at the spring vent. The discharge of highly colored water from springs can indicate that water is flowing quickly through large channels within the aquifer without being filtered through the limestone.

Thermal springs are ordinary springs except that the water is warm and, in some places, hot, such as in the bubbling mud springs in Yellowstone National Park, Wyoming. Many thermal springs occur in regions of recent volcanic activity and are fed by water heated by contact with hot rocks far below the surface. Even where there has been no recent volcanic action, rocks become warmer with increasing depth. In such areas water may migrate slowly to considerable depth, warming as it descends through rocks deep in the Earth. If it then reaches a large crevice that offers a path of less resistance, it may rise more quickly than it descended. Water that does not have time to cool before it emerges forms a thermal spring.

Amended from the United States Geological Survey web site at http://ga.water.usgs.gov/edu/watercycle.html (Internet bAccess Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d110WaterCycle2.html[11/3/2014 5:18:32 PM] Distribution of Water on the Ear

Distribution of Water on the Earth

The vast majority (96.5%) of the water on Earth is in the oceans as salt water. Unless desalinated with high energy expenditure, this is not available for human consumption.

Saline groundwater and saline lakes (both also unavailable for direct human consumption) comprises 0.93% and 0.07%, respectively.

Freshwater comprises only 2.5% of the water on Earth - but 68.6% of this is in the ice caps and glaciers and 30.1% is in the form of groundwater, leaving only 1.3% of the freshwater on Earth easily available as surface and other freshwater sources for human consumption and use.

Of this 1.3%, 73.1% is in the form of ice and snow, 20.1% is in lakes, 0.46% is in rivers, 2.53% is in swamps and marshes, 3,52% is soil moisture, 0.22% is atmospheric water and 0.22% is in organisms (biological water).

One estimate of global water distribution

Water source Water volume, in Water volume, in Percent Percent cubic miles cubic kilometers of of total water

Oceans, Seas, & Bays 321,000,000 1,338,000,000 -- 96.5

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Ice caps, Glaciers, & 5,773,000 24,064,000 68.6 1.74 Permanent Snow

Groundwater 5,614,000 23,400,000 -- 1.7

Fresh 2,526,000 10,530,000 30.1 0.76

Saline 3,088,000 12,870,000 -- 0.93

Soil Moisture 3,959 16,500 0.05 0.001

Ground Ice & 71,970 300,000 0.86 0.022 Permafrost

Lakes 42,320 176,400 -- 0.013

Fresh 21,830 91,000 0.26 0.007

Saline 20,490 85,400 -- 0.007

Atmosphere 3,095 12,900 0.04 0.001

Swamp Water 2,752 11,470 0.03 0.0008

Rivers 509 2,120 0.006 0.0002

Biological Water 269 1,120 0.003 0.0001

Source: Igor Shiklomanov's chapter "World fresh water resources" in Peter H. Gleick (editor), 1993, Water in Crisis: A Guide to the World's Fresh Water Resources (Oxford University Press, New York).

Approximate residence time of water found in various reservoirs.

Approximate Residence Reservoir Time

Glaciers 40 years

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d115WaterDistribution.html[11/3/2014 5:18:32 PM] Distribution of Water on the Ear

Seasonal Snow Cover 0.4 years

Soil Moisture 0.2 years

Groundwater: Shallow 200 years

Groundwater: Deep 10,000 years

Lakes 100 years

Rivers 0.04 years

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d115WaterDistribution.html[11/3/2014 5:18:32 PM] The Earth

The Earth's Atmosphere and Climate

Click blue Start button to start animation

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Earth Surface Temperature Fires

Water Vapour Vegetation Index

DETAILS

LAND SURFACE TEMPERATURE: is how hot the “surface” of the Earth would feel to the touch in a particular location. From a satellite’s point of view, the “surface” is whatever it sees when it looks through the atmosphere to the ground. It could be snow and ice, the grass on a lawn, the roof of a building, or the leaves in the canopy of a forest. Thus, land surface temperature is not the same as the air temperature that is included in the daily weather report.

The maps shown here were made using data collected during the daytime by the Moderate Resolution Imaging

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d116EarthsAtmosphere.html[11/3/2014 5:18:32 PM] The Earth

Spectroradiometer (MODIS) on NASA’s Terra satellite. Temperatures range from -25 degrees Celsius (deep blue) to 45 degrees Celsius (pinkish yellow). At mid-to-high latitudes, land surface temperatures can vary throughout the year, but equatorial regions tend to remain consistently warm, and Antarctica and Greenland remain consistently cold. Altitude plays a clear role in temperatures, with mountain ranges like the North American Rockies cooler than other areas at the same latitude.

Scientists monitor land surface temperature because the warmth rising off Earth’s landscapes influences (and is influenced by) our world’s weather and climate patterns. Scientists want to monitor how increasing atmospheric greenhouse gases affect land surface temperature, and how rising land surface temperatures affect glaciers, ice sheets, permafrost, and the vegetation in Earth’s ecosystems.

Commercial farmers may also use land surface temperature maps like these to evaluate water requirements for their crops during the summer, when they are prone to heat stress. Conversely, in winter, these maps can help citrus farmers to determine where and when orange groves could have been exposed to damaging frost.

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FIRE: On Earth, something is always burning. Wildfires are started by lightning or accidentally by people, and people use controlled fires to manage farmland and pasture and clear natural vegetation for farmland. Fires can generate large amounts of smoke pollution, release greenhouse gases, and unintentionally degrade ecosystems. But fires can also clear away dead and dying underbrush, which can help restore an ecosystem to good health. In many ecosystems, including boreal forests and grasslands, plants have co-evolved with fire and require periodic burning to reproduce.

The fire maps show the locations of actively burning fires around the world on a monthly basis, based on observations from the Moderate Resolution Imaging Spectroradiometer (MODIS) on NASA’s Terra satellite. The colors are based on a count of the number (not size) of fires observed within a 1,000-square-kilometer area. White pixels show the high end of the count —as many as 100 fires in a 1,000-square-kilometer area per day. Yellow pixels show as many as 10 fires, orange shows as many as 5 fires, and red areas as few as 1 fire per day.

Some of the global patterns that appear in the fire maps over time are the result of natural cycles of rainfall, dryness, and lightning. For example, naturally occurring fires are common in the boreal forests of Canada in the summer. In other parts of the world, the patterns are the result of human activity. For example, the intense burning in the heart of South America from August-October is a result of human-triggered fires, both intentional and accidental, in the Amazon Rainforest and the Cerrado (a grassland/savanna ecosystem) to the south. Across Africa, a band of widespread agricultural burning sweeps north to south over the continent as the dry season progresses each year. Agricultural burning occurs in late winter and early spring each year across Southeast Asia.

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WATER VAPOUR: Water is constantly cycling through the atmosphere. Water evaporates from the Earth’s surface and rises on warm updrafts into the atmosphere. It condenses into clouds, is blown by the wind, and then falls back to the Earth as rain or snow. This cycle is one important way that heat and energy are transferred from the surface of the Earth to the atmosphere, and transported from one place to another on our planet.

Water vapor is also the most important greenhouse gas in the atmosphere. Heat radiated from Earth’s surface is absorbed by water vapor molecules in the lower atmosphere. The water vapor molecules, in turn, radiate heat in all directions. Some of the heat returns to the Earth’'s surface. Thus, water vapor is a second source of warmth (in addition to sunlight) at the Earth’s surface.

These maps show the average amount of water vapor in a column of atmosphere in a given month. The units are given in centimeters, which is the equivalent amount of water that could be produced if all the water vapor in the column were to condense. The lowest amounts of water vapor (0 centimeters) appear in yellow, and the highest amounts (6 centimeters) appear in dark blue. Areas of missing data appear in shades of gray. The maps are based on data collected by the Moderate Resolution Imaging Spectroradiometer (MODIS) sensor on NASA’s Aqua satellite.

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The most noticeable pattern in the time series is the influence of seasonal temperature changes and incoming sunlight on water vapor. In the tropics, a band of extremely humid air wobbles north and south of the equator as the seasons change. This band of humidity is part of the Intertropical Convergence Zone, where the easterly trade winds from each hemisphere converge and produce near-daily thunderstorms and clouds. Farther from the equator, water vapor concentrations are high in the hemisphere experiencing summer and low in the one experiencing winter.

Another pattern that shows up in the time series is that water vapor amounts over land areas decrease more in winter months than adjacent ocean areas do. This is largely because air temperatures over land drop more in the winter than temperatures over the ocean. Water vapor condenses more rapidly in colder air.

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VEGETATION INDEX: Satellites observe global-scale patterns of vegetation that scientists use to study changes in plant growth as a result of climate and environmental changes as well as human activity. Photosynthesis plays a big role in removing carbon dioxide from the atmosphere and storing it in wood and soils, so mapping vegetation is a key part of studying the carbon cycle. Farmers and resource managers also use satellite-based vegetation maps to help them monitor the health of our forests and croplands.

On these maps, vegetation is pictured as a scale, or index, of greenness. Greenness is based on several factors: the number and type of plants, how leafy they are, and how healthy they are. In places where foliage is dense and plants are growing quickly, the index is high, represented in dark green. Regions where few plants grow have a low vegetation index, shown in tan. The index is based on measurements taken by the Moderate Resolution Imaging Spectroradiometer (MODIS) on NASA’s Terra satellite. Areas where the satellite did not collect data are gray.

The most obvious pattern that the maps show is a global one: vegetation greenness is high around the equator all year long, where temperatures, rainfall and sunlight are abundant. Between the equator and the poles, the vegetation greenness rises and falls as the seasons change.

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NASA Earth Observatory

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d116EarthsAtmosphere.html[11/3/2014 5:18:32 PM] Introduction - Water Supplies

Present Situation - Water Supplies and Sanitation

What is the current situation with regard to provision of safe water and sanitation?

According to the United Nations, the world has already (in 2010) met the Millenium Development Goals (MDGs) for increasing by 50% the world population with access to improved drinking water by 2015:

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d120PresentSituation.html[11/3/2014 5:18:32 PM] Introduction - Water Supplies

As they state, the quality of this water is unknown so that the improvement in access to safe water is also unknown. The distribution of this improved access across regions and countries is very uneven. To quote the 2012 Report on progress towards the MDGs;

"TARGET: Halve, by 2015, the proportion of the population without sustainable access to safe drinking water and basic sanitation. file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d120PresentSituation.html[11/3/2014 5:18:32 PM] Introduction - Water Supplies

The number of people using improved drinking water sources reached 6.1 billion in 2010, up by over 2 billion since 1990. China and India alone recorded almost half of global progress, with increases of 457 million and 522 million, respectively.

The work is not yet done. Eleven per cent of the global population—783 million people—remains without access to an improved source of drinking water and, at the current pace, 605 million people will still lack coverage in 2015.

In four of nine developing regions, 90 per cent or more of the population now uses an improved drinking water source. In contrast, coverage remains very low in Oceania and sub-Saharan Africa, neither of which is on track to meet the MDG drinking water target by 2015. Over 40 per cent of all people without improved drinking water live in sub-Saharan Africa. Since it is not yet possible to measure water quality globally, dimensions of safety, reliability and sustainability are not reflected in the proxy indicator used to track progress towards the MDG target. As a result, it is likely that the number of people using improved water sources is an overestimate of the actual number of people using safe water supplies.Continued efforts are required to promote global monitoring of drinking water safety, reliability andsustainability and to move beyond the MDG water target to universal coverage."

Rural areas fared worse than urban areas

"Coverage with improved drinking water sources for rural populations is still lagging. In 2010, 96 per cent the urban population used an improved drinking water source, compared with 81 per cent of the rural population. In absolute terms, because of population growth, the number of people without an improved source in urban areas actually increased. In rural areas, on the other hand, the number of people without an improved source of water decreased, from 1.1 billion in 1990 to 653 million in 2010. However, the gap between urban and rural areas still remains wide, with the number of people in rural areas without an improved water source five times greater than in urban areas."

The global picture for access to water is shown on the map below. The different kinds of water scarcity reflect the that water can be considered scarce for a variety of reasons, not simple physical lack of water, but also that the cost of water extraction can make it unavailable (economic water scarcity).

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d120PresentSituation.html[11/3/2014 5:18:32 PM] Introduction - Water Supplies

Progress towards the MDGs on the sanitation target has been much slower.

"Sanitation coverage increased from 36 per cent in 1990 to 56 per cent in 2010 in the developing regions as a whole. Despite progress, almost half of the population in those regions—2.5 billion—still lack access to improved sanitation facilities."

The greatest progress was achieved in Eastern and Southern Asia, where sanitation coverage in 2010 was, respectively, 2.4 and 1.7 times higher than in 1990. In contrast, progress was slowest in Western Asia and sub- Saharan Africa, and no improvement was achieved in Oceania over the 20-year period. At the current pace, and barring additional interventions, by 2015 the world will have reached only 67 per cencoverage, well short of the 75 per cent needed to achieve the MDG target."

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d120PresentSituation.html[11/3/2014 5:18:32 PM] Introduction - Water Supplies

"The number of people who do not use any facility and resort to open defecation has decreased by 271 million since 1990. But there remain 1.1 billion people—or 15 per cent of the global population—with no sanitation facilities at all. Daily, entire communities are exposed to the considerable health and environmental hazards of inadequate human waste disposal. In 11 countries, a majority of the population still practices open defecation. Even in countries with rapidly growing economies, large numbers of people still must resort to this practice: 626 million in India, 14 million in China and 7 million in Brazil. Nearly 60 per cent of those practicing open defecation live in India."

The complete report (in Adobe Acrobat pdf format) on progress towards all of the MDGs is available locally here:

Click the image to access a local copy in Adobe PDF format

Click here for a local Summary of the Report in HTML format file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d120PresentSituation.html[11/3/2014 5:18:32 PM] Introduction - Water Supplies

Or go to the UN website at http://www.un.org/millenniumgoals/pdf/MDG_Report_202012.pdf to see the full report (Internet Access Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d120PresentSituation.html[11/3/2014 5:18:32 PM] The Hydrologic Cycle

The Hydrologic Cycle

The Earth's Water Cycle movie (below) from NASA shows the cycling of water around the Earth.

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Water is the fundamental ingredient for life on Earth. Looking at our Earth from space, with its vast and deep ocean,s thougere is an abundance of water for our use. However, only a small portion of Earth's water is accessible for our needs. How much fresh water exists and where it is stored affects us all. This animation uses Earth science data from a variety of sensors on NASA Earth observing satellites as well as cartoons to describe Earth's water cycle and the continuous movement of water on, above and below the surface of the Earth. Sensors on a suite of NASA satellites observe and measure water on land, in the ocean and in the atmosphere. These measurements are important to understanding the availability and distribution of Earth's water -- vital to life and vulnerable to the impacts of climate change on a growing world population. This video is public domain.

NASA Earth Observing System Data and Information Systems (EOSDIS) EOSDIS is a distributed system of twelve data centers and science investigator processing systems. EOSDIS processes, archives, and distributes data from Earth observing satellites, field campaigns, airborne sensors, and related Earth science programs. These data enable the study of Earth from space to advance scientific understanding.

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Why is water so important?

1. Freshwater resources are unevenly distributed, with much of the water located far from human populations. Many of the world’s largest river basins run through thinly populated regions. There are an estimated 263 international rivers, covering 45.3% of the land-surface of the earth (excluding Antarctica).

2. Groundwater represents about 90% of the world’s readily available freshwater resources, and some 1.5 billion people depend upon groundwater for their drinking water.

3. Agricultural water use accounts for about 70% of total global consumption - mainly through crop irrigation - while industrial use accounts for about 20%, and the remaining 10% is used for domestic purposes

4. It is estimated that two out of every three people will live in water-stressed areas by the year 2025. In Africa alone, it is estimated that 25 countries will be experiencing water stress (below 1,700 m3 per capita per year) by 2025. Today, 450 million people in 29 countries suffer from water shortages.

Annual global freshwater withdrawal has grown from 3,790 km3 (of which consumption accounted for 2,070 km3 or 61%) in 1995, to 4,430 km3 (of which consumption accounted for 2,304 km3 or 52%) in 2000 (Shiklomanov, 1999).

In 2000, about 57% of the world’s freshwater withdrawal, and 70% of its consumption, took place in Asia, where the world’s major irrigated lands are located (UNESCO, 1999).

In the future, annual global water withdrawal is expected to grow by about 10-12% every 10 years, reaching approximately 5,240 km3 (or an increase of 1.38 times since 1995) by 2025. Water consumption is expected to grow at a slower rate of 1.33 times (UNESCO, 1999).

In the coming decades, the most intensive rate of water withdrawal is expected to occur in Africa and South America (increasing by 1.5-1.6 times), while the least will take place in Europe and North America (1.2 times) (Harrison and Pearce, 2001; Shiklomanov, 1999; UNESCO, 1999).

Annual global freshwater withdrawal has grown from 3,790 km3 (of which consumption accounted for 2,070 km3 or 61%) in 1995, to 4,430 km3 (of which consumption accounted for 2,304 km3 or 52%) in 2000

In 2000, about 57% of the world’s freshwater withdrawal, and 70% of its consumption, took place in Asia, where the world’s major irrigated lands are located

In the future, annual global water withdrawal is expected to grow by about 10-12% every 10 years, reaching approximately 5,240 km3 (or an increase of 1.38 times since 1995) by 2025. Water consumption is expected to grow at a slower rate of 1.33 times

In the coming decades, the most intensive rate of water withdrawal is expected to occur in Africa and South America (increasing by 1.5-1.6 times), while the least will take place in Europe and North America (1.2 times)

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5. Clean water supplies and sanitation remain major problems in many parts of the world, with 20% of the global population lacking access to safe drinking water. Around 1.1 billion people globally do not have access to improved water supply sources, while 2.4 billion people do not have access to any type of improved sanitation facility. About 2 million people die every year due to water- borne diseases from faecal pollution of surface waters; most of them are children less than five years of age. A wide variety of human activities also affect the coastal and marine environment. Population pressures, increasing demand for space and resources, and poor economic performance can all undermine the sustainable use of our oceans and coastal areas.

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6. Serious problems affecting the quality and use of these ecosystems include the alteration and destruction of habitats and ecosystems. For example:

Estimates show that almost 50% of the world’s coasts are threatened by development-related activities. Severe eutrophication has been discovered in several enclosed or semi-enclosed seas. It is estimated that about 80% of marine pollution originates from land-based sources and activities.

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In marine fisheries, most areas are producing significantly lower yields than in the past. Substantial increases are never again likely to be recorded for global fish catches. In contrast, inland and marine aquaculture production is increasing and now contributes 30% of the total global fish yield.

7. The impact of climate change is projected to include a significant rise in the level of the world’s oceans. This will cause some low lying coastal areas to become completely submerged, and increase human vulnerability in other areas. Small Island Developing States (SIDS), which are highly dependent upon marine resources, are especially vulnerable, due to both the effects of sea level rise and to changes in marine ecosystems.

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This can lead to many effects. One might be an increase in disease spread

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d160Importanceofwater.html[11/3/2014 5:18:33 PM] The Hydrologic Cycle

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d160Importanceofwater.html[11/3/2014 5:18:33 PM] The Hydrologic Cycle

Climate Change, Water and Health

Heavy rainfall or flooding can increase water-borne parasites such as Cryptosporidium and Giardia that are sometimes found in drinking water. These parasites can cause gastrointestinal distress and in severe cases, death. The distribution of diseases and disease vectors (such as the malarial mosquito) may change as the climate changes Heavy rainfall events cause stormwater runoff that may contaminate water bodies used for recreation (such as lakes and beaches) with other bacteria. The most common illness contracted from contamination at beaches is gastroenteritis, an inflammation of the stomach and the intestines that can cause symptoms such as vomiting, headaches, and fever. Other minor illnesses include ear, eye, nose, and throat infections Flooding and heavy rainfall can cause overflows from sewage treatment plants into fresh water sources. Changes in temperature and precipitation, as well as droughts and floods, will likely affect agricultural yields and production. In some regions of the world, these impacts may compromise and threaten human health through malnutrition, the spread of infectious diseases, and food poisoning. The worst of these effects are projected to occur in developing countries, among vulnerable populations.

In the USA, for example, it has been calculated that water shortages will occur in 33% of the counties in the lower 48 states and 400 of these will face extyreme water shortage.

Worldwide, water availability will change drastically (both higher and lower) over the next few decades

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d170climatechange.html[11/3/2014 5:18:34 PM] The Hydrologic Cycle

The Science of Global Climate Change

For an excellent summary of the science of global warming, see the Summary of the Physical Science basis for GCC from the IPCC (Intergovernmental Panel on Climate Change) on the CD and the website at http://ipcc.ch/ (Internet Access Required)

One of the many Figures from the IPCC report quite clearly shows some of the impacts of Global Climate Change - there are many others!

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d170climatechange.html[11/3/2014 5:18:34 PM] The Hydrologic Cycle

Also see the large poster produced on "Climate Change 2013: The Physical Science Basis" on the CD.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d170climatechange.html[11/3/2014 5:18:34 PM] The Hydrologic Cycle

One part of the poster shows the likely scenarios of continued global warming:

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d170climatechange.html[11/3/2014 5:18:34 PM] Water and civilizations

Water and civilizations

The Fertile Crescent. The Fertile Crescent is the region in the Middle East which encompasses modern- day southern Iraq, Syria, Lebanon, Jordan, Israel and northern Egypt

The Indus Valley Civilization The Indus Valley Civilization was a Bronze Age Civilization in the northwestern region of the Indian subcontinent, consisting of what is now mainly present-day Pakistan and northwest India

Egypt For almost 30 centuries—from its unification around 3100 B.C. to its conquest by Alexander the Great in 332 B.C.—ancient Egypt was the preeminent civilization in the Mediterranean world

Greece The history of Greece can be traced back to Stone Age hunters. Later came early farmers and the civilizations of the Minoan and Mycenaean kings. This was followed by a period of wars and invasions, known as the Dark Ages. Classical period of ancient Greek history, is fixed between about 500 B. C., when the Greeks began to come into conflict with the kingdom of Persia to the east, and the death of the Macedonian king and conqueror Alexander the Great in 323 B.C. In this period Athens reached its greatest political and cultural heights. The Hellenistic Period (336-146 BC) was the period between the conquest of the Persian Empire by Alexander the Great and the establishment of Roman supremacy, in which Greek culture and learning were pre-eminent in the Mediterranean and Asia Minor.

Rome In its approximately twelve centuries of existence, Roman civilization shifted from a monarchy to an aristocratic republic to an increasingly autocratic empire. Through conquest and assimilation, it came to dominate Southern Europe, Western Europe, Asia Minor, North Africa, parts of Northern Europe, and parts of Eastern Europe. Rome was preponderant throughout the Mediterranean region and was one of the most powerful entities of the ancient world. It is often grouped into Classical Antiquity together with ancient Greece, and their similar cultures and societies are known as the Greco-Roman world

A comprehensive treatment of ancient water technologies can be viewed in:

"Ancient Water Technologies" Edited by Larry Mays (on CD)

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The Fertile Crescent

About 6,000–7,000 years ago, farming villages of the Near East and Middle East became urban centers. During the Neolithic age (ca. 5700–2800 B.C.), the first successful efforts to control the flow of water were driven by agricultural needs (irrigation). Irrigation probably began to develop at a small scale during the Neolithic age in the so-called “fertile crescent,” an arc constituting the comparatively fertile regions of Mesopotamia and the Levant, delimited by the dry climate of the Syrian Desert to the south and the Anatolian highlands to the north.

Mesopotamia is in the east side of the region named “fertile crescent”, where agriculture flourished and the earliest civilizations were born more than eight thousand years ago. In the alluvial plain of Lower Mesopotamia agriculture based on irrigation developed, in contrast to the Upper Mesopotamia, where dry-farming was possible. A complex system of canals and waterworks developed, with the dual function to ensure irrigation and to be used as waterways. Control of water was decisive as a way to guarantee economic prosperity, but also was a source of interstate conflicts and a political tool. Water technology was not limited to irrigation, Mesopotamians also pioneered in sanitary engineering, with many cities presenting networks of wastewater and storm water drainage systems. Overexploitation of land and water resources for agriculture affected the environment, resulting in silting and soil salinization, matter that has been recorded since the earliest cuneiform writings (Ancient Water Technologies, Larry W. Mays Editor 2010)

Irrigation:

Lift Irrigation

The first devices were human-powered. The shaduf had a bag and rope attached to the one end of a wooded arm or beam with a counter balance at the other end of the arm. The beam rotates around an axis so that the person operating the shaduf pulls down the bag into the water, then lifts the bag with water, and then drops the water from the bag. The shaduf was known in Mesopotamia as early as the time of Sargon of Akkad (ca. 2300 B.C.).

Qanat

The qanat is a collection and conveyance system for groundwater that was developed in Persia. It consists of an underground tunnel which uses gravity to convey water from the water table (or springs) at higher elevations to the surface of lower lands. Qanats also have a series of vertical shafts that were used for excavation of the tunnel and provided air circulation and lighting. The oldest qanats have been found in the northern part of Iran and date back to around 3,000 years ago when the Arians (Aryans) settled in present day Iran file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d202WaterandCivilization.html[11/3/2014 5:18:35 PM] Civilizations and Water

Urban Water Supply

Urban Water Sources

The sources of water for some early cities or, sometimes, just the ruler's palaces were:

Short canal connected to permanent river Canals and reservoirs storing flood water of nonpermanent river, rainfall Rainwater harvesting (gutters and cisterns) Shallow Wells Aqueducts from source at altitude Underground cisterns w/ steps Springs

Sanitation

There is evidence that, as early as 6500 B.C., there was a well developed urban settlement at El Kowm 2, Central Syria, about 80 km south from the Euphrates. The city had well planned houses, many of them with drainage systems for domestic wastewater. Many cities of Mesopotamia had networks of wastewater and storm water drainage systems.

Water Treatment and Settling Basin

Perhaps most surprising to modern day hydraulic engineers is the very early engineering works in Sumaria. Kang (1973) proposed a system of Sumerian canal and irrigation systems as a multi- purpose settling-reservoir, serving ‘to facilitate intersections, to slow water flow from higher to a lower plane, to prevent scouring and erosion, and to act as a kind of a simple reservoir’. However, according to Kang, its primary importance was to serve as a sedimentation basin, as storage and water regulator, and as a reservoir for dry seasons. It is remarkably similar to todays sedimentation basins for run-off water and the sedimentation systems used to remove suspended solids from water.

The settling-reservoir (nag-ku5) and complementary water-works,

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d202WaterandCivilization.html[11/3/2014 5:18:35 PM] Civilizations and Water

Egypt

The ancient Egyptians depended upon the Nile not only for their livelihoods, but they also considered the Nile to be a deific force of the universe, to be respected and honored if they wanted it to treat them favorably. Its annual rise and fall were likened to the rise and fall of the sun, each cycle equally important to their lives, though both remaining a mystery. Since the Nile sources were unknown up until the 19th century, the Ancient Egyptians believed it to be a part of the great celestial ocean, or the sea that surrounds the whole world.

The Nile seen from space, nearly 6,650 km in total length, drains an estimated 3,350,000 km2, which is about one-tenth of the African continent with catchments in nine different countries.

Sad-el-Kaffara Early Egyptian periods (6000 to 3000 BCE) depended on the flooding of the Nile to both irrigate and fertilize the soil. Around 3000BCE, artificial canals began to appear and led to larger areas being irrigated. Artificial irrigation increased the area of annual cropland in relation to the flood stage; retained water in the basin after smaller floods; and allowed second and even third crops in some basins. This form of water management, called basin irrigation, consisted of a network of earthen banks, some parallel to the river and some perpendicular to the river that formed basins of various sizes.

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Floodwaters were diverted into the basins where the water was allowed to saturate the soil with the remaining water drained off to a down-gradient basin or to a canal. After the draining process was completed in a basin, crops were planted. King Menes, the founder of the first dynasty in 3100 B.C. traditionally has been known as the first to develop a major basin irrigation project. About 1500 BCE, lift irrigation started and was well advanced by Roman times. Oldest records of Nile flood levels were carved on a large stone monument from approximately 2480 BCE.

The Sadd-el-Kafara dam (Dam of the Pagans) was constructed about 2600–2700 B.C. The dam was constructed around 2650 and was the first attempt at storing water on a large scale. Possibly older dams include the Jawa reservoir in Jordan and diversion dams on the Kasakh River in the southern part of the former Soviet Union. However these structures were much smaller than the Sadd- el-Kafara dam so Sadd-el-Kafar is probably the world’s oldest large- scale dam.

Urban Water Supply

Urban Water Sources

The sources of water in Ancient Egypt were

The Nile Canals and reservoirs storing flood water Shallow Wells Springs

Sanitation

Women would walk to the Nile, in groups, to fetch the water needed file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d203WaterandCivilization.html[11/3/2014 5:18:35 PM] Civilizations and Water

for drinking, washing and cooking. Female servants (baket) made frequent trips, transporting heavy jars balanced on their heads. The streets of ancient Egypt lacked a proper drainage system. Canals were used to draw away waste. The disposal of refuse was always a major concern. Household garbage was heaped into a dump outside the town and burned, or leveled, and houses would later be built on the site. Sewage was disposed of in the river as well as in the alleys.

http://emhotep.net/2013/02/25/em- hotep-digest/em-hotep-digest-vol- 02-no-07-daily-life-in-ancient- egypt/ Internet Access Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d203WaterandCivilization.html[11/3/2014 5:18:35 PM] Civilizations and Water

Greece

The ancient Greeks invented many features of modern civilization. A brief list shows how much we owe to their ingenuity. Their achievements in water technology were impressive; in 250 BCE they invented the water mill and in circa 250 BCE they pioneered the water wheel. They had air and water pumps, indoor plumbing, central heating, showers and built canal locks an ancient version of the Suez Canal.

For example:

A shower room for female athletes with plumbed-in water is depicted on an Athenian vase.

A whole complex of shower-baths was also found in a 2nd-century BC gymnasium at Pergamum. and excavations at Olympus as well as Athens have revealed extensive plumbing systems for baths and fountains as well as for personal use.

They used groundwater, constructed aqueducts for water supply, used storm water and wastewater sewerage systems, flood protection and drainage, and constructed and used fountains, baths and other sanitary and purgatory facilities.

As well as many water-related inventions, they also invented the first Streets, use of Cartography, Calipers, Truss roof, Crane, Escapement, Tumbler lock, Gears, Spiral staircase, Urban Planning, Crossbow, Winch, Wheelbarrow, Central heating, Lead sheathing, Astrolabe, Lighthouse, Alarm clock, Odometer, Chain drive, Cannon, Double-action principle, Levers, Three-masted ship (mizzen), Gimbal, Sakia gear,Surveying tools, Fore-and-aft rig (spritsail), Analog computers, Fire hose, Vending machine, Wind vane, Clock tower and Automatic doors ---- an impressive list. There are many more.....

Some examples of Greek inventions:

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Washstand

Philo of Byzantium (3rd century BC) in his technical treatise Pneumatics (chapter 31) as part of a washstand automaton for guests washing their hands. Philon's comment that "its construction is similar to that of clocks" indicates that such escapements mechanism were already integrated in ancient water clocks

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d205WaterandCivilization.html[11/3/2014 5:18:35 PM] Civilizations and Water

Crossbow

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d205WaterandCivilization.html[11/3/2014 5:18:35 PM] Civilizations and Water

Lighthouse: Pharos of Alexandria

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d205WaterandCivilization.html[11/3/2014 5:18:35 PM] Civilizations and Water

Clock Tower: Tower of the Wind

The watermill

The earliest machine harnessing natural forces (apart from the sail) and as such holding a special place in the history of technology, was invented by Greek engineers somewhere between the 3rd and 1st centuries BC. The image is a Roman gristmill as described by Vitruvius.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d205WaterandCivilization.html[11/3/2014 5:18:35 PM] Civilizations and Water

Rome

Dams: Roman dam construction was characterized by "the Romans' ability to plan and organize engineering construction on a grand scale". Roman planners introduced the then novel concept of large reservoir dams which could secure a permanent water supply for urban settlements also over the dry season. Their pioneering use of water-proof hydraulic mortar and particularly Roman concrete allowed for much larger dam structures than previously built, such as the Lake Dam, possibly the largest water barrier to that date, and the Harbaqa Dam, both in Roman Syria. The highest Roman dam was the Subiaco Dam near Rome; its record height of 50 m (160 ft.) remained unsurpassed until its accidental destruction in 1305. Roman engineers made routine use of ancient standard designs like embankment dams and masonry gravity dams. Apart from that, they displayed a high degree of inventiveness, introducing most of the other basic dam designs which had been unknown until then. These include arch-gravity dams, arch dams, buttress dams and multiple arch buttress dams, all of which were known and employed by the 2nd century AD (see List of Roman dams). Roman workforces also were the first to build dam bridges, such as the Bridge of Valerian in Iran Roman dam construction began in earnest in the early imperial period. For the most part, it concentrated on the semi-arid fringe of the empire, namely the provinces of North Africa, the Near East, and Hispania. The relative abundance of Spanish dams below is due partly to more intensive field work there; for Italy only the Subiaco Dams, created by emperor Nero (54–68 AD) for recreational purposes, are attested. These dams are noteworthy, though, for their extraordinary height, which remained unsurpassed anywhere in the world until the Late Middle Ages The most frequent dam types were earth- or rock-filled embankment dams and masonry gravity dams. These served a wide array of purposes, such as irrigation, flood control, river diversion, soil-retention, or a combination of these functions. In this, Roman engineering did not differ fundamentally from the practices of older hydraulic societies. "The Romans' ability to plan and organize engineering construction on a grand scale" gave their dam construction special distinction. Their engineering prowess, therefore, facilitated the construction of large and novel reservoir dams, which secured a permanent water supply for urban settlements even during the dry season, a common concept today, but little-understood and - employed in ancient times. The impermeability of Roman dams was increased by the introduction of water-proof hydraulic mortar and especially opus caementicium in the Concrete Revolution. These materials also allowed for bigger structures to be built, like the Lake Homs Dam, possibly the largest water barrier to date, and the sturdy Harbaqa Dam, both of which consist of a concrete core. On the whole, Roman dam engineering displayed a high degree of completeness and innovativeness. While hitherto dams relied solely on their heavy weight to resist the thrust of water, Roman builders were the first to realize the stabilizing effect of arches and buttresses, which they integrated into their dam designs. Previously unknown dam types introduced by the Romans include:

Aqueducts:

The Romans constructed numerous aqueducts to bring water from distant sources into their cities and towns, supplying public baths, latrines, fountains and private households. Waste water was removed by complex sewage systems and released into nearby bodies of water, keeping the towns clean and free from effluent. Some aqueducts also provided water for mining operations and the milling of grain. Aqueducts moved water through gravity alone, being constructed along a slight downward gradient within conduits of stone, brick or concrete. Most were buried beneath the ground, and followed its contours; obstructing peaks were circumvented or, less often, tunneled through. Where valleys or lowlands intervened, the conduit was carried on bridgework, or its contents fed into high- pressure lead, ceramic or stone pipes and siphoned across. Most aqueduct systems included sedimentation tanks, sluices and distribution tanks to regulate the supply at need. Rome's first aqueduct supplied a water-fountain sited at the city's cattle-market. By the third century AD, the city had eleven aqueducts, sustaining a population of over a million in a water-extravagant economy; most of the water supplied the city's many

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public baths. Cities and municipalities throughout the Roman Empire emulated this model, and funded aqueducts as objects of public interest and civic pride, "an expensive yet necessary luxury to which all could, and did, aspire." Most Roman aqueducts proved reliable, and durable; some were maintained into the early modern era, and a few are still partly in use. Methods of aqueduct surveying and construction are noted by Vitruvius in his work De Architectura (1st century BC). The general Frontinus gives more detail in his official report on the problems, uses and abuses of Imperial Rome's public water supply. Notable examples of aqueduct architecture include the supporting piers of the Aqueduct of Segovia, and the aqueduct-fed cisterns of Constantinople.

The multiple arches of the Pont du Gard in Roman Gaul(modern-day southern France). Its lower tiers carry a road across the river, and the upper tiers support an aqueduct conduit that carried water to Nimes in Roman times.

Water Wheels:

Another fascinating technology used by the Romans was the water wheel (Noria) which is represented in 4th century AD mosaics from Syria. The noria is powered by the flow of a river and lifts water in buckets to fields or aqueducts. There remain a number of ancient Arabic water wheels along the in and near Hama. These water works date back to medieval times and as late as 1985 there were about 80 in use along the file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d260WaterandCivilization.html[11/3/2014 5:18:36 PM] Civilizations and Water

river irrigating over 5000 ha. Today only a handful remain and those in Hama itself are tourist attractions for the city – ancient and elegant reminders of the long history of water management and transference in Syria.

Water wheel (Noria) and aqueduct at Hama

Cisterns:

One type of Roman water work that is extremely abundant, and often still functional, is the Roman Cistern (Abar Romani). These are small excavated caverns, often lined with Roman hydraulic cement, that capture surface flow from the winter rains for use in the dry summer. They typically have a large stone cover to protect the water. There are at least 1115 of these cisterns in Syria.

Roman Sanitation Technologies:

The Romans were one of the first known civilizations to invent indoor plumbing. The Roman public baths, or thermae served hygienic, social and cultural functions. The baths contained three main facilities for bathing. After undressing in the apodyterium or changing room, Romans would proceed to the tepidarium or warm room. In the moderate dry heat of the tepidarium, some performed warm-up exercises and stretched while others oiled themselves or had slaves oil them. The tepidarium’s main purpose was to promote sweating to prepare for the next room, the caldarium or hot room. The caldarium, unlike the tepidarium, was extremely humid and hot. Temperatures in the caldarium could reach 40 degrees Celsius (104 degrees Fahrenheit). Many contained steam baths and a cold-water fountain known as the labrum. The last room was the frigidarium or cold room, which offered a cold bath for cooling off after the caldarium. The Romans also had flush toilets.

These levels of sophisticated water supply systems, sanitation and management of water were not approached again until the 19th and 20th centuries, except for isolated remnants of technology in some parts of the world

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d260WaterandCivilization.html[11/3/2014 5:18:36 PM] Civilizations from 1000 AD to the present

Civilizations from 1000 AD to the present

Previously, we examined the contribution of ancient civilizations in different regions to the development of water technologies, processes and looked at the advances in health and hygiene flowing from those advances.

A timeline of civilizations in the various regions of the world shows the changes that have occurred in the past 1000+ years. Most continents and regions have examples of relatively advanced civilizations in that period and many have had advanced civilizations for very long periods of time.

In many of those cases, the different cultures in the last 1000+ years developed different methods for handling water supply, treatment and distribution, but, as we will show in the next sections of the course, in many other cases they invented or used remarkably similar approaches to those issues. In fact, many of the solutions were developed in the ancient world and were not significantly improved until the industrial era.

Some innovations in engineering and science happened during this period, but it was not until the advent of water purification technologies in the late 19th century and the discovery of the disease causing microorganisms in the same time period that massive improvements in It could be argued that many of the sanitation the health of the public in some of those regions occurred. and water technology and distribution systems developed in the ancient Greek, Roman, As is evident in the video below showing the changes in borders and Mayan, Middle Eastern and other old countries in Europe between 1000 CE and the present day, one civilizations were essentially "lost" as those important reason for the lack of progress was constant turmoil, civilizations declined and had to be reinvented invasions, wars and fragmentation of countries. The same was true for or rediscovered much later in history. much of the rest of the world.

If video is not visible, most likely your browser does not support HTML5 video

Changes in Europe between 1000 CE and the present day.

Also available from: http://www.liveleak.com/view?i=f54_1337075813&use_old_player=1

(Internet connection required for link - Right-click and Open as New Window)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d280AD1000toPresent.html[11/3/2014 5:18:36 PM] Main Reasons for European/Eurasi

European Dominance Main Reasons for European/Eurasian Dominance

Trade and Capital: · The Empires in China and India kept themselves more isolated. The Europeans (starting in Italy) carried out more trade. · They used superior weapons to enforce trade and to colonize. Agriculture and crops: · European trade and dominance led to a “globalization” of agricultural crops (maize, cassava, potatoes and wheat) Technology and Institutions: · Europe advanced until around 1500 by importing the technologies developed in the Middle East, India and China . The change around 1500 was due to steadily increasing populations, urban centre development (with universities, the church, financial institutions, and trade). · Culminated in the Industrial Revolution (starting around 1820)

Results: In 1820, the economic level of Europe, North America and Japan were only about twice that of the rest of the world. The level is now approximately 7 times that of the “rest of the world” Asia has started to close the gap. The total disparity between high and low income countries continues to grow

Some other observations: · Total size of the world economy has increased 300 fold in the last 1000 years · Total population has increased about 20 fold (from 0.3 to 6 billion) · Therefore the total economic activity per capita has increased 15 fold.

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Population Increase Theoretical rate of Population Increase

Assumptions; 4 children survive per couple per generation (i.e. population doubles each generation) and all survivors produce 4 surviving children.

This very large, hypothetical, population increase has only been approached in the modern era. The growth rate during the early Stone Age was, in fact, 0.02% per year (one person per 1000 people per generation!). The reasons for this low rate were numerous and included: Very harsh living conditions; leading to: – High mortality rates (children and adults) – Short life expectancies – Infanticide – Expulsion of young adults

The World population 10,000 years ago was approximately 10 million (same as Sweden today) after about 90,000 years (4000 generations) of existence of Homo sapiens

The graph of actual population increase shows the dramatic increase in the last 300 years. Some of this increase can undoubtedly be ascribed to better water management in agriculture, drinking water and sanitation

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.

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Summary of All History (or, more accurately, the last 4000 years)

In 1931, John B. Sparks created a "histomap" that distilled the history of civilization into a colorful timeline. See 4,000 years of empires rising and falling, and even though it stops after World War I, you can imagine how it would look if it were continued. The original can be seen at -http://www.slate.com/blogs/the_vault/2013/08/12/the_1931_histomap_the_entire_history_of_the_world_distilled_into_a_single.html (Internet Connection Required)

The chart emphasizes domination, using color to show how the power of various “peoples” (a quasi-racial understanding of the nature of human groups, quite popular at the time) evolved throughout history.

This is a huge image and may be too big for your screen, depending on the browser you use, but you can usually navigate around by using the scroll bars.

If you simply look at the patterns on the chart, it is easy too see how most empires and civilizations had short lifetimes and have now gone. Notable exceptions are the Indian and Chinese civilizations - still important today (even more so now than when this chart was finished). Others lasted a long time but are no longer existing as important civilizations (even though the countries may still be with us). Examples are the Mongolian, Ottoman, Greek and Roman empires.

Note: This chart is for reference ONLY. It is here to give you an overview of history for the last 4000 years. Probably nobody in the world knows the details of everything behind this chart. If they do, they are a candidate for one of the many TV quiz shows out there. For an even more detailed treatment see http://en.wikipedia.org/wiki/Ancient_history (Internet Connection Required)

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Global Health Risks

The global burden of diseases and injuries - World Health Organization 2009 update (on CD)

World Health Statistics - 2013 - World Health Organization (on CD)

More than one third of the world’s deaths can be attributed to a small number of risk factors. The 24 risk factors described in this report are responsible for 44% of global deaths and 34% of DALYs; the 10 leading risk factors account for 33% of deaths. Understanding the role of these risk factors is key to developing a clear and effective strategy for improving global health. The five leading global risks for mortality in the world are high blood pressure, tobacco use, high blood glucose, physical inactivity, and overweight and obesity. They are responsible for raising the risk of chronic diseases, such as heart disease and cancers. They affect countries across all income groups: high, middle and low.

This report measures the burden of disease, or lost years of healthy life, using the DALY: a measure that gives more weight to non-fatal loss of health and deaths at younger ages. The leading global risks for burden of disease in the world are underweight and unsafe sex, followed by alcohol use and unsafe water, sanitation and hygiene.

Three of the four leading risks for DALYs – underweight, unsafe sex, and unsafe water, sanitation and hygiene – increase the number and severity of new cases of infectious diseases, and particularly affect populations in low-income countries, especially in the regions of South-East Asia and sub- Saharan Africa.

Note the relative importance of water-related diseases and unsafe water, sanitation and hygiene in the various tables and figures.

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Ranking of selected risk factors: 10 leading causes of death by income group, 2004

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Ranking of selected risk factors: 10 leading causes of DALY's by income group, 2004

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Major Causes of death in children under 5 years old with disease specific contribution of undernutrition

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Deaths and DALYS from Selected Water-Related Diseases, 2000 and 2004

2000 2004 Deaths DALYS Death DALYS Diarrheal diseases 2,019,585 63,345,722 2,163,283 72,776,516 Childhood cluster diseases Poliomyelitis 1,136 188,543 1,195 34,399 Diphtheria 5,527 187,838 5,091 173,575 Tropical-cluster diseases Trypanosomiasis 49,129 1,570,242 52,347 1,672,728 Schistosomiasis 15,335 1,711,522 41,087 1,707,144 Trachoma 72 3,892,326 108 1,334,414 Intestinal nematode infections Ascariasis 4,929 1,204,384 2,455 1,850,781 Trichuriasis 2,393 1,661,689 1,828 1,012,138 Hookworm disease 3,477 1,785,539 242 1,091,589 Other Intestinal Infections 1,692 53,222 1,957 58,158 TOTAL 2,103,274 75,601,028 2,269,593 81,711,443

Source (2004 data): http://www.who.int/healthinfo/global_burden_disease/estimates_regional/en/index.html (Internet Connection Required)

There has been an improvement in many areas based on the estimates below of Global Morbidity and Mortality of Water- Related Diseases from the early 1990s;

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Disease Morbidity (episodes/year or people infected) Mortality (deaths/year)

Diarrheal Diseases 1,000,000,000 3,300,000

Intestinal Helminths 1,500,000,000 (people infected) 100,000

Schistosomiasis 200,000,000 (people infected) 200,000

Dracunculiasis 150,000 (in 1996) -

Trachoma 150,000,000 (active cases) -

Malaria 400,000,000 1,500,000

Dengue Fever 1,750,000 20,000

Poliomyelitis 114,000 -

Trypanosomiasis 275,000 130,000

Bancroftian Filariasis 72,800,000 (people infected) -

Onchocerciasis 17,700,000 (people infected; 270,000 blind) 40,000 (mortality caused by blindness)

Data from World Health Organization, 1995, "Community Water Supply and Sanitation: Needs, Challenges and Health Objectives." 48th World Health Assembly, A48/INF.DOC./2,28 April, Geneva, Switzerland.

The WHO World Health Statistics for 2013 (download a local copy as a pdf file)

has numerous statistics that include some on water and sanitation.

Just as examples, here are some extracts from the Index to the report:

1. Life expectancy and mortality 49 Life expectancy at birth (years) Life expectancy at age 60 (years) Stillbirth rate (per 1000 total births) Neonatal mortality rate (per 1000 live births) Infant mortality rate (probability of dying by age 1 per 1000 live births)

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Under-five mortality rate (probability of dying by age 5 per 1000 live births) Adult mortality rate (probability of dying between 15 and 60 years of age per 1000 population)

2. Cause-specific mortality and morbidity 61 Mortality Age-standardized mortality rates by cause (per 100 000 population) Number of deaths among children aged < 5 years (000s) Distribution of causes of death among children aged < 5 years (%) Age-standardized adult mortality rate by cause (ages 30–70 per 100 000 population) Maternal mortality ratio (per 100 000 live births) Cause-specific mortality rate (per 100 000 population) Morbidity Incidence rate (per 100 000 population) Prevalence (per 100 000 population)

3. Selected infectious diseases Cholera Diphtheria H5N1 influenza Japanese encephalitis Leprosy Malaria Measles Meningitis Mumps Pertussis Plague Poliomyelitis Congenital rubella syndrome Rubella Neonatal tetanus Total tetanus Tuberculosis Yellow fever

5. Risk factors Population using improved drinking-water sources (%) Population using improved sanitation (%) Population using solid fuels (%) Preterm birth rate (per 100 live births) Infants exclusively breastfed for the first 6 months of life (%) Children aged < 5 years who are wasted (%) Children aged < 5 years who are stunted (%) Children aged < 5 years who are underweight (%) Children aged < 5 years who are overweight (%) Prevalence of raised fasting blood glucose among adults aged ≥ 25 years (%) Prevalence of raised blood pressure among adults aged ≥ 25 years (%) Adults aged ≥ 20 years who are obese (%) Alcohol consumption among adults aged ≥ 15 years (litres of pure alcohol per person per year) Prevalence of smoking any tobacco product among adults aged ≥ 15 years (%) Prevalence of current tobacco use among adolescents aged 13–15 years (%) Prevalence of condom use by adults aged 15–49 years during higher-risk sex (%) Population aged 15–24 years with comprehensive correct knowledge of HIV/AIDS (%)

6. Health systems Health workforce Physicians (per 10 000 population) Nursing and midwifery personnel (per 10 000 population) Dentists (per 10 000 population) Pharmacists (per 10 000 population) Environment and public health professionals (per 10 000 population) Community health workers (per 10 000 population) Psychiatrists (per 10 000 population) Infrastructure and technologies Hospitals (per 100 000 population) Hospital beds (per 10 000 population) Psychiatric beds (per 10 000 population) Computed tomography units (per million population) Radiotherapy units (per million population) Essential medicines Median availability of selected generic medicines in public and private sectors (%) Median consumer price ratio of selected generic medicines in public and private sectors

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Water and Sanitation-related Diseases

(Internet Access required to visit CDC and WHO websites)

These Resources are for information and reference only - you are NOT required to know details of each details of each disease. Important organisms will be dealt with in a later course.

1. Waterborne Diseases Amebiasis (CDC) Buruli Ulcer* (CDC, WHO ) Campylobacter (CDC, WHO) Cholera (CDC, WHO) Cryptosporidiosis (CDC) Cyclosporiasis (CDC) Dracunculasis (guinea-worm disease) (CDC, Carter Center, WHO) Escherichia coli (CDC, WHO) Fascioliasis (CDC, WHO) Giardiasis (CDC) Hepatitis (CDC, WHO) Leptospirosis (CDC, WHO) Norovirus (CDC) Rotavirus (CDC, WHO) Salmonella (CDC, WHO) Schistosomiasis (CDC, WHO, WHO-PPC) Shigellosis (CDC, WHO) Typhoid Fever (CDC, WHO)

2. Sanitation & Hygiene-Related Diseases

Lice (CDC) Lymphatic filariasis (CDC, WHO, Global Alliance to Eliminate LF) Ringworm (CDC, WHO, NIH) Scabies (CDC, WHO) Soil transmitted helminthiasis (CDC, Ascaris, Whipworm, Hookworm, WHO, Children without Worms, WHO-PPC) Trachoma (CDC, WHO, International Trachoma Initiative)

[Note: Many of the waterborne diseases of the previous section may also be associated with inadequate sanitation and hygiene.]

3. Vector or Insect-borne Diseases Associated with Water Arboviral Encephalitides (CDC, WHO) (Eastern Equine Encephalitis, Japanese Encephalitis, La Crosse Encephalitis, St. Louis Encephalitis, Western Equine Encephalitis, West Nile Virus) Dengue/dengue haemorrhagic fever (CDC, WHO) Malaria (CDC, WHO) Onchocerciasis (CDC, WHO) Rift Valley Fever (CDC, WHO)

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Yellow Fever (CDC, WHO)

4. Neglected Tropical Diseases associated with water

Buruli Ulcer (CDC, WHO) - According to the World Health Organization, Buruli Ulcer is believed to be present within environments (for example, small aquatic animals, biofilms) from where it can be spread to humans by an unknown m Dengue/dengue haemorrhagic fever(CDC, WHO) Dracunculiasis (guinea-worm disease)** (CDC, Carter Center, WHO) Fascioliasis (CDC, WHO) Lymphatic filariasis (CDC, WHO, Global Alliance to Eliminate LF) Onchocerciasis (CDC, WHO) Schistosomiasis (CDC, WHO, WHO-PPC) Trachoma (CDC, WHO, International Trachoma Initiative)

Modified from: Center for Disease Control, USA http://www.cdc.gov/healthywater/wash_diseases.html

Extra Reading Materials - not required reading, just well-written, semi-technical books and videos.

For an interesting account of the effects of microorganisms on history and health of peoples, see "Guns, Germs and Steel" by Jared Diamond and the Public Broadcasting Service TV program of the same name (Internet Access required)

For an old, but still very relevant, treatment of diseases and their possible emergence and re-emergence see "The Coming Plague" by Laurie Garrett. Published 1995 by Penguin Books

Review: "Unpurified drinking water. Improper use of antibiotics. Local warfare. Massive refugee migration. Changing social and environmental conditions around the world have fostered the spread of new and potentially devastating viruses and diseases—HIV, Lassa, Ebola, and others. Laurie Garrett takes you on a fifty-year journey through the world's battles with microbes and examines the worldwide conditions that have culminated in recurrent outbreaks of newly discovered diseases, epidemics of diseases migrating to new areas, and mutated old diseases that are no longer curable."

From: http://www.goodreads.com/book/show/46722.The_Coming_Plague (Internet Access required)

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Modern Water Treatment Systems More Recent Developments in Water Treatment

Water treatment originally focused on improving the aesthetic qualities of drinking water. Methods to improve the taste and odor of drinking water were recorded as early as 4000 B.C. Ancient Sanskrit and Greek writings recommended water treatment methods such as filtering through charcoal, exposing to sunlight, boiling, and straining. Visible cloudiness (later termed turbidity) was the driving force behind the earliest water treatments, as many source waters contained particles that had an objectionable taste and appearance. To clarify water, the Egyptians reportedly used the chemical alum as early as 1500 BCE to cause suspended particles to settle out of water. During the 1700s, filtration was established as an effective means of removing particles from water, although the degree of clarity achieved was not measurable at that time.

By the early 1800s, slow sand filtration was beginning to be used regularly in Europe. During the mid to late 1800s, scientists gained a greater understanding of the sources and effects of drinking water contaminants, especially those that were not visible to the naked eye. During the 19th and 20th centuries, water filters for domestic water production were generally divided into slow sand filters and rapid sand filters (also called mechanical filters and American filters). While there were many small-scale water filtration systems prior to 1800, Paisley, Scotland is generally acknowledged as the first city to receive filtered water for an entire town. The Paisley filter began operation in 1804 and was an early type of slow sand filter. Throughout the 1800s, hundreds of slow sand filters were constructed in the UK and on the European continent. An intermittent slow sand filter was constructed and operated at Lawrence, Massachusetts in 1893 due to continuing typhoid fever epidemics caused by sewage contamination of the water supply. The first continuously operating slow sand filter was designed for the city of Albany, New York in 1897 In 1855, epidemiologist Dr. John Snow proved that cholera was a waterborne disease by linking an outbreak of illness in London to a public well that was contaminated by sewage. In the late 1880s, Louis Pasteur demonstrated the “germ theory” of disease, which explained how microscopic organisms (microbes) could transmit disease through media like water.

During the late nineteenth and early twentieth centuries, concerns regarding drinking water quality continued to focus mostly on disease-causing microbes (pathogens) in public water supplies. Scientists discovered that turbidity was not only an aesthetic problem; particles in source water, such as fecal matter, could harbor pathogens. As a result, the design of most drinking water treatment systems built in the U.S. during the early 1900s was driven by the need to reduce turbidity, thereby removing microbial contaminants that were causing typhoid, dysentery, and cholera epidemics. To reduce turbidity, some water systems in U.S. cities (such as Philadelphia) began to use slow sand filtration. While filtration was a fairly effective treatment method for reducing turbidity, it was disinfectants like chlorine that played the largest role in reducing the number of waterborne disease outbreaks in the early 1900s. In 1908, chlorine was used for the first time as a primary disinfectant of drinking water in Jersey City, New Jersey. The use of other disinfectants such as ozone also began in Europe around this time, but were not employed in the U.S. until several decades later. Many of the treatment techniques used today by drinking water plants include methods that have been used for hundreds and even thousands of years (see the diagram below). However, newer treatment techniques (e.g., reverse osmosis and granular activated carbon) are also being employed by some modern drinking water plants.

Recently, the Centers for Disease Control and Prevention and the National Academy of Engineering named water treatment as one of the most significant public health advancements of the 20th Century. Moreover, the number of treatment techniques, and combinations of techniques, developed is expected to increase with time as more complex contaminants are discovered and regulated. It is also expected that the number of systems employing these techniques will increase due to the recent creation of a multi-billion dollar state revolving loan fund that will help water systems, especially those serving small and disadvantaged communities, upgrade or install new treatment facilities. From: EPA The History of Drinking Water Treatment EPA-816-F-00-006 - February 2000

A combination selected from the following processes is used for municipal drinking water treatment worldwide:

Pre-chlorination - for algae control and arresting any biological growth Aeration - along with pre-chlorination for removal of dissolved iron and manganese Coagulation - or flocculation Coagulant aids, also known as polyelectrolytes - to improve coagulation and for thicker floc formation Sedimentation - for solids separation (removal of suspended solids trapped in the floc) Filtration - removing particles from water Desalination - Process of removing salt from the water Disinfection - for killing bacteria.

There is no unique solution (selection of processes) for any type of water. Also, it is difficult to standardize the solution in the form of processes for water from different sources. Treatability studies for each source of water in different seasons need to be carried out to arrive at most appropriate processes. The above mentioned technologies are well developed, and generalized designs are

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available that are used by many water utilities (public or private). In addition to the generalized solutions, a number of private companies provide solutions by patenting their technologies. The developed world employs a considerable amount of automation for water and wastewater treatment. The developing nations worldwide use automation along with manual operations. The level of automation is a choice of operators. The aspects that govern the choice of level of automation are capital and operating costs, skills available locally, operators comfort, integration of automation & control with rest of the component of water supply and so on.

See Course 3 for more details

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Sanitation Technologies and Methods

Sanitation Sanitation refers to the safe disposal of human excreta. This entails the hygienic disposal and treatment of human waste to avoid affecting the health of people. Sanitation is an essential part of the Millennium Development Goals. The most affected countries are in the developing world. Population increase in the developing world has posed challenges in the improvement of sanitation. Lack of provisions of basic sanitation is estimated to have contributed to the deaths of approximately 3.5 million people annually from water borne diseases.

The World Health Organization states that: "Sanitation generally refers to the provision of facilities and services for the safe disposal of human urine and feces. Inadequate sanitation is a major cause of disease world-wide and improving sanitation is known to have a significant beneficial impact on health both in households and across communities. The word 'sanitation' also refers to the maintenance of hygienic conditions, through services such as garbage collection and wastewater disposal" The earliest evidence of urban sanitation was seen in Harappa, Mohenjo-daro and the recently discovered Rakhigarhi of Indus Valley civilization. This urban plan included the world's first urban sanitation systems. Within the city, individual homes or groups of homes obtained water from wells. From a room that appears to have been set aside for bathing, waste water was directed to covered drains, which lined the major streets.

The Indus Valley civilization had a system of underground drainage. The main sewer, 1.5 meters deep and 91 cm across, connected to many north-south and east-west sewers. It was made from bricks smoothened and joined together seamlessly. The expert masonry kept the sewer watertight. Drops at regular intervals acted like an automatic cleaning device.

A wooden screen at the end of the drains held back solid wastes. Liquids entered a cess poll made of radial bricks. Tunnels carried the waste liquids to the main channel connecting the dockyard with the river estuary. Commoner houses had baths and drains that emptied into underground soakage jars.

http://www.harappa.com/lothal/14.html (Internet Connection Required)

Ancient Lothal, an ancient Indus port city in the state of Gujarat, India as envisaged by The Archaeological Survey of India.

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Roman cities and Roman villas had elements of sanitation systems, delivering water in the streets of towns such as Pompeii, and building stone and wooden drains to collect and remove wastewater from populated areas - see for instance the Cloaca Maxima into the River Tiber in Rome.

Most Roman apartment houses (insulae) didn't have much in the way of drainage or toilet facilities; or if they did, such facilities tended to exist only on the ground floor. So most apartment dwellers used chamber pots in their own rooms. Private Roman homes, on the other hand, often had latrines. When they existed, they would typically lie near the atrium or kitchen of the domus or villa. Again, if there were no toilet facilities, chamber pots were typically used, and the contents would be dumped periodically into cesspits. As far as public facilities were concerned, urinal pots and public toilets served the public need. In Rome, large urinal pots typically were posted on street corners. Periodically, fullers (the Roman version of a not-so-dry cleaner) would empty them and use the contents in the process of laundering and bleaching togas, tunics, and other clothing. In many Roman cities there were public toilets.

Latrine, Forum or Seaward baths, Sabratha, Libya.

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Roman Sewer, Cologne

From: http://www.sewerhistory.org

Cutaway view of a typical Roman street during the Roman Empire, showing lead water pipes and a central channel for sewage under the pavement.

Perpendicular connections brought sewage from nearby homes and businesses.

From: http://www.sewerhistory.org

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Roman Toilets at Ephesus From: http://www.sewerhistory.org

Such public toilet facilities were typically just rectangular shaped rooms (some seating as many as 100 people). Arranged along several of the walls of these rooms were long stone benches each with a row of keyhole-shaped openings cut into it. Water running down drains underneath the benches would flush waste away into the sewers. Sponge-sticks were used instead of toilet paper (which, of course, did not exist at this time).

In the Minoan civilization on Crete (3000 to 100 BCE) there is evidence of sanitation;

Pithoi in the ruined town of Knossos, Crete. Items including oak and olive oil (first and second in importance) were stored in these vessels for the trade with Egypt.

The stone slabs of the floor are partially removed to show part of the extensive sewage canal system underneath the whole settlement. Knossos was probably the first European settlement with a well organized water system for incoming clean water, regular waste water disposal (ending up in the gardens outside the settlement) and storm sewage canals for the times of heavy rain.

Knossos was also the first place in Europe where "flush" toilets actually functioned (although the "flush" seems to have come from buckets of water)

From: http://www.sewerhistory.org

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Sewer structure in the Palace of Knossos in Crete. The palace dates from 1700-1300 BCE. From: http://www.sewerhistory.org

There is little record of other sanitation in most of Europe until the late Middle Ages. Unsanitary conditions and overcrowding were widespread throughout Europe and Asia during the Middle Ages, resulting periodically in cataclysmic pandemics such as the Plague of Justinian (541-42) and the Black Death (1347–1351), which killed tens of millions of people and radically altered societies. Very high infant and child mortality prevailed in Europe throughout medieval times, due not only to deficiencies in sanitation but to an insufficient food supply for a population which had expanded faster than agriculture. This was further complicated by frequent warfare and exploitation of civilians by autocratic rulers.

The late 1800s saw the beginnings of modern-style toilet design, with models following the earth closet, pan closet, and water closet designs. Modern design was complemented by the invention of toilet paper by American Joseph Cayetti in 1857. The main toilet designs were:

1. Earth closet - Dry earth is used to cover waste material for later removal. Henry Moule patented one design in 1869, advertising it as a great improvement over the cesspit.

2. Pan closet - A simple but fairly unsanitary design featuring a basin with a pan at the bottom. This pan could be tipped to discharge its contents into a receptacle.

3. Valve closet - An opening at the bottom of a pan was sealed by a valve. When flushed, the valve opened and water was released into the pan by some mechanism. As noted above, Sir John Harington is credited with designing the first valve closet. Modern airplane toilets are often a version of the valve closet.

4. Hopper closet - This inexpensive design featured an inverted cone as the receptacle, with a squirt of water released for (generally inadequate) flushing. Because of its low cost, it was used mainly by poor people.

5. Wash-out or flush-out water closet - Water was used to seal the drain tube, as in the modern trap. Combined with a flushing mechanism and siphonic action, this evolved into the modern toilet.

Modern Sewage Treatment

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both runoff (effluents), domestic, commercial and institutional. It includes physical, chemical, and biological processes to remove physical, chemical and biological contaminants. Its objective is to produce an environmentally safe fluid waste stream (or treated effluent) and a solid waste (or treated sludge) suitable for disposal or reuse (usually as farm fertilizer). Sewage treatment is the process that removes the majority of the contaminants from wastewater or sewage and produces both a liquid effluent suitable for disposal to the natural environment and a sludge. To be effective, sewage must be conveyed to a treatment plant by appropriate pipes and infrastructure and the process itself must be subject to regulation and controls. Some wastewaters require different and sometimes specialized treatment methods. At the simplest level, treatment of sewage and most wastewaters is carried out through separation of solids from liquids, usually by sedimentation. By progressively converting dissolved material into solids, usually a biological floc, which is then settled out, an effluent stream of increasing purity is produced.

Sewage treatment generally involves three stages, called primary, secondary and tertiary treatment.

Primary treatment consists of temporarily holding the sewage in a quiescent basin where heavy solids can settle to the bottom while oil, grease and lighter solids float to the surface. The settled and floating materials are removed and the remaining liquid may be discharged or subjected to secondary treatment. Secondary treatment removes dissolved and suspended biological matter. Secondary treatment is typically performed by indigenous, water- borne micro-organisms in a managed habitat. Secondary treatment may require a separation process to remove the micro- organisms from the treated water prior to discharge or tertiary treatment. Tertiary treatment is sometimes defined as anything more than primary and secondary treatment in order to allow rejection into a highly sensitive or fragile ecosystem (estuaries, low-flow rivers, coral reefs,...). Treated water is sometimes disinfected chemically or physically (for example, by lagoons and microfiltration) prior to discharge into a stream, river, bay, lagoon or wetland, or it can be used for the irrigation of a golf course, green way or park. If it is sufficiently clean, it can also be used for groundwater recharge or agricultural purposes.

There are many processes used at various stages in different kinds of wastewater treatment plants.

They can include:

Pre-treatment Screening Grit removal

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Flow equalization Fat and grease removal Primary treatment Secondary treatment Activated sludge Aerobic granular sludge Surface-aerated basins (lagoons) Filter beds (oxidizing beds) Constructed wetlands Biological aerated filters Rotating Biological Reactors Membrane bioreactors Secondary sedimentation Tertiary treatment Filtration Lagooning Nutrient removal Nitrogen removal Phosphorus removal Disinfection Odor control Sludge Treatment and Disposal Anaerobic digestion Aerobic digestion Composting Incineration Sludge Disposal

For more details, see http://en.wikipedia.org/wiki/Sewage_treatment and later sections of the course.

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Water as a Source of Conflict

See http://www.worldwater.org/conflict/list/ (Internet Access Required) from the Pacific Institute for more detail and a searchable list of Water Conflicts

In the listing, 4 conflicts had a religious basis (all between 3000BCE to 681 BCE), about 112 were due to a development dispute, 6 were due to a military goal, 62 were due to use as a military target, 70 were due to use a a military tool, 16 were where water was used a a political tool, and 65 were due to terrorism acts.

Water as Promoter of Peace

Although water can certainly be a source of conflict and even miltary actions, most water conflicts are resolved peacefully This is because of the imprtance of water to both (or all) of the countries, regions, or areas involved in the disputes. A settlement where water continues to be available,

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perhaps with a changed diistribution or entitlement, seems to be the most common outcome of water disputes. In many cases the water source itself is very vulnerable to diversion or deliberate overuse. The key element seems to be the relative strength or power of the disputing parties; where they are similar, the dispute is often settled quickly. Where they are very unequal, it may take much longer if it even happens at all.

Most disputes are very local in scope, even down the level of neighbours disputes over water rights or withdrawals. The list of water conflicts in 2012 from the Water Conflict Chronology website shows that relatively few are large-scale conflicts and most are about local concerns.

During the 2011 Libyan Civil War, forces loyal to dictator Muammar Gaddafi gain control of a water operations center and cut off water Circle of Blue supply to the capital. The system controls Libya’s Great Manmade River—a system of pumps, pipes, and canals that brings water from 2012 Libya Military tool Yes 2012; UPI distant aquifers to Tripoli and other cities. Half the country is left without running water, prompting the UN and neighboring countries to 2011 mobilize tanker ships to deliver water to coastal cities.

Up to 150 schoolgirls are reported sickened by poison in a school water supply in an intentional attack thought to be carried out by 2012 Afghanistan Terrorism Yes Hamid 2012 religious conservatives opposed to the education of women.

2012 Afghanistan Terrorism Yes Seven children are killed by a bomb thought to be aimed at Afghan police and planted at a fresh water spring in Ghor Province. Shah 2012

Military Islamist militants execute militia members defending the Machalgho Dam in eastern Afghanistan. The dam is being developed for irrigation 2012 Afghanistan target; Yes and local power supply. This dispute is one of several surrounding the international waters of Afghanistan, Iran, and Pakistan, which Mashal 2012 Terrorism share several rivers,.

Thousands of farmers in Karnataka try to prevent the release of water from two dams (Krishna Raja Sagar and Kabini) on the Cauvery Circle of Blue Development River. Injuries to protestors and police are reported. The water releases were ordered by the Indian Supreme Court, which required 2012 India Yes 2012; Indian dispute Karnataka to deliver water downstream state of Tamil Nadu despite severe drought. The dispute continues later in the year when Express 2012 Karnataka again halts releases.

Development Scuffles and protests break out around New Delhi during the summer of 2012 as residents surround water delivery trucks and fight over 2012 India Yes Reuters 2012c dispute water. The summer was the hottest in 33 years, leading to extensive energy and water shortages.

Development Violence erupts in the latest event in the dispute between Pakistan and India over the waters of the Indus Basin. Pakistani militants attack India, dispute; and sabotage water systems, flood protection works, and dams in the Wullar Lake region of northern Kashmir. They attack engineers and Ul Hassan 2012 Yes Pakistan Military workers and detonate explosives at the unfinished Tulbul Navigation Lock/Wullar Dam. Pakistan claims the new dam violates the Indus 2012 target Water Treaty by cutting flows to Pakistan.

Brazil’s federal police respond to reports that water used by the indigenous Guarani-Kaiowa tribe was poisoned by nearby landowners Development Associated 2012 Brazil Yes attempting to gain control over disputed land. Since 2009, the dispute has led to the deaths of three tribesmen, who say the water runs dispute Press 2012a through sacred land.

Development Property 2012 Brazil Work on the controversial $13 billion Belo Monte dam is halted after protesters burn buildings at three dam sites. Phys.org 2012 dispute damage

Development Northeastern Brazil sees growing conflicts after severe drought reduces water availability. News agencies report that one person a day is Catholic Online 2012 Brazil Yes dispute being killed from ‘water wars,’ which involve locals fighting over scarce supplies. 2012

Several incidents of protests, injuries, and deaths are reported in regions of Peru where residents oppose large mines because of Reuters Development 2012 Peru Yes concerns over water quality and water rights. Police kill four protestors in clashes over the proposed Canadian-operated $5 billion dollar 2012a;Yeager dispute Minas Conga gold mine. 2012

Development Protests because of concerns over water quality and water rights around the Xstrata Tintaya copper mine lead to two deaths and 50 2012 Peru Yes Reuters 2012b dispute injuries.

Egypt Development Farmers from the Abu Simbel region in Egypt hold over 200 tourists hostage to protest inadequate irrigation water. The farmers captured 2012 Egypt Yes Independent dispute the tourists after they visited nearby monuments, but released them after officials agreed to a temporary release of water. 2012

Public protests over drinking and irrigation water shortages take place across Egypt. Several protests turn violent: in Beni Sueif, one Development Ooska News 2012 Egypt Yes person is killed and many injured during a conflict over irrigation water; in Minya, villagers clash with officials over water shortages and dispute 2012 water pollution; in Fayyoum, hundreds of people protesting water shortages block a highway and set fires.

Somalia, Military Somali Al Shabaab insurgents poison a well and damage water infrastructure near the port city of Kismayo, Somalia. Insurgents are 2012 Yes Wabala 2012 Kenya target fighting against Kenyan peacekeeping troops participating in the African Union mission in Somalia.

Extensive violence over water is reported in Kenya, with more than 100 deaths in clashes between farmers and cattle herders. The AFP 2012– Development conflict is part of a long-running dispute between Pokomo farmers and Orma, semi-nomadic cattle herders, over land and water. The Kenya Yes 2012;Wikipedia 2013 dispute current conflict is being exacerbated by Kenyan and foreign investment in vast tracts of land for food and biofuel cultivation, putting 2013a pressure on local resources. (See also entry in 2001.)

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Development 2012 Kenya Yes Violence, including several deaths, occurs during disputes over access to water in the poorest slums around Nairobi, Kenya. Njeru 2012 dispute

Tajikistan, Development Uzbekistan cuts natural gas deliveries to Tajikistan in retaliation over a Tajik hydroelectric dam which Uzbeks say will disrupt water Kozhevnikov 2012 Yes Uzbekistan dispute supplies. Gas flows resumed after a new contract is signed. 2012

Kyrgyzstan, Tajikistan, Tensions escalate over two proposed dams in central Asia: Kambarata-1 in Kyrgyzstan and the Rogun Dam in Tajikistan. These dams Development The Economist 2012 Uzbekistan, No could affect water supplies in the downstream nations of Uzbekistan, Turkmenistan, and Kazakhstan. Uzbekistan’s president, Islam dispute 2012b Turkmenistan, Karimov, says the dams could cause “not just serious confrontation, but even wars.” Kazakhstan

McNeish Sudan, South Development Violence breaks out at water points in the Jamam refugee camp in South Sudan. Médécines Sans Frontières reports that as many as 10 2012 Yes 2012; Ferrie Sudan dispute refugees die every day because of water shortages at refugee camps in South Sudan. 2012

Information is leaked about an alleged secret agreement that would allow Egypt to build an air base in Sudan to attack the Grand Development Egypt, Ethiopian Renaissance Dam (GERD). Egypt is concerned that the dam, under construction in Ethiopia just upstream of Sudan on the Sudan Tribune dispute; 2012 Ethiopia, Yes Blue Nile, would reduce flows into its territory. The news reports, strongly denied by Egypt, claim that Sudan would allow Egypt to launch 2012; Al Military Sudan attacks if diplomatic efforts failed to resolve water sharing between Egypt and Ethiopia. The allegations were based on an internal 2010 Arabiya 2012 target email made available by Wikileaks.

A clash along the border between Dogon villagers from Mali and nomadic Fulani herders from Burkina Faso kills at least 30 people, after Mali, Burkina Development Xinhua News 2012 Yes an earlier agreement to share water and pasture land was revoked. Chaos following a military coup in March is partly responsible for the Faso dispute 2012a breakdown in law and order in Mali.

Mali, Development Protests and violence over water shortages occurred in the capital of Mauritania, Nouakchott. By July 2012, over 70,000 Malian refuges 2012 Yes Taha 2012 Mauritania dispute were seeking asylum in Mauritania, putting pressure on scarce food and water supplies.

Development In August 2012, fighting between two clans in the Lower Jubba region of south Somalia kills at least three people and wounds five. Shabelle Media 2012 Somalia Yes dispute Reports from the village of Waraq (near the border with Kenya) indicate that the dispute began over the ownership of new water wells. Network 2012

Uganda, Development Tensions lead to violence between Uganda and Kenya after Kenyan Pokot herdsmen cross the border seeking water and pasture. In 2012 Yes Bii 2012 Kenya dispute October, the Ugandan government sends 5,000 soldiers to control violence among pastoralists from the two countries.

Violence between farmers and pastoralists expands in Tanzania’s southeastern Rufiji valley, a region hit by drought. A farmer is killed in Development 2012 Tanzania Yes a conflict with a herdsman over access to water in the southern regions of Lindi and Mtwara. Five more people die and many more are Makoye 2012 dispute injured in subsequent violence. According to local sources, violence has worsened during the prolonged drought.

Development Protesters in poor communities of Cape Town, South Africa riot over inadequate water and power. Hundreds burn tires, destroy cars, and Xinhua News 2012 South Africa Yes dispute throw rocks at police in anger over the lack of basic services. 2012b

Military During the Syrian Civil War, the major pipeline delivering water to the city of Aleppo is badly damaged. The city of three million suffers 2012 Syria Yes BBC 2012a target severe shortages of drinking water.

In November, Syrian rebels fighting the government of President Bashar al-Assad overrun government forces and capture the Tishrin Military 2012 Syria Yes hydroelectric dam on the Euphrates River, after days of heavy clashes. The dam supplies electricity to part of Syria and is considered Mroue 2012 target strategically important to the Syrian regime.

Development Violence over access to a water source in Maluku, . Rival mobs from two villages attack one another “with sharp weapons, guns 2012 Indonesia Yes Antara 2012 dispute and explosives” causing several deaths and injuries.

For a complete list of the water conflicts from the Pacific Institute, see this page (Local Version) To access the interactive web pages at the Pacific Institute go to the web site at http://worldwater.org/chronology.html (Internet Access Required)

International Treaties on Water

Approximately 261 international watersheds, and an unknown but very large number of transboundary aquifers, cover about one-half of the globe's land surface. Water has created and worsened tensions around the globe, most notoriously in the Middle East, but also throughout Africa and Asia.

The fortunate corollary of water conflict is that water, by its very nature, tends to induce even hostile neighbours to cooperate even as disputes continue over other issues. The evidence tends to favor water as a catalyst for cooperation: organized political bodies have signed 3,600 water-related treaties since AD 805, versus only seven minor international water-related skirmishes (each of which included other non-water issues).

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The UN Food and Agriculture Organization has identified more than 3,600 treaties relating to international water resources dating between AD 805 and 1984, the majority of which deal with some aspect of navigation. Since 1814, states have negotiated a smaller body of treaties which deal with non- navigational issues of water management, flood control, hydropower projects, or allocations for consumptive or non-consumptive uses in international basins. Including only those dating from 1870 and later which deal with water per se, and excluding those which deal only with boundaries, navigation, or fishing rights, the authors have collected full and partial texts of 145 treaties in a Transboundary Freshwater Dispute Database at the University of Alabama. The collection and translation efforts continue in an ongoing project of the Department of Geography and the Center for Freshwater Studies, in conjunction with projects funded by the World Bank and the US Institute of Peace. Table 1 lists the treaties in the Database chronologically.

Modified from : Patterns in International Water Resource Treaties:The Transboundary Freshwater Dispute Database by Jesse H. Hamner and Aaron T. Wolf. Published in: Colorado Journal of International Environmental Law and Policy. 1997 Yearbook, 1998.

Local Version of the Paper

UNESCO and Green Cross contributed the publication below (a local version) to the World Water Assessment Programme.

"From Potential Conflict to Cooperation Potential: Water for Peace" : Contribution of the International Hydrological Programme and Green Cross International to the World Water Assessment Programme (WWAP) (Local Version)

Summary:

On balance, most observers think that water conflicts at the international level have normally led to a peaceful resolution through treaties or negotiations. Some local disputes are still occurring and are often more difficult to resolve, although they affect relatively few people. The incidence, scope and importance of acts of terrorism is difficult to predict but could be locally significant .

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d410WaterConflict.html[11/3/2014 5:18:45 PM] A selected list of Global Databa

A selected list of Global Databases relevant to the Water Health Programme

Click on each image to go to the main page for the website (this will open in a new window) (Internet Access Required)

A very large list of many databases that offer access to environmental data (Internet Access Required)

The World Resource Institute uses data from many sources to produce many relevant maps, graphs and publications (Internet Access Required)

The World Health Organization has many relevant datasets and publications at http://www.who.int/research/en/ (Internet Access Required)

and

Water, sanitation and health databases at http://www.who.int/water_sanitation_health/database/en/ (Internet Access Required)

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The Pacific Institute has many articles, maps and databases on topics related to water (Internet Access Required)

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d500ListofDatabases.html[11/3/2014 5:18:46 PM] Other Sources of Data

Other Sources of Data: Waterbase

A large amount of global data is available for download. All data can be used in the MapWindow/SWAT interface tools MWSWAT and MWSWAT 2009 ,the SWAT visualization tools SWATPlot and SWATGraph and the MapWindow/AGNPS interface tool MWAGNPS. These tools are used for predictive modeling and decision support for water management (Internet Access Required)

(all software is freely downloadable from www.waterbase.org - (Internet Access Required)

Waterbase Data Sets:

The main data inputs for hydrological modelling are digital elevation, land use, and soil. These are the sources our data is currently based on:

SRTM 90m Digital Elevation Data

USGS Global Land Cover Characterization (GLCC) database

FAO/UNESCO Soil Map of the World and Derived Soil Properties

Data Downloads (Internet Access Required)

A large amount of global data is available for download.

World Data Grids

This is a MapWindow project contained in a zip archive that allows you to graphically select the DEMs, landuse, and soil maps that you need for your location. Just unzip the archive and open the project file World_Data_Grids.mwprj in MapWindow.

Digital Elevation Maps (DEMs)

DEMs for most of the world are available from CGIAR-CSI. The quantity of data for the world is very large, but our geo- processing guide (see the documents page) explains how to select the files you need.

Landuse Maps

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Landuse maps for most of the world are available from WaterBase. They come in the form of zip files containing 1 or more tiles for each continent. They come in two resolutions, the originals at approximately 400 meters (at the equator) and the resampled at 800 meters. The first are a little more accurate but the they take some time to load and minipulate in MapWindow. You may prefer to use the resampled ones at least while you are learning or experimenting.

Africa (original) Africa (resampled) Australia/Pacific (original) Australia/Pacific (resampled) Europe/Asia (original) Europe/Asia (resampled) North America (original) North America (resampled) South America (original) South America (resampled)

Soil Maps

Soil maps for most of the world are available from WaterBase. They come in the form of zip files containing 1 or more tiles for each continent.

Africa Australia/Pacific Europe/Asia North America South America

Also available are some notes and a readme file from the FAO, the source of the soil data.

Weather Data

Global weather data is now available from the SWAT website, and WaterBase also offers a special program for detecting and compensating for missing dates in that data. The SWAT data is more extensive than the data previously offered by WaterBase.

Global River Basins file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d501Waterbase.html[11/3/2014 5:18:46 PM] Other Sources of Data

Shape files for river basins across the world are available from WaterBase, divided into continents:

Africa Asia Australasia Europe North America South America

Digital Elevation Maps (DEMs)

DEMs for most of the world are available from CGIAR-CSI (Internet Access Required). The quantity of data for the world is very large, but the Waterbase geo-processing guide (see the documents page) explains how to select the files you need.

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Gapminder World

This graphic shows the Life Expectancy versus the Per Capita Income (converted to $US) for the countries of the world

Click the graphic above to download the large, full-sized Adobe Acrobat file (suitable for printing) (Internet Access Required)

If you have an internet connection, you can go to Gapminder World (Internet Access Required) and look at many other comparisons,

Some interesting ones are: Wealth & Health of Nations: This graph shows how long people live and how much money they earn. Click the play button to see how countries have developed since 1800.

People killed in floods: The size of the bubbles shows the number of people killed in floods during the given year.

CO2 emissions since 1820: In 1820, at the dawn of the Industrial Revolution, United Kingdom emitted most CO2 - both per person and in total emissions. See how USA becomes the largest emitter of CO2 from 1900 onwards.

Smaller families and longer lives: In the 1950s, most countries in Latin America, Asia and Africa had low life

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expectancy and high birth rates; in most cases, more than 5 children per women. Only five decades later, most of those countries have less than three children per woman, and much longer lives.

You can choose which data you want to plot and try out different datasets to see the results.

On this page is a list of over 500 data sets that can be used to produce Gapminder graphics

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Water Management

To effectively manage water, many different skill sets are needed, but they were often located in different agencies.

The skills include:

· Engineering · Computer Science – Databases, Modeling and Simulation · Biology

· Management Sciences · Chemistry

· Agriculture · Microbiology

· Sociology · Soil Science

· Ecology · Climatology

· Economics · Hydrology

· Aquatic Toxicology · Hydrogeology

· Environmental Sciences · Remote Sensing

· Legal & Regulatory · Geographic Information Systems

· Governance and Political Science · Cartography

The evolution of water management has been the gradual integration of people withy these skill sets, coupled with an increasing involvement of society as a whole in the decision making process that balances the competing interests in water.

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Water Management

Integrated Water Resource Management

Integrated Water Resources Management (IWRM) is a process which promotes the coordinated development and management of water, land and related resources in order to maximise economic and social welfare in an equitable manner without compromising the sustainability of vital ecosystems and the environment.

IWRM helps to protect the world’s environment, foster economic growth and sustainable agricultural development, promote democratic participation in governance, and improve human health. Worldwide, water policy and management are beginning to reflect the fundamentally interconnected nature of hydrological resources, and IWRM is emerging as an accepted alternative to the sector-by-sector, top-down management style that has dominated in the past.

The basis of IWRM is that the many different uses of finite water resources are interdependent. High irrigation demands and polluted drainage flows from agriculture mean less freshwater for drinking or industrial use; contaminated municipal and industrial wastewater pollutes rivers and threatens ecosystems; if water has to be left in a river to protect fisheries and ecosystems, less can be diverted to grow crops. There are plenty more examples of the basic theme that unregulated use of scarce water resources is wasteful and inherently unsustainable.

Diagram of IWRM Interactions

The diagram is an attempt to show the factors that impact developing an IWRM plan in a watershed or drainage basin.

The four main areas to be considered are:

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1. The hydrologic cycle - the physical aspects of water transport and movement in the system 2. Watershed and land use - all the activities in the watershed that affect water cycling, use and quality 3. Economics, social interactions and institutons - human interventions, social and legal aspects,waste treatment, water control measures,and others 4. External Impacts such as global climate change, water transfers (including virtual water imported or exported in food and other products), and atmospheric pollution

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Water Management

Recent Developments in Water Management

In the 20th Century, water management and sanitation developed into a complex interacting system in the industrialized countries. It started as a set of individual management processes for the various resources (water supply, purification and distribution, and waste disposal systems), but it soon became evident that these resources needed to be coordinated to be most effective and safe. During the past 80 years an evolving integration of these processes, and the institutions operating them, has happened. More recently, the concept of Integrated Water Resource Management (IWRM) has come to be the dominant theoretical basis for integrating and managing all of the complex set of resources, processes, governance structures, social and legal issues that surround water and sanitation management The usual scale of IWRM is at the watershed, or drainage basin scale.

The evolution of the concept of IWRM came from observations that many aspects of water protection, treatment, distribution, sewage and waste treatment, water quality, and legal protections and rights to water were scattered amongst many different agencies, government and municipal departments,

There are four main stages in the evolution of IWRM. They occur along an uninterrupted pathway and overlap considerably.

For the sake of convenience, we will deal with each period separately.

1. The Sectoral Approach - 1820 to 1950s

2. The Cooperative Approach - 1960s and 1970s

3. Management-oriented IWRM - 1980s

4. Goal-oriented IWRM - 1990s to present

1. The Sectoral Approach: Discussion

In the earliest examples of water planning, no sectors really existed -- there were only private or public bodies responsible for delivering water to citizens. As different interest groups were formed (government, consumers, regulators, companies, etc.), responsibilities began to be shared and each sector's respective part in managing the water supply began to be defined.

Very early on, different agencies and institutions became responsible for:

Planning and implementation processes, Activities and tasks (such as water storage, transmission, distribution, allocation), Physical and construction measures (water canals, dams, reservoirs), Legal and economic instruments such as regulations and incentives, Institutional and organizational requirements.

They began to cooperate in some rudimentary form.

Eventually these tasks and responsibilities devolved to particular agencies, but it became increasingly clear that cooperation was necessary to ensure a safe and plentiful supply of water.

2. The Cooperative Approach: Discussion

In the 1960s and 1970s, cooperative efforts increased until it became clear that more organized cooperation was required to protect the water supply, distribute the water and monitor and regulate the water quality. In the developed world, these efforts led to agencies becoming specialized (e.g. government environment agencies or ministries for monitoring and regulation) and cooperating with the other groups (the private sector, municipalities, states, etc.) who, in many cases, actually provided and distributed the water.

Gradually, the concept of an integration of many of the functions surrounding the supply of water (for all purposes, not just for drinking water) came into being. It began as a realization that to manage water effectively, one needs to look at a broader scale picture -- that of the watershed (or drainage area of the river or lake) that supplies the water. Where groundwater was the primary or a substantial component, the recharge area (where water enters the groundwater system) and any other region that could affect

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the quantity and quality of the groundwater, must also be considered.

3. Management-Oriented IWRM: Discussion

There are many examples of early attempts at IWRM. Some recommendations for Canadian policies were developed by Pearse et al. (1985). The “key” principles were:

· A watershed plan sufficiently comprehensive to take into account all uses of the water system and other activities that affect water flow and quality.

· Information about the watershed’s full hydrological regime.

· An analytical system, or model, capable of revealing the full range of impacts that would be produced by particular uses and developments in the watershed.

· Specified management objectives for the watershed, with criteria for assessing management alternatives in an objective and unbiased way.

· Participation of all relevant regulatory agencies.

· Provisions for public participation in determining objectives and in making management decisions.

Note the emphasis on watersheds, hydrology, analytical models, management and participation

4. Goal-Oriented IWRM: Discussion

A typical set of goals was given by Heathcote (2002):

· To develop a consensus-based vision of ideal water resources conditions for the area of interest.

· To measure the distance between current and ideal conditions, and thus define one or more water management problems, based on consensus among stakeholders.

· To develop and apply tools for water resources decision making, including demonstration projects, computer simulation models, conflict resolution tools, data management and sharing, and so on.

· To identify appropriate management actions to resolve observed problems.

· To assign responsibility for actions and costs for remedial measures.

· To agree upon acceptable timelines for implementation of management actions.

· To monitor the degree of implementation of management actions and progress toward water resources goals.

· To build the capacity of regional stakeholders for collaborative, consensus-based management of water resources.

· To build institutional capacity to work across jurisdictional, disciplinary, and sector boundaries.

· To achieve measurable progress toward improved water resources conditions.

Why IWRM?

Recently, many researchers and practitioners have suggested modifications, relabeling, additions, changes, updates, and specific regional applications to the basic concept of IWRM. A great deal of misunderstanding about what IWRM really is have proliferated or have been deliberately promulgated. It is NOT a prescriptive set of procedures that, if followed, will result in a management program for all situations. That is an extremely naive view of IWRM and if followed, is almost bound to result in failure to some degree.

Rather, IWRM is a set of flexible and adaptable principles (see Heathcote, 2002 above for an example) that guide in the development of an individual Integrated plan for managing water resources (and all their associated features such as land management, community action, legal and social frameworks, etc.).

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There are legitimate criticisms of IWRM based on the difficulties involved (see wh001mo001c001d850IWRMEXTRA.html) and Butterworth, J.; Warner, J.; Moriarty, P.; Smits, S. and Batchelor, C. 2010. "Finding practical approaches to Integrated Water Resources Management". www.water-alternatives.org Volume 3 Issue 1 - Local version: IWRMconcepts and practice.pdf.

The answer to "Why IWRM?" may best be explained by considering "What are the other choices?". Most other choices either fall short or are variants of IWRM in some other guise.

The relevance of the concepts behind IWRM can best be judged by the number of papers published about it, the groups of academics who have attempted to redefine it according to their own views, the many attempts to incorporate it under another banner so that particular practitioners can gain control of it and its very widespread acceptance in the field.

file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d820IWRM.html[11/3/2014 5:18:47 PM] Towards IWRM

Towards IWRM

Overview of Procedures for Implementing an IWRM Plan

How can IWRM be accomplished?

Four main areas are as important as data gathering and modelling exercises in IWRM.

These areas are: · Capacity Building · Information Exchange · An Enabling Environment · Cooperative Decision Making -- Involving Society in the IWRM Planning Process: Discussion

The goal of watershed management is to plan and work toward an environmentally and economically healthy watershed that benefits all who have a stake in it. The first step is to identify and involve the "right" people.All people with a stake in the watershed (stakeholders) should feel welcome to become a partner. Consider the following three distinct groups: · Those who are BOTH affected by and interested in watershed protection · Those who ARE affected, but NOT interested · Those who are NOT affected, but ARE interested

One way to involve society is to produce a matrix of available information and data and identify gaps. Fill those gaps if possible by:

Capacity Building Acquiring Information/Data: Available Information Local Information Indigenous Knowledge Enabling legislation and regulation

Build a Common Purpose

A carefully worded statement serves as a standard for decision making and measuring progress, and provides motivation for high quality. Make sure all partners are comfortable with the statement. Steps in developing a statement of purpose include:

Asking for ideas from all partners Discussing the ideas and drafting a statement Revising a draft based on discussion Writing a final statement based on consensus Soliciting statements of commitment from all partners

This process may not be easy and will take time. Potential conflicts need to be discussed and resolved. Remember, it is important to keep the statement general enough to encourage widespread support, but specific enough to identify goals and measure progress.

Gathering Information About the Area of the IWRM Plan

Some partners who can assist in data and information gathering and many other aspects of the IWRM planning process are:

Landowners Homeowners Local businesses Developers Recreational users Government agencies Elected officials file:///F|/Dropbox/WaterHealthNewFinal/Course1/discussion/wh001mo001c001d830TowardsIWRM.html[11/3/2014 5:18:47 PM] Towards IWRM

Media Teachers Civic groups Conservation groups Environmentalists Church groups Youth groups Others .

Successful IWRM Planning

All participants agree to and share a common set of goals for the study area. These are defined in advance and modified as required. Information and data are accessible and provided to all participants. There is a well-understood “core” of basic information, shared by all, about all aspects of the study area. Capacity building is targeted towards ensuring that all participants share a common set of basic knowledge, data and capabilities, especially in areas where they are not specialists. Genuine participatory decision making is the rule, not the exception. Conflict resolution procedures are available and used. Reporting is a collaborative process. Management and implementation are also collaborative. There is “targeted” capacity building and a “shared knowledge base”. There is an enabling environment. There is effective information exchange. There are processes for cooperative decision making and management.

Potential Benefits of IWRM

Consensus-based water management decisions with high implementation success Significantly improved community capacity for water resources decision making. Significantly improved institutional capacity for multi-stakeholder/multi-disciplinary water management. Reduced costs for governments, because increased partnerships share costs across stakeholder groups. Measurable and sustainable water resources improvements, as a result of community consensus as to a “best” course of action, including responsibilities and costs. A planning and management process that is ongoing, adaptive and iterative.

Summary of the Goals of IWRM · To develop a consensus-based vision of ideal water resources conditions for the area of interest. · To measure the distance between current and ideal conditions and, thus, define one or more water management problems based on consensus among stakeholders. · To develop and apply tools for water resources decision making including demonstration projects, computer simulation models, conflict resolution tools, data management and sharing, and so on. · To identify appropriate management actions to resolve observed problems. · To assign responsibility for actions and costs for remedial measures. · To agree upon acceptable timelines for implementation of management actions. · To monitor the degree of implementation of management actions and progress toward water resources goals. · To build the capacity of regional stakeholders for collaborative, consensus-based management of water resources. · To build institutional capacity to work across jurisdictional, disciplinary and sector boundaries. · To achieve measurable progress toward improved water resources conditions

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Progress towards IWRM?

IWRM has been a qualified success.

Studies reveal that:

· IWRM principles are internationally accepted but not yet truly applied to drinking water supply and sanitation). · Water source and catchment conservation is gaining recognition but requires further work. · True stakeholder involvement in water allocation decision making remains limited. · The framework to allow management at the lowest appropriate level is often not available. · Capacity building is promoted but not at all levels, and its effectiveness is not monitored. · Stakeholder involvement is growing, but is still too limited and too narrow in focus. · Efficient water use is gaining attention but requires much greater emphasis. · Water is increasingly viewed as having an economic and social value. · Striking a gender balance is often perceived to mean enhancing women’s involvement.

The identified Conditions for Success of IWRM were: There is a set of recurring conditions or decisions that are associated with successful IWRM projects. Not all successful projects have all of these conditions, but many of them are shared by many successful projects. They are:

· All participants agree to and share a common set of goals for the study area. These are defined in advance and modified as required. · Information and data are accessible and provided to all participants. · There is a well-understood “core” of basic information, shared by all, about all aspects of the study area. · Capacity building is targeted towards ensuring that all participants share a common set of basic knowledge, data and capabilities, especially in areas where they are not specialists. · Genuine participatory decision making is the rule, not the exception. · Conflict resolution procedures are available and used. · Reporting is a collaborative process. · Management and implementation are also collaborative

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Water Management

Integrated Water Resource Management

The process of IWRM has been described in many documents from many different sources, but the general consensus of most is based on the broadly accepted definition of IWRM as:

"a process which promotes the coordinated development and management of water, land and related resources in order to maximize economic and social welfare in an equitable manner without compromising the sustainability of vital ecosystems and the environment " The Global Water Partnership (Internet Access Required)

This evolved from the Dublin Statement and Conference Report [on CD] (1992) and express a holistic, comprehensive, multi-disciplinary approach to water resource problems worldwide. It is based on four “guiding principles” which cover environmental, social, political, and economic issues:

1. “Fresh water is a finite and vulnerable resource, essential to sustain life, development, and the environment. . .”

2. “Water development and management should be based on a participatory approach, involving users, planners, and policy-makers at all levels. . .”

3. “Women play a central part in the provision, management, and safeguarding of water. . .”

4. “Water has an economic value in all its competing uses and should be recognized as an economic good. . . .”

The emphasis of the Dublin Statement on the economic value of water rather than water as a universal right is highly contested by NGOs and human rights activists. Up till today it is still the only binding UN document that makes a statement on the issue. In November 2002, however, the UN Committee on Economic, Social and Cultural Rights (Internet Access Required) adopted General Comment No. 15, which was formulated by experts as a comment on articles 11 and 12 of the International Covenant on Economic, Social and Cultural Rights. In this comment, water is recognized not only as a limited natural resource and a public good but also as a human right. This step - adopting General Comment No. 15 - is seen as a decisive step towards the recognition of water as universal right, although the document has no legally binding power.

Integrated Water Resources Management (IWRM) is a process which promotes the coordinated development and management of water, land and related resources in order to maximize economic and social welfare in an equitable manner without compromising the sustainability of vital ecosystems and the environment.

IWRM helps to protect the world’s environment, foster economic growth and sustainable agricultural development, promote democratic participation in governance, and improve human health. Worldwide, water policy and management are beginning to reflect the fundamentally interconnected nature of hydrological resources, and IWRM is emerging as an accepted alternative to the sector-by-sector, top-down management style that has dominated in the past.

The basis of IWRM is that the many different uses of finite water resources are interdependent. High irrigation demands and polluted drainage flows from agriculture mean less freshwater for drinking or industrial use; contaminated municipal and industrial wastewater pollutes rivers and threatens ecosystems; if water has to be left in a river to protect fisheries and ecosystems, less can be diverted to grow crops. There are plenty more examples of the basic theme that unregulated use of scarce water resources is wasteful and inherently unsustainable.

Diagram of IWRM Interactions

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The diagram is an attempt to show the factors that impact developing an IWRM plan in a watershed or drainage basin.

The four main areas to be considered are:

1. The hydrologic cycle - the physical aspects of water transport and movement in the system 2. Watershed and land use - all the activities in the watershed that affect water cycling, use and quality 3. Economics, social interactions and institutions - human interventions, social and legal aspects, waste treatment, water control measures, and others 4. External Impacts such as global climate change, water transfers (including virtual water imported or exported in food and other products), and atmospheric pollution

There is an interesting summary of web-based documentation on IWRM done by Thelwall et al, that looks at all mentions of IWRM and related terms and determines the most referenced sites.

They list the Top 30 linked pages

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Most are United Nations, NGO or government sites (like the EPA in the USA) with only a few commercial or private sector sites in the top 30. They also analyzed the interlinkages between the Top 50 sites:

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Again, it is clear that a few sites "dominate" with many other sites linking to only a few "key" or "popular" sites. This is interesting since it can imply that:

These top sites are the best since everyone links to them or... Everyone copies everybody else's links or.... Looking at links does not quantify the "quality" of the information or ..... The "Top" sites started first or .... The top sites agreed to "swap" links to enhance their "Google" rating or ..... The Top sites are simply bigger with more opportunities for "in-linking" or ... Many other possibilities!

A simple map of links has also been done for the entire Internet at Lumeta Corp (Internet Access Required) Here is one such map from Lumeta Corporation:

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This is simply a map of linkages, with no assessment of the number of linkages within pages - but it does show the presence of massive concentrations of internet sites in certain places and regions (IP numbers)

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IWRM Problems and Issues

From: . Butterworth, J.; Warner, J.; Moriarty, P.; Smits, S. and Batchelor, C. 2010. "Finding practical approaches to Integrated Water Resources Management". www.water-alternatives.org Volume 3 Issue 1

Local version: IWRMconcepts and practice.pdf

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Summary

We have seen the central importance of water to life on Earth and how it is distributed and cycled through the atmospher, fresh and sea water.

It is an unfortunate fact that only a very small percentage of water is fresh water available for human consumption and use.

The population is increasing to 9 billion by 2050 and large parts of the Earth, mainly developing countries, will be under even more severe water stress than they are now.

The history of civilizations over the centuries is one of improvement in technologies of water management and supply, at even a fairly rapid rate during the Greco-Roman era, followed by a long period of dormancy until the Renaissance and the 19th century, when increasing populations spurred efforts to clean and supply water to the rapidly increasing city populations.

As the knowledge about the health issues surrounding water such as microbiological contamination and chemical pollution increased, more effort was devoted to water treatment and sanitation technologies. Eventually, chlorination of water supplies and safer distribution systems led to a drastic increase in the safety of the water supply leading to the eradication in developed countries of most water-borne infectious diseases. Even so, periodic outbreaks of protozoal and viral water-related diseases require constant vigilance.

Today, issues of governance, management and equity are extremely important to ensure efficient and equitable delivery of safe water and sanitation thoughout the world. It is estimated that for $40 to $50 billion dollars per year, safe water could be provided to all the world's population. For some perspective, in 2013/2014 the world will spend $1747 billion on military budgets and $66 billion on pet foods.

As a demonstration of the complex interactions involving water, Shell Oil recently completed a study originated in 2009 of the inter-relationships between water, energy and food (the Water-Energy-Food Nexus) and initially found over 300 iteractions. They simplified these to 100 interactions and the diagram below shows this Nexus.

Shell personnel commented that "Sectors tend to look at only at their own resources. There's an assumption that there will be enough of the other things you need to develop your thing. That was the reason to start working on the Nexus". Working with Eric Berlow (an ecologist and network expert from Berkeley, U. California) they developed a picture of these interactions.

By their estimates, by 2050 the gap between energy supply and demand could be as big as the total energy industry output in 2000. By 2030, water supply could fall short of demand by 40%. By 2030, the food required to feed the world might be up by 50% with demand for beef (highly water- and land-intensive) up by 80%.

Even if the numbers are not certain, this still very clearly shows that water issues and supplies cannot be viewed in isolation and that a complex interacting web of issues related to water, food, and energy need consideration -- and action!

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From: Shell Oil and WIRED magazine - UK Edition - September 2014

To provide a counterpoint to the scenarios described above, we must remember and acknowledge the tremendous progress that has been made in the past few decades.

According to Peter Gleick of the Pacific Institute, although we still need to address issues of water supply and quality for a large number of people, the situation today is much improved.

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In a talk at the Water Institute at the University of Waterloo, he set forth his ideas on where we have been, where we are today and what we need to do to address the outstanding issues of water and climate change.

It is available on YouTube at:

https://www.youtube.com/watch?v=ponjGxp7twk&list=PLawkBQ15NDEkajDjQxgbRZlqXCKXbvtJJ&index=5 (Internet Access required = Right-click and "Open in New window" for the best experience for most browsers)

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Reference Materials

The Concept and Discussion Pages are identical

Bibliography

On-line Bibliography for IWRM

There is a substantial (+3200 references) bibliographic database available for searching on all aspects of IWRM, including water-health issues, at the Mendeley Website http://www.mendeley.com/groups/search/?query=un+water (Internet Access Required)

Search for "UN Water Learning Centre" go to "Papers" in the left-hand section and you can then search that IWRM database for any one of hundreds of keywords.

Go directly there now (Internet Access Required)

Briefly, to perform a full search on the numerous "tags" in the Bibliography, download the up-to-date full list of "Tags" from http://www.colinmayfield.com/wlc/tagslisting.txt (Internet Access Required).

A local version of the listing of tags is here. This version may not be completely up-to-date.

Then, when in the "papers" section of the Group, click on any one of the "Top Tags" from the right-hand sidebar and replace its name in the URL bar at the top of the browser with the one you want to use.

The reason for this convoluted process is that Mendeley does not allow searches on all of the tags, only on a predetermined set of popular tags.

Extra Reading Materials on the CD - A selected List

If accessing this list causes problems (the browser does not return properly to the course materials), try right-clicking on the link and "open in a new window" or "Open in a new tag" or similar instructions in other browsers.

Disease

World Health Statistics - WHO 2012

Water-based diseases - Bachurova - IWA

Global health Risks - WHO 2010

Which Came First: Burden of Infectious Disease or Poverty? - Chase - PLOS 2010

Bibliography of Safe Water, Small Scale and Household Water Treatment - Microsoft Word

Drinking Water

Drinking Water Quality - Parker - IWA

Bibliography of Safe Water, Small Scale and Household Water Treatment - Microsoft Word

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History

A Brief History of Water and Health - Parker - IWA

Ancient Water Technologies - Mays - Springer

Building terrestrial planets Morbidelli, Lunine, O'Brien, Raymond and Walsh

Water Gods – From Wikipedia

Health

Health Impact Assessment for Sustainable Water Management - Parker - IWA

Health-related Risk Assessment - Parker - IWA

Bibliography of Safe Water, Small Scale and Household Water Treatment - Microsoft Word

IWRM

The Dublin Statement

Web Issue Analysis: An Integrated Water Resource Management Case Study - Thelwall, Vann and Fairclough

Practical Approaches to IWRM - Butterworth, Warner, Moriarty, Smits and Batchelor - PLOS 2010

IWRM at a Glance - GWP

IWRM Background - For sustainable use of water - Snellen and Schrevel 2004

IWRM Brochure - Guidelines at a River basin Level - WWAP - UINESCO

Finding Practical Approaches to Integrated Water Resources Management - Butterworth, Warner, Moriarty, Smits and Batchelor

Water Conflict Chronology Timeline - Pacific Institute

Water for Peace - WWAP - UNESCO

Patterns in International Water Resource Treaties - Hamner and Wolf 1998

The Millenium Development Goals Report 2012 - UN

Safe Water for the Community - CDC

Water for Peace - WWAP - UNESCO

Sanitation

Sanitation - Miller -IWA

Helping Sanitation Enter the Era of Sustainability - Miller - IWA

Bibliography of Safe Water, Small Scale and Household Water Treatment - Microsoft Word

Water Quality

Water Quality and Purity - Parker - IWA

Bibliography of Safe Water, Small Scale and Household Water Treatment - Microsoft Word

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Course 2: WATER-RELATED IMPACTS ON HEALTH PRINCIPLES, METHODS AND APPLICATIONS

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Introduction

"health, which is a state of complete physical, mental and social wellbeing, and not merely the absence of disease or infirmity, is a fundamental human right...." (1978 Declaration of Alma-Ata)

1. Water-related impacts on health and the relationships between water and health and well-being can be viewed through separate macro lenses or within spheres of the following,

The User of Water - individual and community health and well being

The Needs and Usage of Water - drinking water sanitation and hygiene, food farming and agriculture, industry and commercial processing and manufacturing, and other

The Quality of Water - its physical, chemical and biological properties and constitutents

The Availability and Accessibility of Water - source quantity and sustainability of water that is surface water groundwater rain water

2. Where overlap of the lenses (spheres) occurs there is significant potential for water-related impacts on health and well being.

3. An integrated approach incorporating the determinants of health and the principles of needs and risk assessment is taught learned and applied by focusing educational materials and efforts on where there is overlap and convergence of the above spheres.

4. Water-related impacts on health may be beneficial or harmful and are inextricably dependent on the quality of water available for use by the user.

5. Immediate and potentially life threatening needs for health and safety and risks of acute and chronic illness and disease must be prioritized and mitigated, notwithstanding economic social and cultural aspects contibuting to water-related impacts on health and well being.

This part of the course focuses specifically on the relationship between water quality and exposure to contaminants in water and the prevention of water-related illness and disease.

BACKGROUND AND RATIONALE FOR AN INTEGRATED APPROACH TO WATER AND HEALTH

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Problem Formulation and Scoping the Current Situation

Information Gathering - Situational Analysis

Scoping the current situation and identifying the problems and the issues, in terms of the vulnerability, susceptibility, ethics, gaps and limitations pertaining to

observed health effects in the population, identified hazards environmental exposures and known and suspected risk factors environmental and social modifying factors influencing risks and impacts on outcomes

Consideration of medical approach versus environmental health approach to addressing water related impacts on health. Applications to water related impacts on health are addressed later in the Course in those sections dealing with epidemiology and human health and environmental risk assessment and the section dealing with social surveys.

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Water Quality And Water Pollution The quality of water depends on the water source, its constituent properties and the geographical location and season, the users and use of the water, as a receiving environment wastes and releases from polluting sources. Safe water for drinking and personal hygiene and other potable uses, including food production and preparation, is necessary for the prevention of human disease and illness. Uses of water, other than for drinking water, are numerous and may have different requirements for need for stringency of the water quality.

Five Types of Water Sources: (reviewed in previous course)

Surface waters - Water collecting on the surface or in streams, rivers, reservoirs, estuaries, lakes, seas or oceans.

fresh water sea water brackish water

Ground water - underground shallow and deep aquifers from which groundwater can be extracted by construction of a water well (dug or drilled), and spring water fed by underground streams emerging in rocks.

Rain water - captured in cisterns, buckets and rain barrels, and creating ephemeral streams, ponds and puddles.

Glacial water - water melt from ice fields, such as the Himalayan mountains of Nepal

Man-made lakes, wastewater holding ponds, and lagoons.

Water Quality Properties

Salinity pH - acidity and alkalinity of water; neutral pH is 7.0. Hardness Turbidity Colour Taste and Odour Contaminants - chemical, microbiological, biological, physical

The water quality properties are largely dependent on the type of source water and the presence of polluting sources that introduce contaminants into the water source.

What are examples of water quality properties of the five different types of water sources?

More discussion on what quality properties as it influences drinking water treatment and waste water treatment is provided in the course on Technical Solutions.

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Point Sources and Non-Point Sources of Pollution (Chemical Biological and Physical)

Point Sources are fixed stationary sources of pollution. Non-Point Sources are diffuse and non-stationary sources of pollution.

Point Sources of Pollution

Direct discharges via wastewater end-of pipe outfalls of industrial wastewaters and municipal wastewaters are common point sources of pollutants released to surface waters.

Smoke stacks from industrial facilities, incinerators, and chimneys are common point sources of pollutants released to the air.

Pollutant point sources should be constructed to contain, treat and remove contaminants in order to limit and control their release into the environment, especially those that are priority pollutants and pathogens of concern, as designated under international health and environmental codes of conduct and trade agreements, for the protection of human health and the environment. These include

Persistent organic pollutants (POPs) that accumulate in the water column, in sediments, and in fish and other aquatic species, especially in top predatory fish and fish-eating birds and mammals, and are a potential threat to human health and endangered species.

Known and emerging human and animal pathogens (bacteria, viruses protozoa) and parasites,

Contaminants present in emissions in toxic quantities

Nutrients (nitrogen, phosphorous, potassium, and carbon containing compounds and ions)

Dissolved organics and totals suspended solids to minimize wastewaters from causing high Biological Oxygen Demand (BODs) in the receiving waters

And removal of solids to prevent sedimentation problems in receiving waters.

Non-Point Sources of Pollution

Contaminants in soils can move off the land into surface waters; Contaminants can be deposited from the air into nearby and distant surface waters, especially under high velocity wind conditions, And contaminants can seep and infiltrate through soils and the overburden into the groundwater

Pathogens can be introduced into the water by run off originating on feedlots and surface water flowing over pastures or fields where animal wastes and human excreta and decomposing carcasses and garbage are present.

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Image: sources of contaminants in the environment Source:

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Image: Figure of point-sources and non-point sources of pollution. Source: Dubrovsky et al., 2010 Cited in Harter et al., 2012

References:

Harter, T., J. R. Lund, J. Darby, G. E. Fogg, R. Howitt, K. K. Jessoe, G. S. Pettygrove, J. F. Quinn, J. H. Viers, D. B. Boyle, H. E. Canada, N. DeLaMora, K. N. Dzurella, A. Fryjoff-Hung, A. D. Hollander, K. L. Honeycutt, M. W. Jenkins, V. B. Jensen, A. M. King, G. Kourakos, D. Liptzin, E. M. Lopez, M. M. Mayzelle, A. McNally, J. Medellin-Azuara, and T. S. Rosenstock. 2012. Addressing Nitrate in California's Drinking Water with a Focus on Tulare Lake Basin and Salinas Valley Groundwater. Report for the State Water Resources Control Board Report to the Legislature. Center for Watershed Sciences, University of California, Davis. 78 p. http://groundwaternitrate.ucdavis.edu.

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO, 2002. Guidelines for Drinking- Water Quality, 2nd Edition. WHO, Geneva. pp. 1-142.

WHO, 2004. Guidelines for Drinking- Water Quality, 3rd Edition. WHO, Geneva.

WHO. 2012. Water Safety Planning for Small Community Water Supplies. World Health Organization, Geneva, Switzerland. pp. 55.

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Impacts of Pollution Sources on the Environment and Human Health Contamination of a water body by persistent substances (chemical, biological and physical) has a profound impact on both the quantity and quality of water in that area, and to surrounding areas connecting and adjacent to this body of water. Waterborne pathogens released into surface waters arising from livestock production (animal wastes), wildlife excreta, and from improperly treated human faeces and other excreta, and food wastes can have a profound influence on the quality of water. Cumulative impacts by contamination from both point sources and nonpoint sources can have profound adverse environmental consequences both upon the environment and human health by,

The spread of disease. Loss of potable sources of water supplies. Destruction of aerable land. Destruction of critical habitats for fish, and safe sources of water for livestock, game and other wildlife.

The interconnected sources of water pollution make the development and the implementation of effective remediation programs often complex. For the prevention of contamination of source waters and for their clean-up, control of pollution should be at the source. Pollution controls, water treatment and remediation action plans for water systems should be based on the principles of risk assessment, by utilizing

a multi-barrier approach, and multi-disciplinary and an integrated water resources and health management approach.

Water quality testing, monitoring and surveillance can provide important information on the quality and quantity of the water body and water system, especially about the safety the water body for drinking water and potable uses, and of its acceptability for other specified uses.

Testing of important water quality indicators of safety for human health, agricultural uses, including livestock and crops, and impacts on fisheries and plants and animals should be conducted.

Monitoring and surveillance should be conducted of water quality testing results, pollutant releases inventories by polluting sources, water usage rates, and of health records and vital statistics.

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Environmental Contaminants

Environmental contaminants are:

Biological Chemical, and Physical.

Contaminants are potentially harmful to humans animals and plants and to the integrity and vitality of populations and the ecosystems and the ecosystem services on which all life depends. Contaminants are released into the environment from human activities, by seasonal and naturally occuring processes, and severe weather and catastrophic events (i.e., natural disasters). Contaminants alter the composition, in terms of the types and amounts of chemical, biological and physical constituents and properties of air, water, soil and land, and food, making it unsuitable and potentially harmful.

Reference: World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1 (on CD)

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Major Contaminants Influencing Water Quality, Quantity, and Use Biological Contaminants The main types of biological contaminants influencing water quality, quantity and its use are the following,

Microbiological - pathogenic bacteria, viruses, fungi, and protozoa. Parasites - parasitic worms, trypanosomes (malaria). Infectious Disease Carrying and Venomous Pests - invertebrates (e.g., mosquitoes, flies and fleas, poisonous spiders); vertebrates (venomous poisonous snakes and rodents, bats, and other animals)

Algal blooms - cyanobacteria and dinoflagellates and their toxins. Noxious and nuisance aquatic weeds.

Reference: The World Health Organization (WHO) Drinking Water Guidelines (WHO, 2011. Guidelines for Drinking Water Quality, 4th Edition, World Health Organization, Geneva).

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Types of Environmental Contaminants Chemical Contaminants Chemical Contaminants are broadly catgorized as

Inorganics - ionic forms and nonionic compounds that do not contain any carbon and hydrogen bonds.

Organics - ionic forms and nonionic compounds that contain carbon and hydrogen bonds

Inorganic and organic chemicals can be further grouped according to their physical-chemical properties, toxic action, and uses, such as those listed below.

Nutrients - chemical compounds, including minerals, vitamins and nonionic organic compounds.

Acids and alkalis Salts Heavy Metals Halogens and Other Oxidants Volatile Organic Compounds Alkylating Agents Detergents and Surfactants Persistent Organic Pollutants (POPs) Pharmaceutical and Personal Care Products (PPCPs)

Chemical contaminants that have been responsible for large-scale health effects through drinking water exposure (WHO, 2011) include the following,

Arsenic Fluoride Lead Nitrate Selenium, and Uranium

Reference:

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World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Major Contaminants Influencing Water Quality, Quantity, and Use Physical Contaminants Examples of physical contaminants include the following,

Particulates, Sediments and Solids Coarse particulates = Total Suspended Particulate (TSP) are particles > 10 micrometers.

Fine Particulates = Particulate Matter (PM) of PM10 to PM2.5, particles sizes less than 10 micrometers.

Ultrafine Particulates ( and nanoparticles) = particles less than 2.5 micrometers

Dumping of wastes - including waste containers

Temperature

Radiation and Radioactive Materials Ionising radiation - x-rays Non-ionising radiation: EMFs, ELFs, UV

examples of radioactive materials: cesium, plutonium, 32P, 3H.

Light

Noise and vibration, currents and turbulence, including ultrasonic and sonic waves

Reference:

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Microbiological Quality of Drinking Water

"Diseases related to contamination of drinking-water constitute a major burden on human health. Interventions to improve the quality of drinking-water provide significant benefits to health." (WHO, 2011)

"The potential health consequences of microbial contamination are such that its control must always be of paramount importance and must never be compromised." (WHO, 2011)

1. Microbial contaminants in drinking water supplies continue to be the primary concern in both developing and developed countries.

2. Among the greatest public health risks is the spread of infectious disease via the consumption of drinking water contaminated with faeces and other excreta from humans and animals (including birds), and via other significant exposure routes.

3. Water contaminated by human and animal faeces commonly contains pathogenic bacteria and viruses, and parasitic protozoa and worms (helminthes).

4. A pathogen is defined as an organism able to inflict damage on the host it infects. A parasite is an organism able to live on (eat) and cause damage to another organism, called the host. An infection is when an organism has colonized and is growing on (or in) the host, with or without harm to the host; an infection does not always lead to injury. Not all microorganisms are pathogens, and not all bacteria, viruses and parasites are pathogenic.

5. The microbiological quality of drinking water is based on the testing of water samples for faecal contamination, as indicated by the presence of common faecal indicator organisms.

6. The Membrane Filtration (MF) test for assessing total bacterial coliforms counts and fecal coliforms counts is a standard method used by public health laboratories.

Membrane Filtration Test

The World Health Organization (WHO) Drinking Water Guidelines

The WHO drinking water guidelines provide information on the following,

Microbial hazards and drinking-water safety, including minimum procedures and specific drinking water guideline values, and how these were derived and how they are intended to be used. Taking a systematic stepwise approach to securing microbial safety based on the preventive principles of risk management, and Implementing infectious disease prevention and control practices for ensuring the microbial safety of drinking water through a multiple-barrier approach, emphasizing the importance of source water protection.

Reference:

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards.

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4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

A PDF copy of the WHO, 2011. Guidelines for Drinking Water Quality, 4th Edition, World Health Organization, Geneva is provided in the resources folder for the Course

OECD (Organisation for Economic Cooperation and Development). 2003. Assessing Microbial Safety of Drinking Water: Improving Approaches and Methods. IWA Publishing, London, UK, pp. 1-279.

Waterborne Pathogens. 2006. AWWA Manual M 48. American Water Works Association, Denver, USA.

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Testing Drinking Water for Microbiological Quality

1. The microbiological quality of drinking water is based on the testing of water samples for faecal contamination, as indicated by the presence of common faecal indicator organisms.

2. The Membrane Filtration (MF) test for assessing total bacterial coliforms counts and fecal coliforms counts is a standard method used by public health laboratories.

3. 100 mL water samples, collected in sterile glass or plastic bottles, are filtered through a sterile 0.45 micron membrane filter.

4. The membrane is rinsed with sterile water and placed on the prepared Petri plate and incubated at 35°C for total coliforms and 44.5°C for fecal coliforms.

5. Coliforms are counted as the number of colony forming units (CFUs) per 100 mL water sample; Potable water should contain no CFU per 100 mL.

6. The presence of E. coli CFU indicates recent fecal contamination and is taken as an indicator of the presence of pathogens.

Membrane Filtration (MF) Test

The Membrane Filtration (MF) Test for Enumeration of Bacterial Coliforms and Fecal Coliforms, as CFUs

Drawing of bacteria in water passing through membrane filter.

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Bacterial colonies on filter paper Bacterial colony on agar plate

Reference:

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Microbial Indicators of Water Quality 1. Indicator bacterium (IB) definition and use, including limitations 2. Estimating risk 3. Viable but non-culturable (VBNC) 4. Emerging pathogens 5. Why detect pathogens?

Challenges in the Use of An Indicator Bacterium for Faecal Contamination of Water There are challenges with the environmental sampling of water and use of an indicator bacterium for fecal pollution. These challenges include the following: 1. Variations in microbial species and distributions in nature. 2. Low microbial numbers are difficult to detect. 3. Microbes that are associated with biofilms and particles. 4. Environmental factors that may prevent accurate, reliable and representative sampling. As well as numerous pollution sources for enteric microorganisms in water (surface and ground water).

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International Drinking Water Standards versus Guidelines 1. There are no international mandatory drinking water standards for microorganisms. 2. The WHO Guidelines are a science-based assessment of the risks to human health from biological agents in drinking water.

Reference:

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Monitoring and Surveillance of Microbiological Water Quality Why Detect Pathogens in Water?

Table of Water-related diseases Source: Hunter et al., 2010.

The detection of pathogens in drinking water is necessary for the following reasons,

1. Hazard identification - defining the hazard and the nature of the harm. 2. Exposure assessment- determining the numbers and estimating the intake by humans. 3. Dose–response assessment- quantifying adverse effects arising from exposure to pathogen(s). 4. Risk characterization-estimating potential and real impacts. 5. Setting standards for pathogens and the indicator bacterium (IB). 6. Conducting baseline analyses of drinking water.

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7. Developing clean-up goals for contaminated water. 8. Construction of what-if scenarios such as contamination of water with animal wastes, f containing pathogens, flooding, above average rainfalls, or bioterrorism events. 9. Constructing computer models. 10. To evaluate new and existing technologies in water treatment and the methods used for detection/enumeration of microorganisms. 11. To protect human health and deal with community and individual health concerns. 12. To determine how urgent microbiological problems in water are. 13. Prevention of illness. 14. To prevent exposure pathways. 15. To understand exposure pathways for humans and (domestic and agricultural animals) such as the average ingestion of 2 l of potable water per day per person x 365 days per year. 16. Microbial and chemical contaminants are not equal in their capacity to cause health effects. 17. To determine sources of uncertainty in guidelines and testing methods. 18. To find limitations in analytical methods and correct them. 19. Estimating exposures. 20. Microbial risk assessment is complicated because the outcome can be no illness to death, because of pathogen-host interactions that are variable. Host factors such as age, pre-existing immunity, nutritional status, the ability to mount an immune response, and differences in infecting strains complicate the assessment. For example, elderly people, people with chronic illness and people with medical conditions that impair their immune system are at a higher risk when challenged with pathogens. 21. Emergence factors such as land use and a breakdown of public infrastructure can create an outbreak of one or more pathogens in drinking water. 22. Increases in the number of antibiotic resistant microorganism can be considered an emergent problem. 23. Bulk processing of foods (using water) and subsequent distribution is an emergence factor with our current worldwide processing and distribution of foods. 24. Genetic mechanisms (transduction, transformation and conjugation) that promote gene transfer in microbes is an emergence factor if the transferred genes are for toxin production and antibiotic resistance(s), and the resistances are carried on transferable plasmids, or plasmids that are mobilized. 25. Global change and climate change (such as warming of waters) may allow pathogens to move into water locations where they were previously not found. 26. Other emergence factors include inadequate vaccination programs, excessive rainfall and flooding which moves animal waste into water supplies, mild winters that do not reduce microbial numbers (lower pathogen kill), lack of proper training and personnel, lack of public education, non- compliance with standards and unknown disease reservoirs from which contamination of water file:///F|/Dropbox/WaterHealthNewFinal/Course2/concepts/WH20M020C012WB%20Pathogens.htm[11/3/2014 5:19:42 PM] WLC Template

supplies and recreational water can occur.

Infant mortality plot - Source: Hunter et al., 2010.

References:

Hunter, P.R., MacDonald, A.M., and Carter, R.C. 2010. Water Supply and Health. PLOS Medicine. 7 (11): 1-9 e1000361 www.plosmedicine.org

Mara, D. and N. Horan (Eds.) 2003. Handbook of Water and Wastewater Microbiology. Academic Press, NY.

Pan American Health Organization (PAHO). December 2011 Health Indicators: Building Blocks for Health Situation Analysis. Epidemiological Bulletin 22 (4):1-16

Waterborne Pathogens. 2006. AWWA Manual M 48. American Water Works Association, Denver, USA.

World Health Organisation (WHO). 2004. Using climate to predict infectious disease outbreaks: a review. Communicable Disease Surveillance and Response Protection of the Human Environent Roll Back Malaria Geneva. 2004.

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO. 2004. Expert Consensus Expert Meeting Group in the World Health Organization (WHO). Waterborne Zoonoses:

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Identification, Causes and Control. Edited by J.A. Cotruvo, A. Dufour, G. Rees, J. Bartram, R. Carr, D.O. Cliver, G.F. Craun, R. Fayer, and V.P.J. Gannon. Published by IWA Publishing, London, UK. ISBN: 1 84339 058 2.

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Monitoring and Surveillance of Water Quality 1. Potable water quality is safe for drinking, and is for protection of human health, individual and the public. 2. There are numerous interacting factors that will influence water quality. 3. Pollution of water is not always visible to the naked eye including, chemical microbiological and some physical contaminants. Most pathogenic organisms are microscopic and require the correct methodology to detect and enumerate them in water. Disease potential exists when host pathogen and environmental conditions interact

Venn diagram Host-Pathogen-Environmental Conditions, and Disease

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Microbial Source Tracking (MST) 1. Using microorganisms to determine source(s) of fecal contamination 2. MST is tool to be used in combination with other investigative processes 3. Effective in small, defined watersheds 4. Large-scale projects more difficult

MST Library Sources

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Cholera as an example of a waterborne disease

Vibrio cholera is a Gram-negative rod-shaped pathogen. V. cholera causes infections resulting in watery diarrhea and vomiting. Severe dehydration of the host can lead to death. Death can occur in 1 to 5 days. V. cholera can survive in the environment for extended periods of time.

Vibrio cholera cells

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Enterohemorrhagic (EHEC) Escherichia coli (O157:H7 and others) in water Enterohemorrhagic (EHEC) Escherichia coli O1H7:57 - identification Disease description Occurrence in water Survival in water Transmission

Electron micrograph of E.coli

Escherichia coli cells viewed microscopically.

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Enteric viruses Viruses are various submicroscopic pathogens consisting of core single nucleic acids surrounded by a protein coat and capable of replicating inside a living cell (AWWA M35, 2006). Enteric viral infections cause gastroenteritis and/or diarrhea.

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Cyanobacteria (commonly called blue-green algae) There are several cyanobacteria for example, Oscillatoria, Anabaena, Aphanizomenon and Phormidium that cause taste and odor problems in water, making it unfit for consumption. Harmful algal blooms (HAB) occur when there is an excessive accumulation of algae often in shallow, warm and slow moving water.

What are cyanobacteria, formerly called blue-green algae?

These are primitive microscopic organisms with chorophyll that live in fresh water. Their scientific name is cyanobacteria, but they are commonly known as pond scum.

Normally cyanobacteria (blue-green algae) are barely visible in surface waters, but during warm weather populations can rapidly increase to form a large mass called an algal bloom.

What conditions favour cyanobacterial growth?

Cyanobacteria (blue-green algae) thrive in areas where the water is shallow, slow moving, and warm, but they may also be present below the surface in deeper, cooler water.

One key factor affecting growth rates is the level of available nutrients, in particular phosphorus and nitrogen.

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Cryptosporidium: Waterborne Pathogen Cryptosporidium parvum and Cryptosporidium hominis are obligate enteric protozoan parasites, which infect the gastrointestinal (GI) tract of animals and humans, causing cryptosporidiosis. C. parvum is a potential threat to drinking water due to the robust and indigenous nature of oocysts, resistance to conventional chlorine-based disinfection Transmitted by the fecal-oral route. Hardy oocysts. Two genotypes known. Both infect humans. One of them was renamed Cryptosporidium hominis in December 2002. Early reliable detection is needed for routine monitoring and prevention of cryptosporidiosis outbreaks.

Electron micrograph of C. parvum oocyst.

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EXPOSURE - Exposure Assessment and Transfer of Disease Overview

Exposure Routes Exposure Pathways - direct and indirect Transmission of Infectious Disease Duration of Exposures - short-term; repeated short-term and long-term Similarities and differences of children and adults

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Water is Essential for Life

Water has a profound influence on human health. A minimum amount of drinking water is required daily for survival. Water plays an important role in the control of disease through: personal hygiene and cleaning washing away dirt, wastes, pathogenic and toxic contaminants improved sanitation

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Zoonoses Zoonoses are diseases and infections transmitted from animals to humans and vice versa caused by bacteria, viruses, parasites or unconventional hosts.

Waterborne Zoonoses

Waterborne zoonoses involve water as a breeding place and growth medium increasing the opportunity for environmental exposures and disease transmission to hosts.

Vector-borne Disease (and indirect exposure pathway to pathogens and parasites)

Water influences the transmission of vector-borne disease (VBD) by providing essential habitat for certain life-stages of insects and other pests which are carriers of agents of zoonotic infectious diseases.

Important determinants in vector-borne disease transmission include:

1. Vector survival and reproduction

2. The vector’s biting rate, and

3. The pathogen’s incubation rate within the vector organism

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Waterborne disease interactions in the water environment. copied from WHO Section 1 Expert Consensus Expert Meeting Group in the World Health Organization (WHO). Waterborne Zoonoses: Identification, Causes and Control. Edited by J.A. Cotruvo, A. Dufour, G. Rees, J. Bartram, R. Carr, D.O. Cliver, G.F. Craun, R. Fayer, and V.P.J. Gannon. Published by IWA Publishing, London, UK. ISBN: 1 84339 058 2.

Environmental Exposure Factors - Geographical Location and Climate, Temperature, Precipitation

Vectors, pathogens and hosts must each live, survive and reproduce within the same range of geographical locations, including artificial climate controlled facilities, with optimal climatic conditions.

Temperature and precipitation are important climatic factors, also sea-level elevation, wind, and daylight duration are important factors influencing vector and pathogen survival and transmission of vector-borne diseases.

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Transmission Routes of Infectious Diseases and Pathways of Exposure to Toxics

Direct Exposures and Transmission of Disease Agent

Ingestion Inhalation Person to person contact Contact exposure - skin contact, contact with intact and abraded (broken) skin Injection - invasive exposure by contaminated and used needle puncture, accidental puncture injection by contaminated sharp objects and edges e.g. broken glass, nail and metal (rusty), human and animal bite and scratches.

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Transmission Routes of Infectious Diseases and Pathways of Exposure to Toxics

Direct Exposures and Transmission of Disease Agent

Ingestion Inhalation Person to person contact Contact exposure - skin contact, contact with intact and abraded (broken) skin Injection - invasive exposure by contaminated and used needle puncture, accidental puncture injection by contaminated sharp objects and edges e.g. broken glass, nail and metal (rusty), human and animal bite and scratches.

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Exposure Pathways to Environmental Contaminants Indirect Exposures to Chemical Contaminants and Pathogens and Parasites

Eating contaminated fish and shellfish is a common route of transmission of waterborne pathogens and parasites, particularly by eating raw and insufficiently cooked fish and shellfish.

Eating contaminated fish and shellfish is a common exposure pathway to inorganic and organic chemical contaminants, particularly mercury, arsenic, cadmium and other heavy metals, POPs, bacterial and algal toxins, and radioactive compounds accumulated in the flesh, fat and oils, and organs.

Person to person contact with pathogens in excreta - faeces, urine, blood, and vomit and the transfer of pathogens and parasites into foodstuffs, beverages, other products.

Maternal transfer: The transfer from mother to infant of some forms of toxic metals and organic compounds and of pathogens and parasites.

Contaminated and adulterated food, including vegetable, fruits, grains and meat.

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Exposure Pathways to Environmental Contaminants Indirect Exposures to Chemical Contaminants and Pathogens and Parasites

Eating contaminated fish and shellfish is a common route of transmission of waterborne pathogens and parasites, particularly by eating raw and insufficiently cooked fish and shellfish.

Eating contaminated fish and shellfish is a common exposure pathway to inorganic and organic chemical contaminants, particularly mercury, arsenic, cadmium and other heavy metals, POPs, bacterial and algal toxins, and radioactive compounds accumulated in the flesh, fat and oils, and organs.

Person to person contact with pathogens in excreta - faeces, urine, blood, and vomit and the transfer of pathogens and parasites into foodstuffs, beverages, other products.

Maternal transfer: The transfer from mother to infant of some forms of toxic metals and organic compounds and of pathogens and parasites.

Contaminated and adulterated food, including vegetable, fruits, grains and meat.

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Principle Elements of Faecal-Oral Disease Transmission

Faecal-oral disease transmission

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Biological and Chemical Contaminants and Water-Related Disease Interactions in the Environment

Exposure Pathways to Contaminants in Water

SOURCES OF WATER-RELATED CONTAMINANTS IN FOOD 1. Pollution of the Aquatic Environment: a. Sanitation – municipal effluents to water from humans and animals b. Industrial, Manufacturing, Commercial – effluents to water c. Energy and Electricity Generation d. Agricultural e. Air Deposition (wet and dry) of Industrial Emissions f. Particulates in Windblown Dust and Soils g. Debris, urine and faeces, pathogens, toxins, nutrients from living and decaying wild animals plants, microorganisms (bacteria, algae, viruses, protozoa, parasitic worms, fungi, TSEs), and leaching of toxic substances from geological materials.

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2. Water Usage: a. Irrigation, Animal Watering b. Fisheries Habitat c. Food Processing

3. Food Handling and Food Service: a. Cleaning b. Preparation c. Cooking d. Storage, Packaging, and Refrigeration e. Re-heating

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Exposure Pathways for Zoonoses (transmission of infections of humans and animals) The occurrence of waterborne zoonotic diseases depends on several factors.

Mapping Poverty and Zoonoses Hotspots Source: Map by ILRI, published in an ILRI report to DFID: Mapping of Poverty and Likely Zoonoses Hotspots, 2012.

Exposure Transmission of Zoonoses

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Elements of transmission of zoonotic diseases. Source CDC

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Types of Exposure:

Type of Exposure to a contaminant Duration of Exposure (Exposure period) (biological and chemical)

Short-term: usually less than 24 hours. Also refers to high Acute intensity short-term exposure

Long-term: recurring exposures lasting more than three months, and a substantial part of a lifetime. Repeating events in a Chronic lifetime. Example, exposures that occur by daily consumption of drinking water. Exposures to common foods frequently eaten.

Intermediate-term: lasting more than 24 hours, several days but Sub-Acute less than one month; infrequent repeated events. Also refers to less severe effects than acute effects.

Lasting between one to three months; recurring exposures Sub-Chronic more often than sub-acute exposures but not daily. Could involve recurring frequency for several months back to back.

Factors Influencing Exposures (and Effects)

The type of substance - biological (type of) , chemical (type of), physical (type of) Exposure and transmission route Administered Dose Duration of exposure and the incubation period Life-stage and gender of the exposed The health and nutritional status of the exposed The internal dose at the target site Secondary exposures Co-exposure to multiple substances The prevailing climatic conditions and seasonal and environmental aspects and cultural and behavioural practices.

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EXPOSURE - CHILDREN AND ADULTS

On a kilogram per body weight basis (pound for pound basis) infants and children often received higher environmental exposures to contaminants than adults if exposed to the same amount of contaminants in air, water and soil and other media.

The breathing zone of toddlers and young children is different and is closer to the ground in comparison to adults, especially infants and toddlers on the ground and crawling.

Children consume more food per body weight than do adults while consuming fewer types of foods, i.e., have a more limited diet.

Children engage in crawling and mouthing (i.e., putting hands and objects in the mouth) behaviors, which can increase their exposures.

Children often spend more time outdoors than adults. Children including adolescents often have more contact with the soil and ground in their surrounding environment and may engage in hand to mouth activity especially infants and young children as they explore their environment and during the day.

Children may have direct contact with plants and animals and surface waters sand and sediments (beaches, lakes, streams, waterholes and puddles and ponds) during play and work activities.

Children and youth may be less inhibited and engage more in risk taking activities involving contact with various environmental contaminants in polluted waters and areas.

Infants and young children are more susceptible to life-threatening outcomes of dehydration and inadequate nutrition, and are at greater risk of mortality and severe and chronic morbidity from acute diahhroeal disease and water related exposures to pathogens and parasites, and harmful exposures to chemical and physical contaminants in drinking water and contaminated water used for washing bathing and food preparation.

For more information refer to other parts of this course dealing with epidemiology and risk assessment of children and other susceptible and vulnerable populations (e.g., Modules 04 and 06).

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ENVIRONMENTAL FATE and TRANSPORT

The behaviour and movement of substances in the environment occurs within four major environmental compartments.

Interactions between four major environmental compartments - air, water, soil, and biota.

PHYSICAL-CHEMICAL PROPERTIES OF CHEMICALS GOVERNING ENVIRONMENTAL FATE IN WATER and THE AQUATIC ENVIRONMENT

i) Water solubility ii) Volatility iii) Vapour pressure iv) Fat solubility – lipophilicity v) Octanol-water partition coefficient -Kow vi) Adsorption vii) Complexation

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Health Effects Assessment and Health Outcomes TOXICOLOGY: An Introduction to Basic Principles and Concepts What is Toxicology? Toxicology is the study of the science of poisons to predict their harmful health effects in living organisms, including:

humans animals and birds fish and other aquatic species invertebrates plants microorganisms and ecosystems.

Toxicology has developed from the science of ancient poisoners and therapeutic medicine. Toxicology is the study of the toxic or harmful effect(s) of chemicals and the effective dose or concentration in biological systems at the molecular, cellular, tissue, organ and whole organism level. Toxic substances may be: i) Naturally occurring, and ii) Anthropogenic (formed by man-made processes)

Toxic substances include:

Nutrients Inorganic chemicals Organic chemicals Drugs (natural and synthetic) Biological agents Physical agents

Toxic levels are often >>> Natural levels in healthy living organisms Toxicity occurs at concentrations of contaminant that are greater than physiological levels in healthy living organisms.

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Health Outcomes Waterborne Disease

Waterborne disease occurs worldwide in both epidemic and endemic forms, in both developed and less developed countries.

Diarrhoeal disease and water-related faecal-oral pathogens affect billions of people worldwide and is a major public health concern.

About four billion cases of diarrhoea occur each year, leading to millions of deaths, much of it caused by waterborne zoonotic pathogens; intestinal worms infect more than a billion people worldwide.

About 90% of diarrhoeal diseases in children occur in those under five years of age, contributing to upwards of 3,000,000 deaths in children per year in the developing world.

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Toxicology Toxicology integrates information on the following components obtained through observation and data gathering with thoughtful processes

1. Exposure (as a function of dose and time) - external measurements and estimations (i.e., intakeof air, water, soil and contaminant concentrations in environmental media) 2. Observed and Measured Effects - acute and chronic effects; includes internal measurements and estimations of absorption, distribution, metabolism and excretion (elimination) 3. Mode of Toxic Action and Mechanism of Toxic Action - process of adverse effects involving target tissues and organs, point of contact and systemic distribution, reversible and cumulative tissue concentration and damage, threshold fof effects versus self-propagating non-threshold, toxic parent chemical and metabolic activation.

Why Study Toxicology? To determine the: i) Cause-and-Effect Relationship of chemical(s) exposure(s) and specific toxic effect(s). ii) Type and Severity of Toxic Effect of chemical(s) exposure in a certain organism. iii) Toxic Dose - how much chemical is a poison. iv) Safe Dose - “Theoretical” – how much chemical is safe. NOTE: Cannot prove a negative (no effect). The exact dose that causes no effect cannot be precisely measured. v) Mode of Toxic Action and Mechanism of Toxic Action – how a chemical causes harm vi) To predict and estimate whether or not exposure to a chemical/substance will cause a harmful effect.

Toxicology involves the application of knowledge and methodologies of:

Biology Chemistry Mathematics and Physics.

In addition to experimental in vivo studies in laboratory animals, modern toxicology includes the study of molecular biology and in vitro systems (non-animal studies) using toxic chemicals as tools to discover biological, molecular, and genetic processes, modes of toxic action and mechanisms of toxic action.

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The Basic Underlying Principle of Toxicology is:

“The Dose Makes the Poison”

in other words, “All substances are poisons; there is none which is not a poison.” Paracelsus 1493-1541 (Physician- Alchemist)

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THE TOXICOLOGICAL PRINCIPLE OF DOSE

DOSE = Amount of toxic agent (chemical, biological, physical) received by the organism The toxic agent is the substance(s) capable of exerting a harmful biological response. The Biological Response is a function of the Dose received at the Target Site of Toxicity. For example. An external dose would be that administered as an oral dose, inhaled dose, or through skin contact. An internal dose would be that taken-up by the body into the bloodstream and distributed to target tissues and target organs. A localized dose may occurr by external contact with epidermis (skin contact) that does not penetrate tissues and does not reach the blood.

DOSE Dose is expressed on a body weight basis (µg/kg body weight)

TOXICITY Any substance (naturally occurring and derived from human activities and processes) can be toxic provided the dose is great enough. Including nutrients and vitamins (e.g. vitamin A, B,C, D and E), minerals (e.g., sodium, calcium, iron, magnesium, and trace minerals), amino acids and proteins (e.g., meat, fish, eggs, seeds and nuts), fats and carbohydrates (cholesterol, animal and plants fats, sugars, starches) and other constituents in foods and the environment.

The Comparative Toxic Potency Compounds can be ranked quantitatively according to their toxicity by a comparison of the dose causing the same toxic effect, and by the same exposure route and in the same test organism. For example, these four compounds are compared on the basis of their lethal dose. The lower the lethal dose the more toxic (harmful) the compound.

Compound A: lethal toxic dose = 1 mg/kg;

Compound B: lethal toxic dose = 1000 mg/kg;

Compound C: lethal toxic dose = 25 mg/kg;

Compound D: lethal toxic dose = 150 mg/kg.

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Question: List the above four compounds in the order of their toxic potency from the most toxic to the least toxic. Answer: Most toxic is A > C > D > B is least toxic.

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EXPOSURE Contact with chemical, biological and physical substance. Major Factors of Exposure:

the route of exposure the concentration of contaminant (e.g., concentration in drinking water) the amount of exposure (e.g., amount of drinking water ingested, area of contact with skin and lungs)

duration of exposure period (i.e., time) and chronicity of exposure (i.e., number of contact events within a specified period)

exposure pathways

Exposure Pathways Pathways of contact between organism and chemical, biological and physical substance in environemntal media food and consumer products. Exposure Routes: ingestion; inhalation; and dermal. Other routes: injection (intradermal, intramuscular, subcutaneous, interperitoneal, intravenous). Four Categories of Exposure (on the basis of duration and frequency of contact):

Acute exposure short-term exposure (single exposure) Subacute exposure short-term exposure (several days) Subchronic exposure long-term exposure (weeks to months) Chronic exposure long-term exposure (months to years) and life-time exposure

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DOSE RESPONSE RELATIONSHIP

The dose response curve is the plot of the Dose (ug chemical/kg body weight) versus the Biologic Response (i.e., toxic effect that is being studied)

The dose response curve provides information about the amount of chemical exposure and the corresponding biological response (i.e., toxic effect).

The examples of dose response curves show a) dose vs response; b) dose response curve showing threshold for no effects; c) shallow dose response curve; and d) steep dose response curve

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REPEATED EXPOSURES (DOSING)

Change in blood concentration of chemicals with different rates of elimination

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TOXICITY ASSESSMENT Toxicity endpoints includes a wide range of different harmful effects such as the following,

Death Impaired Growth Developmental and Reproductive Effects Birth Defects Neurotoxicity (damaged to nervous system) Cancer Immunotoxicity (damage to immune system) Other effects

Important Considerations in Toxicity Assessment 1. The nature of the biological response. 2. The degree of the biological response. 3. The severity of the biological response. 4. Biological significance - physiological range on average, corresponding to age, sex, life- stage, metabolism

Four Major Considerations in the Biological Significance of the Response (Klassen and Eaton, 1991) 1. Timing of response related to exposure. Examples:

Cancer Neurotoxicity Delayed Lethality (death) Impaired reproduction and reduced fertility

2. Location of the harmful effect.

Localized effects Systemic effects

3. Reversibility of effects.

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Reversible effects Irreversible effects

4. Consistency or reproducibility of effects (in multiple studies in humans and in the same animal species and in several different biological species)

Inconsistency in reproducibility of effects Increased/decreased sensitivities

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Mode and Mechanism of Toxic Action How chemicals and other substances cause harmful effects. Factors affecting toxic response include the following,

1. The rate of toxic injury and the type of interaction

2. The biological importance of the processes affected.

3. The ability of affected tissues to function while damaged.

4. The ability to repair or replace damage tissue with regenerated tissue.

General Modes of Toxic Action and Specific Mechanisms of Toxic Action

Interference with normal receptor-ligand interactions

- neuroreceptors and neurotransmitters

- hormone receptors

- changes in enzyme activity (P450; CYP1A)

- transport proteins

Interference with membrane functions and structure - cell lysis, narcosis; liver toxicity

Interference with cellular energy production; oxygen transport; cyanosis Binding to biomolecules - damage to proteins; interference with protein synthesis; renal (kidney) toxicity

Perturbation of calcium homeostasis Toxicity from selective cell loss

Cancer and Carcinogenicity - Non-lethal genetic alterations in somatic cells Carcinogenic chemicals have been divided into the following two classes (Williams and Weisburger, 1991) 1. Genotoxic Carcinogens – “Classic” carcinogens that chemically interact with DNA and cause DNA adduct formation. No threshold for effects. 2. Non-Genotoxic Carcinogens – substances do not interact with genetic material; an alternative biological effect is the basis of carcinogenicity. Threshold for effects exists.

Birth Defects

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Toxicity of Chemical Mixtures Chemical interactions are:

Additive Antagonistic Synergistic Potentiative Non-interactive

Examples of chemical interactions include the interactions of therapeutic drugs, the interactions of narcotics, interactions of metals, and the relationship of poisons and antidotes

Assessing Toxicological Effects of Environmental Mixtures (low level exposures) General Underlying Assumptions 1. Assume additivity of exposures to environmental mixtures of potentially toxic contaminants for those acting on same target tissues causing similar effects (e.g., lung cancer, liver cancer) 2. Assume additivity of exposures to environmental mixtures for potentially toxic contaminants acting by the same modes and mechanism of toxic action. 3. Assume for environmental mixtures of contaminants acting by different mechanisms of toxic action their interactions may be non-additive.

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TOXICITY TESTING ENDPOINTS Acute Tests

EC50 and ED50: Effective Concentration causing toxicity or observed effect in 50% of study population (organisms tested) and Effective Dose in 50% of study population (organisms tested)

LC50 and LD50: Lethal Concentration causing death in 50% of study population (organisms tested) and Lethal Dose causing death in 50% of study population (organisms tested) .

Chronic Tests LOEC and LOEL: Lowest-Observed-Effect-Concentration and Lowest-Observed-Effect- Level LOAEC and LOAEL: Lowest-Observed-Adverse-Effect-Concentration and Lowest- Observed-Adverse-Effect-Level MATC: Maximum Acceptable Toxicant (toxic substance) Concentration NOEC and NOEL: No-Observed-Effect-Concentration and No-Observed-Effect-Level NOAEC and NOAEL: No-Observed-Adverse-Effect-Concentration and No-Observed- Adverse-Effect-Level

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Exposure (Intake into Body) - Absorption, Distribution, Metabolism, Excretion (ADME) Uptake of chemical contaminant into blood and tissues is generally followed by conversion into less toxic metabolites and toxic metabolites and elimination from body via excretion in urine, faeces, breath, sweat, hair and nails, or retained in tissues.

Exposure Intake - The process involving exposure to a contaminant in air, water, soil-dust, food, consumer product (i.e., in external media) via inhalation, ingestion, skin contact, and an estimation of the amount of exposure. Absorption - The process involving the uptake of contaminant into blood and tissues in the body (e.g., uptake of contaminant across skin and membranes of tissues of the alimentary tract and respiratory tract, nervous and circulatory system). Distribution (Systemic Exposure) - The translocation of contaminant via blood and lymph throughout body to target tissues distal to portal of entry Metabolism - The biological conversion of parent chemical into other compounds called metabolites. Excretion (Elimination) - The removal processes and estimation of the amount of parent chemical and metabolites eliminated from the blood and body tissues. Accumulation - The potential exists for a gradual increase in tissue concentrations of a contaminant when the rate of uptake and rate of intake and metabolism exceeds the rate of elimination of parent chemical and its metabolites Cumulative and Lifetime Exposures Re-Release Incubation period for pathogens

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FACTORS INFLUENCING EXPOSURE AND POTENTIAL FOR TOXICITY AND HEALTH OUTCOMES

A. Environmental (Non-Biological) Factors Influencing Potential for Harmful Effects from Water- Related Contaminants Water Quality Factors · Salinity · pH · Water hardness · Organic carbon (dissolved or particulate) · Methylation · Light intensity · Temperature · Dissolved oxygen · Mixtures · Sediment characteristics · Exposure pathway (e.g. water, dietary, sediment)

Physical-Chemical Properties

· Water solubility of compound; log Kow; Volatility; HL constant; Koc

Exposure Conditions: · Short-term · Continuous long-term · Mixtures

B. Host and Receptor Factors (Biological Factors) Influencing Susceptibility and Vulnerability Characteristics of the exposed receptor (individual) or organism; includes individual, population, community, ecological processes. Variations in physiological and biological characteristics

· Life stage and development · Reproduction · Gender

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· Genetics · Nutritional status · Health status · Other stress

Biological Considerations in Toxicology · Differences in species sensitivity · Respiration and metabolic rate · Gender and reproduction · Genetics · Growth and development · Nutritional Status · Lifestyle and behaviors (exposure pathways) - also referred to as social and cultural factors influencing exposure · Food consumption and types of foods - also referred to as social and cultural factors influencing exposure

Note: All of the above are dependent on the life stage.

Acclimation and Immunity to Previous Exposures

Physiological change to environmental stress such as change in temperature, salinity, and pH, and in environmental concentrations of chemicals and other substances. Immunological protection from disease through vaccination against vaccine preventable disease and through previous exposure and illness to the same pathogen(s).

Behaviour and Living and Working Conditions and Habitat

Behaviour, lifestyle and living and working conditions affect interactions and contact with various environmental media as well as to environmental contaminants in those environmental media (air, water, soil and dust, food, other).

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SUSCEPTIBLE AND VULNERABLE POPULATIONS

Women and Children Early-Life Stages Pregnant women and developing fetus Adult - Reproductive-ages Adult elderly Genetics - metabolism Health status

Immunization Immune - passive vs. active Nutritional status Sensitization from previous exposures

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ASSESSING HEALTH OUTCOMES - EPIDEMIOLOGY PRINCIPLES METHODS AND APPLICATIONS Overview and Objectives 1. To understand common terminology and procedures used in epidemiology for data collection, analyses, reporting, and surveillance of water-related impacts on health. 2. To describe basic epidemiological principles and methods. 3. To gain an appreciation of the importance of standardized procedures for data collection analyses reporting monitoring and surveillance, as applied in epidemiology and public health studies. 4. To increase core knowledge of epidemiological principles methods and applications necessary for understanding interpreting and communicating the findings of health assessments and outcome studies.

Building A Conceptual Framework For Epidemiological Investigations

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Epidemiological Monitoring and Surveillance

A two-step process Step 1. Data Collection Step 2. Data Analysis

Monitoring and surveillance involves a systematic study of an event, activity or outcome, in terms of its

occurrence frequency and distribution.

Traditional historical epidemiology involved the study of epidemics of infectious disease. Current modern epidemiology involves a systems approach to studying health outcomes.

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Integrated Water and Health Monitoring & Surveillance Systems Should track and report on indicators for all three elements:

1. Water Quantity

2. Water Quality

3. Health Impacts and Outcomes

Enabling awareness of the consequences of local and regional water-related impacts on health protection and disease prevention. An assessment should be carried out involving a comparison of monitoring data to standards for water quality and analyses and observation of patterns and trends in water quality indicators,

1. over a specified period of time (days, weeks, months, years).

2. for differences in locations.

3. for differences in sources of water supply and treatment processes.

Often overlooked are existing and sometimes competing water demands to support:

flora and fauna physical needs of the whole ecosystem – plants, trees, wildlife natural water cycle - evaporation, precipitation, surface and groundwater recharge by infiltration and runoff

natural decomposition and mineralization of organic materials and incorporation into soils and sediments

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Integrated Water and Health Monitoring & Surveillance Systems Should track and report on indicators for all three elements:

1. Water Quantity

2. Water Quality

3. Health Impacts and Outcomes

Enabling awareness of the consequences of local and regional water-related impacts on health protection and disease prevention. An assessment should be carried out involving a comparison of monitoring data to standards for water quality and analyses and observation of patterns and trends in water quality indicators,

1. over a specified period of time (days, weeks, months, years).

2. for differences in locations.

3. for differences in sources of water supply and treatment processes.

Often overlooked are existing and sometimes competing water demands to support:

flora and fauna physical needs of the whole ecosystem – plants, trees, wildlife natural water cycle - evaporation, precipitation, surface and groundwater recharge by infiltration and runoff

natural decomposition and mineralization of organic materials and incorporation into soils and sediments

*

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Why is it Important for Monitoring and Surveillance Systems for Health and Water Quality and Water Supply to be Integrated?

To provide assurance of the safety of the drinking water supply and its sustainability for the vitality and development of the community, including for safe hygiene and sanitation use and for local food production and healthcare.

To provide assurance of the quality and sustainability of the water supply for use in agriculture, the food and beverage industry, manufacturing, and other industries.

To assess and maintain a sufficient and adequate water supply available, in terms of both quality and quantity, to meet the needs of the local community for drinking water, personal hygiene, and sanitation, and other water uses.

To assess health outcomes as it relates to the above three bullets.

What is involved? Surveillance of data for trends and patterns and reporting, as appropriate to the exposure period of concern for the contaminant, including the incubation and latency period for illness. Identify coincident impacts and potential indicators in terms of time place duration and type of impacts with those from monitoring and surveillance data for the drinking water quality and water supply.

To ensure that the results are accurate, reliable and representative of the water supply and the environmental conditions and data are comparable to drinking water guidelines and suitable for proper disease surveillance standardized methods must be followed.

Health Impacts and Outcomes - Water Borne Diseases, Acute and Chronic Illnesses Identification and tracking the number of cases of infectious disease and acute and chronic illnesses, corresponding to specified periods matching the surveillance period to short-term and acute exposure periods and longer term subchronic and chronic exposures, as appropriate. Surveillance of clinics and hospital emergency admissions and discharges. The identification, tracking and follow up of cases of disease, and the analyses and reporting of the findings are beneficial for responding to disease outbreak in a community and may involve the following,

Search for new cases and follow up of existing cases (treatment, recovery, transmission)

Determination of an outbreak Differentiating between an epidemic and endemic situation Probable sources of exposure to contaminants in water supplies, aerosols, food, fecal material, inadequate sanitation and hygiene, sewage and waste water file:///F|/Dropbox/WaterHealthNewFinal/Course2/concepts/WH20M045C004why%20integrated.htm[11/3/2014 5:19:49 PM] WLC Template

discharges. Probable exposure routes (ingestion, inhalation, contact with skin, mucous membranes, bloodstream)

Spread of infectious and communicable disease and acute illness (e.g., acute diarrhoea and gastrointestinal illness)

Prevention of the sale and distribution of unsafe contaminated water and food with in a community, state, province, country, and across borders through trade (e.g., sale of potable water and beverages, fresh and processed food and nutritional supplements, livestock and pets, animal feed, medicinal and therapeutic products, cosmetics and personal care products).

Water Quality Monitoring sampling and testing of drinking water for: Biological indicators of fecal material pathogens and parasites; Chemical contaminants; and Properties of taste odour turbidity pH conductivity and colour. Monitoring should be done at multiple points within the water supply and along the distribution system, including at the tap. Surveillance of water quality (drinking water, surface water, ground water) including tracking of testing results trends and patterns over daily, monthly and annual time periods. Testing results for the sampling period should be compared to standards for safe drinking water and other potable uses, as appropriate to the exposure route and duration and contaminant of concern.

short-term and acute exposures - daily testing results for levels of microbial indicators for the assessment of potential risk of waterborne disease corresponding to the length of the incubation period; testing results for harmful concentrations of chemical contaminants of concern for assessment of potential risks of acute and short-term effects

longer-term sub-chronic and chronic exposures - analyses of trends and patterns of testing results over months and years for water quality indicators contaminants of concern for chronic effects

document recurring water quality issues by type date location and duration

Environmental monitoring and surveillance of ground water quality and surface water quality. Collection and testing of water samples taken upstream, at the source, and downstream of point and non-point sources provide a snap-shot (point-in-time) indicator of water quality for contaminants.

Water Quantity

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Monitoring and surveillance - measurement and tracking of the usage capacity and availability of potable water supply, and of other water uses. Involves methods such as metering at point of use, and regular measuring for changes in levels of the water table and water levels of lakes and rivers.

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Purpose & Components of an Integrated Management System for Water-Related Impacts on Health Purpose:

In the case of waterborne diseases, the primary purpose of monitoring and surveillance is to identify the primary source(s) of contaminated water supply and secondary sources, in order to break the chain of disease transmission and exposure to prevent harmful exposures and potential for disease, and acute and chronic illness.

Monitoring and surveillance provide useful information for risk management decisions pertaining to the control and prevention of and decrease in potential for harmful water-related health impacts.

The Components: 1. Monitoring and surveillance systems for water quantity, water quality and waterborne health disease, acute and chronic illness, resources, personnel and training for each. 2. Critical points of contact identified for each of the three separate monitoring and surveillance systems, including a communications alert mechanism.

3. Systematic and standardized data collection and analyses and reporting on standardized measurement criteria and performance indicators for each system (water quality, water quantity, water-borne disease) 4. Iterative feedback, especially on key performance indicators for verification of findings and communications across systems, as appropriate, especially for those key indicators for critical points of failure.

The above integrated systems at the regional, state/provincial and national and international level would cross and intersect those under the purview of · public health · public water works (municipalities), · organizations for the protection of health and the environment, · natural resources, · business development

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WHAT IS EPIDEMIOLOGY? Definition The word Epidemiology is derived from the Greek words “epi” meaning on or upon + “demos” meaning the people + “logos” meaning the study of Epidemiology is the study of -

diseases and health impacts in exposed groups of people. the occurrence, the spread and the pattern of disease and health impacts within a population.

the change over time within a population in the occurrence, spread and pattern of disease, as the natural course of disease within a population.

the analytic investigation of the association of probable risk factors, or determinants of health (of disease) with disease and health-impacts.

changes in response to an intervention to eliminate and prevent further disease from occurring in a population.

“Epidemiology is the study of the distribution and determinants of health-related states or events in specified populations, and the application of this study to the control of health problems.”

Last, J.M. editor. Dictionary of Epidemiology. 4th Edition. New York, Oxford University Press; 2001. P.61. cited by U.S. Centre for Disease Control

Epidemiology Tools Epidemiology uses the following tools,

1. Descriptive observations to characterize and define disease case definitions and events leading up to, during and following outbreaks of disease.

2. Basic statistical methods and statistical parameters to investigate, design studies, collect, track, and analyse trends and patterns in data, track the progress of disease within a population, evaluate the outcome of interventions, and compare differences among groups of exposed and unexposed persons.

Epidemiological Studies Epidemiological studies should follow a systematic and unbiased approach in the collection, analyses and interpretation of data. Epidemiological studies, typically involve the comparison of results in valid comparison groups using biostatistics and the laws of probability. An observed value may be compared to an expected value, often using probabilities and statistical methods. Similarly, a control group without disease health effects or without intervention treatment

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and exposure may be compared to a group with a specified disease health effects and a group with intervention treatment and exposure.

Reference: U.S. Centre for Disease Control http://www.cdc.gov/ (Internet Access Required)

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What is an Epidemiologist? An “Epidemiologist” is a person who studies epidemiology and conducts epidemiological studies.

The epidemiologist measures the frequency of disease occurrence in a population.

The 5 Ws Typically, the epidemiologist aims to answer the following five questions (5 Ws): 1. What is the health impact or health-related-event? what 2. Who are affected and exposed? person 3. Where did it take place? place 4. When did it occur? time 5. Why and how? exposure pathways, modes of transmission, risk factors, causal associations

On its own epidemiology cannot prove a particular exposure caused a particular outcome, but it can provide sufficient evidence to allow and enable taking appropriate control and prevention measures.

Reference: U.S. Center for Disease Control http://www.cdc.gov/ (Internet Access Required)

Epidemiology Applications in the Study of Water-Related Impacts on the Health of the Public Evidence Building By 1. Monitoring and surveillance of the relationship of water quality on health. 2. Monitoring and surveillance of the relationship of water quantity on health. 3. Monitoring and surveillance of the relationship of interventions to the water supply on health. e.g.,

Monitoring and surveillance of waterborne diseases and water-related health impacts and outcomes associated with exposure to biological contaminants in water.

The study of outbreaks of acute illness and chronic disease associated with environmental exposures to chemical and physical contaminants in water.

Morbidity in mothers and children under 5 years of age from acute and recurring (chronic) diarrhoea and gastrointestinal illness associated with the water supply.

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Epidemiological Terms:

Outbreak - the occurrence of new Baseline. No Outbreak. Endemic cases. No new case(s) of disease in a previously cases. unexposed population.

Cluster - aggregated group of cases Non-cluster, when the number of separate cases believed to be present in a higher are present in low numbers below those expected number than expected, even though for a geographical area. Cases are not the expected number may not be aggregated. known.

Epidemic - spread of disease or illness from one exposed person to Endemic - the ongoing presence of disease, health an unexposed person in the condition or illness in a population within a population; usually sudden geographical area. The observed number of cases occurrence in a population above that is considered usually present within a given what is expected on average for that area. population in that geographical location.

Sporadic - a disease agent or health Pandemic - an epidemic that has spread over condition that occurs infrequently or several countries and continents, usually affecting irregularly in a population. a large number of people.

versus Prevalence -a measure of all existing cases (new and ongoing) and of the health or disease status of a population at a specific point in time. A measure Incidence - a measure of newly of both incidence rate and duration of disease, and occurring cases of disease in a reflects survival and disease. Used when population. A measure of changes in measuring the occurrence of birth defects, health state in the population. In the degenerative and chronic diseases for which a study of causation incidence is more clear time of onset of disease in not easily appropriate than prevalence determined, and have a long latency period. For long term strategic planning prevalence of disease may be more suitable measure than incidence.

Incidence Rate - the measure of occurrence of new cases of disease per unit of person-time. Excludes Prevalence Odds - ratio of diseased to non- persons who do not get disease diseased or the ratio of the proportion of the illness or health-related impact. The population that has disease to the proportion that incidence rate ranges from 0 to >1. It does not have the disease.(P/N-P). Prevalence is not a measure of the proportion of proportion is dimensionless and ranges from 0 to

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a population with disease or health- 1. related event. Often written as a multiplier of 1000 (e.g., 0.01 is written 10 per 1000 person-years).

Sensitivity - the ability of a test to Specificity - the ability of a test to correctly identify correctly identify “true positives”, “true negatives”, persons without disease. The persons with disease. Sensitivity is ability to distinguish false negatives is important to important for reliably identifying all the control of the spread of disease. cases in an exposed population.

Other Epidemiological Terms Hyperendemic Epidemic proportion Time of the reference event Incident Incidence time Incidence rate Incidence proportion (survival proportion) Person attributes Person-time; total person-time at risk or population-time at risk Rate Secular (Long-term) trends Seasonality and time-scale Standardization Causation

Reference: U.S. Center for Disease Control http://www.cdc.gov/ (Internet Access Required)

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Epidemiologic Triad - Simple Model of Disease Causation

Rothman's Causal Pies

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Disease Transmission – Chain of Infection

Chain of Infection

Concept of Herd Immunity

Vaccine Preventable Disease (VPD) Create a "resistant majority"

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Epidemiological Methods There Are Two Basic Methodologies of Epidemiology:

Descriptive Epidemiology Analytic Epidemiology

Analytic studies may not always give compelling evidence, especially if the hypotheses for testing were not well founded. Before proceeding to analytic epidemiological study, it is important to first conduct a thorough descriptive epidemiological study and scrutinize the findings.

What is Descriptive Epidemiology? Descriptive Epidemiology covers: Time Place Person. The available raw data are compiled, may be aggregated and are carefully examined by the epidemiologist in a stepwise manner:

What is Analytic Epidemiology? Analytic epidemiology involves the comparison of at least two groups; a control group or reference population and an exposed group or population at risk, for a specified time period. For example, in an study of exposure history of cases of disease in the exposed group are compared to those in an appropriate reference population or control group. Analytic epidemiology involves i) the investigation of cause and effects. ii) identifying and quantifying the association (relationship) between exposures and health outcomes

iii) testing hypotheses about causal relationships.

Reference: U.S. Center for Disease Control http://www.cdc.gov/ (Internet Access Required)

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Descriptive Epidemiology - Methods

Step 1: Become familiar with the data. Determines the comprehensiveness and completeness of available records. Step 2: Determine the extent and pattern of the health problem being investigated. Step 3: Give a clear, straight-forward communication of a detailed description of the health-related status of a population. Step 4: Determine if there are areas or groups in the population that have high numbers of disease within the observation period of data collection and as a proportion (i.e., rates of disease).

The findings from descriptive investigations can provide clues to possible causes that can be further investigated by formulating testable hypotheses.

The actual testing of those hypotheses is the focus of analytic epidemiology.

Reference: U.S. Center for Disease Control http://www.cdc.gov/

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Analytic Epidemiology Studies are Either Observational or Experimental Studies. Involving the testing of hypothesis in a comparative analysis.

Observational Epidemiological Studies Experimental Epidemiological Studies

1. Cohort Study –

A cohort study involves assigning participants to Clinical trial –individuals exposed either an exposed study group or to a non exposed group and then tracking study Community trial –community exposures participants for the development of disease. Participants are not intentionally exposed, but are Community intervention study observed for exposure over a specified period of

time. The unexposed group serves as the baseline or reference population and provides the The investigator determines the exposure expected amount of disease in the community or conditions for the study subjects. Involves population. controlled exposures treatments or Follow-up or Prospective Cohort study. interventions. There are two groups for comparison – a control unexposed, no Retrospective Cohort Study. treatment or no intervention group and an exposed treatment or intervention group.

2. Case-Control Study -

Groups of people or case-patients each with a case of disease are enrolled and assigned to a case- group. A comparison control group is also created by enrolling people without disease. Previous exposures for each of the groups are compared. The control group is used to define the baseline or expected amount of disease exposure in that population.

3. Cross-sectional study -

Measures exposure and disease simultaneously by taking a sample of persons from a study population and assessing the status of existing disease in the population at that specific point in time, without regard to the duration. Provides an estimate of the presence of disease (prevalence) in a population. A cross-sectional study is the weakest type of observational study; commonly used in descriptive epidemiology; cannot distinguish causality

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(determinants for survival from disease).

Reference: U.S. Center for Disease Control http://www.cdc.gov/ (Internet Access Required)

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DISTINGUISHING BETWEEN EPIDEMIOLOGIC STUDY DESIGNS

Source: Allan Smith 2011. Overview of epidemiological study designs. A presentation to the Fogarty Workshop, Bodhgaya Bihar, November 2011.

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Distinguishing Between Different Epidemiological Study Designs

CASE SERIES: Follow of patients only with rare and unusual conditions. Only a few individuals; relies on inference about some unusual characteristic. ECOLOGIC STUDIES: No individual link between exposure and outcome

CROSS-SECTIONAL STUDIES: Identify exposure and disease in a population at the same time.

CASE-CONTROL STUDIES: Start by identifying cases with the disease.

COHORT STUDIES: Start by identifying an “exposed” population group before disease occurs.

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Distinguishing Between Different Epidemiological Study Designs

CASE SERIES: Follow of patients only with rare and unusual conditions. Only a few individuals; relies on inference about some unusual characteristic. ECOLOGIC STUDIES: No individual link between exposure and outcome

CROSS-SECTIONAL STUDIES: Identify exposure and disease in a population at the same time.

CASE-CONTROL STUDIES: Start by identifying cases with the disease.

COHORT STUDIES: Start by identifying an “exposed” population group before disease occurs.

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3C Epi Study Types (source: Allan Smith 2013)

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Disease Timeline

Disease timeline from susceptibility through exposure, onset and recovery disability death

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Exposure Period of an Outbreak

The exposure period is the period of time before the clinical symptoms of disease occur. The median, mode of date of onset of disease and the minimum and average incubation period are used to pinpoint the exposure period of an outbreak.

Reference: U.S. Center for Disease Control http://www.cdc.gov/ (Internet Access Required)

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Four Common Patterns of Epidemic Curves

Four types of epicurves a) common point source, b) common persistent source, c) common intermittent source, and d) propagated source

EXAMPLE: Epidemic Curve Plot of Cases of Disease (Salmonella) versus Date and Time of Symptom Onset.

[Source CDC - Epidemiology page 1-37].

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Salmonella Outbreak

Reference: U.S. Center for Disease Control http://www.cdc.gov/ (Internet Access Required)

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Hypothesis Testing for Statistical Significance The most basic measure of risk of development of disease is probability, expressed as a "p-value". Epidemiologists Are Often Asked What is the chance that a particular exposure in a population, behavior or hereditary trait (i.e. attribute or risk factor) would cause or contribute to the development of disease? How reliable are the data and how representative are the data of the population "true" risk? What is the probability that the relative risk ratio (RR) 1.0 could have occurred by chance alone? Defining the Level of Significance In other words, is the finding of a relative risk ratio different than 1.0 statistically significant at the specified level of certainty, given the available information? Before carrying out the statistical analysis, the epidemiologist must specify the level of significance, indicated by defining the amount of variation in the observations that would be acceptable. Interpreting the Findings It is possible that the calculated "p-value" may be a chance finding rather than a true explanation of an outbreak. Results of a study that has insufficient statistical power could arise by chance alone. For example the findings of a study that consists of a small number of observations (n<30).

When interpreting the findings of the data analysis one must ask the following,

Is statistical significance the same as biological and health significance? How confident can one be in accepting the null hypothesis? What is the statistical power of the analysis? Are there biological and other plausible explanations beyond statistical findings that are equally or more compelling that would strengthen the argument for accepting or rejecting the null hypothesis in a weight of evidence approach?

A note of caution: In an epidemiological investigation of impacts on health outcomes, one should consider the consequences of making and error in a decision about accepting or rejecting the null hypothesis. You may be right or wrong. An exposure is or is not causally related to disease.

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Chi-Square Test - Test of Statistical Significance A Chi-square test is a statistical test of significance to determine the probability of finding an association as large or larger on the basis of chance alone. The most common statistical test for determination of the probability ("p-value") for data in a two-by-two standard table is a chi-square test. It is possible that the calculated "p-value" may be a chance finding rather than a true explanation of an outbreak which happens when a study has insufficient statistical power, such as when a study consists of a small number of observations (n<30). For smaller studies, n <30, the Fisher Exact Test is often a more reliable statistical test to use than the chi-square test.

Note of caution: In a public health epidemiological investigation one should consider the consequences of making and error in a decision about accepting or rejecting the null hypothesis. You may be right or wrong.

An exposure is or is not causally related to disease.

Step 1 Develop the Hypothesis for Testing

Example,

The Null Hypothesis states the exposure (or risk factor of interest) is not related to disease; thus, the expected RR = 1.0.

Step 2: Develop the Alternative Hypothesis (states the opposite is true)

The Alternative Hypothesis states the exposure (or risk factor of interest) is associated with disease; thus, the expected 1.0 > RR >1.0

If the null hypothesis is shown to be statistically implausible or false then it is rejected in favour of the alternative hypothesis.

Step 3. Create a Two-By-Two Table

This is discussed in detail elsewhere in the course.

Step 4. Calculate the Chi-Square Statistic

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Box Chi Square Statistic

Before calculating the chi-square statistic, one must specify the requirement for the level of statistical significance in order to "accept" or "reject" the Null hypothesis. (i.e., what is the cutoff for statistical significance?)

A level of significance of 5% or 0.05 , indicates a 95% percent statistical degree of confidence in the findings.

Using Chi-Square Tables, from the corresponding "p-value" for the probability estimate it can be determined whether the specified level of statistical significance is equal, greater than, or lesser than.

A Chi-square value larger than 3.841 would correspond to a p-value smaller than a probability (level of significance) of 0.05 (5%).

Meaning if the calculated chi-square value is >3.841 then the null hypothesis at the 5% level of significance can be rejected.

Example

Chi-Square p- Statistic value

persons drinking from 37.20 calculated water container vs. those from Two-By-Two <0.001 not RR = 5.8 Table

Null hypothesis RR = 1.0 3.841 0.05

Alternative hypothesis RR >3.841 <0.05 >1.0

Conclusion - Reject the null hypothesis and accept

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the alternative hypothesis that the RR of 5.8 is statistically significant (p- value <0.001)

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Confidence Intervals Epidemiological studies commonly report the 95% confidence interval (95% C.I.). The 95% C.I. corresponds to the cutoff level of statistical significance of 5% (p-value= 0.05). The 95% C.I. indicates the variance in the data and the lack of precision in the strength of the association (RR) between the exposure and the risk of disease.

A wider confidence interval indicates greater variance in the data and a lack of precision. A narrow confidence interval indicates less variance in the data and more precision.

The underlying assumption is repeated sampling of a normal probability distribution of the population (assumed to be normal).

Normal distribution curve

The 68 · 95· 99.7 rule for Normally Distributed Data For normally distributed data:

68% of the data falls within ± 1 standard deviation of the mean; 95% of the data falls in the range from –1.96 standard deviations to +1.96 standard deviations (within two standard deviations of the mean);

and 99.7% of the data falls within approximately 3 standard deviations of the mean.

The 95% C.I. does NOT mean that the probability is 95% that the “true” risk in the population falls within the interval specified.

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The 95% C.I. does mean that given a large enough sampling effort that on average, we are 95% confident that the “true” risk in the population lies within the specified interval.

Calculating a 95% Confidence Interval for a Mean Calculate the mean and its standard error. Then multiply the standard error by 1.96. The lower limit of the 95% confidence interval = mean minus 1.96 x standard error. The upper limit of the 95% confidence interval = mean plus 1.96 x standard error.

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Sensitivity

Standard Notation "True Positive" and "True Negative"

Example: Cholera from Drinking Water in Container, sensitivity and specificity.

The above example shows the calculation, using a standard notation, of the two-by-two table. The sensitivity and specificity of drinking water in container as a source of disease in party guests, respectively was calculated to be 91.8% and 61%. The results suggest that the probability of false negative, a Type II error, is low (<10%) and the probability of false positives, a Type I error, is moderate (~40%). The statistical power of the test (1-β) is high with a positive predictive power of 70.9% and the negative predictive power is 87.8%. The likelihood ratio of positives is 91.8/39 = 2.4 and the likelihood ratio of negatives is 8.2/61 = 0.13, indicating that drinking contaminated water from the container is positively associated with developing disease and that the findings of a negative association between not drinking the water and not developing disease by chance alone are low.

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Simple Random Sampling (SRS), Distribution of the Data and Statistics Simple Random Sampling (SRS)

Data are collected following a simple random sampling method, called an SRS frame or grid. The method gives every possible collection of n observations (or units of sample) the same chance of being chosen.

It is done in a fair and unbiased manner and the data that are collected are fair and unbiased. It is NOT a convenience sample. A convenience sample is typically biased.

A Parameter versus A Statistic

A parameter is a numerical characteristic of a population

A statistic is a numerical characteristic of the sample. Do not know the "true" value of a population parameter, but the numeric value of a "statistic" is known from the sample and changes with each sample.

Variability

Is the difference in the value of the statistic between samples of the same size (n).

Representativeness

The sample statistic for an SRS should be representative of the broader population.

Sampling Distribution

A predictable pattern of values in repeated sampling is called the sampling distribution.

Types of Error (Bias and Precision)

The sampling distribution of a statistic tells about the bias and precision of the sampling.

The objective of a good sampling program is to have both low bias and high precision; meaning the sampling results are repeatable and representative of the true population parameter “p”.

The precision of the sample statistic to estimate the “true” population parameter increases as the size of the sample increases, but does not depend on the size of the population, as long as the population is much larger than the sample.

A large sample size increases precision regardless of the size of the population and can be increased to as high as desired by taking a large enough sample.

Assessing the Distribution of the Data In large population studies consisting of many repeat sampling the distribution of the data should be assessed to determine the appropriateness of different statistical tests. Normal Distribution - the curve is symmetrical in shape on both sides of the peak, also called a "bell curve" with both tails extending to infinity. The peak represents the mean, median, and the mode, all are the same. The area under the normal curve determines the spread of the data defined by the standard deviation and confidence interval. Skewed Distribution - have more extreme values at the ends of the distribution and are asymmetrical, skewed or non-normally distributed; the mean, median, and mode are not the same.

Central Tendency of the Data - most commonly defined by the mean, median and the mode; the central tendency is also called the measure of central location in epidemiology studies.

Spread of the Data - commonly described by the interquartile range, variance and the standard deviation. A box and whiskers plot provides visual representation of the data. Median and Mean - The mean is affected by extreme values, whereas the median and the mode are not. Geometric Mean - is used when log transformation of the data are used to give a more symmetrical curve (normal curve) rather than the unadjusted observations. Midrange - is the halfway point or mid-point in the dataset of observations

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Bell Shaped Curve Three Identical Curves with Different Central Locations Three Distributions with the Same Central Location but Different Spreads

Three Distributions with Different Skewness

Six Figures are Sourced from CDC's Principles of Epidemiology on Public Health Practice. a) Bell curve, b) identical curves with different central location, c) same central location but different spreads, d) normal curve with 1, 2, and 3 std dev, e)three distributions with different skewness, f) box and whisker plot

Recommended Measures of Central Location and Spread by Type of Data (CDC)

Type of Distribution Measure of Central Location Measure of Spread

Normal Arithmetic mean Standard deviation

Asymmetrical or skewed Median Range or interquartile range

Exponential or logarithmic Geometric mean Geometric standard deviation

Reference: U.S. Center for Disease Control www.CDC.gov (Internet Access Required)

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Representing Data

Box Two By Two Table (Effect; No Effect)

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Representing The Data Examples of FOREST PLOTS

Urinary % MMA and RR of Arsenic associated disease

30 Most Common Specific Causes of Death; RR for Current Smoker versus Never Smoker

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Source: Copied from the UK Women’s Tobacco Smoking Study (Pirie et al. 2012), The 21st Century hazards of smoking and benefits of stopping: a prospective studypective study of 0ne million women in the UK. www.thelancet.com (Internet Access Required) Published Online

October 27, 2012 http://dx.doi.org/10.1016/S0140-6736(12)61720-6 (Internet Access Required) See Online/Comment http://dx.doi.org/10.1016/S0140-6736(12)61780-

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Example of Calculation of the Relative Risk (RR) - A Retrospective Cohort Study

Scenario: An outbreak of acute gastrointestinal illness has occurred in persons who had attended a family wedding, and a retrospective cohort study is conducted to follow up on the outbreak.

1. Each person is questioned about possible sources of exposure and their activities.

2. The drinking water in the container is a strong suspect source of outbreak.

3. The epidemiologist constructs a line listing for all persons attending the wedding, and calculates an attack rate for the persons who were ill that drank from the drinking water container (Population A). The epidemiologist also calculates an attack rate for those who had signs and symptoms of illness, but who did not drink from the same container of drinking water (Population B).

4. Using standard notation a two-by-two table is prepared showing the data for the presumptive causal exposure item (drinking water from the container).

i) the RR is calculated

The relative risk (RR) is the ratio of the Attack rate (AR) in the exposed population (A) to the Attack rate in the non-exposed population (B).

RR = ARPopA / ARPopB

A:B RR A:B RR = 1.0 A:B RR >1.0 <1.0

suggests that there is suggests that no discernible or the risk of measurable difference suggests that the specific exposure in population disease between the risk of A was associated with an elevated risk of disease (attack rate) disease (attack rates) (attack rate) when compared to that in population is less in the in the two populations B. population A (A,B) compared (e.g. vs. population exposed vs. non- B exposed).

ii) and, the population attributable risk is calculated.

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Population Attributable Risk Percent

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Case-Control Studies and the Calculation of the Odds Ratio (OR) In a case-control study the population must be well defined and is followed for a specified time period. The same questions are asked to members of both the disease symptomatic group (or exposed group) of cases and the control group without disease.

Selection of the Control Group Members of the control group must not have the disease, but should be representative of the population in which the cases of disease occurred. The underlying assumption is that all members of study (cases and controls) are similar in all other aspects, except the disease exposure being evaluated. Choosing the appropriate control is difficult, and influences the study outcomes.

Calculation of the ODDS Ratio (OR) The epidemiologist constructs a two-by-two table and calculates an Odds Ratio (OR). The Odds Ratio = (number of exposed cases x number of unexposed controls) ÷ (number of exposed controls x number of unexposed cases) = ad/bc

Hypothesis Testing - Chi-square Test for Statistical Significance The null hypothesis in a case-control study is the OR = 1.0. A chi-square test determines if the p-value for the study is < 0.05, the selected level of significance. The smaller the p-value, the more improbable that the null hypothesis is true. The 95% confidence interval is calculated. A wide confidence interval indicates large variability in the data; if the 95% C.I contains 1.0, the probability could be that the exposures of the case and control groups are not significantly different.

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Monitoring & Surveillance How can demographics and population health statistics be used in monitoring and surveillance?

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Monitoring & Surveillance What are the uncetainties and the sources of uncertainties? What are the strengths and limitations of meta-data? It important to ask questions and take into account uncertainties when conducting and interpreting the public health implications of studies of pooled data analyses using meta-data.

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Monitoring and Surveillance - Demographics, Population Ecology and Susceptible Populations

Baseline knowledge on the status of past and current conditions in the community, corresponding to the locale situation and the time period. Relevant, adequate and reliable sources are critical to monitoring and surveillance of water- related health impacts.

Monitoring and surveillance data are used in

needs assessments situational assessments environmental scans risk assessment outbreak investigations risk reduction strategies and risk management options and risk communications, as appropriate to the situation and the community, including adopting, adapting and creating as necessary for those most susceptible and vulnerable.

These data are useful for providing evidence underpinning important public health messages,

pertinent to developing, implementing, and advocating for general and targeted risk management strategies for the prevention of harmful water-related impacts on health.

particularly, those affecting susceptible and vulnerable populations.

For example, strategies aimed at decreasing infant, child and maternal mortality and morbidity attributed to health impacts involving availability and accessibility of the water supply (quality, quantity and distribution) and water sanitation and hygiene issues.

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Monitoring & Surveillance - National Statistics

In developed countries, publically reported national health statistics on health outcomes provide information on the health of the population, lifestyle and environmental factors. These typically include,

· general health

· disability

· diseases and health conditions

· environmental factors

· health care services

· life expectancy and deaths

· life style and social conditions

· mental health and well-being

· pregnancy and births

· and prevention and detection of disease.

The U.S. CDC has an extensive listing of topics important to public health in the United States, particularly to that of susceptible and vulnerable populations of newborns, children, women, seniors, persons with pre-existing health conditions, and other populations.

For example, CDC also maintains statistics on congenital abnormalities, teen pregnancy, leading causes of death, infertility, divorce, nursing home care, Alzheimer’s disease, asthma, births method of delivery, multiple births, osteoporosis, physical activity, health care records, emergency department visits, home health care, mental health and other important topics to public health. Statistical data on geographical area of residence, race and heritage is also collected by CDC.

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National Voluntary Surveys Repeated national surveys of nation food baskets, nutrition, fitness and exercise, and other lifestyle and behavioral habits A chronological “snapshot” and the survey findings are interpreted as “population estimates” of health status. A proper simple randomized sampling (SRS) design should produce results that would be representative of the overall population.

Two examples are:

The U.S. NHANES - U.S. National Health And Nutrition Examination Survey The Canadian Health Measures Study (CHMS)

When conducting survey and analyzing data from health information and statistics databases - - - the Researcher should ask questions such as: Are the sources that gathered the data free of biases? Who paid for the study? Are the data representative to the intended purpose? What is the study design and how was the sampling done? Are the data biased? Look for consistencies or inconsistencies in the methods of data sampling and data collection and data analyses? Are they measuring the same outcome? Are the data expressed in standardized and comparable units? What are the implications of making an error?

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Monitoring & Surveillance Sources of Information Organization for Economic Cooperation and Development (OECD) Generates statistics on the status and performance of its member countries OECD statistics are considered to be less influenced by individual federal bias than those derived by the countries themselves. OECD.Stat includes data and metadata for OECD countries and selected non-member economies. OECD Health Status provides statistics on the health status at the country level of information aggregation on variables such as, - mortality and life expectancy by specified disease classifications and corresponding to age and gender; - mortality for the total population at birth; - causes of mortality including all causes and specific causes; - infant and maternal mortality - further classified by infant mortality, neonatal mortality, perinatal mortality, maternal mortality; - potential years of life lost from all causes and specific causes; - morbidity and perceived health status by age and gender; - infant health low birth weight; - dental health; - communicable diseases limited to AIDS, incidence of pertussis, measles, and hepatitis B; - cancer statistics for malignant neoplasms (general) and of the colon, lung, female breast, cervix and prostate. - OECD Demography and Population provides statistics on migration and population, general statistics for each country, the environment, education and training, financial, agriculture and fisheries, development and more.

Others The World Health Organization (WHO) The Centers for Disease Control (CDC) The United Nations Economic Comission for Europe And many more....

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Monitoring & Surveillance Sources of Information Organization for Economic Cooperation and Development (OECD) Generates statistics on the status and performance of its member countries OECD statistics are considered to be less influenced by individual federal bias than those derived by the countries themselves. OECD.Stat includes data and metadata for OECD countries and selected non-member economies. OECD Health Status provides statistics on the health status at the country level of information aggregation on variables such as, - mortality and life expectancy by specified disease classifications and corresponding to age and gender; - mortality for the total population at birth; - causes of mortality including all causes and specific causes; - infant and maternal mortality - further classified by infant mortality, neonatal mortality, perinatal mortality, maternal mortality; - potential years of life lost from all causes and specific causes; - morbidity and perceived health status by age and gender; - infant health low birth weight; - dental health; - communicable diseases limited to AIDS, incidence of pertussis, measles, and hepatitis B; - cancer statistics for malignant neoplasms (general) and of the colon, lung, female breast, cervix and prostate. - OECD Demography and Population provides statistics on migration and population, general statistics for each country, the environment, education and training, financial, agriculture and fisheries, development and more.

Others The World Health Organization (WHO) The Centers for Disease Control (CDC) The United Nations Economic Comission for Europe And many more....

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An Historical Perspective on Epidemiology

1. Early Epidemiology – covers the period from 5th Century B.C. to 1830.

Hippocrates “On Airs, Waters and Places”

The Scientific Revolution occurring circa mid 1600s up to the early 1800s. The Royal Society of London (1660) and Sir Francis Bacon (1561-1626) - Bacon's applied scientific method - Scientia operativa and principles of induction and for refuting experiments by hypothesis testing.

2. Classical Epidemiology – covers the period from 1830 to 1940 The three streams of knowledge and scientific methods form the foundation of classical epidemiology as follows, 1. Medical 2. Systematic Mathematics and Demographics 3. Theoretical

These three streams converged providing definitive proof of the aetiology of infectious and contagious disease.

Including, the development of classical epidemiology methods, Snow's investigations on cholera, Koch’s Postulates of Disease and irrefutable proof of the Germ Theory of Disease by the Four Father's of Microbiology, registries, quantitative methods life tables of probability of survival.

Classical epidemiology assimilates Hippocrates teachings, the mathematics of probabilities and gathering of vital statistics, the Baconian approach to the scientific method of reasoning, and microscopic observations and Koch’s postulates.

3. Current Modern Epidemiology – covers the period from the1940s, post- World War II, up to the beginnings of the 2nd Millennium AD. A paradigm shift occurred in 1950's onwards from studying environmental exposures (food, water and air) to behavioural exposures (tobacco smoking) and occupational exposures (mining, asbestos), and new focus on toxicants and physical contaminants file:///F|/Dropbox/WaterHealthNewFinal/Course2/concepts/WH20M045C080epihistory%20early.htm[11/3/2014 5:19:54 PM] WLC Template

(radiation). More recently, 2010, a renewal for epidemiological investigation into root causes of population health outcomes and disease development, epidemic and endemic. At the forefront is the recognition of the increased global transmission of disease and of the importance of the need for integrated management of environmental and health systems for monitoring and surveillance in the areas of population health outcomes, public health education, safety and access of water supply, fro drinking hygiene and sanitation - in home, schools, hospitals and medical clinics water quality and supply for livestock, food production, processing, and agriculture, municipal development, industry and manufacturing, and pollution releases and controls for protecting and preventing contamination of water supply (surface water and groundwater)

International Health Regulations (IHR) require by international law that that all 194 participating countries and all WHO Member Sates worldwide strengthen their national capacities for surveillance, reporting and responding to epidemic outbreaks of disease.

Some important elements and events of the era of modern epidemiology are as follows,

1. Establishment of National Registry of Births. 2. Establishment of International List of Reportable Diseases and system for monitoring and surveillance of zoonotic diseases. 3. Establishment of International Food Safety Surveillance System – International Codex Alimentarus 4. Establishment of a National Registry for Chronic diseases. 5. Establishment of National and Industry-specific Registries of Occupational Accidents, Deaths and Exposures

6. Establishment of National Registry of congenital birth defects. 7. Establishment of National Health Records System 8. Establishment of National and State Environmental Protection Legislation 9. Establishment of National Environmental Impacts and Exposure Monitoring and Surveillance Programs 10. Harmonization of National and International Pollutant Release Inventories of Priority Pollutants.

11. Over-use and non-essential use of antibiotics – therapeutic and non-therapeutic uses, including animal food production, cosmetic use.

12. Inappropriate use of disinfectants and sanitizers. 13. Uncontrolled emissions of toxic pollutants to water, air and land 14. Incomplete and inappropriate treatment of municipal and animal sewage and wastes. 15. Global trade in human body parts, animal by-products and human and animal sewage and waste.

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16. Increased use of immune-suppressants. 17. Global travel and emigration to remote places, including ecotourism. 18. Massive water projects, mining projects, agriculture, forestry clear cutting of rainforests, crushing of mountains, rerouting of rivers and lakes, excessive erosion and damage to riparian zones and wetlands, destruction of habitat on global scale. 19. Changes in human behaviors, lifestyles, and occupations 20. Increasing use of data registries and electronic information systems for tracking and analyses of activities, food and other products manufacturing, usage and disposal, including environmental releases and health services.

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Monitoring and Surveillance - Demographics and Population Statistics

A chronology from the 19th Century forward of dates, events and reports important to the development of public health systems in the U.K and worldwide, together with that of the U.K. official statistical system

1801 The first ‘Census of Population’ took place on 10 March 1801. This gave the total number of people in England and Wales as nine million.

1836 The Births and Deaths Registration Act and the Marriage Act received Royal Assent, thereby establishing secular system for recording births, marriages and deaths.

1837 – GRO (England and Wales) The General Register Office for England and Wales was established on 1 July 1837 at Somerset House. It was given responsibility for the administration of civil registration, for the analysis and publication of statistics on births and deaths, and for the conduct of the population census in England and Wales. In 1855 and 1864 the GROs for Scotland and Ireland were established, respectively.

1839 The first classification of causes of death was devised by the Registrar General

1841 The first ‘modern’ ‘Census of Population for England and Wales’ was carried out by the Registrar General – so-called because it required each householder to provide a self- completed schedule recording the names and characteristics of every individual in the household. This system has remained more or less unaltered to the present day.

1849 The first publication of the Registrar General’s ‘Quarterly Return’ which continued until 1975 when it was replaced by ‘Population Trends’.

1851 Two innovations were introduced in the processing and presentation of the Census results - the classification of people by their occupation, and geographical disaggregation.

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1874 - Registration The Births and Deaths Registration Act of 1874 transferred the onus of registration from the registrar to the next of kin. The Act also required the medical certification of the cause of death.

1895 The notification of infectious diseases became compulsory.

1911 The Registrar General’s ‘Social Classes’ was introduced as a means of analysing population statistics according to occupation/employment status groups. In addition, The UK adopted the ‘International Classification of Diseases’ (ICD).

1919 The Local Government Board was abolished and responsibility for statistics on health was passed to the newly created Ministry of Health.

1920 On 11 October in Paris, the League of Nations convened the International Statistical Commission.

1926 The registration of stillbirths was made compulsory.

1929 The Local Government Act of 1929 transferred the civil registration function to local authorities.

1938 The Population (Statistics) Act 1938 greatly increased the amount of statistical information obtained from those registering a birth or death.

1948 The Cancer Registration scheme was introduced.

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1948 The United Nations published the first issue of its ‘Statistical Yearbook’.

1949 – National Health Service Central Register The General Register Office was given responsibility for the National Health Service Central Register (NHSCR).

1952 National Registration, introduced in 1939 as a wartime security measure, was abolished in February 1952. In the meantime, the identity numbers and the registers had been used to prepare the National Health Service Central Register (NHSCR). The latter is a register of NHS patients which is kept up-to-date from returns submitted by the local registrars of births and deaths and Family Practitioner Committees (FPCs).

1960 The Population Statistics Act of 1960 required the compulsory notification of the causes of stillbirths.

1961 Sampling was introduced to the Census of Population which, for the first time, was processed on computers.

2005 The Information Centre for Health and Social Care was established as an independent body in England in April 2005 and charged with the task of collecting health statistics on behalf of the Department for Health.

http://www.statisticsauthority.gov.uk/about-the-authority/uk-statistical-system/history/statistical-system-timeline.html (Internet Access Required) (accessed on November 29, 2012).

AND 1978 Declaration of Alma-Ata stating "health, which is a state of complete physical, mental and social wellbeing, and not merely the absence of disease or infirmity, is a fundamental human right...."

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Epidemiology Methods and Applications - Steps of an Outbreak Investigation

1. Prepare for field work

2. Establish the existence of an outbreak

3. Verify the diagnosis

4. Construct a working case definition

5. Find cases systematically and record information

6. Perform descriptive epidemiology

7. Develop hypotheses

8. Evaluate hypotheses epidemiologically (analytic epidemiology)

9. As necessary, reconsider, refine, and re-evaluate hypotheses

10. Compare and reconcile with laboratory and/or environmental studies

11. Implement control and prevention measures

12. Initiate or maintain surveillance

13. Communicate findings

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Epidemiology Methods - Application in An Outbreak Investigation

Step 1: Prepare and Plan for Field Work

Two Major Categories i) Scientific and Investigative Issues Research - empirical knowledge and current situation Key Contacts - knowledge and experience Gather Documentation - surveys and questionnaires, etc. Consult Laboratory - materials, methods, equipment, PPE Action Plan - senior management, objectives of field study

ii) Management and Operational Issues Select team - multi-disciplines Determine government regulatory and other NGOs involvement Develop an outbreak communications plan Establish operational and logistics plan

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Epidemiology Methods - Application In An Outbreak Investigation Step 2: Verify the Existence of an Outbreak Determine if it is a cluster or an outbreak?

Are cases same disease? Is it a notifiable disease? Compare observed number of cases to expected number of cases?

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Epidemiology Methods - Application In An Outbreak Investigation

Step 3: Verify the Diagnosis

Review the clinical findings and laboratory report. Visit patients with the disease. Prepare frequency distributions of the clinical features of the disease; a frequency table should be first and foremost in the investigator’s report.

Step 4: Construct a Working Case Definition

Includes simple objective clinical criteria and restrictions on the time, place, and person. All criteria must be applied consistently to all persons under investigation. Uncertainty exists in most diagnoses, especially early in the investigation – multiple categories of case definitions are often developed for: Confirmed, Probable, Possible and Suspect (Presumptive). Strategically start with a broad case definition early in an investigation. The case definition may be tightened and possible or probable definitions may be eliminated as the study progresses. For example,

1. Use a broad case definition at the start: illness among persons in a community. 2. Then conduct appropriate analyses to determine if those who drank from the well were at greater risk than those who obtained their drinking water from another source.

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WATER RELATED IMPACTS ON HEALTH - PRINCIPLES METHODS AND APPLICATIONS

Overall Objectives

1. To demonstrate the relationships between water and health, especially the profound influence of water quality and quantity on human health and well being.

2. To demonstrate the importance of maintaining coordinated and integrated activities and systems for registration, monitoring, and surveillance of water quality, water usage, source waters, and water-related health problems, in order to support individual and community health and well-being.

3. To reinforce the importance of pollution prevention and protection of water supply.

Organization of the Course Materials:

The learning materials are organized into seven major sections dealing with the following subject matter,

1. Introduction

- Determinants of Health

- Background and rationale

- Problem Formulation and Scoping the Current Situation (vulnerability, susceptibility, ethics, gaps and limitations)

2. Water Quality and Quantity (Hazard Identification)

Through a health lens the focus is on water quality pertaining to the essential individual needs for drinking water and hygiene and sanitation and community use.

- Pollution Sources and Types of Contaminants

- Impact of water quality on water quantity

- Impact of water quantity on water quality

- Water Quality Testing Methods

- Water Quality Monitoring & Surveillance

3. Exposure Routes Exposure Pathways and Transmission of Infectious Disease (Exposure Assessment and Transfer of Disease)

- Microbiological - faecal-oral-route of transmission, consumption of water and food, food contact surfaces and fomites

- Chemical - short-term, repeated and long-term exposures; transferable exposures

- Similarities and differences of children and adults (Life stages approach)

4. Harmful Health Effects and Health Outcomes (Toxicological Assessment; Microbiological Assessment)

- Toxicological dose response and toxicity; exposure thresholds for harmful effects

acute effects of chemical contaminants

chronic effects of chemical contaminants

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sensitive populations (susceptibility and vulnerability)

- Epidemiological principles methods and applications

definition and terms; statistics; applications outbreak investigation; monitoring and surveillance

5. Social Surveys - Community - Ethics, Current Situation, Needs

- community KAP W-H social structures + norms, capital

6. Risks from Chemical and Microbiological Contaminants in Water (Risk Assessment)

- Principles of risk assessment for the determination of safe and unsafe drinking water

- Building a framework and conceptual model for assessing risks (according to the use and user)

- Characterizing risks, including uncertainty and sensitivity analysis, susceptible and vulnerable populations,

-The importance of a life-stage approach

7. Managing Risks According to Use for Health Protection and Disease Prevention (Options for Mitigation of Water- Related Health Risks)

- Risk benefit analysis; risk reduction (benefits) vs. cost; costs of doing nothing versus doing something to lower threats (risks) to health and well-being.

- Water use and user - drinking water guidelines and fish and shellfish consumption advisories

- Multi-barrier methods for disinfection, sanitation and hygiene

- Precautionary principle - protecting water quality quantity and health

- Monitoring and surveillance - water quality quantity usage and health outcomes

- Evidence - data interpretation - acting in the absence of

- Communication and education about water-related health risks and benefits change - interventions for prevention of harmful exposures

-case studies

Learning Outcomes:

Upon completion of this course unit students should be able to:

Explain the relationships between water and health, especially the profound influence of water quality and quantity on human health and well being.

Understand and explain the concept of water contamination, in particular microbiological quality of water and hazardous chemical contamination of water for drinking water use and other uses.

Understand and explain the need for maintaining coordinated and integrated activities and systems for record-keeping, monitoring, and surveillance of water quality, water usage, source waters, and water-related health problems, as it pertains to human health and community health and well-being.

Describe and identify common types of contaminants and sources of water pollution, both point-sources and non-point sources, and be familiar with WHO Drinking water Guidelines.

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Understand and explain the principles of exposure in terms of toxicity and pathogenicity; and describe exposure routes and exposure pathways to chemical contaminants and pathogens in environment.

Understand and explain the basic elements of transmission and prevention of water-related infectious disease, including the faecal-oral route, the cycle of waterborne zoonotic diseases, and the concept of herd immunity.

Identify and understand basic terms, principles and methods used in Toxicology, Epidemiology, Social Surveys and Risk Assessment to facilitate a basic understanding of studies of environmental health outcomes and environmental exposure studies and the implications of the findings, in terms of their robustness and limitations.

Describe the basic steps involved in risk assessment and risk management.

Understand and explain how risk assessment, risk management and risk communication, and the use of toxicological studies and epidemiological studies can be integrated into policy-making and the development of options for decision-making.

Understand the basic steps involved in an outbreak investigation, the iterative and interdisciplinary process, and the importance of following standardized and systematic methods during all stages of the investigation.

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Introduction

1. Water-related impacts on health and the relationships between water and health and well-being can be viewed through separate macro lenses or spheres of the following,

The User of Water - individual and community health and well being

The Needs and Usage of Water - drinking water sanitation and hygiene, food farming and agriculture, industry and commercial processing and manufacturing, other

The Quality of Water - its physical, chemical and biological properties and constituents

The Availability and Accessibility of Water (source quantity variability and distribution) - surface water groundwater rain water

2. Where overlap of these lenses occurs there is significant potential for water-related impacts on health and well being.

3. An integrated approach incorporating the determinants of health and the principles of needs and risk assessment is taught learned and applied by focusing educational materials and efforts on where there is overlap and convergence of the above spheres.

4. Water-related impacts on health may be beneficial or harmful and are inextricably dependent on the quality of water available for use by the user.

5. Immediate and potentially life threatening needs for health and safety and risks of acute and chronic illness and disease must be prioritized and mitigated, notwithstanding economic social and cultural aspects contributing to water-related impacts on health and well being.

This part of the course programme focuses on the relationship between water quality and exposure to contaminants in water and the prevention of water-related illness and disease.

Examples of Water Users

women, men, children (individual) and community, plants, birds and animals, fish and aquatic organisms, ecosystems; industry, manufacturer, restaurants, schools, hospitals, etc.

Examples of Water Uses

- essential water requirements to support and sustain life

- community use - potable water for drinking, sanitation and hygiene, municipal waste waters

- domestic farming and agricultural use - watering animals and gardens, irrigation of crops, raising livestock

- institutional use in community schools, healthcare clinics, hospitals, prisons

- industrial and commercial use in processing and manufacturing and associated waste waters

The Determinants of Health

The determinants of health recognized by the World Health Organization (WHO) http://www.who.int/hia/evidence/doh/en/), (Internet Access Required) include the following

the physical environments - water ( surface and groundwater - quality and quantity), air quality, land (arable, agricultural, wetlands, drylands, woodlands and rainforest, contaminated soil), geographical location and place of residence (property, municipality, region, country) and the built environment,

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including at work biology and genetics - infectious disease; acute and chronic illness and disease; including age and life stage personal health practices and coping skills (health status) - knowledge and behaviors, includes personal hygiene and sanitation practices gender - female and male healthy child development - essential needs are met, food and nutrition, basic hygiene, maternal and paternal care and family, infant stimulation and early child development, health services and social services social environments and support networks culture - includes language, customs, religion and beliefs socioeconomics - income and social status of individual and the community education - including schooling for children, girls and boys, young adult men and women, adults and seniors employment and working conditions - adult men, adult women, and child labour; overlaps with physical environment; includes labour laws and occupational environment, health and safety (EHS)

These determinants of health and well-being do not occur in isolation and are interactive in influencing human health and well being.

1978 WHO Declaration of Alma-Ata of the International Conference on Primary Health Care

The 1978 Declaration of Alma-Ata states "that health, which is a state of complete physical, mental and social wellbeing, and not merely the absence of disease of infirmity, is a fundamental human right...."

AND further states,

" Primary health care " 3. "includes at least: education concerning prevailing health problems and the methods of preventing and controlling them; promotion of food supply and proper nutrition; an adequate supply of safe water and basic sanitation; maternal and child health care, including family planning; immunization against the major infectious diseases; prevention and control of locally endemic diseases; appropriate treatment of common diseases and injuries; and provision of essential drugs; 4. involves, in addition to the health sector, all related sectors and aspects of national and community development, in particular agriculture, animal husbandry, food, industry, education, housing, public works, communications and other sectors; and demands the coordinated efforts of all those sectors;...... "

A copy of the WHO Europe Declaration of Alma-Ata is included in the Resources folder as a PDF document.

1986 WHO Ottawa Charter for Health Promotion

In 1986, the WHO Ottawa Charter for Health Promotion urged policy makers in all sectors to “be aware of the health consequences of their decisions and to accept their responsibilities for health” (WHO 1986).

For more information see http://www.who.int/healthpromotion/conferences/previous/ottawa/en/ (Internet Access Required)

Examples of Water Related Health Impacts

Beneficial impacts may include reduced rate of mortality and morbidity from water-related illness and disease, and economical, social and cultural improvements influencing health and well being and safety. Harmful impacts may include increased mortality and morbidity from water-related illness and disease, pollution of water resources, depletion in water resources and associated costs and liabilities for treatment and maintaining water supply, social and cultural aspects influencing health and wellbeing and safety. Physical and social impacts, including those on healthy infant and child development and maternal health.

Some populations are more susceptible and vulnerable to harmful water-related impacts on health and well being, particularly children and women, persons having dehydration and malnourishment, pre-existing health conditions (e.g., pregnancy, high blood pressure, diabetes, CVD, HIV), and the elderly, and those unaware of the importance of the health consequences of water quality for drinking water and potable use and for hygiene and sanitation

BACKGROUND AND RATIONALE FOR AN INTEGRATED APPROACH TO WATER AND HEALTH

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The pressing global problems facing society today are complex and interlinked – poverty, equity, food security, energy security, ecosystem integrity and health – and all are exacerbated by global environmental change processes, including climate change (WHO, 2004). Water is the common denominator linking and underpinning all of these issues; water is essential for all life and functions as the environmental medium through which problems can be exacerbated or mitigated. It is becoming increasingly obvious that there is no single lens or approach that can provide a sustainable solution and many examples where failure to examine a policy or problem in an integrated manner has made a situation worse, e.g. Aral Sea. Food security is directly linked to sustainable management of water resources, especially in arid and semi-arid regions. Moreover, human and animal wastes are a resource that can be used to improve agricultural yield and to create energy, provided strict rules are followed for preventing contamination of water supply and prevention of acute or chronic illness and transmissible disease. Integrated management of water resources for protection of and sustainable use of ecosystem services, are key to building resilience and mitigating impacts from natural disasters and extreme weather events. Integrated management centralized around water and sanitation is an emerging approach for community development, especially in small, rural communities. To be sustainable, access to drinking water for humans must be integrated into water management plans for livestock and crop production, and water quality management principles must applied to expand water and sanitation facilities. It further provides an opportunity for women to engage in alternative livelihoods. The incorporation of energy technologies into the water management plan improves the opportunities for sustainability.

Within the water-environment-health nexus, there are disparities between urban and rural populations, between indigenous and non-indigenous communities, and between the rich and poor. Water is flowing through landscapes and lives, connecting and impacting our livelihoods. Significant shifts in policy and practice need to occur recognizing water as not only essential, but also as a vital resource and exposure medium and a requirement by virtually all sectors, including health and wellbeing, economy, energy, food security and ecosystem services.

Globally, individual and community health and well-being are intrinsically linked to environmental integrity, water quality, water quantity and water management. Dynamic factors associated with global environmental change continue to affect outcomes. An integrated approach, encompassing biological, physical, economic, socio-political, and cultural factors is needed to address the current and future issues and challenges of water-related impacts on health and well-being (IOM, 2009).

As presented in Course 1 globally, small communities face significant challenges in managing water resources. Many are related to adequate supplies of freshwater (i.e. “water quantity”), but equally problematic is “water quality”. The term “water security” has been used to describe the status of water supply in terms of both quantity and quality. Grey and Sadoff (2007) define water security as the “reliable availability of an acceptable quantity and quality of water for health, livelihoods and production, coupled with an acceptable level of water-related risks”. This can be expanded to include the concept of safeguarding the cultural aspects of water (De Loë et al. 2007) and the maintenance of environmental services (Global Water Partnership 2000).

Water needs within human communities include both domestic (e.g., drinking, hygiene and sanitation, cooking and food preparation, laundry) and productive (e.g. agriculture, livestock, industrial processing) uses. The type of use should define the quality of the water that is required; . water for irrigation can be of lower quality than required for potable water. Moreover, secure water resources should be accessible and affordable for all community members. Inequalities in access to secure freshwater resources can lead to conflicts at international, national, regional and local scales (Jury and Vaux, 2007). Indigenous and marginalized communities are particularly at risk for inequalities related to water security (Avila, 2012)and are often ignored by the state and/or private sector during the allocation of water resources. In addition, these communities often lack the capacity to develop and sustain secure water systems, critical when a key factor for water security in this context is the level of community participation, decision-making, and ownership (MacDonald and Calow, 2009).

Secure water resources also need to be resilient to changes in the environment and human populations. Global change is already occurring in climate, land-use, urbanization, population growth and demographics, leading to e.g. economically-driven changes in diet (Vaux, 2012; IPCC, 2012; IPCC, 2007; Bower, 2002). Nearly all of the growth in the global population will occur in developing countries, many of which already have inadequate supplies of freshwater. A study of 92 developing countries by Vaux (2012) showed that, through a combination of population growth and higher incomes that drive improvements in diet, as much as an additional 5,200 cubic kilometres of land will be needed by 2050 for agriculture; thus increasing agricultural water demand. At the same time, the growth rate of large cities are confronted by increasingly greater demands for water.

While the impacts of global change on the quantity of water resources have been widely studied, there has been less work to date on the impacts of global change on water quality (Pangare and Idris, 2012). Global change will affect: a) the types and quantities of pollutants (chemicals, nutrients) and pathogens that are released; b) the transport and fate of pollutants and pathogens in the environment; c) the sensitivity of receptors (including ecosystems, livestock and humans) to these stressors. For some classes of chemicals, such as pesticides, biocides and pharmaceuticals, use will increase in response to the need for increased agricultural production, as well as the expanding number and distribution of animal and plant pests and human diseases (Boxall et al., 2009; Tirado et al., 2010; Royal Commission on Environmental Pollution, 2011). In countries with expanding economies, the use of chemicals for domestic and personal use (e.g. cleaners, detergents, disinfectants) will increase. Trends towards urbanization will file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M001D001WRIHIntroduction.htm[11/1/2014 10:22:33 AM] WLC Template

result in increased discharges of both domestic and industrial wastewater containing nutrients, pathogens and chemical contaminants (Evans et al., 2012). Demand for non-renewable resources will increase contamination of ground and surface water by the mining and hydrocarbon-based energy sector (oil, natural gas, coal, oil shale).

Climate induced changes in hydrological cycles and regimes will change the input, fate and transport of biological, chemical and physical contaminants in the aquatic environment, as well as the dilution potential of rivers and streams. Increases in the occurrence of extreme weather events, such as floods and droughts will alter the mobility of pollutants and pathogens (Manuel, 2006). In agricultural areas, changes in irrigation practices, such as re-use of wastewater can move contaminants from water bodies onto land (Tirado et al., 2010).

As well as affecting contaminant inputs, transport and fate, global change will also affect the structure and functioning of ecosystems. It has been estimated that 40% of humanity is already competing directly with nature for water (Safriel, 2011), and this is affecting the life-supporting capacity of ecosystems. For example, in aquatic systems, an increase in primary productivity is expected as a result of a longer growing season, increased temperature and higher nutrient inputs (Rouse et al, 1997). In response, zooplankton abundance will increase but with a decline in body size (Moore and Folt, 1993). There will be a reduction in available habitat for cool water species (LeRoy Poff et al, 2002). Climate change and nutrient releases will also affect the rates of formation and the geographical distribution of algal toxins (Marques et al., 2010). The competitive balance within natural communities will change and there will be increases in invasive species (Hauer et al, 1997). Changes in ecosystem services and weather patterns may also affect the distribution and prevalence of vector-borne diseases, such as malaria and Dengue (Cardenas et al., 2006).

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Problem Formulation and Scoping the Current Situation (vulnerability, susceptibility, ethics, gaps and limitations)

Information Gathering - Situational Analysis

What is a Situational Analysis?

A situation analysis for a health district describes and analyses the situation regarding the health status and health services of a district. Information about different aspects of health and the health services is collected, in order to provide an overall picture of the district. At the district level, the situation analysis is primarily an assessment of the extent to which health services address health needs. It aims to describe an analyses of the situation, to explain what is happening and to identify factors which are facilitating or preventing progress in the district. As a result, it will also identify and highlight the priority problems and needs of the district so that plans and strategies for addressing these issues can be developed, and help to form part of a District Health Plan. Eventually, the situation analysis forms the basis of the District Health Report. (McCoy and Bamford, 1998)

Why do a Situational Analysis?

Information is required for effective district health planning and management. Conducting a comprehensive situation analysis of the district can be seen as a step in the collection and use of information. A well documented situation analysis (McCoy and Bamford, 1998) is helpful in a number of ways:

It forms the first step of a planning cycle for the health district (see the Figure below). Undertaking a situation analysis is therefore often the first task of a newly formed District Management Team.

By documenting the problems and proposed strategies of a district, it can be used as a monitoring and evaluation tool.

It can bring the different types and categories of health worker together in a teambuilding exercise whereby the DMT begins to work together and take responsibility for all the services in the district.

It can form the basis for the District Health Plan and the District Health Report. Subsequent reports can be regarded as updates and improvements of the situation analysis.

It identifies gaps or deficiencies in the information that is available, and in this way it contributes towards the development of a district health information system.

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Image: situational analysis Source: McCoy and Bamford, 1998

Medical vs. Environmental Health approach.

Medical examination and diagnosis of health effects disease and acute or chronic condition. Environmental exposure questionnaire surveys, hazard identification, exposure pathways analysis and health risk assessment. Community health surveys of health outcomes. Social surveys of life styles cultural and behavioral factors.

Differences and similarities in the perspectives and applications.

Applications to water related impacts on health are addressed later in the Course in those sections dealing with epidemiology and human health and environmental risk assessment, and the section dealing with social surveys.

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Water Quality

“Water is the driving force of all nature.”- L. da Vinci

“We forget that the water cycle and the life cycle are one.” Jacques Yves Cousteau

The quality of water depends on the origin of the source, the constituent properties of the water, the users and its use, as a receiving water of wash water and wastewater, and other sources of pollution.

Water quality is generally defined in terms of the biological chemical and physical contents of the water. The water often changes depending upon the season, the geographical area and whether polluting sources and pollutants are present.

Water quality is best understood in terms of monitoring and testing especially if the water is a source of drinking water, used for recreational purposes, industrial manufacturing and for use in agriculture and aquaculture.

Safe water for drinking and potable uses is necessary for the prevention of human disease and illness.

Drinking water should be of "potable use" water quality.

Water of potable water quality should be safe for use, as is, without the threat of acute or immediate disease or illness from contaminants in the water from its use for drinking and personal hygiene, in food preparation, and washing of fresh produce, dishes, utensils and food preparation surfaces.

Potable water would be safe for watering of livestock, and for most other uses, but may not be necessary or suitable.

Water quality requirements are generally the most stringent for drinking water and other "potable" uses, with the exception of uses needing sterilized water and ultrapure water such as, in invasive medical situations (labour and delivery, and surgery), vaccine production, and other pharmaceutical and ultrapure manufacturing processes.

Uses of water, other than for drinking water, are numerous and may have different levels of need for stringency of the level of water quality.

Some of the major uses of water can be categorized as:

1. Drinking water for human consumption (i.e., potable use).

2. Production of Food & Beverages

3. Agricultural use- direct watering of livestock

4. Agricultural use - irrigation of food crops

5. Fisheries and aquaculture

6. Industrial use - industrial processes such as, mining and metal smelting and refining, pulp and paper, oil and petroleum, industrial chemicals, energy production, textiles, waste treatment and disposal

7. Commercial - production of consumer products such as, toiletries and cosmetics, furnishing, clothing, cookware, art, electronics and IT equipment,

8. Sanitation and wastewater treatment - municipal and household use

9. Healthcare and medicine

Water Quality Properties

Salinity

pH - acidity and alkalinity of water; neutral pH is 7.0.

Hardness and conductivity

Turbidity - total suspended solids

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Colour

Taste and Odour

Other Contaminants - chemical, microbiological, biological, physical

These water quality properties are largely dependent on the origins of the source water and the presence of polluting sources (human and naturally occurring) that introduce contaminants into the water source.

For example,

Seawater and brackish water have a naturally occurring saline (saltwater) concentration and are UNSAFE for drinking water and potable uses, as high salt intake causes dehydration, kidney and organ failure and other health problems. Saltwater water cannot be used for watering livestock. Saltwater may not be suitable for watering home gardens and irrigation of crops, as high salt levels are detrimental to plant growth.

Water that has a pH outside of the acceptable WHO guideline for potable water quality is UNSAFE for drinking and potable uses, such waters have a noticeable taste (sweet water or sour water) and may be coloured, turbid, and contain potentially harmful substances leached into the water from the surrounding environment (sediment, rocks and minerals, water container, water distribution pipes).

A water hardness and conductivity beyond the acceptable WHO guideline for potable water quality is unsuitable for drinking and potable uses, and may be coloured, turbid and contain potentially harmful substances leached into the water from the surrounding environment (sediment, rocks and minerals, water container, water distribution pipes)..

Turbidity is an indicator of the water purity and reveals the presence of suspended solids (coarse particulates), such as originating from human and animal excreta, plant material, soil and sediment, and may contain potentially harmful substances.

Colour is an indicator of the purity of the water, filtered water that is coloured is a good indicator of the presence of dissolved materials and possibly suspended fine particulates, such as originating from human and animal excreta, plant derived dissolved organic material, soil and sediment, and may contain potentially harmful substances, may be smelly, aromatic, sweet or sour tasting.

Taste and odour are indicators of the purity of water and the presence of contaminants; bad and noxious odours indicate the presence of undesirable and potentially harmful substances.

Other contaminants can be introduced to water (surface, ground water, rainwater, wastewater) by various polluting sources from human activities, and also from naturally occurring sources, such as animal excreta, algal growth, volcanic activity, and severe weather and natural disasters like earthquakes and erosion.

Types of Pollution (examples) Sources (examples)

sanitary and storm water sewers; water treatment plant Sewage and municipal wastewater outfalls.

from soil erosion, heavy rains, flooding, landslides and earthquakes; overgrazing; clear cutting and logging; mining and construction activities; watercourse diversion and major water Sediment pollution - sand, silt and clay particles transported into waterways projects; hydroelectric dams; dredging; mixing zones of receiving waters of waste file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M020D001WQPollution.htm[11/1/2014 10:22:33 AM] WLC Template

waters and river basins; wave action, turbulence and scour due to heavy winds and storms, currents and tides.

animal wastes, fertilizer runoff, poor water circulation, low to Eutrophication -algal blooms, nutrient enrichment especially of nitrogen and no aeration, little mixing and phosphorous, increased BOD of surface water stagnation of waterways, warm water temperature.

wastewater holding ponds and wastewater outfalls from - metal mining and smelting; industrial chemical manufacturing; oil drilling; petroleum industry; quarrying; hydroelectric facilities; coal Wastewater - raw and treated fired power plants; incinerators, diesel generators, other combustion and industrial sources; commercial food processing facilities; fish processing and fish canning facilities; commercial manufacturing facilities.

from washing of contaminants off of land by water usage and rainfall and flooding such as, agricultural land and agricultural ponds (fertilizers, pesticides and animal wastes), land applied sewage sludge and biosolids, roads and parking lots, industrial and commercial sites, construction sites and residential properties; seepage from wastewater holding ponds (unlined and perforated); seepage from landfills; deep well injection of Surface runoff and groundwater infiltration waste materials; improper well drilling and well construction; quarrying operations; seepage and runoff from garbage, waste disposal, and recycling sites; spills; leaking storage containers (above and under ground), such as leaking and spills from storage containers of solvents, fuels, fertilizers and pesticide products, disinfectants; fire fighting activities including use and storage of flame retardants; shipyards, docks and marinas;

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septic systems.

ultrafine, fine and coarse particulates in air, acid gases and aerosol droplets from combustion sources, mining and metal smelters and refineries, coal fired power plants, pulp and paper facilities, waste incineration, construction and manufacturing Precipitation - fallout and deposition of dry particulate matter and washout and activities, vehicle exhaust; deposition of wet dissolved matter from the air - e.g., acid rain; deposition of in stone crushing, gravel and organic and organic air pollutants to surface waters and land; smog cement manufacturing; agriculture (soil tilling, seeding and harvesting operations), spraying of sewage sludge, spraying of liquid manure, pesticides and fertilizers; spray from cooling towers; and emissions from fires, explosions, volcanic activity.

nuclear power plants, weapons, medical facilities, Radioactive substances scientific research.

industrial and municipal wastewaters, wastewaters from Thermal pollution power generating plants, food processing plants.

human and animal excretions (vomit, urine, faeces); leachate from leaking septic beds; livestock holding areas and manure; rotting meat and spoiled food and food wastes; food production and food processing wastewaters; decomposing animal carcasses and corpses; wastewater from abattoirs and animal slaughter houses; offal and animal waste products including those derived from blood, bone, Fecal coliforms and other disease causing organisms skins, organs and other tissues; wastewater and spills of biohazardous waste materials (medical waste and medical processing water waters, dental wastewater and waste materials, veterinary wastewater and waste materials), biotechnology and pharmaceutical industrial

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wastes, sewage sludge and biosolids materials, leachate from cemeteries and burial grounds.

oil drilling, dredging, shipping traffic, weapon testing, Vibration and noise construction, turbine generators, pumping systems.

Key areas that will need to be address to protect water quality and quantity include:

1. water and urbanization

2. water and climate change

3. water resources and land use

4. drinking water and sanitation

5. water, agriculture and food security

6. water pollution, environmental degradation and disasters such as flooding and extreme weather events

7. improving transparency and cooperation with respect to water and agriculture

8. public health concerns regarding waterborne diseases

9. public hygiene, public safety and education

10. infrastructure and the financing of proper water resources

References:

Bartram, J. and Cairncross, S. 2010. Hygiene, Sanitation, and Water: Forgotten Foundations of Health. PLOS Medicine 7 (11): 1-9 e1000367 www.plosmedicine.org

Cairncross, S., Bartram, J., Cumming, O., and Brocklehurst, C. 2010. Hygiene, Sanitation, and Water: What Needs to Be Done? PLOS Medicine 7 (11): 1-7 e1000365 www.plosmedicine.org

Howard and Bartram, 2003. Domestic Water Quantity, Service Level and Health. World Health Organization, Geneva.

Hunter, P.R., MacDonald, A.M., and Carter, R.C. 2010. Water Supply and Health. PLOS Medicine. 7 (11): 1-9 e1000361 www.plosmedicine.org

Mara, D., Lane, J., Scott, B., and Trouba, D. 2010. Sanitation and Health. PLOS Medicine. 7 (11): 1-7 e1000363 www.plosmedicine.org

Pruss, A. Kay, D., Fewtrell, L., and Batram, J. 2002. Estimating the Burden of Disease from Water, Sanitatin, and Hygiene at a Global Level. Environmental Health Perspectives 110 (5):537-542

Prüss-Üstün A, Bos R, Gore F, Bartram J. 2008. Safer water, better health: costs, benefits and sustainability of interventions to protect and promote health. World Health Organization, Geneva.

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Point Sources and Non-Point Sources of Pollution (Chemical Biological and Physical)

Point Sources are fixed or stationary sources of pollution emitting contaminants directly to surface water, groundwater, air and land at a discrete point or location. Non-Point Sources are diffuse and mobile (non-stationary) sources of pollution involving the uncontrolled dispersal movement and deposition of contaminants and transported a distance from the origin, such as sediment movement, mixing zones in rivers and estuaries, combined pollution downstream of multiple sources and ambient air pollution.

If the contaminating substances (chemical biological and physical) are toxic and not rapidly broken down, degraded and destroyed or removed they may persist for an extended period of time (years to decades) making the water unavailable for any human needs.

The contamination of water by persistent accumulative and toxic substances, and microorganisms, and dissolved and suspended solids has a profound impact on both the quantity and quality of water in that area, and to surrounding areas connecting and adjacent to this body of water. These contaminants include,

Persistent organic pollutants (POPs) that accumulate in the water column, in sediments, and in fish and other aquatic species, especially in top predatory fish and fish-eating birds and mammals, and are a potential threat to human health and endangered species.

Known and emerging human and animal pathogens (bacteria, viruses protozoa) and parasites.

Contaminants present in emissions in toxic quantities.

Nutrients (nitrogen, phosphorous, potassium, and carbon containing compounds and ions) and dissolved organic matter and totals suspended solids that promote

algal and bacterial growth, thereby accelerating eutrophication of surface waters.

depletion of dissolved oxygen and increase in BOD.

changes in water acidity, alkalinity, salinity, and in water temperatures.

the occurrence of foul and noxious odours and taste to water, fish and shellfish.

contribute TSS adding to sedimentation problems in receiving waters.

the attraction and breeding of invasive species and pests (e.g., insects, rodents, aquatic parasites), including those that are vectors of disease in animals and humans.

growth of pathogens -bacteria, viruses, fungi and protozoa.

Emissions of pollutants from point sources are generally more easily and effectively controlled and monitored than those from non- point sources.

Point Sources of Pollution

Examples of direct point releases into surface and ground water are, as follows, and these point sources should be treated before their release to minimize the introduction of pathogens and other contaminants to the environment:

Wastewater from commercial livestock, poultry, and aquaculture production and processing plants that can discharge pathogens in the wastewater into the environment. Wastewater outfalls from industrial facilities and municipal sewage and waste water treatment facilities. Leaking sewer pipes and underground storage tanks (USTs). Waste water holding ponds. Contained and controlled spills. Deep well injection of solvents and waste materials.

Pollutant point sources should be constructed to contain, treat and remove contaminants in order to limit and control their release into the environment, especially those that are priority pollutants and pathogens of concern, as designated under international health and environmental codes of conduct and trade agreements, for the protection of human health and the environment.

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Non-Point Sources of Pollution

Precipitation (dry and wet), acid rain, surface runoff, mobile sources such as vehicles, transportation, erosion, wind carrying particulate matter and aerosols are examples of non-point sources of pollution. Contaminants in soils and sediments can move by surface run off, erosion, and leaching into nearby surface waters, and can move by seepage and infiltration downwards through the soil and overburden into the groundwater.

For example,

Pesticides in agricultural soils.

Drift from aerial spraying application of agrochemicals on croplands.

Microorganisms in manure and sewage sludges applied to land.

Spills and deliberate dumping of waste containing toxic metals, chemical solvents, biohazardous and radioactive materials into surface waters, onto land and injected into the ground, into wells and infiltrating bedrock.

Pollutants are also transported in the atmosphere and disperse during the application process, such as spraying of pesticides and sewage sludge, tilling agricultural soils, grinding of metals and rock materials, operation of incineration and combustion sources, especially under high velocity wind conditions.

Water bodies can also be contaminated with salts such as chlorides, sulfates, magnesium, calcium, and sodium. This occurs when the salt bleached from normally saline soils and delivered to adjacent water bodies.

References:

Harter, T., J. R. Lund, J. Darby, G. E. Fogg, R. Howitt, K. K. Jessoe, G. S. Pettygrove, J. F. Quinn, J. H. Viers, D. B. Boyle, H. E. Canada, N. DeLaMora, K. N. Dzurella, A. Fryjoff-Hung, A. D. Hollander, K. L. Honeycutt, M. W. Jenkins, V. B. Jensen, A. M. King, G. Kourakos, D. Liptzin, E. M. Lopez, M. M. Mayzelle, A. McNally, J. Medellin-Azuara, and T. S. Rosenstock. 2012. Addressing Nitrate in California's Drinking Water with a Focus on Tulare Lake Basin and Salinas Valley Groundwater. Report for the State Water Resources Control Board Report to the Legislature. Center for Watershed Sciences, University of California, Davis. 78 p. http://groundwaternitrate.ucdavis.edu.

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO, 2002. Guidelines for Drinking- Water Quality, 2nd Edition. WHO, Geneva. pp. 1-142.

WHO, 2004. Guidelines for Drinking- Water Quality, 3rd Edition. WHO, Geneva.

WHO. 2012. Water Safety Planning for Small Community Water Supplies. World Health Organization, Geneva, Switzerland. pp. 55.

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Impacts of Pollution Sources on Environmental and Public Health

Increases in salinity can destroy the water body as a habitat for fish species and wildlife, and impact on the quantity and quality of potable drinking water, and water availability for other uses.

Waterborne pathogens arising from livestock production (animal wastes), food processing, and human wastes from poor sanitation and sewage treatment can have a profound influence on the quality of water. These pathogens bacteria, viruses, and fungi, and parasites can be introduced into the water by run off originating on feedlots or surface water flowing over pastures or fields were animal waste, human excreta, decomposing carcasses and garbage is present. Wastewater from commercial livestock, poultry, and aquaculture production and processing plants can discharge pathogens in the wastewater into the environment, and should be treated to minimize the release of pathogens and other contaminants.

The combination of contaminants emitted from both point sources and nonpoint sources can have profound environmental consequences that impact both upon environmental and public health.

These interconnected sources of water pollution make development and the implementation of remediation programs more problematic for limiting and controlling impacts of non-point sources and for preventing the movement of contaminants off-site. A multi-discipline, multi-barrier and integrated resources management approach based on the principles of risk assessment is warranted and should be followed up by monitoring and surveillance of important water quality parameters to provide assurances of the safety of water supplies for human health and potable uses, including watering of livestock and crops, as well as food production.

Monitoring and surveillance are applications necessary for assessing the safety and availability and sustainability of water sources and water systems such as for data on water quality parameter for indicators of the changes in properties of the water system, of local and regional pollutant releases by inventories from polluting sources, of the quantity of water usage, of health and vital statistics and other relevant information.

References:

Harter, T., J. R. Lund, J. Darby, G. E. Fogg, R. Howitt, K. K. Jessoe, G. S. Pettygrove, J. F. Quinn, J. H. Viers, D. B. Boyle, H. E. Canada, N. DeLaMora, K. N. Dzurella, A. Fryjoff-Hung, A. D. Hollander, K. L. Honeycutt, M. W. Jenkins, V. B. Jensen, A. M. King, G. Kourakos, D. Liptzin, E. M. Lopez, M. M. Mayzelle, A. McNally, J. Medellin-Azuara, and T. S. Rosenstock. 2012. Addressing Nitrate in California's Drinking Water with a Focus on Tulare Lake Basin and Salinas Valley Groundwater. Report for the State Water Resources Control Board Report to the Legislature. Center for Watershed Sciences, University of California, Davis. 78 p. http://groundwaternitrate.ucdavis.edu.

Hoskisson, P.A. and J. T. Trevors. 2010. Shifting trends in pathogens on a changing planet. Antonie van Leeuwenhoek Journal of Microbiology. 98(4):423-427.

IOM (Institute of Medicine), 2009. Global Environmental Health: Research Gaps and Barriers for Providing Sustainable Water, Sanitation, and Hygiene Services. Washington, DC: The National Academies Press.

Kon, T., S. Weir, T. Howell, J. T. Trevors, H. Lee, J. Champagne, R. Brousseau and L. Masson. 2007. Microarry analysis of culturable Escherichia coli strains from interstitial beach water of Lake Huron, Canada. Appl. Environ. Microbiol. 73:7757-7758.

Kon, T, S. C. Weir, E. T. Howell, H. Lee and J. T. Trevors. 2009. Rep-PCR analysis of Escherichia coli isolates from recreational waters of South Eastern Lake Huron (Canada). Can. J. Microbiol. 55:269-276.

Mara, D. and N. Horan (Eds.) 2003. Handbook of Water and Wastewater Microbiology. Academic Press, NY.

National Assessment of Water and Wastewater Systems in First Nations Communities. Summary Report. 2004. Indian and Northern Affairs Canada.

OECD. 2003. Assessing Microbial Safety of Drinking Water: Improving Approaches and Methods. IWA Publishing, London, UK, pp. 1-279.

Teunis, P. F. M., G. J. Medema, L. Kruidenier and A. H. Havelaar. 1997. Assessment of the risk of infection by Cryptosporidium or Giardia in drinking water from a surface water sample. Water Research. 31: 1333-1346.

Waterborne Pathogens. 2006. AWWA Manual M 48. American Water Works Association, Denver, USA.

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World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO, 2002. Guidelines for Drinking- Water Quality, 2nd Edition. WHO, Geneva. pp. 1-142.

WHO, 2004. Guidelines for Drinking- Water Quality, 3rd Edition. WHO, Geneva.

WHO. 2012. Water Safety Planning for Small Community Water Supplies. World Health Organization, Geneva, Switzerland. pp. 55.

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What are Environmental Contaminants?

Environmental contaminants are chemical, biological, and physical.

Environmental contaminants are dissolved and particulate compounds that are released into the environment from human activities, by excretions from humans and animals (vertebrates and invertebrates), by plants, and microorganisms, and by seasonal and naturally occurring events and processes that alter the composition and amount of the chemical, biological and physical constituents and properties of air, water, soil and land, and food rendering it unsuitable and potentially harmful to human and animal health, and to ecosystem integrity and functions.

Changes induced by the presence of contaminants causing alterations in physical structure function and behavior can be detrimental to living organisms at the molecular-level, cellular- and tissue-level, whole organism-level, and also at the population- level, ecosystem-level and the geophysical-level and landscape-level.

Types of Contaminants Influencing Water Quality Quantity and Use

Three main types of contaminants influencing water quality quantity and its use are biological chemical and physical, including wet and dry precipitation of airborne pollutants, and soil and sediment particulates and dissolved organic matter.

In water, contaminants occur in dissolved, particulate, adsorbed and colloidal forms, including in water consisting of surface run off from soils, and pore water of sediments. Sediments and soils act as both a sink and a source of contaminants to water - surface water and ground water. Sediments and soils act as a sink through the removal of contaminants from solution in water by trapping (binding) settling accumulating and sequestering contaminants in the sediment bed and bulk soil. These removal process of binding and sedimentation generally make contaminants less accessible. Metal particulates (e.g., metal sulfides, metal oxides), and metals and organics compounds, including persistent organic compounds bind organic matter and to sediment and soil particles and become buried over time through the act of sedimentation. Contaminants in sediments, and soils, are released back into water through diffusion and ion exchange, resuspension of particulates by winds, turbulence, scour and wave action, and also sediment and soil mixing by the activity of biological organisms living, foraging and breeding in the sediments and soils such as, worms, insects, crustaceans, fish, mammals, birds, amphibians and reptiles. Algal and plant growth contribute to the removal of N, P, S, K, and C from the water column and algal and plant growth release oxygen to the water. Plants (aquatic macrophytes) provide surfaces and nutrients for microbial growth and for bacterial, fungi and detritivores and other biological organisms involved in the breakdown of organic matter and organic compounds. Plants create and alter habitats for animals, including providing habitats and protection for pests and beneficial molluscs, insects, spiders, amphibians, reptiles, mammals and birds.

Linkages to Humans and Aquatic Food Chains

Biological barriers (e.g., bacterial cell walls and membranes, plant cell walls, cell membranes) including multicellular mucous membranes of specialized tissues in animals and humans (e.g., lungs, blood vessels, nervous tissue, brain, blood-brain barrier and placenta) selectively allow only certain types of compounds to be taken up ( absorbed) in to cells and tissues and biological fluids. Generally, non-charged chemical compounds of smaller size are more soluble and are able to more easily passively diffuse across cell membranes than bulkier larger molecules, dissolved chemical complexes and particles. Some molecules because of their small size may be able to penetrate most cell membranes unassisted, entering into cells and into bacterial cells, and systemic circulation in plants, animals and humans. Compounds that enter systemic circulation in humans and animals are transported in the blood and lymph to tissues and organs away from the initial site of entry (e.g., skin, mouth, nose, throat, lungs) to more distal target tissues and cells where they can accumulate and exert their toxic effects. Ionic forms of chemical compounds, depending on their size and charge, may be inhibited from crossing cell membranes or may be actively carried into cells by binding to transport proteins and interacting with enzymes and other molecules. As well, large molecules and chemical compounds adsorbed onto particles may be carried into cells in the form of vesicles, by being surrounded and engulfed by cell membranes.

Shellfish and fish pass vast volumes of water across their gills and membranes, extracting nutrients and microorganisms and chemicals that are present in the waters and sediments in which they live, and POPs and persistent heavy metals accumulate in their tissues from contaminated waters and sediments. Many types of shellfish are detritivores, feeding of the bottom sediments and decaying plants and animal material including fecal material. Consumption advisories are often posted in areas known to have contaminated sediments, and immediately downstream of outfalls of point sources of pollution. Consumption restrictions and advisories are necessary prevent exposure to poisonous levels of toxins, metals, pesticides, persistence organic chemicals, and

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radionuclides, and other substances that are accumulated in tissues of filter-feeders, and fish, and sometimes in wildlife that eat them, such as water birds, water mammals, and marine mammals.

Disinfection of Pathogens

The structural activity and toxicity properties of different groups of chemical compounds have been exploited for use in disinfection of drinking water, contaminated surfaces in food and dairy production and processing areas, and hospitals and veterinary clinics, and in the antiseptic treatment in surgeries, childbirth and topical dressing for wounds for the prevention of infections.

The proportion of pathogens that are inactivated is dependent on the dose of disinfectant.

Dose of disinfectant necessary for the specified degree of inactivation = time of exposure X concentration of disinfectant

The shape of the survival curve of the pathogens when exposed to a disinfecting agent (e.g., UV radiation, chlorination) provides information about the mechanism of inactivation and from the shape of the survival curve it is possible to calculate the specified required dose to achieve a certain degree of inactivation. In adequate data for the characterization of survival curves can result in overestimation or underestimation of the dose of disinfectant necessary to achieve the required acceptable inactivation. Overestimation of the required dose may have undesirable consequences such as unacceptable toxicity of disinfectant residues to the user. Underestimation of the required dose for the necessary inactivation of the target pathogen may leave a harmful infectious level of pathogens remaining after treatment.

Dissolved organic matter, flocculating organic colloidal material and particulates in the water column provide nutrients and protection for pathogens and parasites. Therefore multiple barrier methods and filtration of water and cleaning of soiled surfaces to remove organic material before disinfection has been proven to increase inactivation of pathogens, and also decreases the amount of disinfectant needed to maintain an effective contact residual of disinfectant and the potential for harmful exposures to disinfection byproducts.

The disinfection of water is covered in more depth in the Course entitled Solutions Water and Waste Water Treatment.

Reference:

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Types of Environmental Contaminants

I. Biological Contaminants

Many biological organisms are intermediate hosts in the transmission cycle of zoonosis (animal-to-human transmissible disease) and vector-borne diseases (VBD). A common step in the cycle of disease involves the release of faecal matter and urine from humans animals and birds containing enteric microorganisms capable of causing disease into the water and sediments of lakes and rivers and ephemeral streams and ditches which serve as source waters for drinking water supplies. The release of other excreta (vomit, blood, sputum) and decomposing animal tissues and rotting meat into surface waters are also sources of human and animal pathogens and parasites.

Biological organisms, including plants and animals, and the decomposition of organic matter, provide a source of nutrients for the growth and proliferation and protection of disease-causing organisms.

Depending on the disease organism, exposure and disease transmission can occur through consumption of contaminated water use for drinking, personal hygiene (bathing, brushing teeth, washing), food preparation and cooking, agriculture and fishing and industrial and commercial purposes.

Microbial contaminants (enteric and non-enteric pathogens) include bacteria and amoebas, viruses, dinoflagellates, and protozoa.

Helminthes (parasitic worms), flies, trypanosomes and other parasites may be present in waters contaminated by animal and human wastes.

Cyanobacteria (blue-green algae) and algae contribute to the eutrophication of water bodies, and during seasonal periods of heavy growth, algal blooms release carbohydrates, nitrogen-based molecules, and reduced sulfur compounds to the water column; some cyanobacteria and algae produce toxins which harmful to wildlife and humans, causing liver toxicity, neurotoxicity, and gastrointestinal problems and may be carcinogenic when contaminated water is ingested and skin contact with toxins in contaminated water can cause skin irritation and sensitization.

Mosquitoes are well known insect vectors (vehicle) for transmitting vector-borne and blood-borne diseases, such as Malaria, Dengue Fever, Yellow Fever, and West Nile Virus.

Water snails are vectors for the disease Schistosomiasis (Guinea worm) that infects people working and wading in contaminated waters such as, during fishing activities and while working in rice fields.

Rodents and mammals - rats, mice, bats and other mammals that are carriers of infectious disease, frequently inhabit wetland areas, including docks and storage areas of shipping yards, and landfill and garbage dumps areas where there is garbage and composting materials containing rotting meat protein and food.

Poisonous snakes and spiders

Noxious and nuisance aquatic weeds

Reference:

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

Additional References:

Bartram, J. and Cairncross, S. 2010. Hygiene, Sanitation, and Water: Forgotten Foundations of Health. PLOS Medicine 7 (11): 1-9 e1000367 www.plosmedicine.org

Cairncross, S., Bartram, J., Cumming, O., and Brocklehurst, C. 2010. Hygiene, Sanitation, and Water: What Needs to Be Done? PLOS Medicine 7 (11): 1-7 e1000365 www.plosmedicine.org

Hoskisson, P.A. and J. T. Trevors. 2010. Shifting trends in pathogens on a changing planet. Antonie van Leeuwenhoek Journal of Microbiology. 98(4):423-427. file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M020D005BiologicalContaminants.htm[11/1/2014 10:22:34 AM] WLC Template

Howard and Bartram, 2003. Domestic Water Quantity, Service Level and Health. World Health Organization, Geneva.

Hunter, P.R., MacDonald, A.M., and Carter, R.C. 2010. Water Supply and Health. PLOS Medicine. 7 (11): 1-9 e1000361 www.plosmedicine.org

Mara, D. and N. Horan (Eds.) 2003. Handbook of Water and Wastewater Microbiology. Academic Press, NY.

Mara, D., Lane, J., Scott, B., and Trouba, D. 2010. Sanitation and Health. PLOS Medicine. 7 (11): 1-7 e1000363 www.plosmedicine.org

Pruss, A. Kay, D., Fewtrell, L., and Batram, J. 2002. Estimating the Burden of Disease from Water, Sanitatin, and Hygiene at a Global Level. Environmental Health Perspectives 110 (5):537-542

Prüss-Üstün A, Bos R, Gore F, Bartram J. 2008. Safer water, better health: costs, benefits and sustainability of interventions to protect and promote health. World Health Organization, Geneva.

OECD. 2003. Assessing Microbial Safety of Drinking Water: Improving Approaches and Methods. IWA Publishing, London, UK, pp. 1-279.

Teunis, P. F. M., G. J. Medema, L. Kruidenier and A. H. Havelaar. 1997. Assessment of the risk of infection by Cryptosporidium or Giardia in drinking water from a surface water sample. Water Research. 31: 1333-1346.

Waterborne Pathogens. 2006. AWWA Manual M 48. American Water Works Association, Denver, USA.

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Types of Environmental Contaminants

II. Chemical Contaminants

Chemicals are broadly categorized as inorganics and organics.

Examples of Inorganics: the non-metallic cations Calcium (Ca) and Sodium (Na); the metals Antimony (Sb) , Arsenic (As), Cadmium (Cd), Chromium (Cr), Cobalt (Co), Iron (Fe), Lead (Pb), Manganese (Mn), Mercury (Hg), Nickel (Ni), Selenium (Se), Uranium, (U), and Zinc (Zn) in various forms elemental, ionic, and metal hydroxides, metal oxides, and metal sulfides and other metal containing compounds; Nitrogen (N), Phosphorous (P), and Sulfur (S) compounds such as, Ammonium ions (NH4+), Nitrates (NO) and Nitrites(NO), Phosphates (PO), Sulfates (SO), and , halides chlorine (Cl), bromine (Br-), I-, Fl-), hydroxides (OH)-, oxides and carbonates (CO).

Examples of Organics: petroleum and industrial chemicals, solvents, pesticides, persistent organic pollutants (POPs) that accumulate in sediments and tissues of fish and shellfish are tributytin, tetraethyllead, hexachlorobenzene, chlorinated dioxins and chlorinated furans, coplanar PCBs, DDT, and Mirex. Naturally occurring poisons (toxins) produced by bacteria (botulinum toxin), dinoflagellates (red tide), cyanobacteria (algal blooms), and others by types shellfish, poisonous fish and plants.

Inorganic and organic chemicals can be further grouped according to their physical-chemical properties and disinfecting and toxic actions and uses, such as those listed below.

1. Nutrients - minerals, vitamins, carbohydrates and other organic compounds. Many chemicals act as nutrients at low concentrations (often less than 1 part per billion, < ppb or micrograms per litre (

2. Acids and alkalis - Most cellular tissues, including most bacteria are susceptible to killing by strongly acid solutions (e.g. 1 N sulfuric acid) and alkaline solutions (e.g. 1N sodium hydroxide), with the exception of comparatively resistant mycobacteria and resistant strains of staphylococcus and streptococcus, and prions. Weak organic acids are highly permeable and are able to penetrate into the cell. Lactic acid is an example of a weak organic acid that acts a natural preservative in many fermented foods. Generally, cationic compounds are more bactericidal at high pH and anionic compounds tend to be more effective at low pH, possibly because of greater penetration of the bacterial cell by the undisociated form of the compound.

3. Salts - sodium chloride (NaCl) has been used for centuries to preserve fish and meat for food and is used in pickling brine. Normal physiological saline levels are 0.9% NaCl in blood, pathogenic bacteria may have a reduced survival at lower (pure water) and at higher salt concentrations (brine).

4. Heavy Metals - heavy metals denature proteins by binding to the sulfhydryl (-SH) and other groups. Mercury (Hg2+) and silver (Ag+) ions are effective antibacterial agents at concentrations less than 1 part per million (ppm), and various organic mercury compounds and silver have been used as topical antiseptics in the treatment and prevention of skin infections. Copper salts (Cu2+) have been used in agriculture as a fungicide, and in commercial and industrial operations to kill and prevent growth of algae in water. Lead arsenical pesticides have been widely used in agriculture as fungicides, especially in orchards. Mercury compounds have been widely used fungicides applied to turf grass of commercial golf courses. Boric acid is an example of a widely used anionic antiseptic.

5. Halogens and other oxidants - These compounds oxidize susceptible sulfur bonds and sulfhydryl groups of enzymes and cell membranes. Iodine, chlorine and bromine are oxidants used in water disinfection that rapidly penetrate the cell and destroy proteins and oxidize organic materials. Iodine (I2) irreversibly binds to proteins; tincture of iodine (2% to 7% solution of I2 in aqueous alcohol containing KI) is a reliable antiseptic for skin and minor use on wounds, but not for long term use as it is painful and destructive to exposed tissue. Antiseptic detergents containing iodine are non-irritating and have been widely used as disinfectants in veterinary practice and medical clinics. Chlorine (chlorinated lime) was used since around the early mid-1800s by Oliver Wendell Holmes to prevent transmission of puerperal sepsis in labour and childbirth by physician's hands. Chlorine dissociates in water to form hypochlorous acid (HOCl), a strong oxidizing agent. Chlorine is also commonly combined with sodium hydroxide to form a sodium hypochlorite solution. A solution of 200 ppm hypochlorite is used to disinfect cleaned hard contact surfaces used in restaurants, and in food and dairy industry facilities, and in schools and daycare centres. Concentrations of 1 to 3 ppm chlorine is used to disinfect water supplies and swimming pools. Chlorine is a rapidly acting and reliable disinfectant for "clean" materials, but is less effective for materials containing organic matter, such as soiled surfaces and unfiltered raw water. More details on the chlorination process in the disinfection of water is covered in Course #3 entitled Solutions Water and Waste Water Treatment.

Other strong oxidants include hydrogen peroxide (H2O2), potassium permanganate (KMnO4); and per acetic acid (CH3CHO-O- OH). file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M020D006ChemicalContaminants.htm[11/1/2014 10:22:34 AM] WLC Template

Gaseous forms of these compounds and the halogens are extremely irritating to mucous membranes and are potent oxidizing agents, inhalation of vapours are poisonous and areas of use should be well ventilated and often require long flushing with clean air to remove contaminants before entry. Personal protective equipment, extreme caution and training is required for the safe use, handling, storage and disposal these compounds

6. Volatile Organic Compounds (VOCs) - These compounds are highly volatile organic compounds with solvent properties for dissolving greases, oils and organic materials and have a wide variety of uses such as, high volume uses in fuels, industrial processing, chemical manufacturing, pesticide manufacturing, and commercial use, cleaning and disinfection products, and in food and beverage processing. VOCs readily evaporate into air and at high concentrations have a noticeable sweet or noxious odour. examples of solvents are alcohols (ethanol, methanol), ether, benzene, toluene, ethyl benzene, xylene, acetone, chloroform, glycerol, phenols, varsol, turpentine, and essential oils of plants (thymol, eugenol).

The toxicity of phenolics, alcohols, and other common solvents involves the penetration of cell membranes causing damage to proteins (denaturation of proteins) and also the solublization of fatty acids and removal of the lipid layer. Many of these compounds have been used as antiseptics applied to skin, but absorption through damaged and inflamed skin and prolonged use may cause systemic toxicity. Exposure to high concentrations can cause narcotic effects such as, headache, dizziness, confusion, and exposures to unusually high concentrations can be life threatening. Phenolic compounds act by denaturing proteins and as a detergent by destruction of cell membranes; phenols are more effective disinfectants when mixed with soap in the right proportions. Prolonged exposure to VOCs can remove lipid layers in skin, mucous membranes, and nervous tissues that are among the body's natural barriers to disease and other potentially harmful contaminants.

7. Alkylating Agents - Alkylating compounds are highly reactive, forming mutagenic and carcinogenic reaction products with biological molecules. Alkylating agents react with the amino (NH2) and the hydroxyl (OH) groups of proteins and nucleic acids, and also with the carboxyl -COOH and the sulfhydryl (-SH) groups of proteins to form an epoxide; reaction products of alkylating compounds may be reversible or irreversible. Several alkylating compounds have been used as fumigants to destroy bacteria, viruses, fungi and protozoa in agricultural operations, food production, commercial product manufacturing and shipping and hospitals. Examples of alkylating compounds are formaldehyde, ethylene oxide, nitrous acid, hydroxylamine, and vinyl chloride. Being of a small molecular size and highly penetrating, the alkylating compounds formaldehyde and ethylene oxide are effective chemical sterilants against vegetative bacteria and fungi and spore forms, and do not require water for their action. Formaldehyde (0.1%) has been used in preparing vaccines, for sterilizing bacteria, and for inactivating toxins and viruses, without affecting their antigenicity. Formaldehyde is a gas. Formalin is a 37% solution of formaldehyde in water. Gaseous formaldehyde used for disinfecting dry surfaces is readily adsorbed on to surface and polymerizes, but is slowly depolymerized off-gassing an irritating residual contaminant. Ethylene oxide is a gas that is highly soluble in water and is an effective and reliable chemical sterilant. Ethylene oxide has been used to sterilize heat-sensitive objects, especially in hospitals, such as plastic ware, surgical equipment ( e.g., endoscopes), hospital bedding, books and leather and materials contaminated by infectious patients, but because of its slow action, financial cost, and high hazard potential in humans (mutagenicity and carcinogenicity) it has limited use. Ethylene oxide must be used in only contained areas in strict adherence to occupational environmental health and safety protocols in highly cautious manner by trained technicians equipped with the essential personal protective equipment (PPE). Vinyl chloride (VC) is an industrial chemical monomer used in the manufacture of vinyl chloride polymers used to make polyvinyl products such as PVC pipe for water distribution systems. Vinyl chloride is an incomplete breakdown product of trichloroethylene and tetrachloroethylene formed under anaerobic conditions in contaminated groundwater and saturated contaminated soils with potential to seep into basements of buildings, situated immediately above a contaminated aquifer, and without adequate ventilation concentrations of VC may build-up to potentially harmful levels in indoor air.

8. Synthetic Detergents or Surfactants - These compounds are described as surface-active agents. Each surfactant molecule consist of a hydrophilic (water-seeking) and a hydrophobic (water-repelling) portion and has either a negative charge (anionic detergents), a positive charge (cationic detergents), or no charge (nonionic detergents). These compounds act by forming a layer that coats and solubilizes hydrophobic molecules or structures such as lipids in cell membranes, thereby disrupting cell membranes releasing cellular contents and by their detergent action dissolves films of lipids and grease. The quaternary compounds are the most effective cationic detergents for killing a wide range of bacteria; each quaternary compound contains three short chain alkyl groups and a long chain alkyl group, (e.g., benzalkonium chloride or benzyl dimethyl alkonium chloride). More details on the disinfection process of water is covered in Course #3 entitled Solutions Water and Waste Water Treatment.

9. Persistent Organic Pollutants (POPs) - These compounds are adsorbed onto organic carbon in solvents and particulates (in air, water and land) and in wastewater effluents and holding ponds, breakdown very slowly , are resistant to environmental degradation processes, and build up and accumulate in sediments in the aquatic environment and may persist in the environment for many years, decades and longer depending on environmental conditions and concentrations. The longer the chemical carbon chains, the more fatty acid side chains and the greater the number of ring structures of a compound the bulkier its molecular size and the more likely it is to be excluded from cell membranes. The addition of chlorine atoms tends to increase the toxicity of organic compounds up to a certain point after which the toxicity decreases with increasing chlorination ( or other halogenation)

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which appears to be a consequence of changes in the physical structural properties of the molecule, especially its solubility in water and its ability to move across biological membranes (e.g., external gill membranes of aquatic organisms, and internal mucous membranes and cell membranes of tissues and organs). Highly chlorinated organic compounds tend to be poorly soluble in water and must be dissolved in a solvent or water and solvent mixture. Organic compounds that have long carbon chains, are highly branched, have multiple ring structures, and have a large number of chlorine or other halogens are more resistant to environmental breakdown processes and metabolism. Because of their high affinity for lipids in cell membranes and adsorption onto organic carbon, even though they may be present in small amounts these types of organic compounds and their metabolites can gradually accumulate over a lifetime in fats and fatty organs (e.g., liver, reproductive tissues, brain) of humans and animals, such as by exposures through food. Examples of POPs are Mirex, Dieldrin, Aldrin, DDT and its metabolite DDE and other the chlorinated pesticides many of which have been banned under international agreement to protect the environment and human and ecosystem health, chlorinated dioxins and chlorinated furans by products of industrial processes and incomplete combustion, industrial chemicals such as PCBs especially the coplanar PCBs with dioxin like structure-activity, and also organometallic compounds such as tetraethyl lead, methyl mercury, tributyltin.

Toxicity

Generally, the harmful effects of chemicals contaminants involve direct contact chemical reactions and interactions with cell membranes such as, by dissolving membrane lipids or by damaging proteins or nucleic nucleic acids or by disrupting metabolic systems such as by hormonal disregulation.

If contaminants are taken up into cells and tissues more rapidly than can be excreted, exposures to contaminants can reach harmful amounts that are toxic, capable of inactivating important cellular functions and structure, by disrupting cell membranes, damaging proteins and nucleic acids, including impairment of metabolism growth reproduction, and damage to the nervous system and immune system in invertebrates, mammals, birds and humans. Acute exposures to unusually high levels of heavy metals, pesticides, solvents and other industrial chemicals from close contact and deliberate ad accidental poisonings have been observed to cause intoxication affecting behaviours and the ability to think clearly, and have resulted in severe adverse reactions, contact dermatitis, systemic toxicity and organ failure and death. Many heavy metals are highly toxic in comparatively low concentrations and chronic exposures to heavy metals, such as mercury, cadmium and lead, may cause cumulative damage and toxicity in kidneys, liver, bone, blood and the nervous system and immune system. Disinfectant detergents act by dissolving lipids in cell membranes, whereas denaturants, oxidants, alkylating agents and sulfhydryl reagents act by damaging proteins or nucleic acids. Some pesticides act by disrupting metabolic hormonal systems causing impairment of plant growth and insect reproduction, larvae growth and development.

Chemical contaminants that have been responsible for large-scale health effects through drinking water exposure include the following:

Arsenic, Fluoride, Lead, Nitrate, Selenium, and Uranium (WHO 2011, Guidelines for Drinking-Water Quality, Fourth Edition).

Emerging chemicals of concern, not considered previously in the 3rd Edition of the WHO Guidelines for Drinking-Water, include pesticides used for vector control in drinking water.

Information on chemical contaminants that commonly occur in drinking water, updated existing chemical fact sheets, the WHO guidelines for safe concentrations in drinking water of chemical contaminants of priority, and guidance on identifying local priorities and on comprehensive preventative risk management are provided in the WHO 2011 Guidelines for Drinking Water Quality.

Reference:

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Pharmaceuticals and Personal Care Products in the Environment Pharmaceuticals and personal care products were first called "PPCPs" only a few years ago, but these bioactive chemicals (substances that have an effect on living tissue) have been around for decades. Their effect on the environment is now recognized as an important area of research.

Types of PPCPs

Prescription and over-the counter therapeutic drugs

Veterinary drugs

Fragrances and Musks

Cosmetics

Sun-screen products

Diagnostic agents

Nutraceuticals (e.g., vitamins)

Sources of PPCPs

Human activity

Residues from pharmaceutical manufacturing (well defined and controlled)

Residues from hospitals

Illicit drugs

Veterinary drug use, especially antibiotics and steroids

Agribusiness

Quantities of PPCPs Used or Introduced to the Environment

PPCPs are produced and used in large quantities.

Personal care products tend to be made in extremely large quantities - thousands of tons per year.

PPCPs are generally measured in water, sediment and fish and shellfish, in low levels, from parts per trillion to parts per billion, depending on the substance, its environmental persistence, bioaccumulative properties, source and loading rate to the environment, and environmental conditions.

PPCPs manufactured in large quantities may not be found in the environment if they are easily broken down and processed by the human body or degrade quickly.

PPCPs may be found if they are not easily broken down and are released in effluents from manufacturing plants, unused products entering trash and sewers, and released to environment in human and animal wastes and sewage following excretion from the body of persons and animals.

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PPCPs - Drugs and Chemical Classes of Concern

antibiotics ─ antibiotic resistance of pathogenic and non-pathogenic bacteria; transfer of genetic material encoding for antibiotic resistance; development of multiple drug resistance in bacteria (e.g., MRSA, Tuberculosis, beta hemolytic streptococcus, pseudomonas, Clostridium difficile) antimicrobials─ selection pressure for more resistant and persistent microorganisms; selective pressure for increased virulence strains estrogenic steroids – potential for endocrine disruption antidepressants ─ profound effects on spawning and other behaviors in shellfish can occur with antidepressant selective serotonin reuptake inhibitors (SSRIs). calcium-channel blockers ─dramatic inhibition of sperm activity in certain aquatic organisms can be effected by calcium- channel blockers. antiepileptic drugs (e.g., phenytoin, valproate, carbamazepine) ─ potential as neuroteratogens, triggering extensive apoptosis in the developing brain, leading to neurodegeneration. multi-drug transporters (efflux pumps) ─ Possible significance of efflux pump inhibitors (EPIs) in compromising aquatic health. musk fragrances ─ bioaccumulative and persistent; used in detergents, perfumes, deodorants, air fresheners; food flavourings; parent and metabolites found in fish and shellfish genotoxic drugs (primarily used at hospitals)

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Types of Environmental Contaminants

III. Physical Contaminants

Physical contaminants, sometimes called foreign matter, include the following.

Particulates, Sediments and Solids, including Precipitation of Air Pollutants

Coarse particulates = Total Suspended Particulate (TSP) are coarse particles of sizes > 10 micrometers. Fine Particulates = Particulate Matter (PM) of PM10 to PM2.5, are fine particles of sizes less than 10 micrometers. Ultrafine Particulates = particles less than 2.5 micrometers. Wet and dry precipitation and deposition of particulates and aerosol pollutants in air, over surface waters, and on land, especially to coastal and riparian areas along shorelines.

Precipitation and deposition (washout and fallout) of wet aerosols and dry particles, especially acid gases containing sulphates nitrates contribute to acid rain and acidification of surface waters and soils, by increasing the hydrogen ion concentration and the overall acidity (lowering the pH).

This process of acidification of freshwater lakes, rivers and oceans, and soils may occur over a period of only a few years or may be more gradual occurring over decades depending in the extent of natural buffering capacity of the water body and soils to neutralize the added acid and maintain a pH close to 7.0 and not less than a pH of 6.0.

Surface waters, including oceans with a low concentrations of calcium and magnesium carbonates (limestone and sedimentary shale bedrock) are susceptible to acidification. For example, the well documented acidification of the vast number of freshwater lakes of the Canadian shield and the surrounding sandy mineral soils by air pollution from cumulative acidic emissions to air and wastewaters from metal smelting and refining operations in northern Ontario and Manitoba, as well as pollution from coal fired power generation.

See IWRM for discussion of the acidification process and primary and secondary physical-chemical and biological impacts of acidification on ecosystem integrity, nutrient cycling and solubilization of toxic metals.

Dumping of wastes

Temperature

Heat from thermal pollution and freezing and severe cold

Radiation and Radioactive Materials

Ionising radiation - x-rays, gamma rays produce cumulative effects from mutations and the production of long live reactive products that are toxic, as well as short-live unstable reaction products

Non-ionising radiation: electric and magnetic energy fields, high frequency and extremely low frequency (EMF, ELFs); ultraviolet radiation (UV)

examples of radioactive materials: cesium and plutonium used in nuclear reactions; radioactive elements that may be incorporated into nucleic acids as 32P and tritiuim 3H.

Light, Noise and vibration, currents and turbulence, including ultrasonic and sonic waves -

Physical stressors may impact aquatic ecosystems, influence environmental fate processes by chemical transformations and the release and redistribute contaminants in sediments and water, and cause physical disruption and degradation of water bodies and ecosystems, and may have negative impacts on the quality of source water for drinking water.

Reference:

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World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Microbiological Quality of Drinking Water

"Diseases related to contamination of drinking-water constitute a major burden on human health. Interventions to improve the quality of drinking-water provide significant benefits to health." (WHO, 2011)

"The potential health consequences of microbial contamination are such that its control must always be of paramount importance and must never be compromised." (WHO, 2011)

Microbial contaminants in drinking water supplies continue to be the primary concern in both developing and developed countries. Among the greatest public health risks is the spread of infectious disease via the consumption of drinking water contaminated with faeces and other excreta from humans and animals (including birds), and via other significant exposure routes. Water contaminated by human and animal faeces commonly contains pathogenic bacteria and viruses, and parasitic protozoa and worms (helminthes).

Pathogen

A pathogen is defined as an organism able to inflict damage on the host it infects. A parasite is an organism able to live on (eat) and cause damage to another organism, called the host. The ability to inflict damage on the host depends on the pathogenicity (or virulence) of the parasite and on the resistance or susceptibility of the host, which both are influenced by several modifying factors. A pathogen must be able to infect and cause injury to the host that may manifest in the development of a diseased state in the host. An infection is when an organism has colonized and is growing on and in the host whether or not there is harm to the host; an infection does not always lead to injury and is different than disease. Not all microorganisms are pathogens nor are all bacteria, viruses and parasites pathogenic.

The word pathogen is derived from the Greek word pathos, for suffering, and gen, which means producer. Pathogens were originally defined based on the germ theory of disease; only a small number of microorganisms cause diseases.

Pathogens normally follow an infectious disease cycle. The pathogens may exit the host in fecal matter or from a dead host body, and the cycle can start again. The infection cycle involves the relationship between the infectious agent, the susceptible hosts and the environmental conditions present, such as contaminated water being consumed by the hosts.

The interactions between the pathogen, the susceptible host(s) (human, other animals, plants) and the exposure and environmental conditions (e.g., local climate, untreated sewage and water, undernourished hosts, immune stressed hosts, more than one illness, no medical treatments) determine the outcome of an infection and progress to development of disease in the host caused by the pathogen.

Opportunistic pathogens are infectious microorganisms generally present as part of the natural microflora under normal situations but do not cause damage and injury to the host, except when the host’s resistance is low, such as in a compromised immune system during chemotherapy. An example would be Pseudomonas aeruginosa that can cause ear and eye infections, infections in burn patients and can colonize catheters. P. aeruginosa is commonly found in non-treated water and soil.

The occurrence of waterborne pathogens in drinking water supplies is currently a serious problem in both developed and developing countries. Most waterborne pathogens typically cause intestinal diseases, exiting the host in the fecal material. When faecal material from infected hosts are released directly into surface waters or applied on to land, and indirectly to surface waters via run off and infiltration of the groundwater, waterborne pathogens can be enter the recipient host by ingestion of and contact with contaminated water.

The survival of pathogens in water varies widely, and is highly dependent on the microbial species and form and environmental factors such as temperature, salinity and pH.

Bacteria comprise the largest group of waterborne pathogens. Normally a minimal effective dose of several hundred to several thousand bacterial cells is required to cause a bacterial infection.

Example of a Waterborne Pathogen

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An excellent example of a waterborne pathogen is Vibrio cholera. This bacteria requires a susceptible host. If Vibrio cholera is present in water that is consumed by a susceptible host, such as a human, it may cause infection and disease. Immunization against cholera can reduce the ability of this bacterium to cause disease. The host may present a weak, average or strong immune response. Cholera is a serious highly contagious disease that causes loss of electrolytes and dehydration, and can result in death of the host.

Coliform Bacteria versus Faecal Coliforms

Faecal Coliform Bacteria Coliforms

Fecal coliforms are those coliforms of exclusive fecal origin able to grow and ferment lactose 44°C and produce indole from a Coliform bacteria (coliform group) are Gram-negative, nonsporing, facultative rod-shaped bacteria that tryptophan . ferment lactose with gas formation within 48 hours at 35°C incubation. These bacteria are facultative (i.e., faecal anaerobes and include genera such as, Escherichia, Klebsiella, Enterobacter, Hafnia, Serratia, coliforms Yersinia, Enterobacter and Citrobacter. express the In more recent years, coliform bacteria have been defined as those members of the tryptophanase Enterobacteriaceae that have the gene coding for beta- galactosidase, the enzyme that cleaves enzyme. lactose into galactose and glucose. Fecal coliform bacteria are principally E. coli. However, some non- fecal coliforms can also grow at 44.5°C.

aTryptophan is an amino acid that can undergo deamination and hydrolysis in the presence of water by bacteria that express the tryptophanase enzyme (e.g., tryptophan + water = indole + pyruvic acid + ammonia)

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Reference:

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

A PDF copy of the WHO, 2011. Guidelines for Drinking Water Quality, 4th Edition, World Health Organization, Geneva is provided in the resources folder for the Course

OECD (Organisation for Economic Cooperation and Development). 2003. Assessing Microbial Safety of Drinking Water: Improving Approaches and Methods. IWA Publishing, London, UK, pp. 1-279.

Waterborne Pathogens. 2006. AWWA Manual M 48. American Water Works Association, Denver, USA.

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Analysis of Microbiological Quality of Water

Good laboratory practices are essential when conducting microbiological procedures. This often means aseptic procedures using previously cleaned and sterilized sample containers, forceps, membrane filters in the correct incubation temperatures for microbial growth. For example, total coliforms plates are incubated at 35°C while fecal coliforms are incubated at 44.5°C.

The most common indicator of potential pathogen contamination in water is the coliform test, where no coliforms are allowed in a 100 mL potable water sample.

A commonly used method is the membrane filtration (MF) procedure which is described below.

Membrane Filtration (MF) Test

The microbiological quality of drinking water is based on the testing of water samples for faecal contamination, as indicated by the presence of common faecal indicator organisms.

The Membrane Filtration (MF) test for assessing total bacterial coliforms counts and fecal coliforms counts is a standard method used by public health laboratories. Coliforms are counted as the number of colony forming units (CFUs) per volume of water filtered.

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Overview of Method for MF Test

1. Water samples are collected and diluted if necessary. Generally, sterile glass or plastic bottles are used which will contain at least 125 mL of water so 100 ml can be filtered.

2. Sterile 0.45 micron membrane is aseptically placed in the funnel assembly.

3. The sample is poured into the funnel and a vacuum is applied to draw the water sample completely through the filter.

4. The funnel is rinsed with sterile buffered water, again using the vacuum to draw the water through the filter.

5. The funnel is removed in the membrane filter placed on the prepared Petri plate.

6. Plates are incubated at 35°C for total coliforms and 44.5°C for fecal coliforms. The colonies are counted and recorded as the number of colony forming units (CFU) per 100 mL water sample. Potable water should contain no CFU per 100 mL.

The presence of E. coli CFU indicates recent fecal contamination and is taken as an indicator of the presence of pathogens.

Reference: The World Health Organization (WHO) Drinking Water Guidelines

WHO, 2011. Guidelines for Drinking Water Quality, 4th Edition, World Health Organization, Geneva. (http://www.who.int/water_sanitation_health/publications/2011/dwq_guidelines/en/index.html)

A PDF of the WHO 2011 4th edition of drinking Water guidelines is provided in the Resources Folder.

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Microbial Indicators of Water Quality - Monitoring & Surveillance

The measurement/assessment of water quality has as the goal to provide a safe, reliable and aesthetically pleasing water supply to the public. This is achieved by having no microbial outbreaks/illnesses traced to the water as well as no chemical and physical contamination. This will require monitoring of the source water on a periodic basis and historical record keeping. Testing of water samples usually involves the following indicator bacterium (IB) analysis.

This section examines the rationale for detecting/enumerating pathogens in water, the characteristics of an ideal fecal indicator bacterium (IB) such as Escherichia coli in water samples, limitations of using a coliform indicator bacterium (IB) in water samples and a list of suggestions for consideration in shaping future microbial risk assessments in water. The use of E. coli as an indicator microorganism has worked in a robust manner for many decades and will continue to be used in the future. However, a transition to more molecular-based methods such as the Polymerase Chain Reaction (PCR) and DNA microarrays should be studied as they have the capability to detect the actual pathogens, whether they are culturable or viable but non-culturable (VBNC, bacterial cells in a physiological starvation survival state resulting from an insufficient supply of nutrients and/or some stress is present that prevents normal activities for growth and cell division. However, not all cells die. Some cells survive and are commonly designated viable but non-culturable cells (VBNC), because they cannot be grown/recovered on laboratory media. Metabolic processes are reduced to baseline levels as the diminishing nutrient levels are consumed (Trevors, 2011). Both methods have the capacity to detect antibiotic resistant and toxin producing pathogenic species. Moreover, with global climate change, there is the possibility that emergent pathogens will be found in warming waters where they were once not a public health problem. The use of molecular methods will likely eventually complement or even replace existing methods at some point in the future as increasing demands are placed on potable water from increases in human population numbers and more rapid and sensitive methods will be required.

The main factors used in estimating the risk of a waterborne illness are:

1. The concentration of the pathogen in the water.

2. The human infectious dose of the pathogen.

3. The virulence of the pathogen and the immune status of the host to protect the most sensitive individuals.

4. The estimation of exposure from daily intake of drinking water.

Ideal Fecal Indicator Bacterium (IB): Escherichia coli

The ideal fecal indicator bacterium (IB) should have the following characteristics.

1. Suitable for all types of water samples.

2. IB should be present whenever pathogens are present.

3. IB should be present in numbers equal to or greater than pathogens.

4. The IB should be a member of the intestinal microorganisms of warm-blooded animals.

5. IB should have similar survival characteristics as pathogens.

6. IB should be unable to grow and divide in the water.

7. Non-pathogenic.

8. Can be detected in low numbers.

9. Rapid detection/enumeration and easy to perform.

10. The density of the IB should be related to the extent of the pollution.

11. Affordable cost to detect/quantify.

Limitations in the use of a Coliform Indicator Bacterium (IB):

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1. Possible regrowth of the IB in aquatic environments.

2. Regrowth in water distribution systems.

3. Suppression by high numbers of indigenous microorganisms making detection/enumeration difficult.

4. IB may not be indicative of a health hazard.

5. There is no relationship to the numbers of protozoans and viruses and ovum parasites present or not present.

6. E. coli is more resistant to free chlorine when in biofilm as compared to the planktonic state.

Challenges in the Use of An Indicator Bacterium for Faecal Contamination of Water

There are several challenges with the environmental sampling of water and use of an indicator bacterium for fecal pollution.

These challenges include:

1. Variations in microbial species and distributions in nature.

2. Low microbial numbers are difficult to detect.

3. Microbes that are associated with biofilms and particles.

4. Environmental factors that may prevent correct sampling.

Pollution sources for enteric microorganisms in water include the following

Human wastes and municipal wastewaters

Industrial water discharges

Agricultural effluents and run-off

Storm water and urban run-off

Avian sources

Mammals

Recreational and surface waters

Recirculation of sediments

Subsurface sources such as decomposing animals

Deliberate pollution with fecal waste

Reference:

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

A PDF copy of the WHO, 2011. Guidelines for Drinking Water Quality, 4th Edition, World Health Organization, Geneva is provided in the resources folder for the Course

OECD (Organisation for Economic Cooperation and Development). 2003. Assessing Microbial Safety of Drinking Water: Improving Approaches and Methods. IWA Publishing, London, UK, pp. 1-279.

Waterborne Pathogens. 2006. AWWA Manual M 48. American Water Works Association, Denver, USA.

WHO. 2000 Monitoring Bathing Waters. A Practical Guide to the Design and Implementation of Assessments and Monitoring Programmes ISBN Hardback 0-419-24370-4: f62.50 ISBN Paperbacks 0-419-24380-l: X24.99 file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M020D010Challenges%20Faecal%20Indicator.htm[11/1/2014 10:22:35 AM] WLC Template

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International Drinking Water Standards

There are no international mandatory drinking water standards for microorganisms.

International Drinking Water Guidelines

The World Health Organization (WHO) provides recommended Guidelines for Drinking-water Quality that numerous countries use to establish their national standards. WHO Guidelines are a science-based assessment of the risks to human health from biological agents in drinking water.

Underlying Assumptions for the Derivation of DW Guidelines for the Microbiological Quality of Drinking Water

A qualitative assessment of the microbiological quality of water has been used to evaluate water safety for drinking and potable use or NOT, on the basis of indicators of faecal contamination of the water supply (pre- and post- disinfection treatment).Water is typically designated as either,

unsafe, designated for nonpotable use only; or

safe for potable use, including drinking.

A minute exposure to pathogenic bacteria and other pathogenic microorganisms may be sufficient to cause transmission of infectious disease and outbreaks depending on the transmission routes, resistance and susceptibility of the organism to inactivation, the pathogenicity and virulence of the waterborne pathogen, and the resistance and susceptibility of the host.

unlike the potential health hazard for harmful effects proportional to the cumulative exposure to chemical contaminants within a specified exposure period, the potential health hazard of waterborne infectious disease agents also must take into account the possible transmission of disease from person to person contact, including the complexities of the incubation period of infection allowing for microbial growth and subsequent transmission and dissemination of disease, as well as possible spread by contamination of food and fomites. Consequently, waterborne infectious disease is not directly dependent on the quantitative cumulative exposure to microbial contaminants in drinking water within a specified exposure period in the same manner as toxicity to quantitative exposures to chemical contaminants in drinking water.

There is no identifiable tolerable lower limit for pathogens, since they are living organisms that can multiply in the host (and some produce toxins). Certain pathogenic bacteria are able to multiply in food and beverages, and as a result can increase the chances of infection. Pathogens simply increase by cell division or in the case of viruses by using host cells to propagate themselves in. Drinking water, water used for food preparation and for personal hygiene should contain no pathogens for humans.

Comparison of WHO Approach Used for the Development of Drinking Water Guidelines for Chemical Contaminants versus Microbiological Contaminants

A daily water intake value of 2 l per person is often used in the derivation of drinking water guidelines, and in the assessment of exposures to contaminants in drinking water.

The WHO (2004) used a value of 2 liters for chemical risk assessment but only 1 liter per day per person for microbiological risk assessment.

Clarification of the rationale as to why the microbiological and chemical values are different from a WHO (2004) perspective should be reviewed.

Alternative estimates of drinking water intakes that have been reported in the literature reviewed for use in the derivation of microbiological drinking water guidelines are: an estimate of 1.5 l per day per person, a median water intake of 0.96 l per day was estimated in a US study, and in The Netherlands only 0.25 l was reported (reported in Teunis et al., 1997).

When the number of pathogens in a sample of drinking water is known, an estimate of the potential infective dose that an individual (incident cases) is exposed through ingestion of drinking water can be calculated based in the daily intake of water (Tunis et al., 1997), if the pathogen is known then an estimate of the incubation period should be incorporated to estimate the rate of disease transmission and spread also taking into account the number of secondary contacts......

Drinking water guidelines and their application should err on the side of caution.

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A volume of 2 l per day per person is often used in estimating drinking water exposure (OECD, 2003). It appears the 2 l value is internationally accepted.

Body weight does not appear to play a central role in the risk assessment in the literature examined. The important factor was the daily consumption/allocation, recognizing this value has uncertainties based on many factors as discussed in this report.

Question: Are there special considerations for the development of drinking water guidelines for children and maternal health that the public, stakeholders should be aware of for policy-making and decision-making? The implications and consideration for maternal and child health are addressed in greater detail further on in the sections dealing with exposure, toxicity and risk assessment.

Reference:

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Emerging and Known Waterborne Pathogens

Emerging and known waterborne pathogens of concern include (Mara and Horan 2003) the following. Emerging diseases are defined as those incidences in humans that increased in the past two decades or threatens to increase in the near future (NIM, 1998).

Bacteria

1. Escherichia coli 0157:H7 2. Helicobacter pylori 3. Mycobacterium avium complex 4. Vibrio cholerae 5. Camplyobacter jejuni 6. Salmonella typhi 7. Yersinia enterocolitica 8. Pseudomonas aeruginosa 9. Shigella spp.

Parasites

1. Cryptosporidium parvum (Carey et. al. 2004, 2005) 2. Cyclospora 3. Microsporidia 4. Toxicoplasma 5. Giardia 6. Entamoeba histolytica

Enteric viruses

1. Coxsackie virus 2. Hepatitis viruses 3. Norwalk-like viruses 4. Rotavirus 5. Enteroviruses

References:

Hoskisson, P.A. and J. T. Trevors. 2010. Shifting trends in pathogens on a changing planet. Antonie van Leeuwenhoek Journal of Microbiology. 98(4):423-427.

Hunter, P.R., MacDonald, A.M., and Carter, R.C. 2010. Water Supply and Health. PLOS Medicine. 7 (11): 1-9 e1000361 www.plosmedicine.org

Mara, D. and N. Horan (Eds.) 2003. Handbook of Water and Wastewater Microbiology. Academic Press, NY.

Pan American Health Organization (PAHO). December 2011 Health Indicators: Building Blocks for Health Situation Analysis. Epidemiological Bulletin 22 (4):1-16

Pruss, A. Kay, D., Fewtrell, L., and Batram, J. 2002. Estimating the Burden of Disease from Water, Sanitatin, and Hygiene at a Global Level. Environmental Health Perspectives 110 (5):537-542

Waterborne Pathogens. 2006. AWWA Manual M 48. American Water Works Association, Denver, USA.

World Health Organisation (WHO). 2004. Using climate to predict infectious disease outbreaks: a review. Communicable Disease Surveillance and Response Protection of the Human Environent Roll Back Malaria Geneva. 2004.

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World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO. 2004. Expert Consensus Expert Meeting Group in the World Health Organization (WHO). Waterborne Zoonoses: Identification, Causes and Control. Edited by J.A. Cotruvo, A. Dufour, G. Rees, J. Bartram, R. Carr, D.O. Cliver, G.F. Craun, R. Fayer, and V.P.J. Gannon. Published by IWA Publishing, London, UK. ISBN: 1 84339 058 2.

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Monitoring and Surveillance of Water Quality

Monitoring and surveillance of water quality depends on many environmental and public health factors. However it must be remembered that the final water quality is for the protection of public health. For source water for human consumption monitoring and surveillance will depend on numerous interacting factors such as (AWWA, 2006).

- the land management practices in the watershed

- this season that may affect the source water

- any extreme weather events such as flooding erosion or spring run off

- any deliberate or accidental spills of biological chemical or physical contaminants into the watershed

- a known high pathogen density in the watershed

- elevated indicator bacterium(IB) counts

- any sudden outbreak of illness or sickness in the human population

- complaints from the users of the water supply

- a known threat to the water supply

- eutrophication, agrochemical run off and algal blooms

- industries not meeting discharge requirements and/or treating waste discharges

- a high density of migratory birds, wild and/or domestic animals present in the watershed

- droughts, elevated temperatures and lack of normal purchase precipitation in the watershed

- the age and quality of the water distribution system in the source water

Water sources such as surface and groundwater can be polluted locally, regionally, nationally and transborders. Sources of pollution generally enter water bodies from municipal and industrial discharges, agriculture, wild animals, runoff, erosion, accidental and deliberate spills, and airborne pollutant deposition (e.g. acid rain, isotopes). These events dictate the management of vast water resources. This can be accomplished by reducing pollution at all sources (pollution prevention), implementing management plans for toxic wastes and other harmful substances via remediation, proper storage, transportation and disposal in developing and using water quality monitoring. These approaches require an investment in the correct infrastructure, education and training of the personnel who will manage these facilities, developing regulations investing in water research and collaborations with partners who can assist with the successful outcome of such projects.

Pollution of water is not always visible to the naked eye. Most pathogenic organisms are microscopic and require the correct methodology to detect and enumerate them in water. Failure to do so makes the water not suitable for drinking, recreation, agriculture, industry and deprives people of their economic livelihood as well as their lives. In recent years the contamination of water for pharmaceutical products is also a come a concern. The decline in water quality at the local, regional, national and transnational global issue is human populations increase beyond 7 billion people and climate change is causing major alterations to the hydrologic cycle. On a global level, one of the most prevalent problems is eutrophication of surface waters due to high nutrient loads such as phosphorus and nitrogen. Eutrophication combined with an increasing temperature translates into a serious water challenge in many global locations. Water shortages due to the unequal distribution of water on the planet are expected to be more challenging as climate change alters not only the hydrologic cycle but the other biogeochemical cycles.

References:

AWWA 2006. Waterborne Pathogens. Manual M 48. American Water Works Association, Denver, USA.

World Health Organisation (WHO). 2004. Using climate to predict infectious disease outbreaks: a review. Communicable Disease Surveillance and Response Protection of the Human Environent Roll Back Malaria Geneva. 2004.

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water -

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standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO 2000. Monitoring Bathing Waters - A Practical Guide to the Design and Implementation of Assessments and Monitoring Programmes, Edited by Bartram, J. and Rees, G. World Health Organisation. Geneva.

WHO. 2000. Monitoring Bathing Waters - A Practical Guide to the Design and Implementation of Assessments and Monitoring Programmes - Chapter 8*: SANITARY INSPECTION AND MICROBIOLOGICAL WATER QUALITY Edited by Jamie Bartram and Gareth Rees © 2000 WHO. ISBN 0-419-24390-1

WHO. 2000. Monitoring Bathing Waters - A Practical Guide to the Design and Implementation of Assessments and Monitoring Programmes - Chapter 9*: APPROACHES TO MICROBIOLOGICAL MONITORING Edited by Jamie Bartram and Gareth Rees © 2000 WHO. ISBN 0-419-24390-1

WHO. 2000. Monitoring Bathing Waters - A Practical Guide to the Design and Implementation of Assessments and Monitoring Programmes - Chapter 12*: AESTHETIC ASPECTS Edited by Jamie Bartram and Gareth Rees © 2000 WHO. ISBN 0-419-24390- 1

WHO. 2000. Monitoring Bathing Waters - A Practical Guide to the Design and Implementation of Assessments and Monitoring Programmes - Chapter 13*: EPIDEMIOLOGY Edited by Jamie Bartram and Gareth Rees © 2000 WHO. ISBN 0-419-24390-1

Pollution Release and Transfer Registers (PRTRs)

Regional and national pollutant release and transfer registers (PRTRs), consisting of pollutant releases inventories and environmental pollution reporting and monitoring networks, voluntary and legislated, are foundational to risk management of chemicals and pollution prevention planning and awareness of chemical safety and environmental pollution. About 30 countries around the world already report emissions and transfers of chemicals to air, water and soil through their PRTRs and about 14 countries are in the process of designing their own PRTR system www.prtr.net

The Organization for Economic Cooperation and Development (OECD) www.oecd.org/chemicalsafety/pollutant-release-transfer- register produces documents describing the experiences of countries that have already developed PRTRs; current and emerging uses of PRTR data; how PRTRs differ; and the identification, selection, and adaptation of release estimation techniques that industry can use in the calculation of pollutant releases and transfers. The OECD work on PRTRs is overseen by an OECD Task Force on PRTRs.

PRTR systems are key resources for identifying pollution prevention priorities, supporting the assessment and risk management of chemicals and environmental modelling activities, and the development of pollution reduction strategies (policy, regulations, communications), and improving technological methods, research and understanding among industry, government and the public.

PRTRs are integral to the public's "right to know" and environmental policy making.

Examples of Pollutant Release and Transfer Registers (PRTRs) are:

The U.S. Toxics Release Inventory (TRI) established in 1986 www2.epa.gov/toxics-release-inventory-tri-program

Canada's National Pollutant Release Inventory www.ec.gc.ca/inrp-npri

A listing and links to information on PRTRs established in countries around the world is available at www.prtr.net

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Monitoring & Surveillance Microbial source tracking (MST)

Microbial source tracking allows the source of the pollution such as agriculture, human fecal pollution, wildlife, domestic animals to be determined. The method uses DNA sequences repeated throughout the genome of the bacterial cells. The polymerase chain reaction (PCR) is used to amplify these repetitive elements which are unique to the organisms being studied or tracked. Therefore, when the unique sequence as found in the bacteria in water samples, it can be compared to the sequences from the hypothesize sources. In this way the microorganisms in the water samples can be tracked back to their original source.

Lake Huron (Ontario, Canada) case study in microbial source tracking (MST)

Discussion text

Microbial pollution of recreational water is a serious environmental problem/challenge that is of considerable public health concern (Kon et. al., 2007, 2009). Human and other activities (industry, agriculture, households) occurring on or adjacent to a beach can be responsible for lake water pollution. Identifying all sources of this pollution is necessary for assessing public health risks and implementing management plans in a region that is susceptible to such risks. Microbial source tracking (MST) studies have been developed to address these issues. Traditionally the studies have assumed a direct link between the presence of Escherichia coli in recreational waters and the originating source(s). High bacterial counts in surface waters along shorelines may be a result of bacterial survival in beach sand (EAS, environmentally adapted strains) which can contribute to indicator bacterial counts in the absence of fecal inputs.

The objective of the research by Kon et al., (2007, 2009) was to determine the sources of lake water pollution at a beach in southeastern Lake Huron, Canada. The method used was a library-based microbial source tracking method known as REP- PCR (Repetitive Extragenic Palindromic Sequence Polymerase Chain Reaction). The sources of pollution were determined by comparing DNA profiles of E. coli isolates from contaminated waters with profiles of E. coli isolated from known suspected sources collected from the same area (Kon et. al., 2007, 2009). A database of known isolates (library) was first established. The limitations of this method are its dependency on the library and geographical variability from one watershed to another. To address this issue a REP-PCR library based on E. coli isolates obtained locally from various agricultural, human, wildlife and environmental sources within the same watershed to determine the sources of recreational water pollution at the adjacent shores of Lake Huron. Along with the human, agricultural and wildlife source units, an environmental source library was generated that included E. coli isolates from the interstitial water of the study beach.

Table 6. The results of the watershed study are as follows (see Kon et. al., 2007)

1432 E. coli isolates were used in the MST library

Library contained 301 DNA fingerprints from E. coli isolated from seagull, goose, deer, duck and raccoon fecal matter

105 colonies of E. coli from septic tanks from the watershed were isolated and their DNA fingerprints were used to build the human source library.

845 E. coli isolates from water samples collected at the shoreline and in the near shore lake were analyzed for their sources

The dominant source of E. coli in lake water samples was agriculture ranging from 59% to 62%.

EAS (environmentally adapted strains) of E. coli ranged from 16% to 18%

Sources of E. coli from wildlife varied from 5 to 14%.

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Sources of E. coli from humans ranged from 2-3%

References

Kon, T., S. Weir, T. Howell, J. T. Trevors, H. Lee, J. Champagne, R. Brousseau and L. Masson. 2007. Microarry analysis of culturable Escherichia coli strains from interstitial beach water of Lake Huron, Canada. Appl. Environ. Microbiol. 73:7757-7758.

Kon, T, S. C. Weir, E. T. Howell, H. Lee and J. T. Trevors. 2009. Rep-PCR analysis of Escherichia coli isolates from recreational waters of South Eastern Lake Huron (Canada). Can. J. Microbiol. 55:269-276.

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Cholera as an example of a waterborne disease

Vibrio cholera cells

Vibrio cholera is a Gram-negative rod shaped bacterium that is slightly curved. This bacterium is alkaline tolerant at a pH up to about 9.6. This provides a means to select for colonies of this organism by adjusting the pH to this higher value. An alkaline peptide agar will support of this bacterium in about 24 hours (AWWA M35, 2006).

V. cholera infections can be asymptomatic to the other extreme with watery diarrhea and vomiting. This leads to severe hydration and death of a host within one to five days (AWWA M35, 2006). With extreme dehydration, death can occur between 2 and 24 hours.

The rapid loss of fluid and electrolyte imbalance requires rehydration therapy (AWWA M35, 2006).

V. cholera can persist in the environment for extended periods of time. The cholera bacterium can be found in water, sediments, coastal marshes, contaminated food, shellfish and feces of infected humans and other animals. Contaminated food is the primary mode of transmission. For example, water contaminated with V. cholera and used to wash food can be the starting point of an outbreak. Another source of contamination is a consumption contaminated shellfish and undercooked seafood, such as oysters. In addition, drinking water can be a vector for cholera especially when it is not treated (AWWA M35, 2006). Cholera outbreaks may range from several to tens of thousands of deaths depending on the location and the public health measures sued to control the outbreak (AWWA M35, 2006).

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Contaminated human fecal matter is an excellent reservoir for V. cholera. Cholera outbreaks often occur where there is minimal to no sewage treatment, source drinking water is not treated, and there are high human population densities often in warm climates and water treatment infrastructure lacking. Chlorine disinfection of water is effective for the inactivation of V. cholera

References

AWWA 2006. Waterborne Pathogens. Manual M 48. American Water Works Association, Denver, USA.

Sack, D.A., Sack, R.B., Nair, G.B., and Siddique, A.K. 2004. Cholera. The Lancet. 363: 223-33.

Additional Reading on Cholera:

Goldstein, B. 2011. John Snow, the Broad Street pump and the precautionary principle. Environmental Development 1: 3-9

WHO. 2004. Cholera FAQ

WHO 2004. CHOLERA OUTBREAK ASSESSING THE OUTBREAK RESPONSE AND IMPROVING PREPAREDNESS. GLOBAL TASK FORCE ON CHOLERA CONTROL. World Health Organization, Geneva

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Enterohemorrhagic (EHEC) Escherichia coli (O157:H7 and others) in water

Escherichia coli cells viewed microscopically.

Escherichia coli includes commensal strains to pathogenic strains in human and/or other animal hosts (van Elsas et. al,. 2010). Based on genomics, the species has been divided into five phylogenetic groups, denoted A, B1, B2, C, D and E. These subgroups are saprophytic (A), and pathogenic (in particular B2, D) types. Although the biology of Escherichia coli have been studied, there is still a lack of detailed knowledge on how the bacterium survives, reproduces and exchanges genetic information, in habitats such as fecal matter, water and soil. The versatile activities exhibited by Escherichia coli in these habitats is reflected by the immense diversity within the species. The various commensal and pathogenic forms of Escherichia coli have genomes that may differ by up to 20% (Ochman and Jones, 2000). The phenotypes of the different E. coli forms are related to such genomic differences and the resulting patterns of gene expression (combined transcription and translation).

The commensal form of Escherichia coli regarded as a harmless, non-pathogenic bacterium colonizes the intestinal system of mammals and assists its host in the breakdown of carbon compounds. This E. coli is the indicator bacterium (IB) used in the potable water analysis. However, the pathogenic forms of E. coli, such as the verotoxigenic, enterohemorrhagic (EHEC, a subclass of the VTEC class), enteroinvasive (EIEC) and uropathogenic (UPEC) classes, all have the capacity to be harmful pathogens to their hosts. The well-known Escherichia coli O157:H7 is an example of a harmful VTEC, which has already caused mortality worldwide. VTEC strains are capable of producing verotoxins (genes denoted as stx) (Taylor, 2008 ) causing mild to bloody diarrhea, which eventually culminates in haemolytic uraemic syndrome (HUS). Over 150 serotypes of verotoxin-producing Escherichia colihave been described. The majority of outbreaks are related to serotype O157. Escherichia coli O157:H7 which is a serious health problem due to its resistance to low pH (~ 2.5), which allows passage through the stomach, its low infective dose (about 10 cells) and its high pathogenicity. Following tissue invasion, it can cause death (Ritchie et al., 2003). In addition, the stx genes can be transferred to non-pathogenic E. coli strains, allowing these to enhance their virulence .

Escherichia coli cells can survive and grow in open environments such as water. Under fluctuating conditions, such as those present in aquatic environments. Bacterial death may occur if the death rate exceeds the growth rate. Both growth and death rates are determined by the environmental conditions at the local scale and by how the microorganism is able to cope with these local conditions by regulating its gene expression patterns. Hence, the environmental conditions influence the expression of suites of genes geared towards optimal growth. Such global gene expression analysis can be further used to study whole cell physiology under diverse conditions, mimicking those deemed relevant for open environments. Escherichia coli 0157:H7 can survive over a range of water temperatures (over 90 days in river water; 300 days in bottled water)` is also acid tolerant and can grow under both aerobic and anaerobic conditions (AWWA M48, 2006).

The initial symptom of EHEC Escherichia coli include diarrhea, followed by abdominal cramps, headache lottery and then bloody

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diarrhea (AWWA M35, 2006). The incubation period ranges from 3-4 days while the illness can extend to 7 days or even longer. The bloody diarrhea (intestinal hemorrhaging) and cramping is caused by the enterococcus and damaging the intestinal lining and/or invading the cell wall ((AWWA M48, 2006). The disease can progress to kidney failure known as hemolytic uremic syndrome (HUS) where urine output ceases and fluid retention increases from toxin-damage to kidneys (AWWA M35, 2006).

EHEC Escherichia colii outbreaks are sometimes traced to the intestinal track cattle as the reservoir. Additional reservoirs include ground beef, unpasteurized milk, soil and water contaminated with fecal matter containing EHEC E. coli. Frequently contaminated drinking and recreational water recognized routes of transmission via the fecal-oral route.

EHEC bacteria can be removed from source drinking water by implementing residual chlorine level of at least 0.2 mg/L throughout the entire water distribution system/facility (AWWA M35, 2006). Concentrations as high as 2 mg/L have also been used. Prior to chlorine disinfection, other steps such as coagulation, sedimentation and sand filtration are often employed.

References:

AWWA 2006. Waterborne Pathogens. Manual M 48. American Water Works Association, Denver, USA.

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

Additional References on E. coli

Canada Communicable Disease Report 2000 Volume 26-20. Walkerton Outbreak of Acute Gastoenteritis Associated with a Contaminated Municipal Water Supply, Walkerton, Ontario, May-June 2000

Ochman H, Jones IB (2000). Evolutionary dynamics of full genome content in Escherichia coli. EMBO Journal. 19: 6637-6643.

Ritchie JM, Campbell GR, Shepherd J, Beaton Y, Jones D, Killham K et al (2003). A stable bioluminescent construct of Escherichia coli O157:H7 for hazard assessments of long-term survival in the environment. Appl. Environ. Microbiol. 69: 3359-3367.

Taylor CM (2008). Enterohaemorrhagic Escherichia coli and Shigella dysenteriae type 1-induced haemolytic uraemic syndrome. Pediatric Nephrology. 23: 1425-1431.

van Elsas, J. D., A. V. Semenov, R. Costa and J. T. Trevors. 2010. Survival of Escherichia coli in the environment-fundamental and public health aspects. ISME: Multidisciplinary Journal of Microbial Ecology (Nature Publishing Group). (2010). 1-11.

Hoskisson, P.A. and J. T. Trevors. 2010. Shifting trends in pathogens on a changing planet. Antonie van Leeuwenhoek Journal of Microbiology. 98(4):423-427.

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Enteric viruses

The reference for the following information is Health Canada (http://www.hc-sc.gc.ca/ewh-semt/pubs/water-eau/enteric- enterovirus/health_effects-effets_sante-eng.php) (Internet Access Required)

Discussion

Enteric viral infections cause gastroenteritis and/or diarrhea. Waterborne enteric virus outbreaks are a public health concerned on a global basis. For example, noroviruses cause illness in infants, children and adults. Conditions tend to be mild and typically last one to two days. The symptoms are nausea, diarrhea, vomiting, abdominal pain and fever. Noroviruses quickly spread between people that are present in a closed type of environment such as recreational camps, schools, and in more recent years, cruise ships where people are present in high numbers in a confined location.

Enteroviruses are often transmitted orally with incubation periods ranging from 2 to 35 days. Enteroviruses are endemic worldwide, however few waterborne outbreaks have been reported which is a positive thing from a public health perspective. They are a public health concern in developing countries because they are highly transmitted by person-to-person contact. The viruses persist through the acid stomach and enter the lower intestinal tract, with serious illnesses such as poliomyelitis and meningitis can be the outcome.

Hepatic viruses such as HAV (infectious hepatitis) and HEV (hepatitis E) are transmitted by the fecal-oral route and waterborne transmission. Hence, a serious public health concern. HAV infections cause liver damage and possible death of the host organism. The symptoms include fatigue, fever, anorexia, nausea and abdominal pain with jaundice (human skin, eyes and mucous membranes become yellow from bilirubin accumulation, a byproduct of old red blood cells) occurring with several days. In addition, the virus is excreted in the fecal matter of infected persons and is spread by the fecal-oral route. Therefore, the importance of proper sewage treatment and waste disposal as well as treatment of potable water. Once exposed to HAV the incubation period in humans can range from 10 to 50 days with an average of about 30 days.

The illness caused by the HEV is designated hepatitis E. The symptoms are identical to the HAV infection. However, the incubation period ranges from 2 to 9 weeks. The infections are generally mild, resolving in about two weeks in humans.

Human adenoviruses cause both respiratory and GI (gastrointestinal) illnesses in humans. These illnesses are mostly in young children where the incubation period 1 to 3 days, and the symptoms including vomiting and diarrhea. These viruses are transmitted by the fecal-oral route such as through contaminated recreational water. Again, this emphasizes the need to monitor recreational water for fecal contamination indicative of possible serious diseases.

Parvovirus infections cause flulike symptoms and sometimes a rash. There is limited knowledge on transmission through shellfish and recreational water.

Rotaviruses cause mild diarrhea for about one day. However, in severe cases the disease can be fatal. Symptoms include vomiting and diarrhea in young children, immunocompromised and the elderly being especially sensitive to group A rotavirus. Rotavirus outbreaks occur primarily in the winter in temperate climates, however in the tropics this illness can occur throughout the entire year.

Emerging viruses

Emerging viruses include Parvo, Corona, Polyoma, Picrobirna and Circo (AWWA M35, 2006). These viruses are excreted in the fecal matter of infected hosts and have the potential to be transmitted by water. It is likely that additional emerging viruses will be discovered with the use of molecular-based methods such as the polymerase chain reaction (PCR). Molecular based detection methods are a significant technological advance as these viruses are not living organisms and must be cultured in the correct cell culture to assess infection and reproduction.

The parvoviruses have a single stranded DNA genome and are extremely heat stable. These viruses can cause gastroenteritis, however, animal reservoirs for this virus are currently unknown. Their presence in fecal matter, sewage and water clearly suggest a fecal-oral transmission route (AWWA M35, 2006). In addition, a paucity of knowledge exits on viral persistence during water and sewage treatment and in untreated water.

Additonal Reference:

AWWA 2006. Waterborne Pathogens. Manual M 48. American Water Works Association, Denver, USA.

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Cyanobacteria (blue-green algae)

There are several cyanobacteria for example, Oscillatoria, Anabaena, Aphanizomenon and Phormidium that cause taste and odor problems in water, making it unfit for consumption. Harmful algal blooms (HAB) occur when there is an excessive accumulation of algae often in shallow, warm and slow moving water.

The main cyanobacteria compounds causing taste and odor episodes are geosmin (organic compound with an earthy aroma and flavor, C12H22O) MIB (2-methylisoborneol). For example, the filamentous cyanobacteria, Oscillatoria colonizes rocks and bottom sediments and reservoirs forming a mat- like structure. Oscillatoria chalybea also produces MIB.

Some cyanobacteria can produce toxins (e.g., microcystin, anatoxin, saxitoxin, beta- methylamino alanine and cylindrospermopin) that are also potent to animals and humans. For example, the cyanobacterium, Microcystis aeruginosa produces the toxin, microcystin (about 50 different microcystin toxins have been discovered). Microcystin LR (C49H74N10O12) causes onset of diarrhea, vomiting and weakness as the toxin causes necrosis (premature death in cells) and pooling of blood in the liver. The damage to the liver is rapid and irreversible with death often occurring.

When these blue-green algal cells die and decompose in water, the odorous compounds are released. In addition, the decomposing algal cells are excellent nutrient sources for the growth of other microorganisms such as bacteria, which in turn may have a negative effect on overall water quality.

By reducing eutrophication in lakes and reservoirs, the presence of cyanobacteria and harmful blooms can be better managed. This often involves the use of wastewater disposal systems and reducing inputs of fertilizer and animal wastes from agriculture, if present.

Reference

WHO. 2003. World Health Organization. Guidelines for safe recreational water environments. Volume 1, Coastal and fresh waters. 1.Bathing beaches—standards 2.Fresh water—microbiology 3.Water quality—analysis 4.Water pollution—analysis 5.Environmental monitoring—methods 6.Wound and injuries—prevention and control 7.Drowning 8.Risk management 9.Reference values

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

Additional Reference

Mara, D. and N. Horan (Eds.) 2003. Handbook of Water and Wastewater Microbiology. Academic Press, NY.

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Cryptosporidium: Waterborne Pathogen

Electron micrograph of C. parvum and C. parvum oocyst

The protist parasite Cryptosporidium is a major water-borne pathogen responsible for the gastrointestinal illness, cryptosporidiosis which is characterized by severe diarrhea, abdominal cramping and fever. In healthy individuals, the infection is acute but self- limiting up to 2 weeks. In immuno-compromised individuals, symptoms are severe and the illness may become chronic and life- threatening.

The parasite is transmitted by the faecal-to-oral route, usually by ingestion of oocyst-contaminated water or food. C. parvum and C. hominis are the two species of the genus that predominantly infect humans. The microscopic oocysts of both species are resistant to chlorine-based disinfection used at many water treatment facilities al. 1990), and can remain infective in the environment for prolonged periods (weeks to months).

The successful detection of Cryptosporidium parvum oocysts in water samples requires efficient filtration methods to recover the oocysts.

Method 1623 from the US Environmental Protection Agency.

1. Collect 10 to 1000 L water.

2. Filter water sample through Envirochek sampling capsule which retains oocysts and extraneous materials on the filter.

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***provide more information on the required pore size and filter-charge to be effective for the removal of cryptosporidium.***

3. The oocysts and particles are eluted via agitation.

4. Sample is concentrated by centrifugation.

5. Dynal IMS (immune magnetic separation) used to purify oocysts.

6. Oocysts detected by immunofluorescence assay.

7. Potential oocysts confirmed by their microscopic size and shape and vital staining with DAPI (4’-6-diamidino-2- phenylindole).

Other filtration methods, such as the use of polycarbonate membranes or polypropylene cartridge filters, have been described. The purpose of these methods is to recover oocysts from raw or finished water samples. Suitable filtration methods should not render oocysts non-infective through chemical or mechanical treatments so infective oocysts in samples can be determined.

The viability of C. parvum oocysts can be determined by vital dye staining, exposing oocysts to excystation solutions, and testing their infectivity by infecting mice. In recent years various cell culture methods have been developed whereby C. parvum oocysts or sporozoites are applied to cells grown in vitro as seen in the picture below. Each small structure (light green) is a foci of growth, which verifies the oocysts have excysted and are capable of infection in a suitable host.

Vital stained C. parvum oocysts

The physical removal of Cryptosporidium by filtration and other methods is further addressed in the course on technical solutions in this series of course on water and health.

References:

WHO. 2003. World Health Organization. Guidelines for safe recreational water environments. Volume 1, Coastal and fresh waters. 1.Bathing beaches—standards 2.Fresh water—microbiology 3.Water quality—analysis 4.Water pollution—analysis 5.Environmental monitoring—methods 6.Wound and injuries—prevention and control 7.Drowning 8.Risk management 9.Reference values

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

USEPA. 1999. Method 1623: Cryptosporidium and Giardia in water by filtration/IMS/FA. EPA-821-R-99-006. Office of Water, Washington, DC.

WHO. 2004. Expert Consensus Expert Meeting Group in the World Health Organization (WHO). Waterborne Zoonoses: Identification, Causes and Control. Edited by J.A. Cotruvo, A. Dufour, G. Rees, J. Bartram, R. Carr, D.O. Cliver, G.F. Craun, R. Fayer, and V.P.J. Gannon. Published by IWA Publishing, London, UK. ISBN: 1 84339 058 2.

Additional References

Carey, C. M., H. Lee and J. T. Trevors. 2004. Biology, persistence and detection of Cryptosporidium parvum and Cryptosporidium hominis oocyst isolates. Water Res.38/4: 818-862.

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Carey, C., N. Pokorny, J. Boulter-Bitzer, H. Lee and J. T. Trevors. 2005. Molecular-based detection of Cryptosporidium parvum. Encyclopedia of Water, John Wiley.

National Institutes of Medicine. 1998. Recommendations for changes in the organization of federal food safety responsibilities. 1949-1997. National Academy Press, Washington, D.C., USA.

Herold S, Karch H, Schmidt H (2004). Shiga toxin-encoding bacteriophages - Genomes in motion. Int. J. Med. Microbiol. 294: 115- 121.

Hoskisson, P.A. and J. T. Trevors. 2010. Shifting trends in pathogens on a changing planet. Antonie van Leeuwenhoek Journal of Microbiology. 98(4):423-427.

Mara, D. and N. Horan (Eds.) 2003. Handbook of Water and Wastewater Microbiology. Academic Press, NY.

Ochman H, Jones IB (2000). Evolutionary dynamics of full genome content in Escherichia coli. EMBO Journal. 19: 6637-6643.

OECD. 2003. Assessing Microbial Safety of Drinking Water: Improving Approaches and Methods. IWA Publishing, London, UK, pp. 1-279.

Ritchie JM, Campbell GR, Shepherd J, Beaton Y, Jones D, Killham K et al (2003). A stable bioluminescent construct of Escherichia coli O157:H7 for hazard assessments of long-term survival in the environment. Appl. Environ. Microbiol. 69: 3359-3367.

Taylor CM (2008). Enterohaemorrhagic Escherichia coli and Shigella dysenteriae type 1-induced haemolytic uraemic syndrome. Pediatric Nephrology. 23: 1425-1431.

Teunis, P. F. M., G. J. Medema, L. Kruidenier and A. H. Havelaar. 1997. Assessment of the risk of infection by Cryptosporidium or Giardia in drinking water from a surface water sample. Water Research. 31: 1333-1346.

Trevors, J. T. 2011. Viable but non-culturable (VBNC) bacteria: gene expression in planktonic and biofilm cells. J. Microbiol. Meths.86:266-273.

van Elsas, J. D., A. V. Semenov, R. Costa and J. T. Trevors. 2010. Survival of Escherichia coli in the environment-fundamental and public health aspects. ISME: Multidisciplinary Journal of Microbial Ecology (Nature Publishing Group). (2010). 1-11.

Waterborne Pathogens. 2006. AWWA Manual M 48. American Water Works Association, Denver, USA.

WHO, 2011. Guidelines for drinking water quality, 4th edition, World Health Organization, Geneva.

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EXPOSURE - Exposure Assessment and Transfer of Disease

Overview materials about exposure cover the following

Exposure Routes Exposure Pathways - direct and indirect Transmission of Infectious Disease Duration of exposures - short-term; repeated short-term and long-term Similarities and differences of children and adults

Specific Learning Objectives

1. To describe the basic routes of exposure to waterborne contaminants and the transmission of water-related diseases.

a. Faecal-oral transmission route

b. Direct exposure routes via ingestion, inhalation and contact with skin and mucous membranes

c. The primary exposure pathways involving direct exposure by consumption of drinking water and water use for washing

d. Indirect exposures via exposure pathways through other water uses and contamination of food and other media

2. To describe and distinguish between acute and chronic health effects of water-related exposures.

3. To describe the basic classification of water-related diseases.

a. Biological

b. Chemical

4. To describe the linkage to food contamination.

5. To improve the understanding of health issues associated with water use.

6. To discuss health issues associated with global change. Student should apply knowledge on global Issues pertaining to water related impacts on health such as,

a. Impacts of extreme events on human health and well-being

b. Watershed diseases; hygiene and drought

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EXPOSURE

Contamination of Water Supplies When water supplies are contaminated by wash-water, runoff and effluents containing human and animal wastes and refuse, agricultural wastes, and industrial and municipal emissions,

Water may be a transmission source of pathogenic diseases

Water may be an exposure pathway to toxics

Water is Essential for Life

Water has a profound influence on human health. At a very basic level, a minimum amount of water is required for consumption on a daily basis for survival and therefore access to some form of water is essential for life. Water has much broader influences on health and well-being and issues such as the quantity and quality of the water supplied are important in determining the health of individuals and whole communities. Water plays an important role in the control of disease through personal hygiene, cleaning and washing away dirt, wastes, pathogenic and toxic contaminants, improved sanitation, and water may be a transmission source of pathogenic diseases and exposure pathway to toxics when water supplies are contaminated by wash-water, runoff and effluents containing human and animal wastes and refuse, agricultural wastes, and industrial and municipal emissions.

Drinking water collected and stored in containers is often contaminated after collection, especially in water stored for several hours and days at room temperature. Contamination typically occurs by improper handling with insufficiently washed hands introducing faecal material and pathogens (bacteria, viruses, parasites) which live and multiple in drinking water supplies. Contamination of drinking water may occur by seepage of sewage, metals and chemical residues into the water distribution system, from pipes and containers, especially where the distribution system is worn cracked and in need of repair. Because contaminants may be dislodged and mobilized into water during construction activities pipes should be flushed thoroughly before using drinking water in old, rusty, leaded and corroded pipes.

Water Supply, Sanitation and Hygiene– First Priority

A first priority must be to provide access for the whole population to some form of improved water supply, sanitation and hygiene. Access to improved water supply and sanitation may be restricted by low coverage, long distance from dwellings and users and poor continuity of delivery, insufficient quantity, poor quality and high cost relative to the ability and willingness to pay. Absence of adequate sanitation and a lack of a sufficient quantity of water for washing are impediments to practicing personal hygiene and domestic cleanliness and promotes transmission of water-related diseases. To ensure access to safe drinking-water in sufficient quantities for the population and safe storage of drinking water supplies for long-term use necessitates that all the above issues for improved water supply, sanitation and hygiene must be addressed if public health is to improve.

Safe drinking water and water for preparing food should be collected and stored in clean containers with a lid and a narrow opening and tap or spigot for dispensing water and in containers designated only for that purpose. Preferably containers for drinking water should not have been used for any other purpose. Do not reuse containers of fuels, pesticides, fertilizers and paints and other concentrated materials for drinking water and potable water.

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References

Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344.

Organisation for Economic Co-operation and Development (OECD). 2013. GUIDANCE DOCUMENT FOR EXPOSURE ASSESSMENT BASED ON ENVIRONMENTAL MONITORING Series on Testing and Assessment No. 185. ENV/JM/MONO(2013)7

United States Environmental Protection Agency (U.S. EPA) 2008. Child-Specific Exposure Factors Handbook. EPA/600/R-06/096F | September 2008 | www.epa.gov/ncea

United States Environmental Protection Agency (USEPA). Guidelines for Carcinogen Risk Assessment. Risk Assessment Forum U.S. Environmental Protection Agency Washington, DC EPA/630/P-03/001FMarch 2005

United States Environmental Protection Agency (USEPA). 1989. Risk Assessment Guidance for Superfund Volume I Human Health Evaluation Manual (Part A) Interim Final. EPA/540/1-89/002 December 1989. Annotation added April 2010 accessed online October 04, 2014 www.epa.gov/oswer/riskassessment/ragsa/pdf/rags_a.pdf

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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ZOONOTICS AND VBD

Vector-borne route – Infectious Disease Transmission

Vector-borne diseases may be bacterial, viral, fungal and protozoan in origin whose transmission relies on the passage and delivery of the pathogen to humans usually mediated by a bite from an insect or animal that is a carrier of the organism. Water- related diseases involving insect and mollusc vectors that depend on water for at least one stage of their life cycle.

References

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO. 2004. Expert Consensus Expert Meeting Group in the World Health Organization (WHO). Waterborne Zoonoses: Identification, Causes and Control. Edited by J.A. Cotruvo, A. Dufour, G. Rees, J. Bartram, R. Carr, D.O. Cliver, G.F. Craun, R. Fayer, and V.P.J. Gannon. Published by IWA Publishing, London, UK. ISBN: 1 84339 058 2.

World Health Organisation (WHO). 2004. Using climate to predict infectious disease outbreaks: a review. Communicable Disease Surveillance and Response Protection of the Human Environent Roll Back Malaria Geneva. 2004.

WHO 2000. Monitoring Bathing Waters - A Practical Guide to the Design and Implementation of Assessments and Monitoring Programmes, Edited by Bartram, J. and Rees, G. World Health Organisation. Geneva.

International Livestock Research Institute (ILRI) 2012. Mapping of poverty and likely zoonoses hotspots. Report to Department for International Development UK

Additional References:

Emerson et al. 1999. Effect of fly control on trachoma and diarrhoea. The Lancet 353: 1401 - 1403

List of water related diseases

See WHO Fact Sheets in Resources folder.

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Transmission Routes of Infectious Diseases and Pathways of Exposure to Toxics

Direct Exposures and Transmission of Disease Agent

Ingestion

faecal-oral route of transmission, in plain language by “poop to mouth” is the major transmission route drinking water polluted by human and animal sewage

Inhalation

of faecal droplet aerosols from sewage contaminated water

Person to person contact

with faeces, urine, blood, and vomit

Contact exposure

skin contact with water during occupational activities such as fishing and construction (e.g., standing and wading in water, washing and spraying with water).

References

Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344.

Organisation for Economic Co-operation and Development (OECD). 2013. GUIDANCE DOCUMENT FOR EXPOSURE ASSESSMENT BASED ON ENVIRONMENTAL MONITORING Series on Testing and Assessment No. 185. ENV/JM/MONO(2013)7

United States Environmental Protection Agency (U.S. EPA) 2008. Child-Specific Exposure Factors Handbook. EPA/600/R-06/096F | September 2008 | www.epa.gov/ncea

United States Environmental Protection Agency (USEPA). Guidelines for Carcinogen Risk Assessment. Risk Assessment Forum U.S. Environmental Protection Agency Washington, DC EPA/630/P-03/001FMarch 2005

United States Environmental Protection Agency (USEPA). 1989. Risk Assessment Guidance for Superfund Volume I Human Health Evaluation Manual (Part A) Interim Final. EPA/540/1-89/002 December 1989. Annotation added April 2010 accessed online October 04, 2014 www.epa.gov/oswer/riskassessment/ragsa/pdf/rags_a.pdf

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Exposure Pathways to Environmental Contaminants Indirect Exposures to Chemical Contaminants and Pathogens and Parasites

Eating fish and shellfish is a common route of transmission of waterborne pathogens and parasites, particularly by eating raw and insufficiently cooked fish and shellfish.

Eating fish and shellfish is a comon exposure pathway to inorganic and organic chemical contaminants, particularly mercury, arsenic, cadmium and other heavy metals, POPs, bacterial and algal toxins, and radioactive compounds accumulated in the flesh, fat and oils, and organs.

Fish and shellfish may contain unsafe amounts of chemical and biological contaminants -

if living in and caught from polluted waters, including wild fish and farmed fish operations.

if held and stored in contaminated water and ice.

if washed and rinsed in contaminated water.

Person to person contact with pathogens in faeces, urine, blood, and vomit and the transfer of pathogens and parasistes into foodstuffs, beverages, other products.

This happens by handling foodstuffs, beverages and other products by less than scrupulously washed hands, from unclean hair, and other parts of the body, clothes and bedding.

Even small amounts of pathogens in the active and dormant state would be sufficient to transfer most zoonotic diseases which soon multiply and grow within the hosts stomach and intestine to levels capable for causing disease.

Maternal transfer: The transfer from mother to infant of some forms of toxic metals and organic compounds and of pathogens and parasites.

Contaminants, chemical and biological, present in the maternal blood, placenta and amniotic fluid may be transferred from the mother to her developing fetus.

Some toxic metals, organic chemicals, and pathogens (e.g., viruses) can be transfered to the breastfed infant by maternal breast milk.

Less is known about the ability of parasites to transfer from mother to infant.

Chemical (inorganic and organic) and biological (pathogens and parasites) contaminats can be transferred to food, including vegetable, fruits, grains and meat may occur

if contaminated water is used in irrigation of crops and watering of animals

if contaminated water is used in food preparation as an ingredient in foods and beverages and food processing and packaging.

if foods, utensils and food contact surfaces are washed in contaminated water.

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Principle Elements of Faecal-Oral Disease Transmission

Faecal oral disease transmission is common exposure pathway for enteric diseases.

The ingestion of faecal material is a major transmission route for gastrointestinal diseases including diarrheal diseases and other illnesses. Infectious agents of all types may be transmitted by the faecal - oral route via water, including viruses (such as infectious hepatitis, rotavirus and norovirus); bacteria (such as cholera, typhoid and dysentery, campylobacter, shigella and salmonella); and parasites (such as Giardia, Cryptosporidium and Entamoeba).

Some infectious pathogenic bacteria, viruses, fungi and parasites can be transmitted from person to person, such as by transfer of organisms adhering to faecal matter skin, hair and clothing may be shed and deposited on another person, and by exchange of and direct contact with bodily fluids and blood ( e.g., hepatitis, cholera, tinnae).

A person who is sick and a carrier of infectious disease who has not sufficiently washed hands prior to the collection, processing, storage and serving of drinking water and the preparation of food and serving of food can transfer small quantities of faecal material on their hands to others by contaminating water supply and food . Generally, applies to microbial contamination and not chemical contamination.

Chemical contamination and biological contamination of the water supply and potentially harmful exposures to persistent and highly toxic chemical contaminants such as lead can occur from human and municipal sewage, including wet and dry biosolids materials, if inappropriately applied to land too near to surface waters and well heads used for drinking water that can become contaminated by rainwater surface runoff and seepage. Environmental exposures can also occur if sewage and biosolids are inappropriately applied to pastureland for animals and to agricultural soil and garden soil for growing food crops. Environmental exposures can occur from direct contact with sewage and sewage amended soils and from consumption of contaminated food, meat and milk and dairy products.

Food poisoning - Salmonella is predominantly a food borne infection mediated by poor hygiene, inadequate sanitation (human wastes and animal wastes), and microbiologically contaminated water quality.

Domestic flies are known vectors of diarrhoea, but are commonly overlooked in public health interventions.

Flies are strongly attracted to human faeces and prepared food and have been shown to carry bacteria and parasites.

Good hygiene and face washing is taught and encouraged to reduce faecal oral transmission of enteric pathogens and reduce morbidity from diarrhoea and the risk of trachoma infections of the eye .

Trachoma is the main cause of preventable blindness worldwide (WHO).

Other strategies include fly-control methods including improving sanitation conditions to eliminate environmental conditions favouring breeding of flies pathogens and parasites in human and animal wastes, and also the use of insecticides and fly-trapping.

Effect of fly control on trachoma and diarrhoea

Fly control on public health in Gambian villages (Emerson et al., 1999. The Lancet Volume 353: 1401 to 1403). PDF copy of publication

References:

Bartram, J. and Cairncross, S. 2010. Hygiene, Sanitation, and Water: Forgotten Foundations of Health. PLOS Medicine 7 (11): 1-9 e1000367 www.plosmedicine.org

Cairncross, S., Bartram, J., Cumming, O., and Brocklehurst, C. 2010. Hygiene, Sanitation, and Water: What Needs to Be Done? PLOS Medicine 7 (11): 1-7 e1000365 www.plosmedicine.org

Mara, D., Lane, J., Scott, B., and Trouba, D. 2010. Sanitation and Health. PLOS Medicine. 7 (11): 1-7 e1000363 www.plosmedicine.org

UNICEF/WHO (The United Nations Children's Fund/ World Health Organisation). 2009. Diarrhoea: Why children are still dying and what can be done. ISBN 978-92-806-4462-3 (UNICEF) ISBN 978-92-4-159841-5 (NLM classification: WS 312) (WHO)

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WHO. 2004. Expert Consensus Expert Meeting Group in the World Health Organization (WHO). Waterborne Zoonoses: Identification, Causes and Control. Edited by J.A. Cotruvo, A. Dufour, G. Rees, J. Bartram, R. Carr, D.O. Cliver, G.F. Craun, R. Fayer, and V.P.J. Gannon. Published by IWA Publishing, London, UK. ISBN: 1 84339 058 2.

Ziegelbauer, K. Speich, B., Mausezahl, D., Bos, R., Keiser, J., and Utzinger, J. 2012. Effect of Sanitation on Soil-Transmitterd Helminth Infection: Systematic Review and Meta-Analysis. PLoS Med 9(1): e1001162. doi:10.1371/journal.pmed.1001162

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Biological and Chemical Contaminants and Water-Related Disease Interactions in the Environment

POLLUTION OF THE AQUATIC ENVIRONMENT ─

HABITAT FOR FISHERIES, ANIMAL WATERING, WILDLIFE, AND SOURCE OF WATER SUPPLY:

· Receiving water of toxic metals, hazardous substances, nutrients and human and animal wastes and zoonotic pathogens.

· Acidification of surface waters, shifts in nutrients (NPK) metals and redox potentials, and biological and microbial communities.

· Eutrophication leading to depletion in dissolved oxygen concentrations, algal blooms and cyanobacteria growth, anaerobic sediments, and a stratified water column.

· Release and distribution of toxics to water, sediments, suspended solids and dissolved organic carbon (DOC), binding to organic materials in sediments and accumulation of some metals and persistent organic pollutants (POPs) in sediments, release from sediments to pore-water and overlying water column through bioturbation, wave action and turbulence, and accumulation of toxics and some biologicals in fish and shellfish, and fish-eating fish, -birds and -mammals, including humans.

· Incubation, Proliferation and Transport of Zoonotic, Pathogenic and non-pathogenic microorganisms in the aquatic environment, food items and humans and animals.

· Pathways for disease transmission and exposure to toxics.

SOURCES OF POLLUTION TO RECEIVING WATERS

Wastes, Wastewater Effluents and Waste Water Holding Ponds:

Surface Runoff and Soil Erosion (during rain, flooding and storm events)

Spills and Industrial Accidents

Fire and Fire Suppressants

Exposure Pathways to Contaminants in Water WATER USAGE – EXPOSURE AND TRANSMISSION PATHWAY

Watering Livestock

Fisheries – Fish and Shellfish: (Wild and Farmed)

Food-Processing

Food Handling and Food Service

- Source of contaminants by washing food and use of water as an ingredient in cooking.

- Food Safety disease prevention – thoroughly cooking food for destruction and inhibition of vegetative microbial contamination; heat destruction of heat labile toxins. Bacterial endospores are not destroyed; thermotolerant microbial contamination and toxins are not destroyed by cooking. Storage, Packaging, and Refrigeration – required for inhibition of microbial growth and contamination. Re-heating contributes to incubation and growth of bacteria and viruses.

References

IPCS/WHO (International Programme on Chemical Safety). 2012. Integrated Risk Assessment: Nonylphenol Case Study. Report Prepared for the WHO/UNEP/ILO Internatinal Programme on Chemical Safety. WHO/IPCS/IRA/12/04

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World Health Organisation (WHO). 2004. Using climate to predict infectious disease outbreaks: a review. Communicable Disease Surveillance and Response Protection of the Human Environent Roll Back Malaria Geneva. 2004.

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO. 2010. Dioxins Fact Sheet

WHO. 2012. Mercury Fact Sheet

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Exposure Pathways for Zoonoses (transmission of infections of humans and animals)

The occurrence of waterborne zoonotic bacteria depends on several factors including the following -

the geographical location.

the nature of the source water.

the nature of the water supply including water collection, storage and delivery practices.

human and animal excreta and other waste disposal practices.

presence of rotting garbage, sewage and organic matter.

presence of biological vectors - flies, mosquitoes, snails and other invertebrate pests and rodent pests, livestock and other intermediate hosts (e.g., mammals and birds).

and other environmental factors - climate - temperature and precipitation (dry or rainy period), seasonal conditions (spring, summer, fall and winter), stagnated surface water or flowing water, aeration and sedimentation of water holding ponds.

Discussion of exposure pathways for zoonoses using case studies.

Complex life cycle of Guinea worm

Complex life cycle of Guinea worm

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References

CDC/WHO/UNICEF 2000. Case Containment Strategy for Eradication of Dracunculiasis in Africa.

CDC 2010. Neglected Tropical Diseases Program Fact Sheet

WHO. 2004. Expert Consensus Expert Meeting Group in the World Health Organization (WHO). Waterborne Zoonoses: Identification, Causes and Control. Edited by J.A. Cotruvo, A. Dufour, G. Rees, J. Bartram, R. Carr, D.O. Cliver, G.F. Craun, R. Fayer, and V.P.J. Gannon. Published by IWA Publishing, London, UK. ISBN: 1 84339 058 2.

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Types of Exposure:

Type of Exposure to a contaminant Duration (biological and chemical)

Short-term: usually less than 24 hours. Also refers to high Acute intensity short-term exposure

Long-term: recurring exposures lasting more than three months, and a substantial part of a lifetime. Repeating events in a Chronic lifetime. Example, exposures that occur by daily consumption of drinking water. Exposures to common foods frequently eaten.

Intermediate -term: lasting more than 24 hours, several days Sub-Acute but less than one month; infrequent repeated events. Also refers to less severe effects than acute effects.

lasting between one to three months; recurring exposures more Sub-Chronic often than sub-acute exposures but not daily. Could involve recurring frequency for several months back to back.

Factors Influencing Exposures (and Effects)

The type of substance - biological (type of) , chemical (type of), physical (type of)

Exposure and transmission route - inhalation, ingestion, skin contact, food and beverage, personal product use, work place, invasive puncture or via injection (intramuscular, intravenous, subcutaneous)

Administered Dose - dose external exposure and amount ingested

Duration of exposure in an individual and incubation period - seconds, minutes, hours, days, weeks, months, years, lifetime

Life-stage and gender of the exposed - adult, child, infant, fetus, male, female, pregnancy, menopausal, senior.

The health and nutritional status of the exposed population - pre-existing health conditions

The amount absorbed, accumulated and stored in tissues - internal dose at target sites

Secondary exposures - The timing of release of contaminant back into the blood stream from storage sites in the body (organs, tissues, fats and bone) and movement to interact with target sites, and the gender and life-stage coinciding with the timing and the duration of secondary exposures.

Co-exposure to multiple substances –potential for toxic interactions in an additive, antagonistic, synergistic and potentiative manner.

The prevailing climatic conditions and seasonal and environmental aspects and cultural and behavioural practices.

Climate Change is global influence affecting infectious disease occurrence in the developed countries and developing countries worldwide.

Impacts of climatic conditions on epidemic diseases date back to ancient civilizations.

In ancient Greece, Hippocrates guided physicians and those caring for the sick to paid attention to local climate conditions.

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In , aristocrats moved out of coastal cities and away from wetlands to avoid malaria.

Jewish and Muslim customs involve several dietary customs such as avoidance of shellfish, pork and respecting procedures for slaughtering, cleaning and cooking that may have origins in the prevention of infectious disease.

South Asian peoples adopted seasonal dietary customs, including the use of strong curries in foods which are believed by many to be linked to seasonality of diarrhoeal diseases.

Recommended reading materials on historical research on infectious diseases epidemics; history of epidemics of malaria and cholera are excellent examples of how the spread of infectious disease is affected by global change involving climate and emigration and war.

Malaria (and potentially other mosquito-transmitted diseases)

The study of malaria provides an excellent example of how endemic disease can be influenced by climatic conditions. Epidemiological records document changes in

i) Geographical extent of the occurrence of malaria; ii) Seasonality of endemic disease; and iii) mortality and morbidity rates

Historically the distribution of endemic malarial disease has been influenced by: the loss of wetlands; increasing cold climate; human ingenuity and engineering (Europe and North America draining of swamps and marshes).

Malaria has occurred as far north as the Carolinian forests in North America and in the wetlands of central Europe. In India malaria seasonal outbreaks occur coinciding with monsoons.

Cholera (and potentially other faecal-orally transmitted diseases)

The progression of Asiatic Cholera from India followed the trade routes, across the Middle East and Europe, reaching Russian and England.

Military men, sailing ships and their crews and passengers brought Cholera with them to land otherwise free of the disease.

Multiple pandemics occurred in the 1800s.

For more reading see lecture notes on the investigations by John Snow into the communication of cholera provided in resources materials and referred to in other parts of the course on water and health, and read the historical documents written by Dr. John Snow.

Types of Research on Exposure Pathways for Infectious Disease Transmission and Potentially Harmful Exposures to Chemical Contaminants

1. Research on Evidence of Early Impacts - involves tracking various infectious diseases coincident with temperature extremes, extreme weather and climatic events.

2. Research Using Predictive Modelling - Various computer simulation models are being used to forecast future climatic influences on infectious disease outbreaks. Three types of computer simulations are statistical, processed-based, and land- based models.

Statistical modeling has been applied to climate change impacts on malaria, dengue fever and encephalitis. “For malaria some models have shown net increases in malaria over the coming half century, and others little change.” (WHO)

Processed-based modelling has been used for malaria and dengue fever involving simulations of relationship between climatic variables and biological parameters – e.g., vector breeding, survival, and biting rates, and parasite incubation rates. “The malaria modelling shows that small temperature increases can greatly affect transmission potential. Globally, temperature increases of 2-3ºC would increase the number of people who, in climatic terms, are at risk of malaria by around 3- 5%, i.e. several hundred million. Further, the seasonal duration of malaria would increase in many currently endemic areas.” (WHO)

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Landscape-based modelling combine the climate-based models with GIS spatial analytical methods, to study the effects of both climatic and other environmental factors (e.g. different vegetation types – often measured, in the model development stage, by ground-based or remote sensors). Land-based modelling is being use to estimate how changes in ground cover and surface water in Africa influenced by changing climate would affect mosquitoes and tsetse flies and, hence, malaria and African sleeping sickness. (WHO)

Climate change and human health - risks and responses.

Global Changes and Pressures Influencing Infectious Disease

Currently, there are numerous global changes and pressures influencing the spread of infectious disease, some of which are listed below.

1. Ease and frequency of travel worldwide to remote and heavily populated areas – crowded airports, train stations, buses, cars, shopping centres and transportation vehicles

2. Increasing ecotourism

3. Rapid demographic changes and changing emigration

4. Wars and Refugee Camps

5. Environmental changes,

6. Excess and indiscriminating use of antibiotics

7. Increased trade in body parts, including tissues obtained from cadavers

8. Changes in diet, social and technological changes in our ways of living

9. Global trade in animals for food, animal derived food products and human and animal wastes, and materials derived from animals

10. Pest resistance to insecticides – flies carrier of zoonotic diseases e.g., Trachoma

11. Advances in surgical techniques, medical devices and therapeutics, and widespread use of antibiotics, chemotherapy drugs, and other therapeutics for medical and non-medical uses.

References

Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344.

IPCS/WHO (International Programme on Chemical Safety). 2012. Integrated Risk Assessment: Nonylphenol Case Study. Report Prepared for the WHO/UNEP/ILO Internatinal Programme on Chemical Safety. WHO/IPCS/IRA/12/04

Organisation for Economic Co-operation and Development (OECD). 2013. GUIDANCE DOCUMENT FOR EXPOSURE ASSESSMENT BASED ON ENVIRONMENTAL MONITORING Series on Testing and Assessment No. 185. ENV/JM/MONO(2013)7

United States Environmental Protection Agency (U.S. EPA) 2008. Child-Specific Exposure Factors Handbook. EPA/600/R-06/096F | September 2008 | www.epa.gov/ncea

United States Environmental Protection Agency (USEPA). Guidelines for Carcinogen Risk Assessment. Risk Assessment Forum U.S. Environmental Protection Agency Washington, DC EPA/630/P-03/001FMarch 2005

United States Environmental Protection Agency (USEPA). 1989. Risk Assessment Guidance for Superfund Volume I Human Health Evaluation Manual (Part A) Interim Final. EPA/540/1-89/002 December 1989. Annotation added April 2010 accessed online October 04, 2014 www.epa.gov/oswer/riskassessment/ragsa/pdf/rags_a.pdf

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water -

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standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Water Pollution - Exposures in Children to pathogens parasites and chemical and physical contaminants in drinking water and wash water.

Pregnant women and her developing fetus, infants and young children are more susceptible to life-threatening outcomes of dehydration and inadequate nutrition.

Children especially those under the age of six years are at greater risk of mortality and severe and chronic morbidity from acute diahhroeal disease.

Water related exposures to pathogens and parasites and exposures to chemical and physical contaminants in drinking water and water used for washing bathing and food preparation may be more harmful to pregnant women and young children, particularly those targeting the kidneys and developing brain and nervous system, musculo-skeletal system, blood bone and teeth and immune systems.

The combined impacts on healthy development and growth of harmful environmental exposures to contaminants in water is exacerbated by inadequate nutrition and hydration and hygiene.

The impacts of early-lifetime environmental exposures, inadequate nutrition during pregnancy and the fetal period and early childhood have been associated with increased risk of disease and chronic illness in adult life.

Provide additional information on increased vulnerability of maternal and child health from environmental exposures to contaminants in drinking water and wash water, and dehydration and inadequate nutrition across different stages and ages of development.

AIR POLLUTION - INDOORS AND OUTDOORS

Children may be more vulnerable to the effects of air pollution than adults. Children’s lung development is not complete at birth. Lung development proceeds through proliferation of pulmonary alveoli and capillaries until the age of 2 years. Thereafter, the lungs grow through alveolar expansion until 5–8 years of age. Lungs do not complete their growth until full adult stature is reached in adolescence.

Infants and young children have a higher resting metabolic rate and rate of oxygen consumption per unit body weight than adults because they have a larger surface area per unit body weight and because they are growing rapidly. Therefore, their exposure to any air pollutant may be greater. In addition to an increased need for oxygen relative to their size, children have narrower airways than do adults. Thus, irritation caused by air pollution that would produce only a slight response in an adult can result in potentially significant obstruction in the airways of a young child. Ref: Moya J et al. Children’s behavior and physiology and how it affects exposure to environmental contaminants. Pediatrics, 2004, 113:996.

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The effect of oedema on the adult airway is much less dramatic than it is on the newborn’s airway. One millimetre of oedema reduces the diameter of the adult airway by about 19% while it reduces the diameter of the infant airway by 56%. Compared to that of adults, the peripheral airway (bronchioles) is both relatively and absolutely smaller in infancy allowing intralumenal debris to cause proportionately greater obstruction. In addition, infants have relatively larger mucous glands, with a concomitant increase in secretions. They also have the potential for increased oedema because their airway mucosa is less tightly adherent. Lastly, there are fewer interalveolar pores (Kohn’s pores) in the infant, producing a negative effect on collateral ventilation and increasing the likelihood of hyperinflation or atelectasis. The resting minute ventilation normalized for body weight in a newborn infant (400 cc/min/kg) is more than double that of an adult (150 cc/min/kg). Ref: Bar-on ME et al. Bronchiolitis. Prim Care, 1996, 23:805.

Chlidren and air pollutants SOURCE: Outdoor Air Pollution. Children's Health and the Environment. WHO Training Package for the Health Sector July 2008. http://www.who.int/ceh/capacity/Outdoor_air_pollution.pdf

References:

Altshuler, K. Berg, M., Frazier et al., 2003. Critical Periods in Development. U.S. EPA Office of Children's Health Protection (OCHP) Paper Series on Children's Health and the Environment Paper 2003-2.

American Academy of Pediatrics Committee on Environmental Health. Developmental toxicity: Special considerations based on age and developmental stage. In: Etzel RA, ed. Pediatric Environmental Health. 2nd ed. Elk Grove Village, IL: American Academy of Pediatrics; 2003.

ATSDR (AGENCY FOR TOXIC SUBSTANCES AND DISEASE REGISTRY). 2012. CASE STUDIES IN ENVIRONMENTAL MEDICINE (CSEM)Principles of Pediatric Environmental Health The Child as Susceptible Host: A Developmental Approach to Pediatric Environmental Medicine

Cheng, J. J. , Schuster-Wallace, C.J., Watt, S., Newbold, B.K., and Mente, A. 2012. An ecological quantification of the relationships between water, sanitation and infant, child, and maternal mortality. Environmental Health 11:4 http://www.ehjournal.net/content/11/1/4

Daston, G., Faustman, E., Ginsberg, G., Fenner-Crisp, P., Olin, S., Sonawane, B., Bruckner, J., and Breslin, W. 2004. A Framework for Assessing Risks to Children from Exposure to Environmental Agents. Environ Health Perspect 112: 238-256.

Hunter, P.R., MacDonald, A.M., and Carter, R.C. 2010. Water Supply and Health. PLOS Medicine. 7 (11): 1-9 e1000361 www.plosmedicine.org

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Jolly et al. 1968. Epidemiological, lLinical, and Biochemical Study of Endemic Dental and Skeletal Fluorosis in Punjab. British Medical Journal 4: 427-429.

Selevan SG et al.2000. Identifying critical windows of exposure for children's health.Environmental Health Perspectives, 108:451.

Singh, A. et al. 1962. Endemic Fluorosis with Particular Reference to Dental and Systemic Intoxication. PMJ 38: 150- 156

UNICEF/WHO (The United Nations Children's Fund/ World Health Organisation). 2009. Diarrhoea: Why children are still dying and what can be done. ISBN 978-92-806-4462-3 (UNICEF) ISBN 978-92-4-159841-5 (NLM classification: WS 312) (WHO)

United States Environmental Protection Agency (U.S. EPA) 2008. Child-Specific Exposure Factors Handbook. EPA/600/R-06/096F | September 2008 | www.epa.gov/ncea

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO. 2008. Outdoor Air Pollution. Children's Health and the Environment. WHO Training Package for the Health Sector July 2008. http://www.who.int/ceh/capacity/Outdoor_air_pollution.pdf

WHO. 2005. Children's Health and the Environment – A global perspective. A resource manual for the health sector. Pronczuk-Garbino, J. Editor-in Chief. World Health Organisation. Geneva ISBN 9241562927 (NLM classsification: WA 320)

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ENVIRONMENTAL FATE

Environmental Fate is the study of the behaviour and movement of chemicals and substance in the environment. The environment can be represented by four general environmental compartments. These four environmental compartments are: Air ;Water (and sediment); Soil; and Biological organisms. Within in each of these environmental compartment there are the following phases: gas; water; solids and biological fatty tissues, including cell membranes. The environmental fate and behaviour of chemicals in the environment can be described by their tendency when released into the environment to distribute into each of the different environmental compartments and phases within each compartment. The compartment (and phase) into which a chemical will distribute to depends on the chemical’s inherent physical-chemical properties and the characteristics of the environmental compartment into which it is released. Environmental fate models are used to predict concentrations of chemicals released into the environment from various sources. Upon release into the aquatic environment chemicals and other substances will distribute to different environmental compartments (e.g. air, water, sediment, suspended solids, biological tissues).

PHYSICAL-CHEMICAL PROPERTIES OF CHEMICAL(S) GOVERNING ENVIRONMENTAL FATE IN WATER

Emphasis on Aquatic Environment - The physical-chemical properties of chemicals relate to the molecular structure, shape and the physical, chemical and biological reactivity of specific chemicals. Examples of physical-chemical properties of chemicals include:

i) Water solubility; the tendency of a chemical or substance to remain dissolved in the water phase of a solution. Water solubility is also called hydrophilicity. Chemicals that easily dissolve in water are called hydrophilic chemicals. Water soluble chemicals when released into the water compartment (aquatic environment) will tend to remain in water solution in either a ‘freely dissolved’ form or associated with DOC and suspended solids. Water soluble chemicals will be easily transported by currents throughout the water phase of the water system. Contact with aquatic organisms and other organisms can occur through ingestion of water, surface or dermal contact with water, and inhalation of waterborne aerosols and vapours in human and animals, and by gill uptake in aquatic species. Chemicals that dissolve poorly in water are hydrophobic.

ii) Volatility is the tendency of a chemical to vapourize and remain in the air or gaseous phase. These types of chemicals are called volatile organic compounds (VOCs). Volatile organics are usually also highly water soluble. Examples of VOCs mixtures are gasoline and Total Petroleum Hydrocarbons (TPH), and the solvents benzene, ethylbenzene, toluene and xylene. When VOCs are released (spilled, leaked) to soils these chemicals characteristically volatilize (vapourize) to air and a portion will also seep downwards into groundwater. Volatile compounds when released into surface waters will tend to be lost to the air through volatilization or will remain in solution. VOCs that remain in the dissolved phase will be easily transported by currents throughout the water system. Contact by humans with VOCs in water can occur through ingestion of water, surface or dermal contact, and inhalation of vapors (and gill respiration in aquatic organisms). VOCs undergo degradation processes (chemical-, photo- and biological- transformation) and breakdown to less environmentally persistent chemical forms that are often less toxic. In some cases these transformation processes (chemical-, photo- and biological-) involve the formation of substances (transformation products and metabolites) that are of greater toxicity than the original chemicals (parent chemical).

iii) Vapour pressure is a measure of a chemical’s volatility. Chemicals with a low vapour pressure generally do not easily volatilize into air (e.g. elemental copper and lead, chlorinated dioxins, PCBs). Whereas chemicals with a high vapour pressure readily volatilize into air (e.g. the VOCs – chloroform, formaldehyde, benzene; organo-leads; mercury).

iv) Fat solubility is the tendency of a chemical to dissolve in fats or biological lipids. This is also called the lipophilicity of a chemical. Chemicals that preferentially dissolve in biological fats are called lipophilic chemicals and are also hydrophobic. Many of which are bioaccumulative because they tend to build-up and accumulate in fatty tissues (fatty, liver, reproductive organs, brain and breast-milk and other fatty tissues including cell membranes) of exposed organisms. Lipophilic chemicals will tend to distribute into: a) biological fatty tissues (i.e.lipids in biota), b) associate with Dissolved Organic Carbon (e.g. DOC) and organic carbon of sediments and soils (e.g. Fraction Organic Carbon or FOC). Thus water-borne exposures to ‘freely-dissolved forms’ of these types of chemicals are typically very low and may be non-measurable due to the physical- chemical “removal” of the chemical by binding to POC and association with DOC. In aquatic ecosystems accumulation of lipophilic (hydrophobic) chemicals in biological organisms leads to increases in dietary exposure to these chemicals in their predators through feeding interactions (food chain processes). Chemicals (e.g. PCBs, chlorinated dioxins and furans, DDT/DDE, methyl mercury) are transferred from algae (primary producers) to algae-eaters (primary consumers – zooplankton invertebrates) to consumers of plant eaters (secondary consumers) and finally to animal-eaters and their top predators (e.g. fish-eating fish and fish-eating birds and mammals) in the food chain.

v) Octanol-water partition coefficient (KOW) is the standard measure of a chemical’s tendency to preferentially dissolve in biological fats. Chemicals with a Kow > 10,000 tend to accumulate in biological tissues, particularly in fatty tissues of fish and marine animals. Examples of bioaccumulative chemicals are DDT and its breakdown product DDE, PCBs, chlorinated dioxins file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M030D014Environfate.htm[11/1/2014 10:22:39 AM] WLC Template

and furans.

vi) Adsorption is the tendency of chemicals to bind to surfaces of particles and suspended solids. Chemicals that are adsorbed to solids have a different chemical form than non-adsorbed dissolved forms of the same chemical. Example chlorinated dioxin adsorbed to soil solids would have a different form than freely-dissolved chlorinated dioxin.

vii) Complexation is the association of chemicals with dissolved organic material (material of biological origin) such that complexed chemicals remain in solution but have a different and larger chemical structure than non-complexed forms (freely- dissolved chemical forms) of the same chemical. Example complexed- copper would have a different form and structure than freely-dissolved copper ions.

Mature adult top-predators with high fat content and slow growth rate typically have the greatest levels of bioaccumulative chemicals in their fatty tissues and organs. It is often overlooked that filter-feeding and sediment feeding organisms are also exposed to and may accumulate high levels of bioaccumulative contaminants. Due to the extremely low water solubility of certain bioaccumulative substances (e.g. some chlorinated dioxins and furans) these chemicals readily bind to suspended solids and also associate with dissolve organic carbon. Consequently, filter-feeding and sediment-feeding organisms have been observed to have increased amounts of persistent organic pollutants (POPs) and toxic heavy metals and waterborne pathogens and parasites in their tissues. This is especially true of aquatic organisms living in waters receiving pollution sources with high suspended solids content and high concentration of lipophilic substances.

Example - The direct release into water systems (i.e. river, lake) of municipal and industrial effluents containing high levels of suspended solids and solids-bound chlorinated dioxins and furans. Non-fatty fish (whitefish) collected downstream of bleached pulp and paper waste water outfalls and municipal outfalls were found to contain greater concentrations of chlorinated dioxins and furans than fattier top-predatory fish in a Canadian northern river system (NRBS, 1995). The reason for this appeared to be related to the eating habits of white fish of this river system because field data showed that white fish from the area preferentially fed on filter-feeding invertebrates that had concentrated dioxin and furans through their ingestion of suspended solids with bound dioxin and furans. Food chain modelling of the feeding habits and related exposures of the fish and insects living in down stream of the waste water outfalls was able to simulate the measured tissue concentrations in white fish and other aquatic organisms.

Filter-feeding and sediment-feeding organisms also receive greater exposure to dissolved chemicals such as organo-leads, and dissolved and complexed metals. Metals and other chemicals that are freely dissolved tend to be more bioavailable for uptake from the water column and to be taken up across gill membranes into aquatic organisms than those contaminants complexed, chelated or solid-bound forms.

Quantitative Structure-Activity Relationships (QSAR) are mathematical equations that have been developed to predict toxicity of groups of related chemicals based on their physical-chemical properties.

CHARACTERISTICS OF THE ECOSYSTEM GOVERNING CHEMICAL FATE IN THE AQUATIC ENVIRONMENT

In the (aquatic) environment key environmental factors controlling fate in the environment are:

a) Environmental pH

The environmental pH will modify the chemical form and alter its toxicity. Some chemicals, such as ammonia, are only toxic in aquatic organisms in its uncharged form. Most metals tend to be more toxic in aquatic organisms in their freely dissolved or charge form (e.g., in acidic water the free metal species is considered the most toxic form). The type of chemical will determine the influence of pH of the receiving environment on its aquatic toxicity (e.g. weak acids generally become more toxic with lower pH values, while weak bases become less toxic at lower pHs).

b) Water Hardness

Water hardness is determined by its mineral content (levels of calcium and magnesium).

Water hardness and pH act together to affect toxicity in aquatic organisms. When pH is constant, the toxicity of metals is generally less in hard water than soft water. The toxicity of organic chemicals is less affected by hardness but toxicity is affected by changes in water pH. As well the health of aquatic organisms can be directly affected by water hardness. Generally, soft water may cause stress in aquatic organisms.

c) Salinity

The chemical composition of seawater is generally more constant than that of freshwater, and the pH range of seawater is much file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M030D014Environfate.htm[11/1/2014 10:22:39 AM] WLC Template

more narrow than found in freshwater. Salinity can affect the chemical form and its availability for uptake and intake into tissues. The toxicity of metals is generally increased in saltwater. Neutral organic compounds (e.g. dioxins and furans) are less soluble in saltwater. The accumulation of non-polar chemicals in saltwater organisms would likely be over-estimated based on the typical KOW values.

d) Organic Carbon (dissolved, particulate)

The binding of compounds to organic carbon can alter toxicity. Chemical complexes and precipitates can alter physiological mechanisms in exposed aquatic organisms, such as osmoregulation, respiration and excretion.

e) Methylation and Transformation

Methylated metals are more hydrophobic and bioaccumulative, more volatile and more toxic. For example, methylmercury is rapidly absorbed and accumulated in tissues of aquatic organisms and is transferred via the food web to organisms of higher trophic levels. Other organo-metals that are common contaminants in water systems are organo-tins that are used as anti-fouling agents on ships and water structures, and organo-leads used in leaded fuels. Methylation of metals and organic chemicals occurs in the environment by microbial and chemical transformation processes.

f) Light Intensity

Photodegradation of chemicals or photo-breakdown of chemicals occurs in the presence of sunlight. This breakdown process changes the chemical structure, physical-chemical properties and therefore the persistence reactivity and toxicity of many chemicals. Example – the PAH anthracene has a low aquatic toxicity until it is transformed into a more toxic form in the presence of sunlight and UV radiation (a process is called photoinduction of toxicity).

g) Temperature

The effects of temperature on toxicity are unpredictable.

Increased temperatures result in more rapid chemical reactions. Aquatic systems with higher temperatures have less oxygen which causes stress in aquatic organisms making them more susceptible to toxic effects of environmental pollutants. In aquatic organisms, conditions of lower oxygen cause higher respiration rates in aquatic organisms increases exposure to water-borne chemicals across the gills. Metabolism and enzyme activity are frequently temperature-dependent, with an optimal range; temperature can affect detoxification, biotransformation and excretion (ADME) of chemicals.

h) Dissolved Oxygen (DO)

Dissolved oxygen is normally quite variable in the aquatic environment. Dissolved oxygen is dependent on factors such as temperature, turbulance or mixing, and biological and chemical activities which either produce or consume oxygen (e.g., algal or microbial blooms consume DO, chemical oxidation reactions in contaminated waters reduce DO, decomposition of organic wastes consumes oxygen). Some aquatic organisms are tolerant of low oxygen conditions. However, once the concentration of oxygen has fallen below an optimal range, aquatic organisms typically increase gill ventilation, increasing their intake of water dissolved chemicals.

i) Sediments

The characteristics of the sediment (e.g., pH, oxygen content in sediments, iron content, microbial community) will affect microbial and chemical processes of transformation and breakdown of chemicals in the aquatic environment. Sediments are made up of many different components, including clay minerals, carbonates, feldspar, quartz, and organic solids (living and non-living). Chemical and biological contaminants in water can bind to these components in sediments. Finer particle sizes in the sediments (i.e., presence of clays or unfilterable colloids), as well as dissolved organic matter, generally increase concentrations of contaminants bound in fine sediment. Pore-water of sediment usually contains greater concentrations of DOC and organic carbon associated dissolved metals and other chemicals. In sediment pore-water there is often a concentration gradient (gradual change in chemical concentration from high levels to lower levels) that occurs between the sediment and overlying water column.

j) Environmental Mixtures

When organisms are exposed simultaneously to combinations of chemicals, the toxic effects may differ from the observed toxicity of a single chemical. These toxic interactions are chemical-and concentration-dependent. At lower concentrations, chemical contaminants may interact additively, whereas at higher concentrations, antagonistic and synergistic interactions may occur.

The reality is that environmental media often consist of complex chemical mixtures, and exposure of wildlife (and humans) to multiple chemicals occurs in the environment.

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References:

Organisation for Economic Co-operation and Development (OECD). 2013. GUIDANCE DOCUMENT FOR EXPOSURE ASSESSMENT BASED ON ENVIRONMENTAL MONITORING Series on Testing and Assessment No. 185. ENV/JM/MONO(2013)7

OECD Environment, Health and Safety Publications Series on Testing and Assessment

United States Environmental Protection Agency (USEPA). 1989. Risk Assessment Guidance for Superfund Volume I Human Health Evaluation Manual (Part A) Interim Final. EPA/540/1-89/002 December 1989. Annotation added April 2010 accessed online October 04, 2014 www.epa.gov/oswer/riskassessment/ragsa/pdf/rags_a.pdf

Book: Fundamentals of Aquatic Toxicology: Effects, Environmental Fate, and Risk Assessment. 2nd Edition. Reprinted 2003. Taylor & Francis Group. © 1995 Taylor & Francis

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Toxicological Assessment - An Introduction to Basic Principles of Toxicology and Concepts

TOXICOLOGY: An Introduction to Basic Principles and Concepts

What is Toxicology?

Why Study Toxicology?

Basic Principles of Toxicology and Terminology

Exposure – Major Factors of Exposure, Exposure Routes, Categories

Toxicological Dose Response Relationship

ADME, Accumulation, Bioavailability.

Toxicity – Endpoints, Considerations in Toxicity Assessment and Biological Significance of Response

Mode and Mechanism of Toxic Action

TOXICOLOGY: An Introduction to Basic Principles and Concepts

What is Toxicology?

Toxicology is the study of the science of poisons to predict their health effects in humans, animals, birds, fish and other aquatic species, invertebrates, plants, microorganism, including ecosystems. Historically toxicology has developed from the science of ancient poisoners. Traditionally, toxicology has been the basis of therapeutics and experimental medicine. An example of a therapeutic use of poisons is the use of mercury to treat syphilis. Toxicology is the study of adverse (harmful) effects of chemicals, drugs or substances at levels not naturally present in healthy living organisms (e.g. humans, animals, fish, birds, plants, insects, microorganisms).

Toxic substances may be naturally occurring or formed by man-made processes (anthropogenic in origin). Toxic substances include the following:

i) Nutrients – e.g. vitamins and minerals

ii) Inorganic chemicals – e.g. heavy metals (lead, mercury, cadmium, chromium, zinc, copper), metalloids (arsenic), nitrates and nitrites, sulfate.

iii) Organic chemicals – e.g. organochlorine pesticides (PCBs, DDT) , products of incomplete combustion [dioxins and furans, polycyclic aromatic hydrocarbons (PAHs)], petroleum hydrocarbons (benzene, toluene, xylene, ethylbenzene), carbon tetrachloride, organophosphate pesticides, pyrethroids.

iv) Drugs and health products (natural and synthetic) – e.g. antibiotics, digitalis, coumarin, clofibrate, antiviral drugs, anti- epileptics, anti-depressants, estradiol, synthetic estrogens.

v) Biological agents – e.g. pathogenic bacteria, fungi, viruses.

vi) Physical agents – e.g. radioactive materials (uranium, cesium), particulate materials, fibres, UVA/UVB radiation, sound, temperature.

Toxic levels of nutrients and biological breakdown products (metabolites) are generally greater than those naturally present in healthy living organisms (e.g. humans, animals, fish, birds, plants, insects, microorganisms

Toxicology combines observation and data gathering processes with thoughtful processes to integrate information on:

Exposure (dose, route, frequency and duration);

Effects (short-term and long-term) and file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M040D001toxicology.htm[11/1/2014 10:22:39 AM] WLC Template

Mode or Mechanism of Toxic Action.

Exposure is the amount of chemical or substance to which the test organisms or subject is in contact with for a certain length of time. Exposure is a function of dose and time (duration and frequency). Effects refers to the biological response of the test organism or subject exposed to a certain chemical or substance. Toxic effects are those biological responses that are considered to result in harm to the test organism or subject. This will be discussed in more detail later on. Mechanism of Toxic Action is the biochemical/biological/molecular means by which a certain chemical or substance exerts its toxic effect in the test organism. This will be discussed in more detail later on.

References:

Casarett & Doull's TOXICOLOGY: The Basic Science of Poisons Louis J. Casarett & John Doull first edited, Toxicology: The Basic Science of Poisons, in 1975. In 2013 the 8th edition was edited by Curtis D. Klaassen, published by McGraw-Hill. ISBN: 978-0-07-176923-5.

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Why Study Toxicology?

Toxicology is the study of how chemical(s) cause toxic or harmful effect(s) in biological systems at the molecular, cellular, tissue, organ and whole organism level.

Using scientific principles and controlled laboratory tests toxicology allows us to determine:

1. The cause-and-effect relationship of exposure to a specific chemical and the occurrence of specific toxic (harmful) effects in the exposed animal. 2. Type and severity of Toxic Effect of chemical(s) exposure in a certain organism. 3. The toxic dose (or how much) of a chemical(s) or substance in a specific biological tissue or organism is needed to cause a specific harmful effect. and 4. The safe dose (or amount) of chemical(s) or substance at and below which no harmful (toxic effects) would be expected to occur. It is important to recognize that this is the Theoretical Safe Dose as it is not possible to prove a negative or no effect. Therefore one cannot actually measure the exact dose that causes no effect.

Using toxicology methods the mode of action, the general classification for type of toxic effect or the mechanism of toxic action, the process by which a chemical or substance interacts with biological systems to produce a harmful effect is determined. Toxicology combines observation and data gathering processes with thoughtful processes integrating information on exposure, effects and mechanism to predict health effects in humans and animals and other biological organisms. Information on the dose-response and the mechanism of toxic action can be used to assess the toxic effect of similar chemicals or substances in similar biological systems. And of exposure to mixtures of more than one chemical with similar properties. In the applied sense, toxicology involves the predictive assessment of whether or not a chemical or substance will cause a harmful effect. Toxicology is the cornerstone of the following:

a) Human medicine and the determination of the appropriate therapeutic (medicinal) use of poisons (mercury) and modern drugs versus their toxic effects.

b) Occupational health and the determination of safe levels to protect worker health safety from exposure to various industrial chemicals and emissions.

c) Environmental Impact Assessment. This involves the study of observed effects in wildlife (fish, invertebrates, plants, habitats) determined through field monitoring in the environment and the relationship of this effects to sources of chemicals and substances in the environment that have been found in the laboratory to cause similar effects.

d) Environmental assessment for human health. This involves the determination of harmful health effects in humans of environmental exposures related the use of substances such as, pesticides, radioactive substances, weapons of war (chemical and biological agents), industrial chemicals, and waste emissions.

e) Environmental risk assessment -Human Health Risk Assessment (HHRA) and Ecological Risk Assessment (ERA). This involves the assessment of potential health risks of chemicals and substances to humans and wildlife as determined through an exposure pathways analysis, hazard assessment and risk characterization. Human health risk assessment methods have traditionally been used to estimate the potential health risk of new drugs, and food additives as part of the regulatory process. Environmental Risk Assessment HHRA and ERA will be covered later in more detail in sessions 5 to 12.

f) Regulation of new substances (e.g. drugs, healthcare products, chemicals, food additives, cosmetics and personal care products, consumer products), drinking water, agricultural practices and pesticides, environmental emissions, industrial processes and waster water treatment processes.

Toxicology is fundamental to international regulatory processes for the health safety evaluation of foods, drinking water, human and veterinary health care products, cosmetics and personal care products, consumer products, pesticides and agricultural products, chemical manufacturing, industrial emissions and processes, wastewater treatment processes, and new chemicals and products.

Most developed countries have regulatory bodies that oversee the regulation of new and existing substances as well as offices that review the permitting and licensing of industrial practices and emissions to the environment. These organizations may have developed their own regulatory procedures, guidance and criteria to protect human health and the environment or they may borrow from each other information to regulate the use and emissions of various substances in their country, state, province, region or municipality. Many regulatory frameworks, protocols, guidance documents and criteria are based on or require toxicological testing. Toxicological testing is part of the standard regulatory approval process for new drugs, food additives, new substances and chemicals. Most developed countries have their own regulatory requirements for such testing and protocols can vary from one to the next. Recently there has been an effort to harmonize regulations pertaining to the release of chemicals and other substances to

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the environment. It is beyond the scope and intentions of this course to discuss in any detail these regulations.

Toxicology involves the application of knowledge and methodologies of biology, chemistry, mathematics, and physics.

Today toxicology includes the study of molecular biology and in vitro systems (non-animal studies) using toxic chemicals as tools for discovery of biological, molecular, and genetic processes and mechanisms. Modern toxicology like most other sciences has evolved into a sophisticated science from the ancient days of acute poisoning, through early industrial occupational medicine of acute exposure to industrial emissions and early drug studies of acute lethality (death) in laboratory rats, to current chronic lifetime carcinogenicity studies, studies of birth defects, developmental and behavioural effects, effects on reproduction (endocrine effects), neurotoxicity, immunotoxicity, molecular toxicology and genotoxicity studies.

Occupational exposure to mercury and lead and the correlation with disease in goldsmiths dates back to 1480. The industrial revolution coincided with the development of many occupational diseases in miners, midwives, printers, weavers and potters, scrotal cancer in chimney sweeps. In the nineteenth century, the science of toxicology grew with the development of organic chemistry and by 1880 over 100,000 organic chemicals had been synthesized and experimental toxicology of these chemicals laid the groundwork for occupational industrial toxicology. Occupational industrial toxicology did not receive much attention until the late 1800s and early 1900s with the passage of worker’s insurance laws.

Modern toxicology has developed alongside and in response to advances in new drugs, pesticides, radioactive substances and weapons of war, synthetic fibers, industrial chemicals and in response to legislation directed at human health and environmental protection. In the mid-1950s the emphasis was on protection of the food supply and concern for carcinogens (Delaney clause, 1958 US Food and Drug and Cosmetic Act). However, by the early 1960’s concerns shifted to developmental effects and teratogenicity in response to tragic birth defects caused by thalidomide exposure and to environmental effects in wildlife following the publication of Rachel Carson’s novel Silent Spring. During the 1960’s analytical methods to detect chemicals in environmental media were able to measure as low as part per billion (ppb) levels. Discovery in the 1970’s of the highly toxic bioaccumulative chlorinated organic chemical dioxin (2,3,7,8-tetrachlorodibenzodioxin) led to the development of todays analytical methods that are able to measure as low as part per quadrillion (ppq) levels. Similarly, the field of toxicology and related regulation, journals, societies have grown rapidly since the 1970s.

Recent advances in toxicology include: a dramatic increased sensitivity and specificity of analytical chemistry techniques, molecular biology techniques and molecular toxicology, the study of genetic mutations and mechanism of carcinogenicity, the importance of pharmacokinetics (the process of chemical uptake, distribution, metabolism, and excretion) in determination of target tissue dose (determination of the concentration of a specific chemical that is toxic in a specific biological tissue), immunotoxicology, neurotoxicology, developmental and behavioral effects in developing fetus, infant and child, and reproductive and developmental effects of endocrine disruption (effect of certain chemicals that are able to upset natural hormonal processes controlling development and reproduction).

Examples of Disciplines of Toxicology

Related to Human Toxicology

Mammalian Toxicology: the study of the harmful effects of chemicals, drugs and other substances in mammals to predict their effects in humans.

Reproductive and Developmental Toxicology: the study of the harmful effects of chemicals, drugs and other substances on reproduction and development in mammals.

Genotoxicology and Mutagenicity: the study of the harmful effects of chemicals, drugs and other substances on genetic material e.g.. DNA, RNA .

Immunotoxicology: the study of the harmful effects of chemicals, drugs and other substances on the immune system.

Neurotoxicology: the study of the harmful effects of chemicals, drugs and other substances to the central nervous system (CNS) and peripheral nervous system (PNS).

Clinical Toxicology: the study of the harmful effects of drugs in humans using controlled studies (clinical trials) of drugs developed to treat human disease and illness.

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Disciplines Complementary to Human Toxicology

Endocrinology: the study of natural internal hormonal, neurotransmitters and other biochemicals excreted by various glands (e.g. pituitary gland, pancreas, pineal) and their function as regulators of development and function of reproductive systems, central nervous system (CNS), immune system, aging and growth and development overall. Recent research has identified endocrine disruption leading to alterations in behavioral and reproductive development as a sensitive toxicological response in fish and laboratory animals exposed to low levels (ppb and ppt) of various pesticides, pharmaceuticals and personal care products.

Biochemistry: the study of chemicals and their function in biological systems. Biochemistry is critical to the understanding of mechanisms of toxic action and toxic effect of various chemicals and substances in biological systems at the molecular, cellular, tissue and whole animal level.

Analytical Chemistry: the application and development of analytical methodologies to detect and measure chemicals in different media [e.g. food, water, biological tissues (blood, muscle, fat), soil, sediment, air, dust].

Histology and Pathology: the microscopic and macroscopic study of changes in cells and tissues caused by disease, chemical or other agents.

Human Epidemiology: the study of health effects and disease observed in human populations and the statistical association of disease incidence within a population with possible stressors or disease agents. Epidemiology is not the same as Toxicology as it does not involve controlled exposures to study the effects of certain chemicals or substances and the characterization of the dose-response relationship. Epidemiological data and association (or statistical correlation) alone are insufficient to determine the cause-effect relationship of chemicals or substances since observed biological effects in uncontrolled population studies mat be affected by many potential confounding factors (other stressors or events that affect the biological response in the exposed population). Examples of confounding factors in human epidemiology studies include smoking, diet, socio-economic factors, education, hygiene and lifestyle habits, alcohol, medicinal drug use and recreational drug use. Additional knowledge from the results of controlled animal toxicology studies of the dose response relationship and the mechanism of toxic action is required to determine cause-effect relationships.

Biostatistics: the mathematical study of the statistical associations of biological responses in an exposed population. NOTE: Mathematical statistical associations or correlations in isolation of toxicological information on the biological dose-response relationship and the mechanism of toxic action are insufficient to determine a cause-effect relationship.

Related to Environmental or Ecosystem Toxicology

Aquatic Toxicology: the study of the harmful effects of chemicals, drugs or substances in organisms that live in the aquatic environment [fish, water-insects (invertebrates, zooplankton), mollusks, aquatic plants, algae, microorganisms, aquatic mammals, early-life stages of amphibians].

Terrestrial Toxicology: the study of the harmful effects of chemicals, drugs or substances in organisms that live on land [wildlife such as large and small mammals, birds of prey, ground birds and song birds, reptiles and amphibians, insects, plants, microorganisms].

Ecotoxicology: the study of the harmful effects of chemicals, drugs or substances on biologically mediated ecological processes resulting in harmful effects on ecosystem health [e.g. nutrient cycling, decomposition of organic material, predator prey relationships].

Complementary to Environmental or Ecosystem Toxicology

Environmental Microbiology: the study of microorganisms and their activity on various chemicals and substances in the environment (e.g. the affect of microorganisms on the breakdown or modification of chemicals, such as pesticides, petroleum hydrocarbons, and mercury).

Environmental Chemistry: the study of the chemical properties and fate [chemical form, transfer within and among environmental media (air, water, sediment, soil, biological tissues)] of chemicals in the environment. Models that predict the environmental fate of chemicals when released to certain environmental compartments (e.g. water) have been developed and are available for use.

Biochemistry: the study of chemicals and their function in biological systems.

Biochemistry is critical to the understanding of mechanisms of toxic action and toxic effect of various chemicals and

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substances in biological systems at the molecular, cellular, tissue and whole animal level.

Analytical Chemistry: the application and development of analytical methodologies to detect and measure chemicals in different media [e.g. food, water, biological tissues (blood, muscle, fat), soil, sediment, air, dust].

Ecology (basic ecology, wildlife ecology, and animal population studies): is the study of the relationships, interactions and interdependency of the many biological organisms that co-exist in natural habitats, and the various feeding and energy levels, including feeding and predator-prey relationships, behavioral relationships, breeding, nesting and developmental relationships at the individual, population or community level. Population ecology is the study of population dynamics of different species, their survival and fertility and population growth of different populations within a particular habitat or community.

Biostatistics: the mathematical study of the statistical associations of biological responses in an exposed population. NOTE: Mathematical statistical associations or correlations in isolation of toxicological information on the biological dose-response relationship and the mechanism of toxic action are insufficient to determine a cause-effect relationship.

Hydrogeology: the scientific study of groundwater.

TOXICOLOGY IN THE ASSESSMENT AND MANAGEMENT OF WATER-RELATED IMPACTS ON HEALTH

Toxicology (mammalian, aquatic, ecotoxicology, environmental chemistry and epidemiology) is used to study environmental pollutants (i.e. chemicals, biological agents and physical substances) and identify specific harmful effects caused by individual and mixtures of chemical pollutants. The concentration or dose of pollutant(s) (i.e. chemicals, biological agents and physical contaminants) that cause harmful effect(s) is determined through controlled toxicological studies. This knowledge is used to assess whether or not these pollutants would impact water and sediment quality and the potential health risks to life dependent on aquatic ecosystems, including humans through drinking water, bathing, swimming, and the consumption of fish and seafood. Toxicological information describing the fate and effects of pollutants in the aquatic environment, as well as the unique features of the water system are used to develop management strategies to control pollution and design clean-up procedures to prevent or minimize these harmful effects in aquatic ecosystems and human health.

Strategies that are scientifically-sound designed to protect human and aquatic ecosystem health require the integration of information on the following. Uses of the water system (e.g. drinking water, wastewater disposal, agricultural and food production, industrial processes, shipping). Sources of pollutants (e.g. point-sources and non-point sources). Type of pollutants (e.g. physical- chemical properties, biological properties). Environmental fate of pollutants and characteristics of the receiving water system (e.g. hydrology, currents, pH, hardness, salinity, suspended solids, dissolved oxygen, dissolved organic carbon, temperature, sediments, meteorology). Characteristics of humans (infant, child, adolescent, teen, adult, pregnant woman) and their exposure pathways to pollutants through drinking water, dermal contact with water and sediments, and consumption of food, fish and seafood. Characteristics of aquatic organisms, their consumers and other wildlife inhabiting aquatic ecosystems and their exposure pathways to pollutants through contact with water, sediments and food. Toxic effects and mechanism of toxic action of individual pollutant(s) or group of pollutants (e.g. short-term effects and long-term effects on human health and ecological health). Potential health risks to humans and the aquatic ecosystem of exposures to pollutants at concentrations measured or predicted to occur in aquatic ecosystem.

References:

Louis J. Casarett & John Doull first edited, Toxicology: The Basic Science of Poisons, in 1975. In 2013 the 8th edition was edited by Curtis D. Klaassen, published by McGraw-Hill. ISBN: 978-0-07-176923-5.

International Programme on Chemical Safety. Enviornmental Health Criteria 170. Assessing Human Health Risks of Chemicals: Derivation of Guidance Values for Health-Based Exposure Limits http://www.inchem.org/documents/ehc/ehc/ehc170.htm

OECD Environment, Health and Safety Publications Series on Testing and Assessment

Fundamentals of Aquatic Toxicology: Effects, Environmental Fate, and Risk Assessment. 2nd Edition. Reprinted 2003. Taylor & Francis Group. © 1995 Taylor & Francis

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The Basic Underlying Principle of Toxicology is the dose makes the poison or “All substances are poisons; there is none which is not a poison.”

This basic principle dates back to the time of Paracelsus in 1493-1541 (Physician-Alchemist) and has been expanded to the following,

1. Experimentation is essential to determine the biological responses to chemicals.

2. It is desirable to distinguish between therapeutic and toxic properties of chemicals.

3. The differences between these properties are not always clear except by dose.

4. The amount of specificity of chemicals and their therapeutic and toxic effects can be determined.

The major factors determining toxicity are:

Dose

Exposure - exposure route; susceptibility and vulnerability are also influenced by behaviours and lifestyle, environmental setting and location, home and habitat, as well as age and life-stage, body size, etc.

Mode or Mechanism of Toxic Action - innate properties of the substance and its form.

Organism or Species - metabolism, sensitivity, gender and genetics. sensitivity and susceptibility are influenced by metabolism, gender, genetics, age and life-stage, body size, etc.

References:

Casarett Louis J. and John Doull first edited, Toxicology: The Basic Science of Poisons, in 1975. In 2013 the 8th edition was edited by Curtis D. Klaassen, published by McGraw-Hill. ISBN: 978-0-07-176923-5.

International Programme on Chemical Safety. Enviornmental Health Criteria 170. Assessing Human Health Risks of Chemicals: Derivation of Guidance Values for Health-Based Exposure Limits http://www.inchem.org/documents/ehc/ehc/ehc170.htm

NLM (National Library of Medicine) SOT (Society fo Toxicology). Module 1 - Introduction to Toxicology and Dose- Response.http://toxlearn.nim.nih.gov

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THE TOXICOLOGICAL PRINCIPLE OF DOSE

Administered DOSE is the amount of substance or toxic agent received by the organism (often considered to be the amount of chemical or substance given to the test animal or organism).

Bioavailable Dose is amount of substance or toxic agent that is available to interact with the target site of harmful effects (this is difficult and often impractical to accurately measure; typically estimated from the amount of chemical or substance given to the test animal or organism adjusted by the percent absorption into the bloodstream or tissues).

The biological response or harmful effect is directly proportional to the bioavailable dose at the target site. The greater the dose the greater the likelihood of harmful effect.

DOSE is typically expressed in units of µg/kg body weight (or mass in micrograms of toxic agent per body weight in kilograms of the exposed human, animal or other organism).

In exposures where the actual amount received by the exposed human or animal cannot be readily measured (e.g. exposure via inhalation of air pollutants or exposure of aquatic organisms via water) the concentration in environmental media (air, water, soil, food) is used to estimate the dose.

Consequently, any substance can be harmful (toxic), even essential nutrients (e.g. copper, zinc, vitamin A), provided the dose is great enough. Even common table salt and sugar can be harmful in sufficient exposure quantities.

The comparative toxicity or toxic potency (i.e., hazard) is determined by the comparison of doses causing the same effect in the same organism, often by the same exposure route and duration, acute or chronic effects of short-term and long-term exposures.

In the example provided, chemical contaminant A is the most toxic and B is the least toxic based on lethal dose.

The comparative toxicity of the four compounds is A >C >D>B. Substances that cause toxicity in the same organism, but at a lower dose are said to be ‘MORE TOXIC’ or are ‘MORE POTENT’ than those that cause the same effect at a higher dose.

e.g. Cyanide is more toxic than Nicotine.

References:

Casarett Louis J.and John Doull first edited, Toxicology: The Basic Science of Poisons, in 1975. In 2013 the 8th edition was edited by Curtis D. Klaassen, published by McGraw-Hill. ISBN: 978-0-07-176923-5.

International Programme on Chemical Safety. Enviornmental Health Criteria 170. Assessing Human Health Risks of Chemicals: Derivation of Guidance Values for Health-Based Exposure Limits http://www.inchem.org/documents/ehc/ehc/ehc170.htm

NLM (National Library of Medicine) SOT (Society fo Toxicology). Module 1 - Introduction to Toxicology and Dose- Response.http://toxlearn.nim.nih.gov

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EXPOSURE

Exposure refers to contact of the living organism with the contaminant substance (chemical biological physical). Exposure involves exposure routes or pathways and time of contact consisting of the duration and frequency of events.

EXPOSURE is the actual pathway, contact, and time of contact between the biological system, plant or animal with the chemical or substance. In addition to sufficient dose innate toxic potential of the toxic agent, exposure of the organism with to the agent is necessary to cause a biological response. Without exposure to the agent there can be no toxicity.

Four major factors affecting toxicity and health effects are the exposure route, duration of exposure and frequency of exposure. The exposure route is the process of intake and contact with the toxic agent.The length of time over which contact with the toxic agent occurs is referred to as the duration. Exposures may be one time events (once in a lifetime exposure) or repeated events (daily exposure, monthly, or 5 days per week as in occupational exposure). This is referred to as the frequency of exposure. frequency of exposure can also refer to the statistical incidence and statistical probability of exposure over a specified time and in a specified group or population such as the LD50 which is the dose on average corresponding to lethality in 50% of the exposed organisms. This concept is further discussed in the section on epidemiology principles and method and applications in the assessment of health outcomes.

Therefore, Exposure is a function of both the Frequency and the Duration that the organism (human) is in contact with the contaminant (chemical, biological and physical).

Exposure Route

Exposure Routes (pathways of contact with toxic agent) are the following,

Ingestion - oral exposure via gastrointestinal tract, through eating or drinking.

Inhalation - exposure via respiratory tract (lungs), through breathing.

Dermal - exposure via skin, through bathing, swimming, contact with soil/dust, lotions etc.

Other routes or injection pathways: Intradermal (into the skin layer), Intramuscular (into the muscle layer), Subcutaneous (under the skin layer), Interperitoneal (into the chest cavity), Intravenous (into a vein).

Toxicity requires absorption (see discussion of ADME and Absorption) or uptake of the toxic agent into the body and almost always involves transfer into the bloodstream and biological tissues to interact with the target site of toxicity (contact with a specific receptor or site in molecules, cells or tissues that initiates a change that results in a harmful biological effect). Exceptions to this include certain situations involving direct contact with skin or mucous membranes (e.g. lining of lungs, nasal passages, etc.).

Comparison of Exposure Routes and Time for Toxic Agent to Reach Bloodstream (1 is most rapid)

1. Intravenous (i.v. injection) Injection directly into bloodstream.

2. Inhalation (via respiratory tract) Exposure through breathing and contact with lungs.

3. Intraperitoneal (i.p. injection) Injection into intraperitoneal cavity.

4. Subcutaneous (s.c. injection) Injection under the skin.

5. Intramuscular (i.m. injection) Injection into muscle

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6. Intradermal ( i.d. injection into Exposure into skin via injection skin) or contact with wounded skin

7. Ingestion (oral exposure via Exposure through eating and gastrointestinal tract) drinking.

8. Dermal (percutaneous, topical) exposure via direct contact with skin

There are generally four categories of exposure based on the duration and frequency of contact. These are:

· Acute exposure short-term exposure (usually single exposure)

· Subacute exposure short-term exposure (several days)

· Subchronic exposure long-term exposure (weeks – months)

· Chronic exposure long-term exposure (months-years) and life-time exposure

Four Categories of Exposure Used in Toxicology

Exposure Category Mammalian Toxicology Aquatic Toxicology

Acute Exposure Duration is < 24 h; Duration is 24 hours; waterborne exposure. Frequency is usually single administration, but repeated exposures may given within 24 h;

Acute inhalation is often 4h.

Subacute Exposure Duration is 1 month or less;

Frequency is repeated doses.

Subchronic Exposure Duration is 1 to 3 months or 96 hours waterborne exposure. less; Frequency is repeated doses.

Chronic Exposure Duration is > 3 months; Life-cycle study; early life-stages Frequency repeated doses; Most study through maturation and common chronic exposure route multi-generational studies. is dietary. Multigenerational studies.

In human occupational or environmental exposures acute exposure generally refers to a single event, whereas subchronic exposure refers to repeated exposure over several weeks or months, and chronic exposure over many months or years. Toxic effects may be different depending on the test organisms, the dose and exposure duration and frequency and the route of exposure.

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References:

Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344.

International Programme on Chemical Safety. Enviornmental Health Criteria 170. Assessing Human Health Risks of Chemicals: Derivation of Guidance Values for Health-Based Exposure Limits http://www.inchem.org/documents/ehc/ehc/ehc170.htm

Louis J. Casarett & John Doull first edited, Toxicology: The Basic Science of Poisons, in 1975. In 2013 the 8th edition was edited by Curtis D. Klaassen, published by McGraw-Hill. ISBN: 978-0-07-176923-5

NLM (National Library of Medicine) SOT (Society fo Toxicology). Module 1 - Introduction to Toxicology and Dose- Response.http://toxlearn.nim.nih.gov

Organisation for Economic Co-operation and Development (OECD). 2013. GUIDANCE DOCUMENT FOR EXPOSURE ASSESSMENT BASED ON ENVIRONMENTAL MONITORING Series on Testing and Assessment No. 185. ENV/JM/MONO(2013)7

United States Environmental Protection Agency (USEPA). Guidelines for Carcinogen Risk Assessment. Risk Assessment Forum U.S. Environmental Protection Agency Washington, DC EPA/630/P-03/001FMarch 2005

United States Environmental Protection Agency (USEPA). 1989. Risk Assessment Guidance for Superfund Volume I Human Health Evaluation Manual (Part A) Interim Final. EPA/540/1-89/002 December 1989. Annotation added April 2010 accessed online October 04, 2014 www.epa.gov/oswer/riskassessment/ragsa/pdf/rags_a.pdf

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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DOSE RESPONSE RELATIONSHIP

The dose response curve is the plot of the administered dose (µg/kg body weight/day) on the X-axis versus the response (or effect) on the Y-axis. The dose-response curve shows at what dose (amount of chemical exposure) the effects start to be seen (observed) in exposed organisms.

The shape of the Dose-Response Curve provides information on the severity of toxicity. A typical sigmoidal or S-shaped curve as present in the above diagram is indicative of a threshold for toxic effect. The ‘Threshold Dose’ is the dose at and below which no adverse response is observed. The threshold dose can’t be tested directly in animals but is mathematically derived. The threshold dose is represented by the No Observed Effect Level (NOEL) or the No Observed Adverse Effect Level (NOAEL) which is the maximum dose administered that id not cause observable effects (or harmful effects) in the test organism or system. A theoretical Non-Threshold Dose Response Curve would be a dose-response curve that has little to no lag phase and intersects the x-axis close to the origin is indicative of no observable threshold for toxic response (see diagram below of Non-Threshold Dose Response Curve). Direct-acting genotoxic carcinogens (substances that interact directly with DNA and RNA to alter its normal function) are typically considered to lack a threshold for effects. This is because of the theoretical possibility that damage to a molecule or cell caused by a single interaction between the toxic agent and DNA could lead to the development of cancer. A shallow Dose- Response Curve indicates that a large change in dose (large increase in the amount of substance given to test organism) is needed to cause an increase in the biological response. For a shallow dose-response relationship there is typically a large difference between the ‘theoretical threshold dose’ and the ‘toxic dose’. A Steep Dose-Response Curve indicates that little change in dose (small increase in the amount of substance given to test organisms) is needed to cause an increase in the biological response. For a steep dose-response relationship there is typically little difference between the ‘theoretical threshold dose’ and the ‘toxic dose’.

Other factors affect the dose-response including the following. The frequency of exposure can affect whether or not toxic agent(s) might build up in tissues to levels that cause harmful effects in cells or in tissues of the exposed animal. This will depend on how close together repeated exposures occur, the physical-chemical properties of the chemical, and the metabolism or ability of the test organism to breakdown and eliminate the toxic agent. Further discussion about the potential for accumulation and elimination of contaminants and systemic toxicity is covered under Absorption, Distribution, Metabolism, and Excretion (ADME). The species and genetics of the test organism may affect the dose response, some species and genotypes are more susceptible than others to different toxic agents. These differences may be related to difference in metabolism (breakdown) of chemical substances such that they are made either less toxic and eliminated from the body or organism, or they may be made more toxic or accumulated in body tissues. Therefore, care must be taken when making comparisons between effects and dose-response in one animal species (e.g. rat, mouse) to another (e.g., humans). Natural biological repair mechanisms of cell and molecular damage minimize the likelihood of irreversible damage in the exposed organism and observable effects at the whole animal level.

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Irreversible effects or insufficient time for biological systems to recover from damage at the molecular and cellular level can result in observable harmful health effects at the whole animal level.

Reference:

NLM (National Library of Medicine) SOT (Society for Toxicology). Module 1 - Introduction to Toxicology and Dose- Response.http://toxlearn.nim.nih.gov

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Effect of Repeat Exposures

Figure illustrating differences in tissue levels of chemicals with different excretion and repeated dosing. Figure illustrates chemical with a slow elimination rate that accumulates with each dose; a chemical that about 50% or more is eliminated before next dose and therefore takes several doses before tissue levels increase and an effect is observed; and a chemical that is rapidly eliminated before next dose.

Low Frequency Exposures - No adverse effect(s) would be observed in the exposed animal if enough time has passed after the initial exposure to allow the body to eliminate the chemical and toxic concentration does not occur in target site or any cell damage is repaired before next exposure.

Exceptions are persistent and bioaccumulative chemicals (e.g. 2,3,7,8-tetrachlorodibenzo-p-dioxin, PCBs, DDT, lead) that slowly accumulate in tissues over time may cause gradually damage in tissues and cumulative harmful effects over time; cumulative effects of cell damage also occurs with radiation

High Frequency Exposures - Adverse effect(s) would be observed when repeated exposures do not allow enough time for the body to eliminate the chemicals and toxic concentrations occur at the target site or damaged cells cannot be repaired. It is also possible that damage could occur in cells even though the chemical itself is not accumulating.

References:

Casarett Louis J.and John Doull first edited, Toxicology: The Basic Science of Poisons, in 1975. In 2013 the 8th edition was edited by Curtis D. Klaassen, published by McGraw-Hill. ISBN: 978-0-07-176923-5.

International Programme on Chemical Safety. Enviornmental Health Criteria 170. Assessing Human Health Risks of Chemicals: Derivation of Guidance Values for Health-Based Exposure Limits http://www.inchem.org/documents/ehc/ehc/ehc170.htm

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NLM (National Library of Medicine) SOT (Society fo Toxicology). Module 1 - Introduction to Toxicology and Dose- Response.http://toxlearn.nim.nih.gov

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Toxicity Assessment (Hazard Assessment) - Harmful Effects Endpoints

The nature, degree and severity of the harmful effect of exposure to chemical(s) and other substances are important considerations in the assessment of toxicity. Exposures to chemicals and other substances can cause a wide range of different effects that may or may not be harmful to the whole organism (Klassen and Eaton, 1991). The biological significance of a response will require professional judgement based on the nature, degree and severity of the response.

Types of Toxicological Endpoints

Toxicological Endpoint Type of Toxicity Study

Lethality (LD50; LC50) provides information on Acute Short-term studies e.g.Lethal Dose the: causing death in 50% of the test organisms; Lethal Concentration causing death in 50% of test i) quantity that is lethal for comparison with organisms. potentcy of other chemicals; ii) the identity of target organs and other clinical signs of toxicity; New chemicals require determination of LD50 by iii) the reversibility of the toxic response; and iv) one or more route, usually oral route. Test dose-range guideance for other studies (e.g. species is often mouse or rat, sometimes rabbit or chronic studies). The LC50 is used when the dog. Animals observed over a 14-d period. actual dose or amount received by the test organism is not known; this is the case when animals are exposed to chemicals in air or fish to chemicals in water.

Teratogenicity, Reproduction and Developmental Chronic studies Long-term or life-time studies. In Toxicity, Carcinogenicity, Neurotoxicity (damage rodents these are 6 months to 2 years. to the nervous system)

Teratogenicity – the adverse effects resulting in Chronic exposure of mother before and through birth defects or malformations in the developing out pregnancy; or Acute exposure from single fetus. time exposure during critical stages of fetal development, organogenesis, the first trimester. Usually tested in two species, including rabbit. Usually 12 rabbits and 24 mice per group and three doses are tested during organogenesis (days 7 to 17 in rodents) and (days 7 to 19 rabbits). At the end of the gestational period fetuses are removed by cesarian section and observed for skeletal and soft tissue anomalies.

Short-term in vitro tests using whole embryo culture, organ culture and primary cell cultures to examine developmental processes and predict teratogenic effects of chemicals.

Developmental Toxicity – the adverse effects on Chronic exposure. May involve exposure from the developing organism including reproductive preconception (of either parent), during prenatal and behavioural effects. development, postnatally until sexual maturity.

Multigenerational studies may also be conducted. Usually 3 doses are tested in groups of 25 female and 25 male rats shortly after weaning (from 30 to 40 days). Animals are exposed throughout breeding, gestation, and lactation. Offspring have been exposed in utero, via lactation and in feed

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afterwards. These offspring are bred and exposure of continues until three generations have been exposed to the chemical. The percentage females that become pregnant, number of stillborn and live offspring, weights, growth, survival and general condition of offspring during first 3 weeks of life are observed. The fertility index (% of matings resulting in pregnancies); the gestation index (% pregnancies resulting in live litters); the viability index (% animal surviving 4 days or longer); and the lactation index (% animal alive at 4 day that survived the 21-day lactation period) are determined. Gross necroscopy and histopathology is done on the parents particularly for reproductive organs; and gross necroscopy is done on all weanlings.

Reproductive Toxicity or Impairment of Fertility – Chronic exposure. May involve exposure from the adverse effects on reproductive system of preconception (of either parent), during prenatal males and females often not observed until development, postnatally until sexual maturity. exposed offspring reach sexual maturity. Fertility and reproductive performance tests in rats with two or three doses; 20 rats per sex per dose (dose must not cause maternal toxicity). Males are given the test chemical 60 for days and Reproduction Dysfunction – this includes females receive it 14 days prior to mating. reproduction problems related to damage in Animals receive the chemical throughout reproductive tissues of males and females such gestation and lactation. The percentage females their function is impaired [e.g. that become pregnant, number of stillborn and live offspring, weights, growth, survival and general decreased fertility; decreased reproductive condition of offspring during first 3 weeks of life success (% successful pregnancies); unsuccessful are observed. mating; decreased ovary function and production of viable eggs; decreased sperm motility and numbers; testicular damage; and abnormal mating behavior]. Reproduction dysfunction has been observed in offspring of exposed parents (male and female) and can occur in post- generations (e.g. second and third generation offspring of exposed parents.)

Mutagenicity – the effect of chemicals to cause Short-term in vitro tests using bacterial cells, cell mutations (changes in gene performance). Often cultures, chromosomes and nucleic acids to these tests done with single cell organisms determine mutagenic effects of chemicals. (bacteria) that have been genetically altered so that they can not use a ccertain nutrient, when exposed to a chemical that causes a reverse mutation the ability of a bacteria to metabolize that nutrient is restored (i.e. the previous mutation is reversed).

Carcinogenicity (development of cancer) Chronic 2 year study in rats or mice equivalent to lifetime exposure (average lifetime of 18 months to 2 years in mice; 2 to 2.5 years in rats) and usually 60 rats per sex per dose group is used.

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Information from human epidemiology studies (usually occupational exposures) is used as evidence of carcinogenicity in humans.

Immunotoxicity – adverse effects on the immune Short-term in vitro tests using cell cultures to system examine immune system processes and evaluate potential for harmful effects of chemicals.

Biological Significance

Four major considerations in judgement of the biological significance of the response and examples are as follows.

1. Timing of response related to exposure. Do adverse effects occur immediately after exposure or are they delayed?

Examples:

Cancer - A long latency period of 20 years or greater following exposure may precede the development of tumours by carcinogens.

Neurotoxicity (Nervous system damage) – Delayed signs of damage to the nervous system may occur following exposure to some organophosphorous pesticides and exposure to other chemicals.

Delayed Lethality (death) –Dioxin (2,3,7,8-Tetrachlorodibenzo-p-dioxin) causes death several days to weeks following exposure [e.g. In fish exposed to acute levels of 2,3,7,8-TCDD lethality did not occur until up to 60 days following a single exposure (Miller et al., 1979; Adams et al. 1986; Helder, 1980 and 1981)].

Impaired reproduction in adult offspring of exposed adults – Harmful effects on reproductive tissues cause by early life-stage exposure to certain PCBs and dioxins/furans are not observed until exposed offspring are sexually mature.

2. Location of the harmful effect. Is the effect localized or systemic?

Examples:

Localized effects are restricted to area at the site of inital contact (e.g. injection site or skin irritant effect).

In contrast, systemic effects occur at sites distant from the site of initial contact and require absorption and distribution within the organism (e.g. oral ingestion of inorganic arsenic results in lung cancer). The degree of exposure is a factor determining whether or not localized or systemic effects would occur. Systemic effects often require high levels of exposure. Absorption, distribution and metabolism are chemical specific determinants of systemic toxicity that results in the specific organ toxicity of many chemicals.

3. Reversibility of effects. Are effects of exposure reversible or irreversible?

Examples:

Reversible effects - Cell damage is repaired or damaged cells are replaced by healthy cells through processes of normal cell replication and biological repair mechanisms.

Irreversible effects – Damaged cells do not recover as is the case for birth defects (teratogenic effects) and cancer (carcinogenic effects).

4. Consistency or reproducibility of effects. Are observed effects consistently produced in all exposed group or population (i.e. Are they idiosyncratic?)?

Examples:

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Inconsistency in reproducibility of effects within an exposed may indicate that the response is related to a genetically controlled abnormal response in some individuals or small populations. These effects may be similar to those observed in the majority of exposed individuals but are often more severe such as extreme sensitivity to small doses or extreme insensitivity to large doses. These idiosyncratic effects may be due to differences in metabolizing enzyme systems. Care needs to be taken in interpretation of the biological significance of idiosyncratic effects. If effects observed in laboratory animal tests are due to responses in inbred strains of test animals then their results are likely not applicable for extrapolation to human populations. However, if increased sensitivities occur in potentially exposed human populations then consideration for these sensitivities would need to be included in human toxicity assessments.

References:

International Programme on Chemical Safety. Enviornmental Health Criteria 170. Assessing Human Health Risks of Chemicals: Derivation of Guidance Values for Health-Based Exposure Limits http://www.inchem.org/documents/ehc/ehc/ehc170.htm

IPCS/WHO 2010. WHO human health risk assessment toolkit: chemical hazards. (IPCS harmonization project document; no.8) 1.Hazardous substances - toxicity. 2.Risk assessment. 3.Environmental exposure. 4.Toxicology. I. World Health Organization. II.International Programme on Chemical Safety. ISBN 978 92 4 154807 6 (NLM Classification: QV 600) © World Health Organization Geneva 2010

United States Environmental Protection Agency (USEPA). 1989. Risk Assessment Guidance for Superfund Volume I Human Health Evaluation Manual (Part A) Interim Final. EPA/540/1-89/002 December 1989. Annotation added April 2010 accessed online October 04, 2014 www.epa.gov/oswer/riskassessment/ragsa/pdf/rags_a.pdf

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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Modes of Action or Mechanism of Toxic Action

How chemicals and other substances cause harmful effects. Harmful effects occur through alterations or changes in normal physiological and biochemical processes of cells by exposure to chemicals or other substances (e.g. bacertia, viruses, asbestos fibres, radionuclides).

Factors affecting toxic response include:

i) The rate of toxic injury and the type of interaction or binding between the toxic agent with cellular systems (is the binding reversible or irreversible?).

ii) The biological importance of the physiological or biochemical processes that are affected.

iii) The functional reserve capacity of the affected tissues or the ability of affected tissues to function dispite alterations to the normal physiological level of activity (homeostasis). The lung, liver, and kidney can be damaged to some degree and still function without signs of harmful effects. These tissues have substantial functional reserve capacity. Reproductive organs are less able to overcome damage their functional reserve capacity is limited in most species including humans.

iv) The ability of the exposed organism to repair damage in cells or replace damage tissue with regenerated tissue. The liver and other epithelial tissues (skin) are able to replace damaged cells with healthy cells. Other tissues such as the nervous system cannot significantly replace damaged cells (e.g. brain cells).

General Mechanisms of Toxic Action

Interference with Normal Receptor-Ligand Interactions – many physiological and biochemical processes in biological cells, tissues and systems involve the physical binding (non-specific or specific binding) of chemicals (ligand) to binding sites within cells, cell membranes and on cell surfaces. Disruption of normal biological processes and toxicity can result from chemical interference in the normal receptor-ligand binding interactions of these types of receptors

Neuroreceptors and neurotransmitters; Hormone receptors;Enzyme activity (P450; CYP1A); Transport Proteins

Interference with Membrane Functions – may result in cell impairment and or death and could lead to tissue damage.

Interference with Cellular Energy Production could lead to cell death and depletion of energy to perform normal physiological processes that could lead to tissue damage.

Binding to Biomolecules could alter normal physiological processes.

Perturbation of Calcium Homeostasis could result in imbalances in cells and cause tissue damage.

Toxicity from Selective Cell Loss may impair the function of tissues.

Non-Lethal Genetic Alterations in Somatic Cells (somatic cells are the cells or tissues that are not reproductive cells – not eggs or sperm)

Cancer – Carcinogenic chemicals have been divided into two classes (Williams and Weisburger, 1991):

1. Genotoxic Carcinogens – chemically interact with DNA and cause DNA adduct formation; these are “classic” carcinogens with the ability to form reactive chemical intermediates that can bind to DNA; two types of genotoxic carcinogens are the parent chemical is the active carcinogen; or the parent chemical requires bioactivation to become active (i.e., a specific metabolite is active carcinogen).

2. Non-Genotoxic Carcinogens – do not interact with genetic material; an alternative biological effect is the basis of carcinogenicity (e.g. by increasing cancer growth already caused by another chemical exposure; by altering normal hormonal activity; by suppressing the immune system; and other processes); many non-genotoxic carcinogens can increase DNA synthesis, cell division and cell replication rates.

Genotoxic Carcinogens generally are considered to present a greater threat to human health because of their interaction with genetic material. Since it is possible that harmful effects could result from a single exposure to genotoxic carcinogens or cumulative effects from multiple exposures or through interactions with other genotoxic chemicals it believed that there is no “threshold” of effects for genotoxic carcinogens (i.e. there is no NOEL for genotoxic carcinogens). Therefore extreme caution is used in the determination of “safe” or acceptable exposure levels for genotoxic carcinogens. These regulatory levels range from an estimated cancer risk of 1 in 10,000 for some occupational exposures to a cancer risk of 1 in 1,000,000 typically for environmental exposures.

Low level exposures to Non-Genotoxic Carcinogens that do not produce the necessary changes in normal physiologic, hormonal functioning would not result in increased incidence of cancer and threshold levels likely exist for these types of carcinogens (e.g. exposure levels below which cancer would not develop). Provided the non- genotoxic mechanism of action is well understood it is possible to identify threshold levels for non-genotoxic

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carcinogens. Non-genotoxic carcinogens, only result in cancer effects after high level and prolonged exposures necessary to maintain abnormal physiological functions, hormonal imbalance, tissue injury, cell proliferation or other nongenotoxic mechanisms (Williams and Weisburger, 1991).

Birth Defects – are malformations in skeletal tissues (bones) and soft tissues (brain, heart, lungs, muscle etc.) that occur during development of the fetus. Maternal exposure to teratogens (chemicals that cause birth defects) prior to conception and during pregnancy may result in birth defects. The most sensitive period for susceptibility of the developing fetus to teratogens is in the first trimester, the period of organogenesis.

General Mechanisms of Toxic Action (adapted from Klaassen and Eaton, 1991; and the Report of an Expert Panel, 1994)

Mechanism Examples of Toxic Agent

Interference with Normal Receptor-Ligand Interactions

Neuroreceptors and neurotransmitters Atropine

Strychnine

LSD

d-tubocurarine

organophosphates

antihistamines

Hormone receptors DES, TCDD, goitrogens

Enzymatic activity Organophosphates, cyanide, sodium fluoroacetate, metals

Transport proteins Carbon monoxide, nitrites

Interference with Membrane Functions

Excitable membranes

Ion flux Saxitoxin, tetrodotoxin, DDT

Membrane fluidity Organic solvents, ethanol, local anesthetics.

Membranes in organelles Carbon tetrachloride Lysosomal membranes Organotins Mitochondrial membranes

Interference with Cellular Energy Production

Oxygen delivery to tissues Carbon monoxide, nitrite

Uncoupling of oxidative phosphorylation Nitrophenols, organotins

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Inhibition of electron transport Rotenone, antimycin A

Inhibition of carbohydrate metabolism fluoracetate

Binding to Biomolecules

Interference with enzyme functions metals

Lipid peroxidation Carbon tetrachloride, paraquat, ozone

Oxidative stress

Depletion of GSH acetaminophen

Oxidation of protein thiols

Nucleic acids (DNA, RNA) Cadmium and other metals

Perturbation of Calcium Homeostasis

Cytoskeletal alterations Lead, carbon tetrachloride Activation of proteases

Activation of phopholipases

Activation of endonucleases

Toxicity from Selective Cell Loss

Hormonal and physiological imbalances (e.g. loss of dopaminergic neurons; thyroid insufficiency)

Birth Defects

Non-Lethal Genetic Alterations in Somatic Cells

Cancer

Initation

Promotion

Birth defects and transplacental carcinogenesis

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Toxicity of Chemical Mixtures

Chemicals can interact to cause a combined toxic effect.

Chemical interactions are: Additive; Antagonistic; Synergistic; Potentiative

Additivity occurs when the combined toxicity is equal to the sum of their individual toxicities. Example: Chemical A + Chemical B. 20% reduction in growth + 15% reduction in growth = 35% reduction in growt.

Antagonism occurs when the combined toxicity is less than the sum of their individual toxicities. Example: Chemical A + Chemical B. 20% reduction in growth + 15% reduction in growth <<< 35% reduction in growth.

Synergism occurs when the combined toxicity is greater than the sum of their individual toxicities. Example: Chemical A + Chemical B. 20% reduction in growth + 15% reduction in growth >>>> 35% reduction in growth

Potentiative Synergism occurs when one chemical alone is not toxic but in the presence of a second toxic chemical increases the toxicity of the second chemical.

Mechanisms of Antagonism:

i) Competition of the individual chemicals for the same receptor binding site where by the presence of one chemical blocks the binding of the other chemical and thereby reduces the combined toxicity of the mixture in comparison to the sum of the individual toxicities.

ii) Binding or interaction of the two chemicals to each other and reducing their overall bioavailability.

iii) Physiological antagonism where the chemicals act on opposing regulatory pathways and reducing the overall combined toxic effect.

Mechanisms of Synergism:

i) Chemicals interact to modify the chemical (chemical form) which increases their bioavailability.

ii) Chemicals interact to modify the biological receptor binding site (e.g. alter cell membranes so that greater amounts of chemical enter the cell and reach the target site).

iii) Chemicals interact to initiate sequential biological or molecular events in cells that increase the combined toxicity.

The best examples of interactions of chemicals are the interactions of therapeutic drugs; interactions of narcotics; and the relationship of poisons and antidotes.

At low levels of exposure typical of environmental exposures, when the rate of exposure is less than the threshold for harmful effects, chemicals generally interact additively. At higher levels of exposure chemicals may interact synergistically or antagonistically. Chemicals that act through different mechanisms of toxic action may interact nonadditively. For risk assessment purposes, chemicals that exert a similar toxic effect in the same tissues (e.g. lung cancer, liver cancer) are considered to behave additively unless data indicate otherwise. This may be an overprotective assumption in some cases of low level exposure

Methods to Assess Toxicity of Chemical Mixtures

1. Toxic Equivalency Factors “TEFs”

One approach to assess the toxicity of chemical mixtures is the use of Toxic Equivalency Factors “TEFs” has been developed to assess the toxicity of mixtures of chemicals that act through a similar mechanism of toxic action. Toxic Equivalency Factors are determined for all members of the group of chemicals acting through the same mechanism (e.g. dioxins and furans) by the ratio of their individual toxicities to that of the “Most Potent” chemical in the group assigned a TEF of 1. Each chemical within the group is assumed to interact additively. Toxicity data used to develop TEFs must be for the same toxic endpoint. The relative toxic potency may differ depending on the toxic endpoint and the biological species. This approach has been widely adopted for assessment of toxicity of chlorinated dioxins and furans, where toxicity is expressed as in terms of toxic equivalents to 2,3,7,8-2,3,7,8- Tetrachlorodibenzo-p-dioxin. This TEF approach has also been used to assess the combined toxicity of mixtures of PCBs.

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Example: Chlorinated Dioxins and Furans

2,3,7,8-Tetrachlorodibenzo-p-dioxin the “Most Potent” chemical = TEF 1

TEFs for other chemicals = toxicity of individual isomer (chemical)/ toxicity of 2,3,7,8-TCDD

Seventeen 2,3,7,8-chlorine substituted dioxin and furan chemicals have been assigned International Toxicity Equivalence Factors (I- TEF). The relative toxicity is determined by multiplying the concentration of each of these chemicals by the corresponding I-TEF and summing the seventeen individual toxic equivalent concentrations obtained to give a total I-TEQ concentration. Polychlorinated dibenzo-p-dioxins (PCDDs) and polychlorinated dibenzofurans (PCDFs) expressed in 2,3,7,8-tetrachlorodibenzo-p-dioxin (2,3,7,8- TCDD) toxicity equivalents. NATO International Toxicity Equivalency Factors (I-TEFs) for congeners and isomers of PCDDs and PCDFs are as follows:

PCDD Congener I-TEF PCDF Congener I-TEF

2,3,7,8-T 4 CDD 1.0 2,3,7,8-T 4 CDF 0.1

1,2,3,7,8-P 5 CDD 0.5 2,3,4,7,8-P 5 CDF 0.5

1,2,3,4,7,8-H 6 CDD 0.1 1,2,3,7,8-P 5 CDF 0.05

1,2,3,7,8,9-H 6 CDD 0.1 1,2,3,4,7,8-H 6 CDF 0.1

1,2,3,6,7,8-H 6 CDD 0.1 1,2,3,7,8,9-H 6 CDF 0.1

1,2,3,4,6,7,8-H 7 CDD 0.01 1,2,3,6,7,8-H 6 CDF 0.1

O 8 CDD 0.001 2,3,4,6,7,8-H 6 CDF 0.1

1,2,3,4,6,7,8-H 7 CDF 0.01

1,2,3,4,7,8,9-H 7 CDF 0.01

O 8 CDF 0.001

Note: NATO- ITEFs are based on mammalian species; different TEFs values have been determined for mammals, birds and fish.

UNDERLYING ASSUMPTIONS FOR TOXIC EQUIVALENCY FACTORS

i) The action of chemicals is strictly additive in the dose range to be evaluated.

ii) The target organ is identical in different organisms.

iii) The dose-response curves for a given toxicological endpoint are similar.

iv) The dose-response and ADME are identical in species used to derive TEFs and others, or differences have to be taken into consideration.

v) Effects predicted at low exposures are identical with those observed at high doses studied.

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ADVANTAGES OF TEFs

Enables assessment of exposures to multiple chemicals acting via similar toxic mechanisms Simple approach Require minimal analytical and toxicological data Conservative assumption of additivity; over-estimate risks rather than under-estimate risks.

DISADVANTAGES OF TEFs

Overly simplistic leading to misrepresentation of toxicological information Tendency to ignore critical toxicological information, including: Pharmacokinetics (ADME); Mechanisms of Toxic Action, more than one endpoint per substance of the group; Relative dose-response relationships of chemical constituents; Not all organims have the same dose-response, target organ or toxic endpoint.

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TOXICITY TESTING ENDPOINTS Standardized Toxicity Test Methods and Regulatory Guidance

There are a number of guidance documents and regulations that have been developed for environmental toxicology testing required by regulatory organizations. These standardized procedures are to ensure the human health and environmental ‘safety” of products and chemicals intended for human, veterinary and manufacturing use. International efforts have been made to harmonize standard toxicity testing guidance.

Standardized ecotoxicity testing methods have been developed by various regulatory and international organizations to assess the health risks of substances (chemical, biological, physical) in the environment.

Examples of such test include:

aquatic toxicity testing –full life-cycle testing e.g. 7-d waterborne exposure study in the water flea, Ceriodaphnia dubia to estimate chroniclong-term no-effect level (NOEL). wildlife toxicity testing – pesticide toxicity testing in birds (acute, subacute, subchronic, chronic, developmental, field and behavioral). sediment testing - sediments act as both a source and sink for chemicals; leaf and organic matter decomposition and nutrient-cycling (e.g. C,N,P,S) rates; use of multiple sediment living species in testing is preferred; sediment community diversity approach. soil ecotoxicology – soil toxicity testing in earthworms, larval stages of insects, microorganisms; soil community diversity approach; leaf and organic matter. decomposition rates; nutrient cycling. aquatic ecotoxicity in model habitats. algal and plant toxicity testing. Bioindicators of toxic effects –changes in biochemical, physiological, and morphological measure in exposed organisms, ecological processes, community and habitat.

FOOD WEB RELATIONSHIPS and CHEMICAL TRANSFER

Food web relationships are recognized as significant contributors to the transfer and accumulation of chemicals from one organism to another and from one feeding or energy level in a community to another (trophic levels) within ecosystems and between environmental compartments (air, water, sediment, soil, biota). Chemicals that build up in biological tissues are said to bioaccumulate. The process by which this occurs is called bioaccumulation and these types of chemicals are called bioaccumulative chemicals. Chemicals that do not easily soluble in water but readily soluble in animal fats tend to bioaccumulate in fatty tissues and are transferred from prey organisms to predators. Top predators (birds of prey, predatory mammals) and humans often have the greatest levels of bioaccumulative chemicals. Examples of bioaccumulative chemicals are the organochlorines DDT and PCBs and to a lesser extent chlorinated dioxins and furans, methyl mercury, lead and cadmium also bioaccumulate in tissues.

Major determining factors of the fate, transport and accumulation of environmental contaminants in ecosystems are the physical- chemical properties of the contaminants themselves, characteristics of the ecosystem and the processes governing chemical fate in the environment.

Environmental Quality Criteria and Guidelines

Numerous national, state and provincial regulatory organizations have developed environmental quality criteria and guidelines for the protection of water, ground water, fish, sediment, soil and air. These environmental quality levels are often based on generic assumptions and environmental conditions (assumptions and conditions that are representative of a wide variety of environments, habitats, organisms and uses and tend to maximize estimates of exposure, hazard and risk). In some cases these values are risk- based values that include an exposure pathways step in their calculation. Other environmental quality values are effects-based based on toxic effects in the most sensitive species identified using available data and often only one exposure pathway (e.g. toxicity in aquatic organisms and waterborne toxicity studies. However, in certain cases the basis of the environmental quality data may not be toxicity or risk but an analytical detection limit or limits for odour and taste, or the basis may not even be identified. Environmental quality criteria are often used as regulatory “triggers” to identify environmental situations requiring further assessment (environmental impact assessment and/or ecological risk assessment) or testing.

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List of Guidance Documents For Toxicity Testing

Some examples of guidance documents for toxicity testing:

Committee on Environment and Natural Resources National Science and Technology Council. 1996. The health and ecological effects of endocrine disrupting chemicals. A framework for planning. http://www.nnic.noaa.gov/CENR/TOC.htm.

Environment Canada. 1993. Canadian Environmental Protection Act. Section 5: Test procedures and practices. http://www.ec.gc.ca/CEPARegistry/guidelines/CPguide.PDF. pg 56-64.

Environment Canada. 1999. Canadian Environmental Protection Act. Definition of Toxic. http://www.ec.gc.ca/CEPARegistry/the_act/Part5_a.cfm.

Environment Canada and Health Canada. 1993. Guidelines for the Notification and Testing of New Substances: Chemicals and Polymers Pursuant to The New Substances Notification Regulations of the Canadian Environmental Protection Act.

Environment Canada and Health Canada. 1997. Guidelines for the notification and testing of new substances: Organisms, pusuant to The New Substances Notification Regulation of the Canadian Environmental Protection Act.

European Commission. 1999. Comminication from the Commission to the Council and the European Parliament. Community strategy for endocrine disruptors.

European Commission. 1999. CSTEE Opinion on Human and Wildlife Health Effects of Endocrine Disrupting Chemicals, with Emphasis on Wildlife and on Ecotoxicology Test Methods.

European Commission. 1999. Opinion on the use of alternative methods to animal testing in the safety evaluation of cosmetic ingredients or mixtures of ingredients (with three annexes) and the updating of notes of guidance for testing of cosmetic ingredients for their safety evaluation (with two annexes) - adopted by the SCCNFP at the plenary meeting of 20 January 1999.

European Commission. 1999. The Scientific Committee on Cosmetic Products and Non-Food Products Intended for Consumers. Notes of guidance for testing of cosmetic ingredients for their safety evaluation (third revision). Adopted by the SCCNFP at the plenary meeting of 23 June 1999.

OECD (Organization for Economic Co-operation and Development). 1999. OECD Series on Testing and Assessment. Number 17. Environmental exposure assessment strategies for existing industrial chemicals in OECD member countries.

OECD (Organization for Economic Co-operation and Development). 2001. OECD list of test guidelines and publications. http://www.oecd.org/ehs/ehsmono/index.htm#TESTING.

US EPA. 1999. REVIEW OF THE EPA’S PROPOSED ENVIRONMENTAL ENDOCRINE DISRUPTOR SCREENING PROGRAM. REVIEW OF THE ENDOCRINE DISRUPTOR SCREENING PROGRAM BY A JOINT SUBCOMMITTEE OF THE SCIENCE ADVISORY BOARD AND SCIENTIFIC ADVISORY PANEL.

US FDA. VICH Steering Committee. 2000. Guidance for Industry. Safety studies for veterinary drug residues in human food: Genotoxicity studies. VICH GL23. Draft Guidance.

US FDA. VICH Steering Committee. 2000. Guidance for Industry. Safety studies for veterinary drug residues in human food: Reproduction studies. VICH GL22. Draft Guidance.

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Exposure - ADME - Absorption, Distribution, Metabolism, Elimination

Intake - entry of contaminants into the body via mouth and alimentary tract; nose and upper respiratory tract, lungs and lower respiratory tract, penetration and abrasion of the skin and the mucous membranes, the eyes. (e.g., ingestion, inhalation, and contact)

Uptake (Absorption) - absorption of contaminants into cells and tissues proximal to the site of entry and into the blood and lymph fluid.

Distribution (Systemic Exposure) - contaminants that are absorbed into blood and lymph are distributed via the blood stream and lymph system (systemic circulation) throughout the body to various organs and tissues away from the original point of entry into the body.

Metabolism and Elimination - contaminants digested and transformed in the body into metabolites which are further circulated within the body, stored and eliminated from the body in the urine and faeces, breathe and sweat. Not all contaminants are absorbed into the body, but instead are eliminated undigested (unmetabolised) in the faeces and sputum or exhaled as the intact compound and organism. Metabolites excreted in the urine are generally more water soluble than the absorbed form of the chemical contaminant. The formation of toxic metabolites may occur in some cases. Differences in metabolism rates and metabolic processes influence the uptake, retention and elimination of chemical contaminants, and may exist because of differences in maturation of metabolic neuroendocrine and immune systems between the developing fetus, infants, children and adults, and during pregnancy and with aging. Heritable genetic differences in metabolism and immune systems exist in different populations.

Accumulation, Sequestration and Re-Release - when the rate of intake and uptake of contaminants into the body is greater than the elimination rate of the contaminants and its metabolites, harmful concentrations in targets tissues may occur capable of causing damage to the host. Some forms of contaminants may be precipitated trapped and stored by sequestering them in fats, proteins and bone and mucous preventing their availability reach sensitive target sites in the body albeit accumulating over time. Adults (human and animals) may have higher concentrations of slowly metabolized and eliminated heavy metals and some POPs from lifetime of cumulative exposures.

Examples are - chronic and lifetime exposures and accumulation of cadmium in kidneys; lead in bone, mercury and arsenic in hair, nail and SH groups of proteins, POPs in fatty organs and adipose tissues.

During a lifetime, cumulative effects from slowly developing damage in cells and tissues may contribute to chronic illness and the development of slow growing tumours, such as in some cancers degenerative diseases and other latent diseases.

Incubation period for pathogens. The period of time from the initial exposure to the onset of disease signs and symptoms, during which the pathogen lives and multiplies to increased numbers in the host sufficient to overwhelm the body’s defense system and cause sufficient damage to tissues and organs that manifest in disease.

Pathogens transmitted by the oral-faecal route typically grow and multiply in the stomach and intestine and are shed primarily into the environment by the alimentary canal in diarrhea and vomit.

o examples - Vibrio cholera, Campylobacter jeguni, E.coli O157:H7, Salmonella typhi, Giardia

Once a substance enters the body or organism it may be taken up into tissues and travel through the bloodstream to various biological tissues. Within the body (cells and tissues) the substance is subjected to natural biological breakdown processes that transform it into either a useable form for energy and growth, a less toxic form (detoxification) or transform it into a more toxic form that may cause damage to genetic material, cells and tissues. Substances and their breakdown products that are not retained in tissues are removed or eliminated from the body. Substances that are not metabolised are either excreted as the original compound and may be retained in the body, depending on the rate of the elimination rate. Pharmacokinetics is the study of the behaviour of chemicals in the body consisting of the processes: Absorption, Distribution, Metabolism, and Excretion or ADME.

Absorption is the process by which a chemical or substance is taken up into biological tissues including blood and fatty tissues. Absorption is affected by the route of exposure and the material or ‘vehicle’ in which the chemical is dissolved (e.g. absorption of PAHs bound to suspended particles in water via skin contact would be different than absorption of PAHs in corn oil via oral ingestion). The absorption is typically determined through a comparison of the amount of chemical administered and the amount of chemical excreted via urine or to that measured in the blood. In order for the chemical to be excreted via urine it must first enter the blood and pass through the kidney.

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Distribution refers to the transport of the chemical within the body through the blood and to various tissues (e.g. brain, liver, kidney, fat, pancreas, muscle, heart, lungs, reproductive tissues, etc.).

Metabolism is the biological process by which substances are changed chemically into other chemicals that are either used by the body (or organism) for energy or nutrient, or to a less toxic form for elimination (detoxification), or to a more toxic form that may cause toxicity and biological damage. Generally the metabolic process that transform chemicals into less toxic forms involves making them more water soluble so that they can be readily eliminated in the urine. In some cases the parent chemical (original chemical that is taken up into the body) is not toxic but the metabolite (biological breakdown product) is toxic. An example is benzo-a-pyrene, a polycyclic aromatic hydrocarbon (PAH) that is produced during combustion processes. Benzo-a-pyrene is transformed in the liver, lung and other tissues by the activity of natural metabolizing enzyme systems (P450) from a nongenotoxic chemical form into a genotoxic carcinogenic form that causes DNA damage leading to cancer in these tissues.

Detoxification of chemicals typically occurs in the liver. The route of exposure to a chemical affects its absorption and availability for metabolism and thus is a major determinant in toxicity. For example, exposure via inhalation readily results in chemical absorption into the bloodstream (or systemic circulation) and bypasses metabolism in the liver during the first pass through the blood steam; therefore inhalation exposure to the same chemical would be expected to be more toxic than when exposure occurs via oral ingestion.

Excretion is the process by which substances are removed and eliminated from the body (e.g. via urine and feces).

Accumulation is the build-up of chemical in tissues. Accumulation occurs when the rate of absorption exceeds rate of elimination.

Bioavailability is the amount of chemical that enters into general systemic circulation via blood throughout the body following administration or exposure. It is often expressed as the % of administered chemical in the environmental media or vehicle (e.g. air, soil, water, food, corn oil, lotion) that is absorbed into the body and can be approximated by the % absorption.

Example: Lead Absorption, Distribution, Metabolism, and Excretion or ADME.

ATSDR (Agency for Toxic Substances and Disease Registry). 2007. Toxicological Profile for Lead. U.S. Department of Health and Human Services Public Health ServiceATSDR

References:

International Programme on Chemical Safety. Enviornmental Health Criteria 170. Assessing Human Health Risks of Chemicals: Derivation of Guidance Values for Health-Based Exposure Limits http://www.inchem.org/documents/ehc/ehc/ehc170.htm

IPCS/WHO 2010. WHO human health risk assessment toolkit: chemical hazards. (IPCS harmonization project document; no.8) 1.Hazardous substances - toxicity. 2.Risk assessment. 3.Environmental exposure. 4.Toxicology. I. World Health Organization. II.International Programme on Chemical Safety. ISBN 978 92 4 154807 6 (NLM Classification: QV 600) © World Health Organization Geneva 2010

United States Environmental Protection Agency (USEPA). 1989. Risk Assessment Guidance for Superfund Volume I Human Health Evaluation Manual (Part A) Interim Final. EPA/540/1-89/002 December 1989. Annotation added April 2010 accessed online October 04, 2014 www.epa.gov/oswer/riskassessment/ragsa/pdf/rags_a.pdf

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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ENVIRONMENTAL FACTORS INFLUENCING TOXICITY

Environmental modifying factors of toxicity are properties or conditions (biological, chemical, physical) in the environment (ecosystem) that alter or affect the observed toxicity (dose-response) of substances in biological organisms or in ecological processes. Environmental modifying factors alter the observed toxicity by either chemically, physically or biologically increasing or decreasing the amount of contaminant in environmental media that is bioavailable for uptake biological tissues in a form that interacts with target tissues. This means that the apparent toxic concentration of the same contaminant in one environment (ecosystem) or test-system may be greater or less in another environment (ecosystems) or test-system depending on the environmental (ecosystem) conditions and the exposed biological species. Environmental modifying factors can be abiotic (non- biological) or biotic (biological).

A. Non-Biological Factors

Environmental factors that are non-biological are properties or characteristics of the ecosystem, and exposure conditions (including duration and frequency of exposure). For example,

i) Salinity - example, copper and other metals organics and inorganics are more toxic to fish and other aquatic species in saltwater than freshwater.

ii) pH - example, copper is more toxic to fish and other aquatic organisms in acidic waters (pH 5.0) than in neutral waters (pH 7.0).

Characteristics of the ecosystem or test-system - pH, hardness, salinity, organic matter, methylation, light intensity, temperature, dissolved oxygen, mixtures, sediment characteristics, route of exposure.

Exposure conditions - periodic short-term exposures (pulse doses); continuous long-term chronic exposures; simultaneous or sequential long-term exposure to chemicals individually or as mix

B. Biological Factors

Biological factors are properties or characteristics of the exposed organism, population and community that are biological in origin. These factors are unique to the exposed organism, population, community and biological processes in an ecosystem.

Example - The same concentration of total copper in freshwater at neutral pH (pH= 7.0) is more toxic (causes death) in salmonid species, such as rainbow trout than in non-salmonid species, such as fathead minnow (no death observed in exposed fish).

Biological Factors include: Physiological and biological characteristics of exposed organism (may be at the level of the individual, species, population, community, ecological process); Inherent physiological and biological characteristics of the species, life-stage and development, gender, genetics, nutritional status, health status and other stress of the organism; Conditions such as stomach pH, blood volume and blood chemistry, respiration rate, metabolism, gill membrane condition, body surface area, etc.

Prolonged stress in animals and plants is associated with generally poor health and decreased function of natural immune protection against disease. Stressors in aquatic organisms include among others changes in temperature and dissolved oxygen content, exposure to disease, changes in nutrition, crowding, and energy demanding activities such as migration and spawning in fish. These and other stress factors can affect the dose-response observed in exposed animals.

Biological Considerations in Toxicology (Individuals; Populations)

· Differences in absorption, metabolism (including detoxification of substances or transformation of substances to more toxic form), distribution, and elimination [ADME], genetics, , .

· Respiration and Metabolic Rate – determines amount of energy required for metabolism and growth; related to body size, age and life-stage; food intake which is directly related to contaminant exposure through food consumption.

· Gender differences – related to metabolism, dietary and behavior differences and maturation and development.

· Food consumption and types of foods

· Living and working conditions, diet, lifestyle, behaviour, activities, culture– determines with what and how exposures occur with contaminants in various environmental media (exposure pathways)

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· Growth and Development– changes in body size and structure, affecting respiration and metabolism (energy requirements) and diet and exposure pathways to environmental media.

Note: All of the above are dependent on the life stage (and species).

Influence of Life-Stage on Susceptibility and Vulnerability (Sensitivity)

Toxicity and health outcome are dependent on the life-stage of the exposed individual or organism. Generally, early life-stages tend to be the most sensitive to toxic contaminants and pathogens capable of causing infectious disease and parasites, and their long-term impacts on health. In general, the embryonic, fetal and juvenile stages are the most sensitive life-stages to toxic effects of chemicals, as observed in fish and animal studies and in some but not all human epidemiology studies. Early-life stages may be less sensitive in situations where the harmful metabolite is not formed in immature animals and in situations where the harmful contaminant is rapidly eliminated in the young.

The reasons for this observed differences in sensitivity in early life-stages to contaminant exposures are related to:

a) immature development and function of metabolism and elimination systems (that detoxify and eliminate chemicals from the organism);

b) increased sensitivity of developing brain and nervous system, reproduction system, and immune system in early life- stages;

c) increased chemical intake and uptake into the body and tissues during certain developmental stages related to increased respiration rate (higher respiration rate and energy requirements in early life-stages);

d) increased dermal exposure due to differences in body surface area and structure (e.g., increased susceptibility of early life-stages);

e) rapid growth rate and change in size (body surface area) with age and related increases in elimination rates and apparent dilution of tissue concentrations due to growth. Adults that have slower growth rates and their tissue levels of bioaccumulative chemicals may slowly steadily increase on a per mass basis. Differences in tissue levels are also related to differences in diet. The effects of size on toxicity are variable.

f) dietary exposures related to consumption rates, respiration rates and growth rates and dietary needs, preferences and eating habits of different life-stages. Typically early life-stages of fish, birds, mammals including humans have different respiration rates, food consumption rates and growth rates than adults; and may receive different dietary exposures through consumption of contaminated food. Also the type of food consumed and their contaminants varies for different ages. Dietary needs and food preferences in early life-stages may result in children receiving greater contaminant exposures than in adults on a pound per pound body weight basis.

h) different life-stages have different exposure setting where they live, work and play, and different behaviours and exposure pathways.

i) ADME differences exist in young and adult life-stages in humans and other organisms.

Some examples of life-stages differences in ecological species –

1. Birds:

Young songbirds have high respiration and metabolic rates and must consume large quantities of insects, earthworms, and seeds to survive.

2. Mammals:

Foods consumed by newborn and juvenile mammals, especially marine mammals are rich in fat and often contain high levels of lipophilic bioaccumulative chemicals (these terms have been previously introduced). [e.g. maternal milk (mother’s milk) the sole source of food in newborn mammals is primarily fat and has been found to contain high levels of a wide variety of bioaccumulative chemicals.

3. Amphibians:

· The early tadpole life-stage lives is completely in water. The following exposure pathways exist for tadpoles: waterborne –

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intake of chemical via respiration across gill membranes and dermal intake of chemical (small body size); and foodborne – intake of chemical in food items such as algae and suspended solids.

· The adult amphibian life-stage lives on land and in water. The following exposure pathways exist for adult amphibians: waterborne – dermal (larger body size than tadpole); foodborne - intake of chemical in insects; sediment- and soil-borne– intake of chemical through skin; and airborne - intake of chemical through skin.

4. Aquatic Crustaceans and Aquatic Insects:

· Early-life stages of aquatic crustaceans and insects are free swimming in water. As the organism matures the life-stages may become sediment dwelling, land dwelling or flying (in air). Thus the environmental media and exposure pathways and routes will be different for different life-stages.

Influence of Gender and Reproduction

Differences are observed between males and females. Gender differences in the dose response have been observed in some cases. Many of which involve differences in the metabolism and in natural hormone levels in females and males, particularly during puberty and onwards, and including pregnancy and menopause in women. In wildlife differences between males and females of the same species can also involve diet, particularly during the breeding and nesting period, as well as habitat changes.

The reproductive stage of development may alter the metabolism and biological response in the exposed organism to chemicals. Differences in reproduction stages are determined by alterations in enzyme activities and steroid hormone levels in females and males.

Examples in wildlife -

1. Spawning (egg laying and fertilizing) by fish has been associated with changes in metabolism of chemicals in exposed fish that can affect their toxicological response to exposures. (e.g., levels of metal binding proteins in livers of metal exposed fish have been observed to change during spawning; this affects the accumulation of metals in target tissues).

2. The process of production and spawning of eggs in mature female fish can act as a route of elimination of bioaccumulative chemicals (e.g. PCBs, DDT/DDE) from female fish tissues. As well, this process also results in increased exposures of fish embryos to bioaccumulative chemicals in fat-rich eggs .

3. Adults in the breeding season consume greater quantities of food than in non-breeding season. This is particularly true in female birds prior to egg laying.

4. Other stressors of reproductive effort include behavioural alterations (such as swimming upstream to spawn) and affects on respiration rates and food consumption.

Genetics

Differences in genetics among species and between individuals of the same species can affect the dose-response and sensitivity to toxicity of substances in the environment. Observed differences in sensitivities due to genetics may be related to differences in: chemical metabolism; sensitivity/tolerance to molecular and cell damage caused by chemical exposures; chemical uptake, distribution, metabolism and excretion (ADME); susceptibility to molecular and cell damage; changes in body tissue fat content.

Nutritional Status

Differences in the level of nutritional health of the exposed organism will affect its ability to withstand exposure to chemicals and substances in the environment. The nutritional level of an individual, population and community depends on the relative abundance of food and the composition of the diet (e.g., amount of carbohydrates, proteins, vitamins, minerals) or lack of food and starvation. The susceptibility of organism to toxicity is directly affected by nutrition. Organisms with poor nutritional status are more susceptible to damage caused by exposure to toxic chemicals and disease agents (e.g. microorganisms, bacteria and parasites).

Acclimation and Immunity

Acclimation describes an organism’s ability to adjust physiologically to environmental stress, such as changes in temperature, salinity, and pH, as well as previous exposures to contaminants in the environment in which the organism lives.

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Immunity to disease causing pathogens from previous exposures and vaccination (see further discussions in the section on epidemiology on the chain of disease transmission).

For example, some aquatic organisms have been found to develop tolerance to low level long-term (chronic) exposures to chemicals in their living environment (habitat) which is measured by the decrease in the observed toxic effect (decrease in the dose-response) over a continued period of exposure or following repeated short-term exposures. Chemical tolerance in pre- exposed or conditioned organisms is often related to increased activity of detoxifying enzyme systems (metabolism) and increased elimination of toxic substances from the organism. Acclimation may improve the organisms ability to control internal exposures to the chemical (e.g., fish are able to regulate internal levels and elimination of some metals, especially those that are nutritionally required such as copper, zinc, iron and cobalt). Another mechanism of chemical tolerance in aquatic species is their selective accumulation in certain biological tissues but in an altered chemical form; this process makes the chemical unavailable to interact with the target site of toxicity (e.g. metals and metal binding proteins in fish).

Short-term repeated exposures tend to cause less cumulative toxicity in the exposed organism than continuous exposures to the same chemical. The reason for this observation may be related to the organism’s ability to recover internal balance of body chemistry and to repair any molecular and cell damage from chemical exposures during the time between repeated exposures. Therefore the total toxic impact from repeated short- term exposures does not always result in harmful health effects at the whole organism level, such as decrease in growth, survival, behavior and reproduction.

In some cases, previous exposure can increase observed toxic effects at the whole organism level by activating metabolizing enzyme systems that transform the relatively non-toxic chemical into a more toxic and/or persistent chemical form (metabolite).

Behavior and Habitat

How an organism behaves in its habitat and interacts with environmental media will influence the amount of exposure to chemical contaminants. In aquatic environments organisms may be either burrowing in sediments or swimming freely. Sediment - or bottom- dwellers have greater contact time with sediment, and will therefore be exposed to higher concentrations of lipophilic compounds that bind to sediment particles. Aquatic insects and other invertebrates (shellfish) live in the water column, on aquatic vegetation, on the surface of sediment, and burrow into sediments. Sediment living insects and other invertebrates (also called benthic invertebrates) and reintroduce chemicals that are bound to sediment solids back into the water column by “working” sediments (digging and processing sediments) and may accumulate sediment-borne chemicals in their tissues.

References:

International Programme on Chemical Safety. Enviornmental Health Criteria 170. Assessing Human Health Risks of Chemicals: Derivation of Guidance Values for Health-Based Exposure Limits http://www.inchem.org/documents/ehc/ehc/ehc170.htm

IPCS/WHO 2010. WHO human health risk assessment toolkit: chemical hazards. (IPCS harmonization project document; no.8) 1.Hazardous substances - toxicity. 2.Risk assessment. 3.Environmental exposure. 4.Toxicology. I. World Health Organization. II.International Programme on Chemical Safety. ISBN 978 92 4 154807 6 (NLM Classification: QV 600) © World Health Organization Geneva 2010

United States Environmental Protection Agency (USEPA). 1989. Risk Assessment Guidance for Superfund Volume I Human Health Evaluation Manual (Part A) Interim Final. EPA/540/1-89/002 December 1989. Annotation added April 2010 accessed online October 04, 2014 www.epa.gov/oswer/riskassessment/ragsa/pdf/rags_a.pdf

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

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SUSCEPTIBLE AND VULNERABLE POPULATIONS

Women and Children

Early-Life Stages

Pregnant women and developing fetus, involve developmental periods of critical windows of susceptibility to exposures to contaminants are discussed in more detail later in the course.

First Trimester Second Trimester Third Trimester Neonatal Period and Lactation

Toddlers - small stature and small body size, immature organs, brain, reproductive, skeletal, kidneys and immune systems, period of development. limited diet. Increased mobility and exploration of local environment, but requires supervision by parent and caregiver. Dependent on parent and caregiver for safety and communication.

Children - small body size, dependent but increasing risk taking behaviour, including child labour risks; period of development and growth of body and brain, emotional and cognitive development; mobile over larger environmental distances, but generally within local home community; more interactive and direct contact with environment; less parental and caregiver supervision, diet may be limited. Communication may be limited by vocabulary and ability to describe and express themselves, limited ability to recognize and understand warning labels, generally dependent on others for safety and provision of food and water. Physical strength and mobility, and knowledge generally limiting.

Adolescence - Puberty - hormonal changes and reproductive maturity; growth rate; diet; increasing risk taking behaviours; increasing awareness of others and the wider world.

Teens - life style and risk taking behaviours; workplace lack of experience; diet; physical activity; growth and brain development reaching maturity; emotional and cognitive development. Increasing autonomy from home, and greater peer influence. increasing ability to reason based on personal experiences and knowledge and education, and knowledge of wider world. Ability to recognize and understand warning labels, generally less dependent on others for safety and provision of food and water. Increasing physical strength and mobility, and knowledge.

Adult - Reproductive-ages - lifestyle, diet, workplace, recreational exposures

Adult women- Perimenopausal and menopausal - metabolism, hormonal changes; diet; water intake; physical activity, responsibility of caring for family and others in the community, less active in the workplace, may be responsible for caring for grandchildren and older children.

Adult - seniors - lifestyle, occupational exposure; metabolism, hormonal changes

Adult elderly - metabolism, integrity of organs, tissues, biological repair; diet; water intake; physical activity

Genetic Polymorphisms - inheritable traits influencing sensitivity of metabolic enzyme system and immune system responses

Health Status

Sensitization from previous exposures Pre-existing health conditions - cardiopulmonary, HIV AIDs, respiratory Unvaccinated - non-immunized and non-immune individuals and populations

Physical strength, coordination and dexterity; ability to walk, run, swim; ability to ride bicycle; hand and eye coordination, etc.

References:

Altshuler, K. Berg, M., Frazier et al., 2003. Critical Periods in Development. U.S. EPA Office of Children's Health Protection (OCHP) Paper Series on Children's Health and the Environment Paper 2003-2.

American Academy of Pediatrics Committee on Environmental Health. Developmental toxicity: Special considerations based on age

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and developmental stage. In: Etzel RA, ed. Pediatric Environmental Health. 2nd ed. Elk Grove Village, IL: American Academy of Pediatrics; 2003.

ATSDR (AGENCY FOR TOXIC SUBSTANCES AND DISEASE REGISTRY). 2012. CASE STUDIES IN ENVIRONMENTAL MEDICINE (CSEM)Principles of Pediatric Environmental Health The Child as Susceptible Host: A Developmental Approach to Pediatric Environmental Medicine

Cheng, J. J. , Schuster-Wallace, C.J., Watt, S., Newbold, B.K., and Mente, A. 2012. An ecological quantification of the relationships between water, sanitation and infant, child, and maternal mortality. Environmental Health 11:4 http://www.ehjournal.net/content/11/1/4

Daston, G., Faustman, E., Ginsberg, G., Fenner-Crisp, P., Olin, S., Sonawane, B., Bruckner, J., and Breslin, W. 2004. A Framework for Assessing Risks to Children from Exposure to Environmental Agents. Environ Health Perspect 112: 238-256.

Hunter, P.R., MacDonald, A.M., and Carter, R.C. 2010. Water Supply and Health. PLOS Medicine. 7 (11): 1-9 e1000361 www.plosmedicine.org

Jolly et al. 1968. Epidemiological, lLinical, and Biochemical Study of Endemic Dental and Skeletal Fluorosis in Punjab. British Medical Journal 4: 427-429.

Selevan SG et al.2000. Identifying critical windows of exposure for children's health.Environmental Health Perspectives, 108:451.

Singh, A. et al. 1962. Endemic Fluorosis with Particular Reference to Dental and Systemic Intoxication. PMJ 38: 150- 156

UNICEF/WHO (The United Nations Children's Fund/ World Health Organisation). 2009. Diarrhoea: Why children are still dying and what can be done. ISBN 978-92-806-4462-3 (UNICEF) ISBN 978-92-4-159841-5 (NLM classification: WS 312) (WHO)

United States Environmental Protection Agency (U.S. EPA) 2008. Child-Specific Exposure Factors Handbook. EPA/600/R-06/096F | September 2008 | www.epa.gov/ncea

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO. 2008. Outdoor Air Pollution. Children's Health and the Environment. WHO Training Package for the Health Sector July 2008. http://www.who.int/ceh/capacity/Outdoor_air_pollution.pdf

WHO. 2005. Children's Health and the Environment – A global perspective. A resource manual for the health sector. Pronczuk- Garbino, J. Editor-in Chief. World Health Organisation. Geneva ISBN 9241562927 (NLM classsification: WA 320)

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ASSESSING HEALTH OUTCOMES - EPIDEMIOLOGY PRINCIPLES METHODS AND APPLICATIONS

Overview and Objectives

1. To define and describe common terminology and procedures used in epidemiology for data collection, analyses, reporting, and surveillance of water-related impacts on health. 2. To describe basic epidemiological principles and methods, such as those involved in the study monitoring and surveillance of threats to health from water-related events, especially in an outbreak situation of waterborne disease involving acute and chronic illness from exposure to contaminants in drinking water and water supply. 3. To gain an appreciation of the importance of adhering to standardized procedures for data collection analyses reporting and surveillance, as applied in epidemiology and public health studies. 4. To increase core knowledge of epidemiological principles methods and applications necessary for understanding interpreting and communicating the findings of health assessments and outcome studies.

For Example,

Epidemiological definitions and procedures such as,

Ratios, Proportions, and Rates

Incidence and Prevalence

Mortality and Morbidity

Years Potential Life Lost, DALYS, YLS, and YLD

Analysing the data, what does the data show and how to interpret study findings such as,

Frequency Distributions and Basic Biostatistical Parameters - e.g., Mean, Median, Mode, Range, Variance, Standard Deviation, Confidence Interval

Types of Distributions – e.g., Normal, Log-Normal; Non-Normal, Skewed,

Standard Notation of the Two-By-Two Table, Chi-Square; p-values;

Sensitivity and Specificity

Random Sampling

Presenting the Data in Tables, Charts, Figures – how to understand what the data are showing

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Epidemiological Monitoring and Surveillance

A Two Step Process

Step 1. Data Collection

Step 2. Data Analysis

A Systematic Study

Monitoring and surveillance involves a systematic study of an event, activity or outcome, in terms of its

occurrence,

frequency

and distribution.

Documentation and Standardized Reporting

Monitoring and Surveillance also involves a systems and process for documentation and standardized reporting of the data and information.

Alerts for Emergency Response Systems

Monitoring and Surveillance includes alerts built-in to the system for flagging hazards and notifying emergency response systems, as appropriate.

Traditional Epidemiological Monitor & Surveillance

epidemics of infectious and communicable diseases

Modern Epidemiological Monitoring & Surveillance – has been expanded with the availability of IT management systems and electronic data inventories

endemic infectious and communicable diseases

epidemics of non-communicable infectious diseases

acute and chronic illness and non-infectious disease

syndromic surveillance

patient safety indicators, hospital emergency visits

immunization records (human and animal)

occupational exposures and environmental health and safety

injuries

healthy lifestyle behaviours

travel and emigration

food-safety and product-safety recalls

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water-use permitting

municipal water quality

weather events

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Integrated Water and Health Management, Monitoring and Surveillance Systems

Integrated water and health management, monitoring and surveillance systems should actively and systematically conduct identification, tracking and reporting of adverse impacts on:

Ø Water Quantity

o Availability and accessibility of water quantity for human health (i.e., potable water supplies, crop irrigation and livestock watering, personal hygiene, sanitation and water-water treatment, food processing, commercial and industrial use).

o Systems for monitoring and surveillance of water quantity are typically the purview of the water user.

o At the community level this should be carried out by municipal and regional levels of government. Activities involving the metering of water use, routine measuring and record-keeping of actual amounts of water available to the community, maintaining water reservoirs, and the provision and assessment of municipal and regional water storage holding capacity in relation to current demand for use and future needs matched to plans for development. As well as monitoring and surveillance of discharge volumes from municipal waste-water facilities into the environment.

o Levels of government with jurisdictional authority and oversight of the environment and natural resources involving water protection and use of surface waters and ground water typically carry out monitoring and surveillance of source water supplies, in terms of aquifer levels, waterline measurement of lakes and rivers, flow measurements, and rainfall. Reporting of monitoring surveillance results and a feedback system operates among and across the various levels of government, federal, state, regional and municipal.

Ø Water Quality

o Characteristics, properties and contaminant constituents of water supplies that are known to be deleterious to water quality, aesthetics, and are hazardous to human health, animal health, and plant life are selected for measurement and monitoring and surveillance purposes.

o Water quality testing and monitoring is typically carried out by government laboratories in adherence to standardized operating procedures for water quality testing and evaluation, under the auspices of government authorities for environment and health in accordance with regulations. Testing results are compared to regulatory standards, criteria and objectives for the protection of human health for residential potable and non-potable use, agricultural use (animal health, plant life), industrial and commercial non- potable use.

o Some industries may conduct their own monitoring and surveillance as it relates to the quality requirements for their industrial and manufacturing processes (e.g., food, cosmetics, pharmaceuticals, chemical, metal refining, etc.).

Ø Health Impacts and Outcomes

o Occurrence of waterborne disease and known illness attributed to acute and chronic exposures to hazardous (toxic) contaminants in untreated and treated potable water, surface water and ground water are selected for surveillance.

o Examples of surface water include rivers, lakes, wetlands, seawater, lagoons, drainage ditches, surface runoff and wastewater and grey-water.

o Examples of potable water supplies include tap water supplied via municipal water distribution system, municipal and private well water (shallow dug and deep drilled), municipal and private cistern-water (stored rainwater), water sourced directly from surface water ( spring, rive, lake), desalinated seawater (reverse osmosis systems, ROS).

o Diagnosis of a waterborne illness and disease in an individual is made by the physician/nurse -health practitioner/clinic. Initially, a presumptive diagnosis is made by the doctor based on the patient’s signs and symptoms and patient history, a specimen (stool, urine, blood, sputum) may be taken for confirmatory microbiological testing, biochemistry, and toxicological testing (e.g., blood lead, urinary arsenic). Depending on the type and severity of exposure manifested in acute or chronic illness and disease, repeated specimen collection and testing and follow up monitoring of disease progression and patient’s response to treatment and verification of prognosis is done until the health condition resolves.

o Cases of diseases that are specified on the List of Reportable Diseases must be reported to the Medical Officers of Health and public health for monitoring and surveillance by public health, including reporting and tracking of cases of disease outbreaks to provincial and national data monitoring and surveillance systems, for data aggregation and reporting to international public health monitoring and surveillance systems and programs. In this way outbreaks of waterborne disease of local, regional, state and

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provincial, national and international significance are identified, tracked, analysed (tabulated, graphed and mapped) to ascertain the occurrence and severity of disease outbreak (morbidity and mortality), in terms of the numbers of persons affected in the population, the duration of disease or illness, and rate of transmission within the population.

Often overlooked are natural water demands by: flora and fauna; physical needs of the whole ecosystem – plants, trees, wildlife; natural water cycle involving evaporation, precipitation, surface and groundwater recharge by infiltration and runoff; natural decomposition and mineralization of organic materials and incorporation into soils and sediments.

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Why is it important for monitoring and surveillance systems for health and water quality and water supply to be integrated? What is involved?

Monitoring and surveillance of health impacts involves identification and tracking the number of cases of diseases (infectious, carriers, acute and chronic illnesses), and conducting data analyses and reporting.

Monitoring of drinking water quality involves systematic collection of water samples, testing and quantification of microbial indicators and chemical contaminants, in addition to water taste, odour, turbidity and colour over a continuous time period throughout the day, weeks, years, and maintaining records of the findings and pertinent information in searchable databases. Samples of municipally treated drinking water may be collected at the treatment plant, before and after treatment for testing. Samples from private well water are collected from the well before distribution and at the tap.

Assessment of water quality for chemical contaminants in municipally treated drinking water is typically conducted by a certified laboratory with oversight by the department or ministry of the environment at the state and provincial level of government. Sampling of drinking water for testing may be obtained before and after treatment at the water treatment plant before distribution.

Contamination of drinking water can occur within the distribution system from the point of treatment, at the municipal drinking water treatment plant to the household or community tap, and from the well head to the household or community tap. For monitoring drinking water quality, the collection of multiple water samples obtained at different locations and time points along the distribution system is recommended in guidance for best practice, and should be determined taking into account the size (distance to tap), structure and age of the distribution system, and the number of users.

Surveillance of drinking water quality issues involves tracking results of water monitoring and testing over daily, monthly and annual time periods and making comparisons to established water quality criteria, standards and safe exposure limits for drinking water for human consumption.

By carrying out routine testing of water quality indicators, record keeping and tracking of results, trends in the changes in the quality of drinking water can be assessed and compared to safe drinking water standards on an hourly, daily, weekly, monthly, annual basis, as appropriate to the exposure situation and contaminant of concern. Typically, for short-term acute exposures, daily reports summarizing testing results should be reviewed for unsafe levels of microbial indicators and potential risk of waterborne disease and unsafe levels of chemicals and potential risk of acute and chronic disease.

Environmental monitoring and surveillance of ground water quality and surface water quality involves collection and testing of point- in-time water samples for contaminants often in response to a known or probable source of pollution following standardized guidelines to ensure that the results are accurate, reliable and representative of the water supply and the environmental conditions. Groundwater and surface water sampling and testing is carried out in response to a point-in-time spill or accidental release, and on a more routine basis for the monitoring of waste-water effluents and drinking water to assess the performance of treatment systems and to provide a snapshot of estimates of environmental loadings from a facility or process.

Water quantity monitoring and surveillance involves the measurement and tracking of the capacity and availability of water supplies to meet the current and future demands on the system including, potable water supplies for human drinking and use, water for other uses such as agriculture – watering of plants and livestock, food and beverage manufacturing, and industrial and commercial processing.

Monitoring and surveillance of water quantity involves the measurement and tracking of the capacity and availability of potable water supplies, water for other agriculture, food and beverage manufacturing, industrial and commercial processing to meet the current and future demands on the water supplies and system. First and foremost water providers and haulers should determine if there is a sufficient and adequate water supply in terms of both quality and quantity to meet the needs of the local community for drinking water, personal hygiene, and sanitation. Depending on the community needs, water providers and haulers should determine the demand for production of food, watering of gardens and livestock and irrigation of crops, and other water uses (industrial, commercial). The assessment of the provision of enough water of suitable quality for the intended use is an ongoing process. Changes in past, present and future demands and growth pressures on the water-use systems, involving demographics of the population, individual and household water use, business community make-up and use of water, agricultural practices and demand for water use, and development in residential, agricultural, business, manufacturing, industrial, mining, forestry, energy and utilities sectors must be continually monitored enabling analyses of the total and sectorial demands against the available water capacity for the community and regional area, taking into account natural source waters, reservoirs for storage, delivery and treatment systems.

Monitoring and surveillance of human-centric systems demand for water and available water capacity to meet those demands, current conditions and future conditions, can signal critical weaknesses in the sustainability of water resources for the community. Notwithstanding the essential requirements for water of ecosystems and wildlife, and the water cycle overall. Through monitoring and surveillance, identifying trends in convergence of user demands and water capacity provides useful information for forecasting

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impacts on human health that could be realized from the degradation of the quality of drinking water supplies, lack of sufficient and adequate safe water for drinking, hygiene and sanitation, and for watering of gardens and livestock and irrigation of crops. Early identification of imbalances in water capacity versus user demands may assist in highlighting sources of pollution and subsequent degradation of water quality of rivers, lakes and ocean impacting fisheries and human livelihood.

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Purpose and Components of an Integrated Management System for Water-Related Impacts on Health

In the case of waterborne diseases, the main objective (purpose) of monitoring and surveillance is to identify the primary source(s) of contaminated water supply and secondary sources, in order to break the chain of disease transmission and exposure to prevent further exposures and disease, acute and chronic illness.

A systems approach to monitoring and surveillance of water-related health impacts that integrates the findings of health surveillance of waterborne diseases, of water quality contaminants characteristics and properties, and of water quantity and usage demands can be conceptualized in a framework. An integrated management system for water quality, quantity and waterborne disease monitoring and surveillance should involve the following components:

o Monitoring and surveillance systems for water quantity, water quality and waterborne health disease, acute and chronic illness, resources, personnel and training for each

o Critical points of contact identified for each of the three separate monitoring and surveillance systems, communications alert mechanism

o Systematic and standardized data collection and analyses and reporting on standardized measurement criteria and performance indicators for each system (water quality, water quantity, water-borne disease)

o Iterative feedback, especially on key performance indicators for verification of findings and communications across systems under the purview of public health, public water works (municipalities), and protection of health and the environment, natural resources, business development at the regional, state/provincial and national and international level as appropriate, especially for those indicative of critical points of failure.

The development of a monitoring and surveillance systems framework for the integrated management of water-related health impacts is an import step towards preparedness for dealing with outbreak situations, water-related crises in the aftermath of human activities and natural disasters, and optimistically circumventing crisis before it occurs.

The findings of monitoring and surveillance provide useful information for risk management decisions, involving:

· Early warning of an outbreak of reportable disease.

· Alerting primary care givers, hospital emergency rooms intakes, EMS and public health staff

· Initiating an appropriate response and level of protection for health care workers and unexposed persons in the community.

· Identification and quarantine of persons with communicable disease to prevent the spread to others.

· Identification of unsafe (contaminated) water and food, their disposal, and replacement with safe water and food.

· Identification of unsafe (contaminated) products and their removal from sale and distribution.

· Identification of unsafe (contaminated) drinking wells, and their designation for proper closure

· Investigations of pollution sources of contamination impacting groundwater, land, and surface water.

· Targeting systems management activities [by EMS, public health, hospitals and health care providers, public water treatment and waste water treatment departments (public works), and health and environment protection authorities] for the prevention of additional cases and control of a disease outbreak. Especially, in the aftermath of events impacting the safety of local water supplies, the disruption of proper sanitation and hygiene services, and impacts of surface runoff of contaminants into streams, lakes, rivers that serve as source water for drinking water, irrigation water, livestock watering, fisheries and recreational waters. For example, construction activities, involving water mains, service lines, and sewers, agriculture practices, impacting surface water and groundwater, inadequate waste-water treatment and waste disposal, natural disasters - flooding, hurricane, earthquake, war, refugee camps, and terrorism.

· Enforcement of health and environment protection as mandated by federal, state, municipal and international laws.

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WHAT IS EPIDEMIOLOGY?

Principles Concepts and Terminology as Used in Public Health Epidemiology

Epidemiology is the study of diseases and health impacts in exposed groups of people (i.e., in populations).

Epidemiology is the study of the occurrence, the spread and the pattern of disease and health impacts within a population.

Epidemiology is also the study of the change over time within a population in the occurrence, spread and pattern of disease, as the natural course of disease within a population.

Epidemiology is also the analytic investigation of the association of probable risk factors, also referred to as determinants of health (of disease) with disease and health-impacts.

Epidemiology is also the study of changes in response to an intervention to eliminate and prevent further disease from occurring in a population.

The word Epidemiology is derived from the Greek words “epi” meaning on or upon + “demos” meaning the people + “logos” meaning the study of.

The Dictionary of Epidemiology provides the following definition: “Epidemiology is the study of the distribution and determinants of health-related states or events in specified populations, and the application of this study to the control of health problems.” (Last, J.M. editor. Dictionary of Epidemiology. 4th Edition. New York, Oxford University Press; 2001. P.61. cited by U.S. Centre for Disease Control).

“Epidemiology is the study of the distribution and determinants of disease frequency in human populations.” (MacMahon and Pugh 1970 modified by Greenland and Rothman Chapter 3 Measures of Occurrence page 32 in Modern Epidemiology 3rd Edition K.Rothman, S. Greenland and T. Lash 2008 Lippincott Williams & Wilkins).

A modern definition of Epidemiology encompasses, the investigation of human disease (acute and chronic) and human health at the population-level, the development and application of epidemiological methods in order to enable the understanding of different classes of disease manifesting in acute mortality and chronic morbidity (involving exposure to microbiological, chemical, physical agents), the influences of time and space on the evolution of human disease, the etiology of different human diseases, and of ways to control the progression and spread of human disease, through prevention and therapeutic treatment.

Hence epidemiology covers not only communicable disease and illness (as in its early days) but today epidemiology also covers studies of health outcomes at the population-level involving CVD and changes in blood pressure, diabetes and changes in blood glucose levels, obesity, and other physiologic states influencing health outcomes, immunity to disease and vaccination levels, and may include mental illness and depression.

The health outcome of interest or occurrence of disease in a population is typically expressed as a binary outcome (0= no disease or no event versus 1= having disease or event occurring. E.g. death or life).

Epidemiology uses basic statistical methods and statistical parameters to investigate, design studies, collect, track, and analyse trends and patterns in data, track the progress of disease within a population, evaluate the outcome of interventions, and compare differences among groups of exposed and unexposed persons.

Epidemiology has been described by the CDC as “the basic science of public health” involving scientific inquiry, quantitative biostatistics and probability, hypothesis testing grounded in causal-reasoning, informatics, biologic, economic, and social and behavioral sciences.

Epidemiological studies should follow a systematic and unbiased approach in the collection, analyses and interpretation of data. Epidemiological studies, typically involve the comparison of results in valid comparison groups using biostatistics and the laws of probability. An observed value may be statistically compared to an expected value. Similarly, results in a control (unexposed) group may be compared to those in a treatment (or exposed) group.

Epidemiology Application In Public Health

Epidemiology application in public health, pertaining to water-related impacts on health, are those involving the monitoring and surveillance of waterborne disease of microbiological origin and the study of outbreaks of acute illness and chronic disease (mortality and morbidity) from environmental exposures to contaminants in water, including known and emerging pathogens and toxic substances, and in the study of susceptibility and vulnerability to health impacts and disease.

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Examples of possible exposure scenarios:

i) Ingestion of contaminated drinking water.

ii) Ingestion of contaminated beverages, ice, food, fish and shellfish.

iii) Contact with contaminated water (and sediments) during personal hygiene (washing hands and face, bathing, brushing teeth), washing clothes, wading and swimming, preparation of beverages, ice, and food, and food services (cleaning of contact surfaces for food preparation and food serving, and food handlers hygiene), work activities such as fishing, tourism beaches, plumbing and construction activities, contact with sewage runoff during and after a flood or sewage main failure.

iv) Inhalation of aerosol forms of contaminants in spray from cooling towers and air conditioning units, lake and seawater, fountains, fish tanks, hot tubs, Jacuzzis, public pools.

v) use of contaminated therapeutic cosmetic and other consumer products.

References:

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

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What is an Epidemiologist?

An “Epidemiologist” is a person who studies epidemiology and conducts epidemiological studies. The epidemiologist measures the frequency of disease occurrence in a population. For example, using careful observation, valid comparison groups and analytic approach, an epidemiologist could assess if the observed number of cases of disease in a certain location at a specified time or the frequency of disease differs from what might be expected. A physician may assess a health-related event or make a diagnosis of illness in an individual, but an epidemiologist assesses health related event(s) in a population.

Typically, the epidemiologist aims to answer the following five questions (5 Ws): what who where when why

· What is the health impact or health-related-event? what

· Who are affected and exposed? person

· Where did it take place? place

· When did it occur? time

· Why and how? exposure pathways, modes of transmission, risk factors, causal associations

The epidemiologist should be knowledgeable of the design and utilization of surveillance systems for tracking health-related information, such as for carrying out surveillance of reportable communicable and infectious disease from physician reports to public health, and also syndromic surveillance from records of patterns and trends in hospital emergency room visits, sale of over-the- counter medicines (e.g., anti-diarrhea medicines, cold & flu medicines), demographics and GIS mapping, and product sales.

According to a CDC training course on Public Health Epidemiology, an epidemiologist’s core competencies must include design of data collection instruments, data management, descriptive methods and graphing, interpretation of data, and scientific writing and presentation.Some diseases are so rare within a population in a geographical area and of such severity (rabies, Ebola, plague, polio) that only one single case warrants investigation. For diseases that are common in a population within a geographical area (endemic), deviation from the norm warrants investigation.

Epidemiology Applications in the Study of Water-Related Impacts on Health of the Public

Epidemiology is applied in the building of evidence for supporting decisions and interventions for controlling and preventing the spread of infectious disease and harmful environmental exposures in the community. In particular as it pertains to water-related health impacts applications of epidemiological methods and their findings of epidemiological studies provide support for changes such as improving basic and essential needs pertaining to water quality of the water supply, access to safe drinking water, hygiene and sanitation affecting the health of individuals and that of the community. For example through the application of epidemiological tools in the monitoring and surveillance of waterborne diseases of microbiological origin, the study of outbreaks of acute illness and chronic disease, and in the assessment of environmental exposures to contaminants in water.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Epidemiological Terms for Describing Health-Related States

Some epidemiological terms commonly used to describe health-related states in a population are listed and defined below.

“Outbreak” refers to the occurrence of new case(s) of disease in a previously unexposed population.

“Cluster" refers to an aggregated group of cases believed to be present in a higher number than expected, even though the expected number may not be known.” (CDC Introduction to Epidemiology, p 1-72)

“Epidemic” refers to the spread of disease agent, pathogen or infection from exposed persons to unexposed persons in a population. Often the term epidemic is used to describe the rapid or sudden occurrence of disease, disease agent or health condition in a population above what is normally expected for that population in a certain geographical area. Epidemics occur when an agent and susceptible hosts are present in adequate numbers, and the agent can be effectively conveyed from a source to the susceptible hosts. More specifically, an epidemic may result from:

A recent increase in amount or virulence of the agent.

The recent introduction of the agent into a setting where it has not been before.

An enhanced mode of transmission so that more susceptible persons are exposed.

A change in the susceptibility of the host response to the agent, and/or

Factors that increase host exposure or involve introduction through new portals of entry. “ (47 cited in CDC Introduction to Epidemiology page 1-72 to 1-73)

“Endemic” refers to ongoing presence of disease agent or health condition in a population (with or without symptoms). It is possible for disease to remain indefinitely in a population, as long as there are susceptible people, including carriers. Endemic refers to the constant presence and/or usual prevalence of a disease agent, health condition or infectious agent in a population within a geographic area. (CDC Introduction to Epidemiology, p 1-72). The observed amount of a particular disease agent or health condition that is usually present in a community is referred to as the baseline or endemic level of the disease. (CDC Introduction to Epidemiology, p 1-72)

“Sporadic” refers to a disease agent or health condition that occurs infrequently or irregularly in a population. (CDC Introduction to Epidemiology, p 1-72)

“Hyperendemic” refers to persistent high levels of occurrence of a disease agent or health condition in a population. (CDC Introduction to Epidemiology, p 1-72)

“Pandemic” refers to an epidemic that has spread over several countries and continents, usually affecting a large number of people.” (CDC Introduction to Epidemiology, p 1-72)

“Epidemic proportion” has been used to describe large numbers of cases of chronic disease in a population (high proportion or prevalence of chronic disease). For example, the high prevalence of diabetes and obesity in the U.S. population has been described as present in “epidemic proportions”. (51, 52 cited in CDC Introduction to Epidemiology page 1-73).

Time of the reference event - is the point in time used to measure the timing of events and is set to zero or is equivalent to zero time. For example the reference event may be birth in a study of age related events, or may be the time of treatment in the study of disease and treatment, time of vaccination in a study of immunity, time of first employment in a study of exposure in the workplace.

Incident – event of interest, a specific disease or health-related event, e.g. birth, death, lung cancer, diarrhoea.

Incidence - the occurrence of new cases of disease in members in a population. Focus is on changes in health state in the population.

Incidence time - the time after a common reference event after which new cases of disease occur among members in a population.

Incidence rate - the measure of occurrence of new cases of disease per unit of person-time. The number of new cases of disease divided by the sum of the person time over the period of interest. For a fixed time period delta t, the incidence rate equals the incident number divided by the product of the average size of the population over the period times the fixed length of the risk period (delta t). The units of incidence rate is inverse of time (e.g., per day, per month, per year or day-1, month-1, year-1). The file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D013EpiTerms.htm[11/1/2014 10:22:43 AM] WLC Template

only eligible cases of actual disease or of health outcome events that should be included in the numerator when calculating the incidence rate are those that are included in the determination of the amount of person-time of the denominator of the incidence rate calculation at the time that the disease or health-related event occurs. If an individual does not experience the disease or health-related event then their individual rate contribution is 0 (i.e., 0/ time spent in population at risk). If an individual does experience the disease or health-related event then their individual contribution is 1/time spent in the population at risk. The incidence rate excludes those who do not get disease or health-related event.

A mathematical limitation of the incidence rate is that because it is a product of the number of individuals and the period of time at risk, it is insensitive to the influence of numbers of affected cases versus period of time. The incidence rate on its own tells little about the severity of disease within a population in terms of numbers and relative duration of exposure or risk period and does not distinguish between few cases of disease over long period of time versus many cases of disease over a short period of time. The incidence rate of 0.01 cases per person-year could represent the observation of one case of disease in ten people observed over a ten year period or thirty cases of disease in one thousand people over a three year period.

The incidence rate ranges from 0 to >1. It is not a measure of the proportion of a population with disease or health-related event. On its own the incidence rate is of little meaning and must be accompanied with the time period that has been used in its calculation. Convention is to express the incidence rate with at least one digit to the left of the decimal place. In doing so the incidence rate may be expressed as a multiplier of 1000; for example, an incidence rate of 0.01, could be written to express an incidence rate of 10 per 1000 person-years. Incidence rates typically pertain to the first occurrence of disease onset, and the time contributed to the total person-time is that from first exposure (at risk) until disease onset first develops. Once disease has occurred the first event has taken place and by definition a first event can only happen once.

Incidence proportion (survival proportion) – the measure of the proportion of members of a population who develop new cases of disease during a specified period of time. It does not convey when during the time period those persons were affected (beginning, middle or throughout).

Prevalence - the occurrence of existing disease in a population includes all cases of disease (new and already occurring). Focus is on the proportion of a population that is of an affected state at a specific point in time. The number of people in a diseased state at a specified time is called the prevalence pool which decreases as persons are removed from it by death (mortality fatal disease), recovery from disease, and emigrating from the population. A disease with high incidence rate may have low prevalence if it leads to rapid death or recovery. Chronic diseases with long duration and incurable but nonfatal diseases may have low incidence rate but may have higher prevalence. Prevalence is a measure of both incidence rate and duration of disease, and reflects determinants of survival and of disease. Prevalence is appropriately used when describing the frequency of congenital diseases and disorders among all births – where the surviving infants at birth represent the existing congenital malformation among the population of affected embryos, many of which would have not survived until birth and cannot be reliably quantified, hence precluding the use of incidence to describe birth defects, congenital malformations, disease, disorders.

Prevalence Odds - ratio of diseased to non-diseased or the ratio of the proportion of the population that has disease to the proportion that does not have the disease; where diseased and non-diseased refers to the occurrence of a specified illness, which is not the same as absence of all illness in non-diseased. P/ (N-P) where P = proportion with disease, N= population total. The prevalence proportion is dimensionless and rages from 0 to 1.

Prevalence vs. Incidence – prevalence is a measure of the health or disease status of a population at a specific point in time, whereas, incidence is a measure of newly occurring cases of disease in a population. When interested in studying etiology of disease causation (determinants of disease or health related event) incidence is usually more appropriate and informative than prevalence. Prevalence is often used when measuring the occurrence of degenerative and chronic diseases for which a clear time of onset of disease is often not available or easy to determine, and in the case of seroprevalence and prevalence of infection for diseases with a long asymptomatic phase (e.g., HIV infection and AIDS). For other studies such as those involving financial aspects, resources, long term strategic planning prevalence of disease may be more suitable measure than incidence.

Because generally there is a very strong relationship of age to most diseases, it is important to look at age-specific sub-populations when studying etiology of diseases and patterns of occurrence. This requires that prevalence be expressed as a function of age- specific incidence, duration and other populations parameters (Preston, 1987, Manton and Stallard, 1988; Keiding 1991, Alho 1992 cited in Rothman, Greenland and Lash).

Person attributes - include age, sex (gender), life-stage (pregnancy, menopause, puberty and stages of early child development), ethnicity, race, personal behaviours and lifestyle including diet and exercise, tobacco smoking, alcohol and drug use, and socioeconomic status (SES) which includes occupation, education, housing, income, and would also include access to health care, access to improved sanitation, access to improved water supply in terms of both quantity and quality. Age is perhaps the single most important “person” attribute influencing epidemiological analyses of disease because health changes with age and life-stage is closely associated with age, and age influences susceptibility to disease, opportunity for exposure, latency and incubation period of disease, and changes in physiological response to disease, environment and treatment. Epidemiologists typically use small age

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groups when collecting health data. For example an age group of 1 year may be adequate for children, in studies addressing latency of chronic disease such as various cancers age groupings of 10 years or less, 5-years may be adequate but may conceal important patterns and trends in the data. Consider diarrhoeal disease in children – is the rate of disease equally high in children of all ages? Recent data analyses by researchers and WHO a show diarrhoeal disease in developing countries is highest in children under the age of five years.

Person-time; total person-time at risk or population-time at risk – outcome events may or may not occur during the period of observation, meaning the set of incident times for a specific event in a population is not finite or precisely defined. To compensate for this, a unit of measure consists of the length of time each individual case was in the population at risk for the event (i.e., time present in the exposed population, the time period during which the event was a possibility would have been counted as a case of disease or a health-related event if it had occurred). The length of time is called the person-time contribution for an individual. The total person-time at risk or the population-time at risk is the sum of person-times over all population members. It is not the same as clock time. For example if a population of 20 people had drank from a community well during a 2 day period of observation, the total person-time at risk or population-time at risk would be 20 X 2 = 40 person-days but the clock time would be 2 days or 48 hours.

Rate - is the number of cases divided by the size of the population per unit time. Expressing counts as rate give context to the numbers by relating the number of cases to the size of the population in which the counts are made of cases that occurred, within a specified time period, usually one year. For instance, assuming an estimated 598,207 new cases and 7,551 deaths of cholera in the year 2012 in Haiti having an estimated population of about 9,800,000 people would correspond to a rate of disease of 598,207/9,800,000 = 0.06104 cases per person or 61.04 cases per 1000 people in the population in 2012. Rate are useful when comparing frequency of disease between different locations whose population size differs and population make-up differs, and are also useful for comparing frequency of events occurring over different time periods. For example, public health organizations relief teams may want to know if the rate of cholera changes in different regions and communities of Haiti and within different population groups by gender (male versus female) and by age (infants and children under the age of five years versus older children and adults) by helping to identify those groups and areas at greater risk assisting them in planning and preparing medical and aid supplies for a given area. As well as, changes in rates of cholera and other infectious diseases (HIV AIDS) pre and post disasters such as earthquakes and hurricanes. An estimated death rate of 8.1 per 1000 for Haiti in 2011 are much different from that for 2010 which was strongly influenced by the January 2010 Earthquake; estimate of maternal mortality rate for 2012 was 300 per 100,000 live births; infant mortality estimates for 2012 are 52.44 total per 1000 live births and 56.47 male infant deaths per 1000 live births and 48.37 female deaths per 1000 live births. (http://www.theodora.com/wfbcurrent/haiti/haiti_people.html accessed December 2012).

Secular (Long-term) trends - Graphing annual number of cases of disease or long-term data for rate of disease over several years can show long-term secular trends and patterns in the data. These types of graphs and long-term data are used by public health to assess whether disease (endemic and epidemic) occurrence is increasing, decreasing, or are essentially flat – indicative of no change or stable conditions. This information is beneficial to public health organizations for planning where to allocate resources, predict future occurrence of disease, and as part of assessing effectiveness of disease prevention controls and public awareness campaigns in influencing health outcomes at the population level.

Seasonality and time-scale - Epidemiologists look for differences in disease occurrence corresponding to changes in the season, e.g. rainy periods, and periods of drought (autumn, winter, spring summer). By using different time scales for the collection and analysis of disease occurrence, such as hours, days, weeks and months it may be possible to discern differences in patterns corresponding to seasonal differences in weather, human activities, occupational and environmental exposures, and other events.

Sensitivity - the ability of a test to correctly identify “true positives”, persons with disease. A test with a sensitivity of 100% has a high sensitivity and low probability of a Type II error = 1- β. A test could have a high sensitivity but low specificity. From a public health perspective sensitivity is important for reliably identifying all cases in an exposed population; the consequences of including false positives would be less detrimental to the spread of disease than the ability to distinguish false negatives.

Specificity - the ability of a test to correctly identify “true negatives”, persons without disease. A test with a specificity of 100% has a high specificity and a low probability of a Type I error = 1-α.

Standardization – is a common technique used in epidemiology to control for confounding and for summarization of occurrences and effects. An example of standardization as used in epidemiology is the distribution of person-time series of variables for say six age-sex categories, and the six age-sex incidence rates for each of the six age-sex strata. From the available information a weighted average of the rates with weights as per the distribution can be calculated.

Causation - “Disease results from the interaction between the agent and the susceptible host in the environment that supports transmission of the [disease] agent from a source to that host.” - (CDC Epidemiology page 1-52)

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References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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CAUSATION

“Disease results from the interaction between the agent [of disease and of harmful health effects] and the susceptible host in the environment that supports transmission of the agent from a source to that host.” (CDC Epidemiology page 1- 52)

EPIDEMIOLOGICAL TRIAD OF CAUSATION - Concepts of Disease Occurrence

The simple model of causation consists of three components:

1 Agent [of Disease] (biological (pathogen and parasites), harmful chemical, radiological and other physical contaminants) 2. Susceptible Host - determined by biological characteristics of the host. Life-stage (e.g., fetus, newborn, child, pregnancy, menopausal), gender, immunized having resistance to disease or naive non-immunized susceptible to disease, genetics and heritable traits influencing metabolism and predisposition to harmful effects on health, nutritional status and pre-existing health conditions. Susceptibility. 3. Environment – opportunity for exposure via transmission and exposure routes (ingestion, inhalation, contact) and exposure pathways involving environmental media – air, water, soil, dust sediment, food, fish , shellfish, and fomites – contact surfaces, countertops, utensils, pillows, bed linens, clothing, toys, and physical impacts of labour, endurance, drought, dehydration and famine. Vulnerability.

The three components interact in a variety of ways. The development and assessment of effective public health measures to control or prevent disease usually requires an assessment of all three components and their interactions corresponding to the situation. Through the development of a “conceptual model” the risk assessors and risk managers seek to visualize conceptually all possible interactions for a given situation, and by the process of elimination focus on those interactions that are unusual to those affected by disease and to the condition of the situation in comparison to controls or background conditions.

The agent of disease may be bacteria, virus, protozoan, parasite or other microorganism, and may require a disease vector. Other agents of disease could be harmful chemical and physical contaminants, toxic substances and acid gases, hormonal fluxes during development, nutrients and vitamins in the case of metabolic disorders, and physical stressors, including x-rays, sound, repetitive motion in the case of carpal tunnel syndrome, and particulates such as PM2.5 and the development of acute and chronic respiratory diseases. Conceptually, the agent must be present for disease to occur but presence alone may not be sufficient to result in disease. Other contributing factors influencing pathogenicity and virulence of may be modified outside or inside the host, involving an incubation period or latency period for disease development In the case of zoonotic diseases and vector-borne infectious diseases the intermediary steps of passage through an animal host and carried by insect vector may be required such as in the transmission of malaria. A multi-step environmental pathway is involved in the accumulation of pathogens such as hepatitis, cholera, salmonella and shigella in shellfish from polluted waters in the transmission of water-related diseases by consumption of contaminated food. A multi-step environmental pathway is necessary for toxic metals and persistent organic pollutants (POPs) bioaccumulate in fish tissues and shellfish. For example, releases of mercury to water and deposition of mercury in air emissions to lakes, rivers and oceans accumulate in sediments and biological organisms where it is biotransformed into methyl-mercury, a much more toxic and fat-soluble form of mercury that readily crosses the blood brain barrier and crosses the placenta. Methylmercury accumulates in tissues of fish and shellfish to potentially harmful levels in blood and tissue when eaten by people and fish-eating wildlife; particularly susceptible to the harmful effects of neurotoxic and developmental toxic exposures to methyl mercury is pregnant woman and her developing fetus. Cadmium is an example of another toxic metal in waste waters that accumulates in sediments and shellfish to toxic levels; cadmium is also accumulated in placental tissue; the health implications of cadmium levels in placental tissues on fetal development warrants further study.

The host refers to the human who gets the disease; susceptibility, exposure, and response to disease is influenced by several host-specific factors, also called determinants of health and intrinsic risk factors, including behaviors and life-style choices such as living conditions, sexual activities, drug use, diet, exercise, occupation and activities, genetic and hereditary characteristics, pre- existing health status and medications, age, gender and life-stage, physical anatomy and psychological make-up.

The environment refers to the surrounding environment and conditions that influence exposure and the fate of the agent (survival and growth of pathogens outside of the body, and biological vectors of disease, and persistence of toxics and radionuclides, and of spore and recalcitrant forms of pathogens); these environmental factors are also called extrinsic factors. For example, environment includes, climate, geological conditions, socio-economic factors, sanitation and crowding, access to water supply, water treatment and water collection and storage, biological factors including insect vectors and their habitat, food preparation and food processing, and availability of health services.

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The complexities of multi steps and multi-stages of disease development limit the TRIAD Causation Model. An alternative model is the “causal pies” developed by Rothman in which an individual factor is theoretically represented as a piece of pie, only when all of the pieces of pie are present then disease occurs. Individual factors are called “component causes “. A complete pie which could be a causal pathway is a “sufficient cause” (e.g., consumption of polluted water causes cholera epidemic was determined in the epidemiological investigation by John Snow). A disease may have more than one sufficient cause that is comprised of several component causes that may or may not overlap (CDC Epidemiology p 1-53); a component cause that occur in all sufficient causes for cases of the same disease are called a “necessary cause” because without it disease does not occur (e.g., the presence of Vibrio cholera contamination is a necessary cause for development of cholera disease). Component causes may be factors attributable to the host, to the agent and to the environment (i.e., intrinsic and extrinsic factors). A single component factor is rarely sufficient for causality. An example is lung cancer and smoking, many cases of lung cancer occur in persons who smoking tobacco, but not all persons who smoking tobacco develop lung cancer and not all cases of lung cancer occur in those smoking tobacco. Tobacco smoking of itself is not considered by itself to be a “sufficient cause” of lung cancer nor is tobacco smoking considered to be a “necessary cause” of lung cancer. Smoking tobacco is a “component cause” for developing lung cancer.

For example, some individuals even though they are infected by a pathogen do not develop disease but are carriers of the disease agent and fully capable of transmitting infectious disease. Another example, is some individuals with heritable metabolic traits, genetic polymorphisms, when exposed to certain substances may be predisposed to developing cancer associated with the formation of carcinogenic metabolites that may not be formed in or formed in lesser amounts in other persons with a different genetic make-up.

When it comes to public health actions for the prevention of disease, identification of all component causes is not a requirement before taking action. Blocking of a single component cause of a sufficient disease transmission pathway or blocking of component cause of a sufficient exposure pathway would usually be enough for the prevention of disease, at least through that pathway. For example, elimination of drinking water from polluted surface water would prevent the transmission of cholera by drinking water pathway but may not eliminate transmission of cholera disease by other pathways such as, person to person contact and by contaminated food.

Causal Pies

In the example provided, component cause “A” is by definition a necessary cause because it appears in all sufficient causes I, II and III.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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There Are Two Basic Methodologies of Epidemiology:

Descriptive Epidemiology

Analytic Epidemiology

What is Descriptive Epidemiology?

Descriptive epidemiology covers:Time; Place; Person

Using descriptive epidemiological methods, an epidemiological event is characterized by compiling and analyzing data by time, place and person. To measure the frequency of disease occurrence in a population, to simply record the number of people affected by disease in a population (i.e., proportion of the population affected) does not provide sufficient information, one must also take into account the time period over which the incident occurs, the time before onset of disease symptoms and the observation period during which the cases are monitored. When one considers the event death, the frequency of death in a population or group is determined by the amount of time elapsed between birth to death (i.e., from the time of the reference event, birth, to the time of the incident event, death). When the time to death (from birth to death, i.e., the incident time) is shorter in one population when compared to another, the death rate (incidence rate) of the first population is higher than that of the other population.

What is Analytic Epidemiology?

Analytic epidemiology involves the comparison of at least two groups ─ a control group or reference population and an exposed group or population at risk, for a specified time period ─ in an investigation of exposure history of cases of disease in the exposed group to those in an appropriate reference population or control group. An investigation of exposure history typically involves gathering information on particular characteristics and the likelihood of the characteristics to be associated with the disease or health-related event.

Analytic epidemiology involves the investigation of cause and effects by seeking answers to the how and why questions, enabling the development of strategies for targeting public health prevention and control activities, and contributes to increasing the understanding of the causes of diseases. Analytic epidemiology involves identifying and quantifying the association (relationship) between exposures and health outcomes and testing hypotheses about causal relationships, even though on its own epidemiology cannot prove a particular exposure caused a particular outcome but it can provide sufficient evidence to enable taking appropriate control and prevention measures.

Four broad categories of types of factors or characteristics that can be associated with a disease or health-related event are: 1. demographic factor, 2. constitutional factor, 3. behavioural factor, 4. living circumstances. For example,

Age, races or sex or other - demographic factor. Physiological or hereditary factors such as blood group, immune status, metabolite, eye colour. Also referred to as a constitutional factor. Smoking, dietary preference (vegan), fitness, also referred to as a behavioural factor. Living near a toxic waste site, heavy traffic corridor, urban centre, rural farmland. Also referred to as a circumstantial factor.

Analytic Epidemiology studies can be either observational or experimental studies.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for

file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D015EpiMethods.htm[11/1/2014 10:22:43 AM] WLC Template

Emergencies. Chapter 6. Epidemiology Surveillance.

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Disease Transmission – Chain of Infection

The cycle of transmission of infectious disease is sometimes referred to as the chain of infection, involving the movement of the infectious agent out of its reservoir via a transmission pathway to enter a susceptible host through a portal of entry (lungs, mouth, skin, eyes, nose and mucous membranes, and blood and tissues). A environmental reservoir refers to the source of the agent in the natural environment where the organisms lives and may accumulate and reproduce and grow in large numbers, and also where an agent (persistent toxic, toxin, and spore forming pathogen, such as Clostridium species) can remain dormant for extended periods of time. For example, zoonoses and enteric diseases may be found in waters, soil, runoff and sediment, especially those polluted by human and animal wastes and sewage, in soils treated with sewage and sludge and animal manures, polluted sediments and in the gastrointestinal tract of humans, animals, fish and shellfish, and animal and plant tissues. Contaminated and spoiled food items can also be a source of exposures, although the initial environmental reservoir and source of contamination may be from residual soil adhering to plants and animal tissues, and from contaminants in water used in the preparation and processing of food. Other examples of reservoirs are mosquitoes, flies, ticks and other invertebrates, and the breeding areas of intermediary hosts carrying malaria, dengue fever and yellow fever and other vector-borne disease. Human reservoirs for transmission of disease include body fluids and evacuations such as blood, urine, faeces, vomit, saliva, and also tissues (e.g., bone, liver, heart, kidneys, brain, dura mater). Inadequately cleaned, disinfected and sterilized medical and dental instruments and medical and dental devices (e.g., needles, drill bits, endoscopes, pacemakers) and transplanted human blood and tissues may serve as a reservoir for spread of infectious diseases by iatrogenic transmission (e.g., HIVAIDS, Hepatitis, CJD Kuru, and other TSEs, parasites and other pathogenic microbes). Other reservoirs and exposure pathways for transmission of infectious disease include consumption of bushmeat, blood offal and organ meats, and specified risk materials of domestic animals and game, especially of sick and dead animals, and human cannibalistic practices, including ritualistic consumption of human blood, placental tissues and afterbirth.

Concept of Herd Immunity

Vaccination is a prophylaxis method of preventing the spread of vaccine preventable infectious and communicable diseases by exploiting the natural immune system defense mechanisms of the body to counteract exposure to the disease agent. The natural immune system of the body is stimulated to produce specific antibodies that are capable of binding to and neutralizing the specific antigen produced by the infectious agent, thereby preventing the development of disease in the vaccinated individual. The concept of herd immunity involves sufficient protection of most members of the population and prevention of disease outbreaks in large numbers of individuals by vaccinating to create a “resistant majority” to the vaccine preventable disease within the population, thereby reducing the chances of the pathogen from finding the few members of the population who are not immunized. Theoretically, not all members of the population are required to be immune to prevent the spread of disease, but in actual practice herd immunity was insufficient to prevent outbreaks of communicable diseases such as measles and rubella even when immunization rates were as high as 85% to 90% of the population. It has been suggested that this may be because the few numbers of individuals who are not immunized tend to live and associated closely with one another, such as in families and religious communities who choose not to immunize their children against childhood vaccine preventable diseases.

References:

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

Fine, P. Eames, K. and Heymann, D. 2011. "Herd Immunity: A Rough Guide. Vaccines. CID 52: 911- 916.

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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There Are Two Basic Methodologies of Epidemiology:

Descriptive Epidemiology

Analytic Epidemiology

What is Descriptive Epidemiology?

Descriptive epidemiology covers: Time; Place; Person

Using descriptive epidemiological methods, an epidemiological event is characterized by compiling and analyzing data by time, place and person. To measure the frequency of disease occurrence in a population, to simply record the number of people affected by disease in a population (i.e., proportion of the population affected) does not provide sufficient information, one must also take into account the time period over which the incident occurs, the time before onset of disease symptoms and the observation period during which the cases are monitored. When one considers the event death, the frequency of death in a population or group is determined by the amount of time elapsed between birth to death (i.e., from the time of the reference event, birth, to the time of the incident event, death). When the time to death (from birth to death, i.e., the incident time) is shorter in one population when compared to another, the death rate (incidence rate) of the first population is higher than that of the other population.

What is Analytic Epidemiology?

Analytic epidemiology involves the comparison of at least two groups ─ a control group or reference population and an exposed group or population at risk, for a specified time period ─ in an investigation of exposure history of cases of disease in the exposed group to those in an appropriate reference population or control group. An investigation of exposure history typically involves gathering information on particular characteristics and the likelihood of the characteristics to be associated with the disease or health-related event.

Analytic epidemiology involves the investigation of cause and effects by seeking answers to the how and why questions, enabling the development of strategies for targeting public health prevention and control activities, and contributes to increasing the understanding of the causes of diseases. Analytic epidemiology involves identifying and quantifying the association (relationship) between exposures and health outcomes and testing hypotheses about causal relationships, even though on its own epidemiology cannot prove a particular exposure caused a particular outcome but it can provide sufficient evidence to enable taking appropriate control and prevention measures.

Four broad categories of types of factors or characteristics that can be associated with a disease or health-related event are: 1. demographic factor, 2. constitutional factor, 3. behavioural factor, 4. living circumstances. For example,

Age, races or sex or other - demographic factor. Physiological or hereditary factors such as blood group, immune status, metabolite, eye colour. Also referred to as a constitutional factor. Smoking, dietary preference (vegan), fitness, also referred to as a behavioural factor. Living near a toxic waste site, heavy traffic corridor, urban centre, rural farmland. Also referred to as a circumstantial factor.

Analytic Epidemiology studies can be either observational or experimental studies.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for

file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D016EpiMethods.htm[11/1/2014 10:22:44 AM] WLC Template

Emergencies. Chapter 6. Epidemiology Surveillance.

file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D016EpiMethods.htm[11/1/2014 10:22:44 AM] WLC Template

Descriptive Epidemiology - Methods

The available raw data are compiled, may be aggregated and are carefully examined by the epidemiologist in the following stepwise manner:

1. To become familiar with the data, the epidemiologist determines the comprehensiveness and completeness of available records. What are the variables for which data has been collected? Are there missing information? Are there noticeable data gaps? Are there peculiarities in the data? Such as, peculiarities in gender and age? E.g., a community study reported all cases of waterborne disease occurred in children in age from 6 months to 4 years plus one 14 year old. In an investigation of asbestosis occupational data may be available for male workers only and for workers aged more than 40 years).

2. To determine the extent and pattern of the health problem being investigated, the epidemiologist scrutinizes the data. Which neighbourhoods and which groups of people have the most cases and the least? During which months and over what time period do the most and the least number of cases occur? Are there specific months when the most and the least cases of disease occur; is it seasonal? The identification of temporal trends in disease occurrence can lead to the development of viable options for outbreak control and risk management, and to assist in pinpointing the causal agent or factors contributing to the occurrence of disease in a group or population in an affected area. Examples, the number of cases of water-borne infectious disease has been observed to increase during the rainy season in areas subjected to flooding and groundwater impacts from surface run-off and seepage of fecal material from nearby latrines and animal manure piles up-gradient of improperly located and installed wells for drinking water. In malaria-endemic geographical areas, seasonal outbreaks coincide with life-cycle of mosquitos and tse-se flies.

3. To give a clear, straight-forward communication of a detailed description of the health-related status of a population, the epidemiologist produces tables, graphs and maps of the collected data for presentation to concerned parties. Example –Tables, graphs and maps showing temporal patterns of disease are common tools for monitoring the occurrence of disease in the community and for assessing the performance of controls and interventions for protection of public health and disease prevention (e.g., management improvements to prevent impacts to small drinking water systems from rain run-off carrying pathogens from piles of animal manure and latrines, including options such a following best practice for siting and installation of wells for drinking water away from obvious sources of contamination, improvements in sanitation methods, sewage treatment, and animal husbandry practices).

4. Using descriptive methods, the epidemiologist can determine if there are areas or groups in the population that have high numbers of disease within the observation period of data collection and as a proportion (i.e., rates of disease). The findings from descriptive investigations can provide clues to possible causes that can be further investigated by formulating testable hypotheses. The actual testing of those hypotheses is the focus of analytic epidemiology.

Standardization is a common technique used in epidemiology to control for confounding and for summarization of occurrences and effects. An example of standardization as used in epidemiology is the distribution of person-time series of variables for say six age- sex categories, and the six age-sex incidence rates for each of the six age-sex strata. From the available information a weighted average of the rates with weights as per the distribution can be calculated.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Analytic Epidemiology - Methods

Analytic Epidemiology studies can be either observational or experimental studies.

Observational Epidemiological Studies Experimental Epidemiological Studies

Study participants are observed for exposure and The investigator determines the exposure conditions disease status under conditions as they occur with no for the study subjects. Involves controlled exposures deliberate controlled exposures. For example, the John for each individual (clinical trial) or community Snow studies of the cholera epidemic in London. Study (community trial). subjects are grouped on the basis of their exposures, and then observed for the development of disease. Observations of the unexposed and exposed groups are compared for differences which are attributed to There are two groups for comparison – a control not differences in the exposure conditions. Three types of exposed, no treatment, no intervention group and an observational epidemiological studies are cohort, case- controlled exposure (drug) group or group with control and cross-sectional. Of these the most common treatment or intervention (drinking water treatment). are cohort studies and case-control studies. The less

common type are cross-sectional studies. All individuals (or communities) in each group are

tracked over time and examined for specific health effects in both the exposed group and the 1. Cohort Study. A cohort study involves assigning participants to either an exposed study group or to a unexposed group. not exposed group and then tracking study participants

for the development of disease. Unlike in an experimental study, the participants are not intentionally Study participants in each group are followed for a exposed but are observed for exposure over a specified time at the end of which the results for the specified period of time, after which the disease rate in two groups are compared to determine which if any the exposed group is compared to that in the had the highest occurrence of disease. unexposed group. The unexposed group serves as the baseline or reference population and provides the expected amount of disease in the community or population. Exposure is associated with illness if the For example, a clinical trial of a new vaccine, drug rate of disease is substantially different (higher) in the or lifestyle change looks at the protection level exposed group when compared to the unexposed conferred to those who received the treatment group. The length of the follow-up time period varies versus the disease occurrence in those who did not and is dependent on the characteristics and properties receive the treatment (i.e., the control group of the disease or illness of interest. received a placebo, or no change in lifestyle).

Follow-up or Prospective Cohort study. Typically in a follow-up Cohort study participants are followed prospectively over a long period of time, from the time of enrollment in the study to the occurrence of disease.

Retrospective Cohort Study. Involves the study of exposure that has already occurred. The rates of disease are calculated and compared for the control unexposed group and the exposed group. Occupational studies of exposure and disease in workers or persons attending an event like a wedding, or drinking from a treated well are examples of common retrospective cohort studies.

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2. Case-Control Study. Groups of people or case- patients each with a case of disease are enrolled and assigned to a case-group. A comparison control group is also created by enrolling people without disease. Previous exposures for each of the groups are compared. The control group is used to define the baseline or expected amount of exposure in that population. The illness or disease is said to be associated with the exposure, if the amount of exposure in the case group is substantially greater than that in the control group. In order to provide a reasonable estimate of the baseline or expected exposure, it is important to identify an appropriate control group that is comparable to the case group in most aspects. Investigators look for differences in the in exposure prevalence of the case-group and the control-group, thereby concluding that exposure is associated with the occurrence of disease. In a case- control study of an outbreak one control per case is often used when the number of cases is 50 or more (CDC page 6-46) but can vary. In smaller outbreaks two, three or four controls per case have been used to increase the statistical power. Rarely does having more than four controls per case substantially improve the statistical power (CDC page 6-46). For example, an investigation of an outbreak of Legionnaires disease in Louisiana had 27 case-patients and 54 controls (two controls per case); descriptive epidemiology did not show a connection between exposures of cases with the cooling towers. Analytic epidemiology investigation showed quantitatively that the case-patients were about equally exposed as the controls to cooling towers but also showed using a two by two table that case- patients were more likely to shop at a particular grocery store; Odds Ratio ad/bc = 25X26/28X2, implicating an ultrasonic misting of fruits and vegetables, that was later confirmed by laboratory testing by isolating the bacteria from water in the misting machine’s reservoir (CDC example Chapter 6).

3. Cross-sectional study. A cross-sectional study measures exposure and disease simultaneously by taking a sample of persons from a study population and assessing the status of existing disease in the population at that specific point in time, without regard to the duration. An estimate of the presence of disease (prevalence) in a population is the objective of a cross- sectional study. A cross-sectional study is the weakest type of observational study. A notable limitation of a cross-sectional study is that it cannot distinguish the determinants for survival from those for occurrence of disease. Cross-sectional studies are more useful for descriptional epidemiology, and are commonly used to determine the prevalence in a community or population of behaviours (e.g. smoking, drug use, fitness), of health states (e.g. immunization programs), and health outcomes for chronic disease conditions with no clear

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time of onset and lasting a lifetime (e.g., diabetes, hypertension).

Analytic studies may not always give compelling evidence, especially if the hypotheses for testing were not well founded. Before proceeding to analytic epidemiological study (e.g. cohort or case-control) it is important to first conduct a thorough descriptive epidemiological study and scrutinize the findings for outliers, review survey questions and answers with staff and colleagues. Rethink hypotheses for testing; refine, revise and re-evaluate hypotheses as appropriate based on the available information and as new information becomes available. Is the control group appropriate for the scenario and situation under investigation? Does the control group closely match the exposed group? Meet with case-patients, conduct a site or home visit, look carefully at shelves and products in the home, and explore possible vehicles or modes of transmission. Look for convergence of common factors among case-patients.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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DISTINGUISHING BETWEEN EPIDEMIOLOGIC STUDY DESIGNS

A unifying property of these study designs is that each can be used to measure the same measure of effect, either directly (cohort studies) or indirectly. The RR relative risk ratio.

Epidemiological study designs Source: Allan Smith 2011. Overview of epidemiological study designs. A presentation to the Fogarty Workshop, Bodhgaya Bihar, November 2011.

As the validity of the study increases so does the costs and the necessary time and resources to conduct the study. Anecdotal stories are usually free and typically cost little to produce.

Each study design has a place. Which study design is best in a given situation depends on many factors.

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Epidemiological study designs Source: Allan Smith 2011. Overview of epidemiological study designs. A presentation to the Fogarty Workshop, Bodhgaya Bihar, November 2011.

Anecdotes - what Case Series Ecological Cross-Sectional Case-Control Cohort Study Intervention they really are Study Study Study Trial saying

"In my Physicians The unit of study Cross-Sectional You select cases Starts by Also called experience"....once report on a is the group. Do studies identify with disease or identifying an clinical trials series of cases not have exposure and health effect and "exposed" and public "In case after and make individual data health effect in the compare their population before health case"...twice inference about linking exposure population at the past exposures disease occurs. intervention causation. with outcome. same time. It is with a selected Follows a group of studies. "It is believed that"...I Case series E.g., the study of also known as a group of non- people (the For example, think sometimes arsenic in prevalence survey. cases (controls). cohort) overtime to studies that work. In those drinking water on Includes all cases Estimate the RR find out how their look at change "It is generally instances the cancer in a city current and past. or OR. Start by exposure relates in health believed that"....a disease must in Chile. In this identifying cases to the occurrence effects before couple of other guys usually be very study, do not with the disease of health and after think so too. rare, and the know if those or health outcomes. treatment of "in a series of relationship with who died from outcome of drinking water cases".....thrice exposure very cancer actually interest. Retrospective supply to strong. drank the high The controls are (historical) cohort remove arsenic content not what you study identifies contaminants E.g., Dr. water But since might think they population in the (such as McBride an there was only are. Unlike the past and seeks to arsenic, or experienced one source of usual use of the find out what has cryptosporidium obstetrician in water, do know term, they are happened to them cysts). The Australia saw 4 that if they were NOT a group in terms of their ability to see

babies with very living there they without exposure. health outcomes an effect rare limb would have been and related events depends on the deformities. exposed. The controls influencing latency period

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Each of the should be exposure. of the health mothers had representative of Prospective cohort effect. A taken the source study identifies the change in thalidomide population in exposed outcomes in during which the cases population now response to an pregnancy. He occurred (in and follows them intervention for

found 9 cases particular with into the future.. acute and involving regard to short-term thalidomide exposure). effects would used in specific Variations of be easier to weeks of case-control follow over pregnancy. studies include time and track nested case- than long-term controls studies. chronic effects.

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EPIDEMIOLOGIC STUDY DESIGNS

1. Case Series:

Data available on those with the outcome only (i.e. patients). Inference is based on some characteristic (“exposure”) being unusual (usually thought to be rare except in the cases).

2. Ecological Studies:

An ecological study is one in which the unit of observation is the group rather than the individual. i.e., the study does not have data on both exposure and outcome for each individual in it.

No individual data with outcome and exposure for each person The link between outcomes and exposure is available on a group basis only

Epidemiological study designs Source: Allan Smith 2011. Overview of epidemiological study designs. A presentation to the Fogarty Workshop, Bodhgaya Bihar, November 2011.

Arsenic Case Study and Epidemiology Study Designs from Allan Smith

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3. Cross-Sectional Studies

In the cross-sectional study (or prevalence survey), exposure and disease status are assessed simultaneously among individuals in a well-defined population. Cross- Sectional studies can be supplemented with identification of past exposure.

Skin pigmentation effects associated with As in drinking water.

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4. Case Control Studies

A case-control study is one in which you select cases with a disease and compare their past exposures with a selected group of non-cases (controls).

Estimate the relative risk ratio of odds ratio of disease or health effect in the cases with disease to the controls without disease. The controls are not a group without exposure and should be from the source population in which the cases occurred.

5. Cohort Studies

Follows a group of people called the cohort over time to find out how their exposure relates to the occurrence of health outcomes.

Must start by identifying an "exposed" population group before disease occurs. Prospective cohort study is identified and recruited now to participate in the study and follow them into the future.

A retrospective (historical) cohort study identifies a population in the past and looks at past exposures and health outcomes to find out what has happened to them up to the present.

6. Intervention Trials

Determines change in health outcomes before and after an intervention is applied such as, treatment to remove contaminants (e.g., arsenic) from the drinking water.

Interventions to lower As in drinking waer and urinary biomarkers

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The 3 C Study Types

In each of the 3 C study types (cohort, case-control, and cross-sectional), individuals in the study populations are either exposed or not exposed.

In the 3C study types individual data is collected, whereas in ecological studies the analyses are based on group data (aggregated data) usually dependent on the geographic location with no direct link between exposure and effect.

Three types of epidemiological study designs Source: Allan Smith 2011. Overview of epidemiological study designs. A presentation to the Fogarty Workshop, Bodhgaya Bihar, November 2011.

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Natural History of Disease Timeline

Most diseases follow a natural timeline of disease development which is relatively consistent across individuals with some variation depending on the initial exposure conditions (amount of exposure or initial dose), duration of exposure and recurrence of exposure, life stage ( pregnancy, fetal development, early childhood, puberty, adulthood), health and nutritional status. Some infectious pathogens exhibit different symptoms in the host depending on the geographical location (e.g., Epstein Barr virus), cholera infections in otherwise healthy individuals living in developed countries with access to good sanitation and safe water and practicing good personal hygiene, as compare to immediately life-threatening cholera disease in individuals with underlying poor health status and no access to improved sanitation and safe water, thereby lacking essentials for good personal hygiene.

The figure below illustrates the major steps in the progression of the natural history of disease as a function of time post exposure. Exposure to the disease agent (pathogenic microorganism, obligate or opportunistic, or toxic or carcinogenic substance) is required to initiate the disease process which is followed by the sub-clinical stages of disease during which pathologic changes occur in the host. The period from exposure to development of clinical signs and symptoms is referred to as the incubation period in the case of an infectious agent during which the pathogen grows, reproduces and invades tissues to a critical infectious amount; in the case of carcinogenic exposures and chronic toxicity the period from exposure to the onset of signs and symptoms of disease is synonymous with the latency period involving changes in tissue differentiation and physiological changes which may or may not be irreversible occur. During the subclinical stages of disease the infected individual is “asymptomatic” with no visible signs or symptoms of disease. A famous carrier of infectious disease is “Typhoid Mary” who was an asymptomatic carrier of Salmonella typhi, typhoid fever; in the early 1900s, Typhoid Mary (Mary Mallone an Irish immigrant to the United States) lived and worked as a cook in New York and New Jersey, unintentionally infecting dozens of people before she was tracked down and placed in isolation on an island in East River until she died about 20 years later. A reported fifty-one cases and three deaths were directly attributed to Typhoid Mary, and countless others were suspected to be connected to her.

The clinical stage of disease begins with the onset of clinical signs and symptoms; diagnosis of disease often occurs during the early part of the clinical stage of disease. The last stage of disease consists of either the recovery period, or results in disability or death. Each disease has a characteristic incubation or latency period which can range from a very short period of time (second, minutes to hours) in the case of acute toxic exposures, and can range from hours, days and weeks in the case of microbial infections, and even years in the case of latent diseases such as some forms of cancer and degenerative diseases. For example, hypersensitivity reactions and anaphylaxis to sensitizing agents and life-threatening allergic responses can occur in seconds or minutes; the incubation period for Hepatitis A can be up to seven weeks, and the development of lung cancer can take decades.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D028DiseaseTimeline.htm[11/1/2014 10:22:46 AM] WLC Template

ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Exposure Period of an Outbreak

The exposure period is the period of time before the clinical symptoms of disease occur.

In an epidemiological investigation of an outbreak the median, mode of date of onset is used and the minimum and average incubation period to pinpoint the exposure period of an outbreak.

Example Calculation of the Exposure Period in an Outbreak

If the minimum incubation period was 7 days and the modal and median date of onset was July 28th, calculate the possible date of onset of the outbreak.

The possible date of onset could be July 21st.

July 28th - 7 days = 21st of July

If the arithmetic mean incubation period is 10 days,

then the exposure period could be expected to fall between July 18th and July 21st.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Epidemic Curve

I. What is an Epidemic Curve (EpiCurve)

An Epidemic Curve is a graph that is used by epidemiologist to show the time course of an epidemic.

Y-axis: number of cases; x-axis: time as the date of symptom onset or date of diagnosis.

The time scale of the x-axis is dependent on the incubation period of the disease and the routes of transmission. It can be weeks (prolonged epidemic) or minutes (food poisoning by chemicals or bacterial exotoxin (botulinum)). Epidemic curve is typically plotted as a histogram, often each case is represented by a single square (for example see Figure Cases of Salmonella by Date and Time of Onset). Hypotheses for further testing can be inferred by epidemiologists from the shape and features of the epidemic curve (CDC page 1-37 and Lessons 4 and 6 – see figures below).

Characterization of disease occurrence by location provides information on the extent of the geographical spread of the disease agent or health-condition and its geographical variation. Can show important information about disease transmission and movement within population, to help pinpoint origin, fomites, and carriers of disease, and assess quarantine and treatment strategies. Place of disease occurrence refers to any geographical location relevant to disease occurrence. Including:

Place of residence

Place of diagnosis

Place of birth

Site of employment

School (site-specific location) and school district

Hospital unit – hospital wing, operating room

Recent places of travel (vacation, work, family, friends)

The unit of location may be large – continent, country, state, province, territory, or specific as a street address or exact floor or room, GPS coordinates, Lat and Long

Place may refer to a generic descriptor – urban, rural, domestic, foreign, institutional, non-institutional.

Analysing disease occurrence by location can help identify communities at risk of disease, communities where disease is endemic vs. epidemic, and assist in the development of appropriate strategies for disease prevention and control and in the evaluation of their performance. Communities identified as having a more cases than expected (i.e., considered to be at risk) can be further investigated using hypothesis testing to reveal or eliminate probable and possible causal factors. Such as – population characteristics – genetic predisposition (susceptibility), lack of immunity, risky behaviours, food contamination and food preferences that may put them at greater risk, communicable disease traits of virulent strains connecting community transmission, vector-borne diseases – hospitable breeding sites and availability of vectors to humans, environmental conditions – crowded housing, squalor, inadequate sanitation and hygiene, placement of wells and drinking water intake and storage, and disinfection treatment.

Disease occurrence should be described by personal characteristics affecting illness. “Person” attributes commonly used by epidemiologists include – age, sex (gender), ethnicity/ race, and socio-economic status, biologic characteristics (immune status, weight, height, metabolism, genetics), acquired characteristics – marital status, life style activities (occupation, leisure activities, medications, tobacco use, drugs, living conditions – socio economic status, Medicare, social assistance.

Age and sex – are the most common person variables analysed.

It is important to keep in mind that almost all health conditions are influenced by age.

Other factors that empirically vary with age are – susceptibility to disease (young and old being most susceptible), opportunity for exposure (type of food, activities, childcare, supervision of children, occupational, recreational and lifestyle differences), latency or incubation period of disease ( for some latent cancers e.g. lung, liver more frequent in elderly than young), and physiological response – affecting disease development. Selection of the age group can influence the results of analyses of patterns by age and can be misleading by implying a pattern exists when one does not.

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The appropriate selection of the size of the age group should reflect what is known about the disease in terms of the incubation period, the latency of the disease, the transmission routes, and most vulnerable groups. For chronic disease, a 10-year age group may be adequate, for other diseases a 10-year and 5-year could conceal important variations patterns in disease occurrence. Government programs for data gathering follow standardized age groups when reporting on market basket survey, health and nutrition surveys, mortality and morbidity statistics, consensus data.

Socio-economic status – conceptually is a widely inclusive term consisting of occupation, family income, education, literacy, census track, living conditions, and social standing and may be difficult to quantify in a meaningful way.

Common indicators of socio-economic status are: Occupation; Family income; Educational achievement.

Empirical public health data show that the frequency of many communicable and infectious diseases increases inversely with socioeconomic status.

That is to say that there is a higher frequency of disease, infant mortality, and time lost from work due to disability in more people with poor living conditions (i.e., socioeconomic status). Low socio-economic status, manifested in poor living conditions may correspond with increases in environmental pollution, increases in harmful exposures to alcohol, drugs, and communicable diseases, lower health status and resistance to disease, inadequate hygiene and sanitation, nutrition, diet and exercise, and less access to adequate health care and preventative medicine and treatment of existing health conditions, low literacy and less access to information on how to live a healthy life and how to protect oneself from harm and exposure to hazardous substances.

The inter-dependency of health and socio-economics is real but not always unidirectional or inverse, although fewer diseases occur disproportionately among populations of higher socioeconomic status. For example, gout, breast cancer and other cancers have been tagged “diseases of affluence”; others may be prescription drug addiction to painkillers and antidepressants, dietary allergies. Cultural and behavioural lifestyle choices are also determinants of disease. Keeping an open mind that other underlying risk factors and causalities remain to be elucidated beside socio-economics.

The analysis of person data is often done by addressing one variable at a time, analyzing each one separately by preparing graphs or tables of the data; sometime two variables may be treated simultaneously (age and sex).

Plot the Epidemic Curve (EpiCurve)

Plot of the number of cases versus the date and time of onset

o Distinguish an epidemic from an endemic situation

o Look at the shape of the curve – it may reveal the pattern of spread in the population (point versus intermittent source versus propagated)

o Shows time point as epidemic unfolds – is it increasing or declining

o Useful for evaluation – how much time did it take for health department to identify a problem? Are intervention measures working?

o Identify outliers – may provide valuable clues

o Deduce probable time course of exposure and develop questionnaire focused on time period – when disease and incubation period are known.

1. To Draw an Epidemic Curve

One must know time of onset of illness of each case, depending on the specific disease the date may be sufficient or the hour of onset may be more suitable. If the disease or incubation period is unknown, try drawing several epidemic curves with different scales of units on the x-axis and pick the one that best shows the data (e.g. X-axis could be 6-hour intervals, 12-hour intervals, one day intervals, or intervals of multiple days or weeks). Often a case of disease is plotted as a single square, with multiple stacks of squares representing each one of several cases of disease.

2. Interpreting an Epidemic Curve

Four common patterns of epidemic curves are Common Point Source, Common Persistence Point Source, Common Intermittent

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Source, and Propagated Source, as illustrated below. Look at the overall shape of the curve which reflects the pattern of the epidemic, the exposure period (i.e., length of time during which people are exposed), and the minimum, average and maximum incubation periods of the disease.

o Point-Source Epidemic – The typical pattern of the curve is similar to a log-normal shaped curve, with a steep or sudden increase in number of cases occurring over a short time period reaching a peak followed by a gradual decline or tapering off. A sudden exposure to a common point source is suggested by an epidemic curve that has any sudden rise in number of cases. All cases are within one incubation period of each other (e.g., if incubation period for a specified viral disease is from 15 to 50 days after exposure, all cases of the disease from a point source exposure should occur within a 35 day period (i.e., 50-15 = 35).

o Persistent Point Source Epidemic -Typically lasts longer having an epidemic curve that has a plateau instead of a peak.

o Intermittent Common-Source Epidemic - Typically involves exposures to a source (disease agent) that is sporadic in occurrence, having an epidemic curve that is irregular or jagged in shape, showing difference in time of onset, duration and numbers affected.

o Propagated Epidemic - typically involves the spread of disease from person─to─person with increasing numbers of cases in each (generation) wave of transmission. The epidemic curve shows a series of progressively taller peaks, one incubation period apart from the next. Note: The classical text book epidemic curve seldom actually occurs.

Typical Epi Curves for Different Types of Spread (Figure 6.3 page 6-29 sourced from CDC Epidemiology Course; See also example Interpreting an Epidemic Curve page 6-31)

The above graphs are examples of typical epi curves copied from CDC epidemiology course.

· Adapted from: European Programme for Intervention Epidemiology Training [Internet]. file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D036epidemiccurve.htm[11/1/2014 10:22:46 AM] WLC Template

· Solna, Sweden: Smittskyddsinstitutet [updated 2004 Sep 27; cited 2006 Sep 22] Available

· from: http://www.epiet.org/course/Presentations/2004/04-Outbreak investigation/03-

· Outbreak investigation-filer/frame.htm

3. Use the Epidemic Curve to Establish the Exposure Period

Establishing the exposure period can lead to the development of appropriate questions about the time period which can help to identify the source of the epidemic. If the disease has not been identified, comparing estimates of the incubation period to known incubation periods of known pathogens may be beneficial in establishing a list of possible pathogens.

The approach for determining the exposure period is a two step process:

1. Find the peak of the outbreak or the median case and along the x-axis count back one average incubation period, demarcating the date (and time).

2. Also, starting from the earliest (1st) case of disease of the epidemic count back the minimum incubation period demarcating that date (time) as well.

Generally, the two dates (times) should be close in time, representing the probable period of exposure making some allowance for variability; a rule of thumb is to extend the probable period of exposure by about 20% to 50% before and after the minimum and average incubation periods.

Once a reasonable estimate of the exposure period has been determined, investigators can ask questions about possible sources of exposure around those dates. Persons should be asked “what were they doing around that time” to help to pinpoint a possible causal factor(s) potentially associated with the onset of illness. If the time of exposure and the onset of disease are known in a situation, but the disease agent has not been identified, it is possible to estimate the incubation period from the epidemic curve.

The minimum incubation period can be estimated by subtracting the time of onset of the earliest cases from the time of exposure. An estimate of the median exposure period can be calculated by subtracting the time of onset of the median case from the time of exposure. It may be possible to narrow down the possibilities by comparing the estimates of minimum and median incubation periods to available list of incubation times to known diseases.

For example,

Time of Exposure - Subtract the time of onset = Estimate of Incubation Period.

Pay Attention to Outliers

Pay attention to cases that do not follow the pattern of others (outliers), such as early and late cases. These may provide clues to assist the investigation. For example early cases may suggest the source of the epidemic or present background levels in the population. Whereas late cases could be unrelated, or cases with a longer incubation period, secondary cases, or persons exposed later than most others (e.g. water borne illness, person may have been away when outbreak first occurred and upon return ingested contaminated water, or leftover food prepared with contaminated water). Outliers may be actual errors in data or miscoded records, or be associated with sources that are more easily revealed by follow-up.

When the disease is known and the incubation period is known (determined by referring to average and minimum incubation periods in WHO published disease Fact Sheets and the Control of Communicable Diseases Manual, Heymann, DL. 2008), it is possible to identify the likely exposure period using the epidemic curve.

Geographical Description of an Outbreak Situation

The determination of what are the appropriate geographical boundaries for an area of study requires careful consideration as it will influence the rate calculation, and should reflect what is known about the possible sources, area of impact and transmission routes of disease, the incubation period and environmental persistence of the disease agent.

Providing a geographical description of an outbreak situation involves documenting and often mapping the places where those persons affected by the disease live, work, or may have been exposed (e.g., drinking water source, food source, school,

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restaurant, shopping mall, campground, park, airport, lake, beach, etc.). A common epidemiologic tool is called a “Spot Map” that shows the location of the exposed individuals, and may show clusters of exposed individuals raising possible questions about possibility of common sources and routes of exposure. Modern GIS techniques could be applied and may be beneficial in mapping cases during an outbreak in a community such as, acute waterborne illness.

Clustering of cases could be indicative of a point source or person-to-person spread of illness such as, from a small private drinking water well. In contrast, a scattering of similar cases throughout the wider community may be more indicative of a wider dissemination involving a source or vector such as, in a municipal water supply, or an epidemic of malaria, affecting a much greater number of cases within a wider geographical area. Other examples of microbial disease outbreaks might occur in nursing homes, hospitals and cruise ships such as, outbreaks of norovirus and pneumococcal pneumonia that could implicate localized environmental sources, inadequate or contamination of air ducts and HVAC systems, problems with air-flow circulation, build-up of contaminants in indoor air, water contamination, and contamination of surfaces in operating rooms hospitals rooms and surgical wound infections, as well as person-to-person transmission. Awareness of the chain of transmission and the transfer of pathogens and infectious disease from direct contacts and contact with contaminated materials and items (called fomites) emphasizes the importance of good personal hygiene and hand washing.

Spot maps of cases of disease and illness corresponding to the location allows for a visual spatial comparisons of the number of cases of disease by location to others. However, simply tracking the number of cases does not take into account the number of persons at risk of exposure (i.e., does not provide an incidence rate). In order to compare incidence rates of disease among different locations a map of the area-specific incidence rate provides more information for comparisons (i.e., by calculating the number of cases per population density within each county or community it is possible to compare the rates of disease incidence). GIS mapping techniques enable the creation of digital maps of the rates of disease incidence within a geographical area.

A classic example of epidemiological investigation is that by John Snow and others of the cholera epidemic in London England in 1854. Included in Dr. Snow's reports of his investigation and developed and used by Dr. Snow in retrospectively communicating to others the extent of the neighbourhood affected by the cholera epidemic was a spot map.

Susceptibility and Vulnerability - Two Types of Risk Factors

The susceptibility and vulnerability of an individual and a community population influence exposure and risk of developing disease and acute or chronic illness. Providing a description of the outbreak in terms of the characterization of case-patients affected and those who are at risk is important in delineating the current and possible extent of the outbreak. The susceptibility to disease and the vulnerability or opportunity for exposure and health impacts are influence by person characteristics, respectively including biological-physiological-genetic traits (age, sex, race, health status), and work diet living conditions and location and other life-style activities (e.g., alcohol, smoking, exercise, drug use). Age and sex, location and occupation are some of the most commonly collected information. Information describing person characteristics and incidence rates among groups are essential in identifying those with a higher expected risk of disease. Initially in an investigation, the focus may be restricted to collecting data on numbers of cases and incidence rates, indicative of the burden of disease used in planning risk management strategic actions and resources.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Hypothesis Testing for Statistical Significance

What is the probability that the relative risk ratio (RR) calculated to be different than 1.0 could have occurred by chance alone?

In other words, is the finding of a relative risk ratio different than 1.0 statistically significant, given the available information?

Epidemiologists are often asked to comment or estimate what is the chance that a particular exposure in a population, behavior or hereditary trait (i.e. attribute or risk factor) would cause or contribute to the development of disease. The most basic measure of risk of development of disease is probability. Risk being a measure of the relationship between a risk factor and disease, in other words risk is a measure of the probability of the incidence of disease in a population. The statistical probability is a function of the sample size and the arbitrary cutoff selected as a sufficient level of significance. Given a large enough sample size it may be possible to find even very small statistically significant results. Keep in mind that the estimation of risk or probability of disease incidence is not sufficient on its own for assessing the importance of a risk factor to disease outcome, such as an exposure, socioeconomic status, diet, behavior (smoking tobacco) to cancer, asthma, diabetes, diarrhoeal disease. Typically, additional information is required. Furthermore, in addition to the statistical probability and level of statistical significance, the epidemiologist must also take into account the severity, magnitude and frequency of the outcome in terms of the biological plausibility and biological relevance of the outcome. Often the epidemiologist must also take into account the medical relevance of the findings.

In most cases, epidemiological studies involve a comparison of amount of risk of contracting disease or illness in an exposed group or population with a specific trait or risk factor of interest to the amount of risk in an unexposed, control (no disease) or reference group without the trait or risk factor of interest. Another approach might be to compare the impact of a specific intervention (drinking water treatment) on the change in health outcomes in comparison to no intervention. In this way the relative risk of the diseased, exposed or intervention group to the control, unexposed, no-intervention group is determined. If the relative risk (RR) is larger than 1.0 then statistically it may be interpreted that the factor under investigation might increase risk; if the RR is smaller than 1.0, it might reduce risk. A RR <1.0 is sometimes referred to as a “protective factor”. The term absolute risk, is sometime used when referring to “risk” in the exposed or unexposed group to distinguish it from relative risk which involves the calculation of a ratio in a comparison.

Commonly, a simple two-by-two table consisting of two rows by two columns is used in the computation of the risk and relative risk of a risk factor against disease status.

In real epidemiological investigations the data collected will be a sample of data from the population; typically it is not feasible to collect information from all members of the entire population. Therefore statistical methods are used to assess the strength of associations between the risk factor of interest and the disease status in the population as a whole. Before carrying out the analysis, the epidemiologist should specify the sampling error inherent in the sample-based estimates of the “true” population risk and relative risk. This is commonly done by specifying the standard error or the confidence interval which are indicative of the variation in the observations; the sample-to-sample variation in the value of the estimate.

In case-control studies it is not appropriate to calculate risk and relative risk this is because a proportion of the population cannot be determined; instead the Odds Ratio is calculated in a case-control study as an estimate of the relative risk.

In conducting a test of statistical significance, one must first develop the hypothesis for testing. Typically this is a Null Hypothesis that states the exposure (or risk factor of interest) is not related to disease, in which case the expected RR = 1.0. The corresponding Alternative Hypothesis states that the opposite is true, that exposure (or risk factor of interest) is associated with disease. If by statistical testing the null hypothesis is shown to be statistically implausible or false then it is rejected in favour of the alternative hypothesis that states that the exposure is associated with disease.

The most common statistical test for determination of the p-value for data in a two-by-two standard table is a chi-square test.

A very small p-value indicates that statistically the observed association occurs only very rarely if the null hypothesis is true. Before conducting the analysis, the investigator specifies a cutoff in terms of the level of significance in order to accept or reject the null hypothesis. Typically a level of significance of 5% or 0.05 is selected; if the p-value is smaller than the specified value (<0.05) then the null hypothesis can be rejected. Other degrees of statistical significance could be selected but must be specified in advance of the calculations.

In a epidemiological investigation one should consider the consequences of making and error in a decision about accepting or rejecting the null hypothesis. You may be right or wrong. An exposure is or is not causally related to disease. A p-value could be larger or smaller than the specified cutoff for statistical significance. A calculation may find a p-value such that the investigator fails to reject the null hypothesis, which may turn out to be true, but could itself be a chance finding rather than a true explanation of an file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D037statistical%20significance.htm[11/1/2014 10:22:46 AM] WLC Template

outbreak. This often happens when a study consists of a small number of observations (n<30). In the example used above the total number of people in the study was sufficiently large, n > 30, so statistically the Chi-square test would be expected to have sufficient power. For smaller studies, n <30, the Fisher Exact Test is often a more reliable statistical test to use.

When interpreting the findings of the data analysis one must ask the following,

Is statistical significance the same as biological and public health significance?

How confident can one be in accepting the null hypothesis?

What is the statistical power of the analysis?

Are there biological and other plausible explanations beyond statistical findings that are equally or more compelling that would strengthen the argument for accepting or rejecting the null hypothesis in a weight of evidence approach?

References on Epidemiology:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

References on Statistics:

Ashton, J.C. 2013. Experimental power comes from powerful theories - the real problem in null hypothesis testing. Nature Reviews. Neuroscience. www.nature.com/reviews/neuro

Bacchetti, P. 2013. Small sample size is not the real problem. Nature Reviews. Neuroscience. www.nature.com/reviews/neuro

Cumming, G., Fidler, F., Vaux, D.L. 2007. Error bars in experimental biology. Journal of Cell Biology 177(1): 7-11.

Quinlan, P.T. 2013. Misuse of power: in defence of small-scale science. Nature Reviews. Neuroscience. www.nature.com/reviews/neuro

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Chi-Square Test - Test of Statistical Significance

Using a two-by-two table for a retrospective cohort investigation a Chi-square test or other statistical test of significance would be conducted to determine the probability expressed as a “p-value” of finding an association as large or larger on the basis of chance alone.

In conducting a chi-square test of statistical significance, one must first develop the hypothesis for testing. Typically this is a Null Hypothesis that states the exposure (or risk factor of interest) is not related to disease, in which case the expected RR = 1.0. The corresponding Alternative Hypothesis states that the opposite is true, that exposure (or risk factor of interest) is associated with disease. If by statistical testing the null hypothesis is shown to be statistically implausible or false then it is rejected in favour of the alternative hypothesis that states that the exposure is associated with disease.

The most common statistical test for determination of the p-value for data in a two-by-two standard table is a chi-square test.

Calculate the chi-square statistic. Then using Chi-Square Tables look-up the corresponding p-value for the probability estimate, to determine if it is greater than the specified level of statistical significance.

A very small p-value indicates that statistically the observed association occurs only very rarely if the null hypothesis is true. Before conducting the analysis, the investigator specifies a cutoff in terms of the level of significance in order to accept or reject the null hypothesis. Typically a level of significance of 5% or 0.05 is selected; if the p-value is smaller than the specified value (<0.05) then the null hypothesis can be rejected. Other degrees of statistical significance could be selected but must be specified in advance of the calculations.

For example, a two-by-two table has 1 degree of freedom; from the Chi-Square Tables a chi-square value larger than 3.841 corresponds to a p-value smaller than probability (level of significance) of 0.05 (5%).

Meaning if the calculated chi-square value is >3.841 then the null hypothesis at the 5% level of significance can be rejected.

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I

In the example of exposure to drinking water from the container and disease, the chi-square statistic = 37.20 which is > 3.841; the p-value is calculated to be < 0.001; therefore the null hypothesis is rejected and the alternative hypothesis that the water in the container was related to disease outbreak because the RR= 5.8 and is statistically significant (p-value <0.001).

In a public health epidemiological investigation one should consider the consequences of making and error in a decision about accepting or rejecting the null hypothesis. You may be right or wrong. An exposure is or is not causally related to disease. A p- value could be larger or smaller than the specified cutoff for statistical significance. A calculation may find a p-value such that the investigator fails to reject the null hypothesis, which may turn out to be true, but could itself be a chance finding rather than a true explanation of an outbreak. This often happens when a study consists of a small number of observations (n<30). In the example provided the total number of people in the study was sufficiently large, n > 30, so statistically the Chi-square test would be expected to have sufficient power. For smaller studies, n <30, the Fisher Exact Test is often a more reliable statistical test to use.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International

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Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Confidence Intervals

Epidemiological studies commonly report the 95% confidence interval (95% C.I.) corresponding to the cutoff level of statistical significance of 5% (p-value= 0.05).

The confidence interval as often applied in epidemiological studies provides an estimate of the range of values of the risk ratio consistent to the data in a particular study and the variance in the data.

A wide range of values indicates a greater amount of variance in the data and a lack of precision in the strength of the association (RR) between the exposure and the risk of disease. A narrow confidence interval indicates less variance in the data and more precision in the strength of the association (RR) between the exposure and the risk of disease.

The statistical definition of a 95% confidence interval is that upon repeated sampling and knowing the probability distribution of the population (assumed to be normal) the chances of finding the sample statistic would on average be expected fall within the range of the 95% confident interval. The confidence interval for a mean is based on the mean itself and some multiple of the standard error of the mean which refers to the variability that exists from repeated sampling from the same population.

Statistically, it is not possible to calculate the variability from a single study but epidemiologist interpret the 95% confidence interval, by assuming an underlying normal distribution of the data, as a range of values consistent with the data from the study, and as guide to the variability in the study. This assumption allows the epidemiologist to theoretically estimate confidence intervals for a proportion, risk ratio and odds ratio for the purpose of drawing inferences from a study to the population.

Calculating a 95% Confidence Interval for a Mean

Calculate the mean and its standard error. Then multiply the standard error by 1.96. The lower limit of the 95% confidence interval = mean minus 1.96 x standard error. The upper limit of the 95% confidence interval = mean plus 1.96 x standard error.

The 68 · 95· 99.7 rule for normally distributed data.

For normally distributed data: 68% of the data falls within ± 1 standard deviation of the mean; 95% of the data falls in the range from –1.96 standard deviations to +1.96 standard deviations (within two standard deviations of the mean); and 99.7% of the data falls within approximately 3 standard deviations of the mean.

NOTE: The 95% C.I. does NOT mean that the probability is 95% that the “true” risk in the population falls within the interval specified; It does mean that given a large enough sampling effort that on average, we are 95% confident that the “true” risk in the population would fall within the specified interval.

Example 95% C.I.

In the example of the RR of disease associated with drinking water from the container, the 95% C.I for the risk (R) of disease from exposure to drinking water from the container is 0.602 to 0.816.

It is estimated that the risk of disease for those drinking water from the container is 70.9%, and we are 95% sure (or certain) that the interval (60.2% to 81.6%) contains the true population risk.

The 95% confidence limits of the relative risk (RR) of disease for those drinking water from the container (in the example above) are L= 2.52 and U= 13.34

The estimated relative risk of disease for those drinking water from the container compared to base or reference conditions is 5.8, and we are 95% "sure" that on average the true population relative risk would fall within the interval (2.52 to 13.34).

In the hypothetical example, exposure to drinking water in the container increases risk of disease by about 480% over background risk in the population.

References on Epidemiology:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006 file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D042Confidenceintervals.htm[11/1/2014 10:22:47 AM] WLC Template

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

References on Statistics:

Ashton, J.C. 2013. Experimental power comes from powerful theories - the real problem in null hypothesis testing. Nature Reviews. Neuroscience. www.nature.com/reviews/neuro

Bacchetti, P. 2013. Small sample size is not the real problem. Nature Reviews. Neuroscience. www.nature.com/reviews/neuro

Cumming, G., Fidler, F., Vaux, D.L. 2007. Error bars in experimental biology. Journal of Cell Biology 177(1): 7-11.

Quinlan, P.T. 2013. Misuse of power: in defence of small-scale science. Nature Reviews. Neuroscience. www.nature.com/reviews/neuro

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Sensitivity and Specificity – Standard Notation of the Two-By-Two Table

Statistical power is defined as the probability the test will reject the null hypothesis when it is false; it is the probability of making a Type I error and of not making a Type II error.

The probability of making an error by rejecting a Null hypothesis when it is true is a Type I error(α).

The probability of making an error by not rejecting a Null hypothesis when it is false is a Type II error (β).

A Type I error is called a false positive; and a Type II error is called a false negative.

Type I error (α) = 1- specificity rate = [FP/ (TN+FP)].

Type II error = 1-sensitivity rate = [FN/ (TP+FN)].

Sensitivity is the ability of a test to correctly identify “true positives” (e.g., correctly identify persons with disease; correctly identify contaminated sources of an agent of disease). A test with a sensitivity of 100% has a high sensitivity and low probability of a Type II error (β), a low chance of a false negative rate. A Type II error (β) is an indicator of the statistical power of the test.

Specificity is the ability of a test to correctly identify “true negatives” (e.g., correctly identify persons without disease; correctly identify uncontaminated sources of an agent of disease). A test with a specificity of 100% has a high specificity and a low probability of a Type I error (α), a low chance of a false positive rate.

A test could have a high sensitivity but low specificity and vice versa. From a epidemiological health perspective, sensitivity is important for reliably identifying all cases and sources of exposure to harmful contaminants in an exposed population; the consequences of including false positives (i.e., true negatives) would be less detrimental to the spread of disease than the ability to distinguish false negatives (i.e., true positives). For example, falsely deciding that a water supply is safe when in actuality it is not, and falsely identifying actual carriers of disease as free of disease.

A measure of precision is the positive predictive value (PPV) = [TP /(TP+FP)] x 100. A measure of sensitivity is the true positive proportion, also called the true positive rate.

A measure of specificity is the true negative proportion, also called the true negative rate.

Accuracy is defined as the sum of true positives and true negatives divided by the sum of all observations positive and negative, true and false (e.g., [(TP+TN)/(TP+FP+TN+FN)].

In the example calculation provided a two-by-two table is used to calculate the sensitivity and specificity of drinking water in container as a source of disease in party guests, respectively these were 91.8% and 61% suggesting that the probability of false negative, a Type II error, is low (<10%) and the probability of false positives, a Type I error, is moderate (~40%). The statistical power of the test (1-β) is high with a positive predictive power of 70.9% and the negative predictive power is 87.8%. The Likelihood ratio of positives is 91.8/39 = 2.4 and the likelihood ratio of negatives is 8.2/61 = 0.13, indicating that drinking contaminated water from the container is positively associated with developing disease and that the findings of a negative association between not drinking the water and not developing disease by chance alone are expected to be low.

References on Epidemiology:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D045Standardnotationsensspec.htm[11/1/2014 10:22:47 AM] WLC Template

Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Simple Random Sampling (SRS), Distribution of the Data, Statistics

Simple Random Sampling (SRS)

A simple random sample of n sampling units, or n observations, has a sample size = n.

Samples from the population are collected following a simple random sampling method, called an SRS frame or grid. An SRS frame gives every possible collection of n observations (or units of sample) the same chance of being the actual sample chosen.

This means that the sampling method is done in a fair and unbiased manner and the data that are collected are fair and unbiased, unlike in a convenience sample. A convenience sample is typically biased and is often all that is available in many investigations (e.g., sampling of study volunteers who self-identify and self-select for illness to a specified exposure). By following a SRS grid in the sampling process an unbiased sampling of the general population is carried out, and there is no need to correct for over representation of one part of the population.

An SRS of a specified sampling frame and sample size can be obtained by using published tables of random digits. Another way to collect a SRS is by physical mixing of individual units comprising a pooled sample of size = n. From which repeated samples of size n are chosen, returning each unit before taking the next sample, so that all units have the same chance of being chosen each time (e.g., a boot strap sampling process); rather labour intensive process that has been automated by various computing software programs.

A Parameter versus A Statistic

A parameter is a numerical characteristic of a population; whereas a statistic is a numerical characteristic of the sample.

We usually do not know the "true" value of a population parameter, but the numeric value of a "statistic" is known from the sample and changes with each sample.

Variability

The value of the sample "statistic" varies from sample to sample, this difference in the value of the statistic between samples of the same size, n, is called the variability.

Example -

The “true” proportion called “p” of men with lung cancer in the population is unknown (being implausible to have clinical records for all men in the population); The proportion of children < 5 years of age with diarrhoeal disease in a hypothetical sample of 130 children living in India is 56% and is called ˆp. Repeated hypothetical sampling of children < 5 years of age living in India of sample size = 130 would give different results for the proportion of with diarrhoeal disease (e.g., 48%, 64%, 78%%, 46%; 39% in this example the sampling proportion varies from 39% to 78%).

Representativeness

When a SRS is followed the results for the sample statistic should be free of bias and should be representative of the broader population.

Sampling Distribution

Also, a sample statistic from an SRS has a predictable pattern of values in repeated sampling called the sampling distribution. This means from an SRS the sampling statistic gives a value close to the “true” value of “p” in the population (e.g., from a SRS of n=130 the estimate of proportion of children < 5 years of age with diarrhoeal disease would be close to the actual “true” proportion of children < 5 years of age in the population with diarrhoeal disease).

Types of Error (Bias and Precision)

Two types of error, bias and precision are associated with any method of collecting samples of data. The sampling distribution of a statistic (e.g., the median) tells about the bias and precision of the sampling.

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Bias is a consistent, repeated shift away of the sample statistic from the population "true" parameter “p” in the same direction. For example, if the “true” value of the population parameter “p” is represented by a bull's-eye on a dart board, and the sample statistic is a dart thrown at the bull's-eye, bias sampling means that the aim is off and the darts when thrown consistently hit the dartboard off center of the bull's-eye in one direction. Consequently, the sample values (dartboard hits) are not centered on the population value (the center of the bull's-eye). A lack of

Precision means that the spread or scatter of the values in repeated sampling of the population is inconsistent; meaning that the results of the repeated sampling are not repeatable.

For example, in the dart board bull's-eye analogy, darts thrown repeatedly that are widely scattered on the board have a lack of precision. Consequently, the repeated samples give widely differing results among the samples. In contrast, repeated darts hitting the dart board close together having a high precision can also be biased hitting the dartboard consistently away from the bull's-eye in one direction. Repeated darts hitting the center of the bull's-eye have low bias and can also be repeatedly widely scattered having low precision.

The objective of a good sampling program is to have both low bias and high precision; consequently darts hit the bull's-eye repeatedly in the center and are close together, meaning the sampling results are repeatable and representative of the true population parameter “p”.

The precision of the sample statistic to estimate the “true” population parameter increases as the size of the sample increases but does not depend on the size of the population, as long as the population is much larger than the sample. In other words, the precision of the estimate of the proportion of children < 5 years of age does not depend on the sample size (n=130) and, does not depends the proportion of children < 5 years with diarrhoeal disease in the population which is much larger than 130. A large sample size increases precision regardless of the size of the population and can be increased to as high as desired by taking a large enough sample. To retain the same degree of precision in a SRS the same sample size is required whether sampling a small population such as a school versus sampling the entire population of a country.

Sampling Errors

Keep in mind that there are many ways sampling can go wrong. Random sampling errors that are the deviations caused by chance alone between the population parameter and the sampling statistic can be made small by properly conducting SRS. Other sources of error can occur. Sampling error associated with the act of taking a sample from the population and non-sampling errors not associated with the act of choosing a sample from the population.

Common sources of non-random sampling error is biased sampling method such as taking a convenience sample and using a sampling frame that differs systematically from the population.

Other sources of error are missing data and mathematical and processing errors that can occur in data entry steps.

Therefore great care is necessary when conducting sampling and the SRS does not eliminate all possible uncertainties and challenges in conducting statistical analyses.

Developing a Sampling Survey

When developing a sample survey and when reviewing the results of a sampling survey ask the following questions:

· What was the population?

· How was the sample selected? Was SRS, representative sampling used? Was probability sampling used? Was stratified sampling used?

· What was the size of the sample (n=)? What was the precision of the sampling, such as the margin of error? What was the 95% confidence interval?

· How were the participants selected and contacted?

· When was the survey conducted? Was it conducted after an event that may have affected the results? (e.g., access to new water supply; change in water treatment? Public health disease prevention awareness campaign, emphasizing the importance of personal hygiene “washes your hands”). file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D048SRSStats.htm[11/1/2014 10:22:47 AM] WLC Template

· What are the detailed methods used to obtain the data observations ? (e.g., specific questions asked in a survey questionnaire; microbiological laboratory testing for pathogens; analytical chemistry testing for metals and other toxic substances)

Probability Sampling

Probability sampling means that a sample is chosen so the every observation or unit in the sampling frame has a known chance (probability) of being chosen. An SRS is a probability sample as each unit has the same chance of being chosen.

Stratified random sampling

Stratified random sampling is a common approach used in which the sampling frame is divided into groups, called strata, of units. Each strata is selected according to the interest in that group or groups within the population sampled. Or the strata are chosen because the units within each strata resemble each other (have commonalities). Within each strata a separate SRS is taken and these are combined to form the stratified random sample. In a stratified random sample not all units have the same chance of being chosen; samples of some strata deliberately contain units that are overrepresented. Sample size of low precision may be possible for a stratified random sample compared to a SRS. Examples of when a stratified random sample is commonly used in epidemiological studies are: in national surveys that might stratify sampling by population density and geographic location; in occupational surveys that might stratify sampling by duration of employment and geographical location; and in water supply surveys that might stratify sampling by geographic location and type of water supply.

Assessing the Distribution of the Data

In large population studies consisting of many repeat sampling the distribution of the data should be assessed to determine the appropriateness of different statistical tests.

Normal Distribution

The arithmetic mean and standard deviation by definition imply a normal distribution which is symmetrical in shape on both sides of the peak, also called a "bell curve" with both tails extending to infinity. The peak represents the mean, median, and the mode, all are the same. The arithmetic mean and the standard deviation are appropriate summary statistics for describing a normal distribution of data. The right and left halves of a normal distribution are the same; the mean, median and mode are the same value. Another name for the Normal distribution is a Gaussian distribution determined by a mathematical equation; the area under the normal curve determines the spread of the data defined by the standard deviation and confidence interval.

Skewed Distribution

Some data sets have more extreme values at the ends of the distribution; data sets with these characteristics are described as being asymmetrical, skewed or non-normally distributed. For an asymmetrical distribution the mean, median, and mode are not the same. For skewed distributions of data the median and range are commonly used summary statistics to describe the distribution, or the median and interquartile range are used.

Data that provide a more symmetric distribution when plotted on a logarithmic scale and data that span several orders of magnitude are usually summarized with the geometric mean.

Central Tendency and Spread of the Data

The Central Tendency of the distribution of the data is a statistical measurement quantifying the middle or center of a distribution. The central tendency is most commonly defined by the mean, median and the mode; the central tendency is also called the measure of central location in epidemiology studies.

The measures of spread of the data used by epidemiologist are the interquartile range, variance and the standard deviation.

The median and interquartile range are often used together. The interquartile range includes data in the range from the 25th percentile to the 75th percentile of the data, or approximately the middle 50% of the data. A box and whiskers plot provides visual representation of the data showing the minimum and maximum values by the ends of the whiskers ( vertical line through box) and the box represents the interquartile range with a horizontal bar through the box showing the median (50th percentile).

Calculation of Interquartile range

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1st Quartile position = Q1 = (n+1)/4

2nd Quartile position = Q2= (n+1)/2; the median value which divides the data set into two equal parts. Also called the 50th percentile position; if the number of observations (n) is an odd number the 50th percentile falls on the value in the center of the data set ( the median value); if the number of observations is an even number the middle number(50th percentile) falls between two numbers in the middle of the dataset. The median equals the midpoint between the two values at the center of the data set (or average of the two values).

3rd Quartile position = Q3 = 3(n+1)/4

Interquartile range = the value in data set at position Q1 subtracted from the value in the data set at position Q3.

Median and Mean

The mean which uses all the values in the dataset is affected by extreme values, whereas the median and the mode unlike the mean are relatively unaffected by a few extreme values. The mean is sometime described as the center of gravity of the distribution curve as it is the balance point of the area under the curve such that the area on either side of the mean are equal despite skewedness of the distribution. The arithmetic mean is the best descriptive measure for data that are normally distributed (bell curve).

Example

In a study group the age of participants was 4, 23, 28, 31, 32, the median age is 28. In an investigation of an outbreak of hepatitis A the following incubation periods were identified 27, 31, 16, 30, 23 days; the median incubation period is 27 days.

For a different set of five observations of the incubation period for hepatitis A 52, 4, 23, 28, 31, 32 the mean = 37.6 and the median = 28. The mean is more affected by one extreme value than the median of 28 which is relatively unaffected by the extreme value (outlier).

Geometric Mean

Example calculation of the geometric mean:

The geometric mean is used when a normal curve (symmetrical distribution of the data) is obtained by plotting the logarithms of the data (called log transformation of the data) rather than the unadjusted observations. The geometric mean is useful in analyses of laboratory data involving serial dilutions (e.g., vaccine titers the majority of which are dilutions to the base 2; and microbial MPN data which are often serial dilutions to the base 10. The geometric mean is often used for environmental sampling data.

Midrange

Example calculation of the midrange:

The midrange is the halfway point or mid-point in the dataset of observations.

A special calculation is performed when identifying the midrange age of a study group; in epidemiological studies often it is important to distinguish whether a person is less than or greater than a particular age. For example, a person who is 17 years and 357 days old is not yet 18 years old. The mid-range age of travellers aged 15 to 34 years, when the youngest traveller is 15.24 years old and the oldest traveller is 34.997 years old; the mid-range age for the group of travellers is 25 years of age.

Exposure Period of an Outbreak

In an epidemiological investigation of an outbreak the median, mode of date of onset is used and the minimum and average incubation period to pinpoint the exposure period of an outbreak. If the minimum incubation period was 7 days and the modal and median date of onset was July 28th, the possible date of onset could be July 21st. If the arithmetic mean incubation period is 10 days then the exposure period could be expected to fall between July 18th and July 21st. The exposure period is the period of time before the clinical symptoms of disease occur.

References on Epidemiology:

file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D048SRSStats.htm[11/1/2014 10:22:47 AM] WLC Template

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

References on Statistics:

Ashton, J.C. 2013. Experimental power comes from powerful theories - the real problem in null hypothesis testing. Nature Reviews. Neuroscience. www.nature.com/reviews/neuro

Bacchetti, P. 2013. Small sample size is not the real problem. Nature Reviews. Neuroscience. www.nature.com/reviews/neuro

Cumming, G., Fidler, F., Vaux, D.L. 2007. Error bars in experimental biology. Journal of Cell Biology 177(1): 7-11.

Quinlan, P.T. 2013. Misuse of power: in defence of small-scale science. Nature Reviews. Neuroscience. www.nature.com/reviews/neuro

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Representing the Data

Frequency Table

A descriptive table of disease frequency data can be expressed by one or more variables (e.g., a two variable table describes frequency of disease by age and by gender). A two variable table expressing disease frequency by age and gender is called a contingency table. In a two-by-two table each variable, exposure and outcome, has two categories (e.g., exposed or not exposed and disease or no disease).

Time Data and Rates

Time data can be represented by a simple graph of number of cases or rate of disease vs. time.

The reported cases of disease are often expressed as a rate corresponding to the number of cases of disease agent (e.g. waterborne illness) per 100,000 population per year for a specified time period and location (e.g. reported cases of giardiasis per 100,000 population, by year in a health region, from 1990 to 2000). See later discussion on demographics.

Infant mortality rates (number of cases per 1,000 live births) by race or ethnicity of mother in the U.S. is another example of time data and rates. Within a given year following an intervention a researcher who might be interested in examining the change in number of cases of disease post intervention could plot monthly intervals on the x-axis beginning prior to the intervention to one year after to show possible change in number of cases of a specific water borne disease in a population during the time period.

Often a line-graph or histogram format is used to present the data. The time period of interest may be specified to correspond to the period of exposure or the period of intervention and when controls were implemented. In this way the data pattern may provide clues to causal-inferences through temporal coincidences, and may show whether there are differences in numbers of disease or rates coinciding with the timing of controls or interventions.

Y-axis: number or rate of cases of disease; x-axis: time periods (years, months, weeks, days).

The appropriate scale of the x-axis (years, months, days, hours) is dependent on the disease or health condition of interest. For chronic diseases a long time scale of many years or several decades is often of interest; whereas for acute health impacts of waterborne disease outbreaks or food borne illness a relevant time scale of days or hours is more appropriate. Long-term trends (also referred to as secular trends) are followed by graphing the occurrence of disease over periods of several years, and graphs are used to assess the trend (prevailing direction) of disease occurrence in a population over time. Is it increasing (upward slope of the curve – how steep is the slope)? Is it constant (relatively flat curve - indicating little to no change in slope)? Is it decreasing (downward slope of the curve – how steep is the slope)? Public health policy decisions and program evaluations may utilize these long-term graphical trends to infer what conditions contributed to disease occurrence, and to forecast future incidence of disease. Such as in the case of endemic disease to ascertain what is the baseline from which to judge an outbreak of increased disease in the population of an area.

Plotting disease occurrence against time by week or month for several years is a method used to show if there is a seasonal pattern (e.g., West Nile virus in North America, Malaria in Africa and Asia).

Shorter time scale day, week time of day may be appropriate for showing disease cases in response to occupational, environmental, operational procedural events ( e.g. pipeline break; drinking water treatment systems contamination event; failure in wastewater treatment).

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Dentograms or Phylogenetic Tree

Data from multiple studies may be presented as a dentogram or phylogenetic tree which is typically used to show genetic differences and similarities among microbial pathogens isolated in various epidemiological studies. Decision trees are systematic mapping of steps involved in making decisions during an investigation comprised of three basic types of information: decisions, outcomes and probabilities.

Geographical maps ( and GIS)

Geographical maps are also used to illustrate epidemiological data that are integral part of epidemiological investigations; maps are often used to communicate information on the location of outbreaks and risks. See discussions of zoonotic diseases and demographics for examples.

References on Epidemiology:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

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The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Representing the Data

Forest Plot

A forest plot is used to show point estimates and confidence intervals from several studies in a meta0analysis or systematic study. A Forest plot is also called a confidence interval plot. The variable on the x-axis is the primary outcome measure from each study (e.g., relative risk, health effect), if the outcome is absolute risk ratio, odd ratio or other ratio, a logarithmic scale is commonly used because it provides a more symmetric distribution of the data. In a forest plot each study is represented by a horizontal line reflecting the confidence interval with a dot or square indicating the point estimate; point estimates that line up show consistency between point estimates among the studies. A vertical line running through all of the data represents no-effect or a relative risk of 1.0 on the x-axis. Patterns and outliers are easily viewed in a forest plot of results of several studies.

The findings of studies of cancer risks associated with urinary arsenic exposures are presented as a forest plot published in Toxicology and Applied Pharmacology (2010) volume 247.

The example of a forest plot is copied from the UK Women’s Tobacco Smoking Study (Pirie et al. 2012), The 21st Century hazards of smoking and benefits of stopping: a prospective study of 0ne million women in the UK. www.thelancet.com Published Online

October 27, 2012 http://dx.doi.org/10.1016/S0140-6736(12)61720-6 (Internet Access Required) See Online/Comment http://dx.doi.org/10.1016/S0140-6736(12)61780-(Internet Access Required)

“Of the 30 most common underlying causes, or groups of causes, of death, many were neoplastic, but many were vascular or respiratory (figure 2). For 23 of these 30 causes, 12-year mortality rates were significantly higher in smokers than in never smokers; the only cause significantly lower in smokers was, as expected, 17 endometrial cancer (figure 2). The most extreme risk ratios were for chronic lung disease (risk ratio 35.3) and lung cancer (21.4), with, respectively, 1789 and 5633 deaths among current smokers. Excluding the first 3 years of follow-up did not materially alter any of these 30 risk ratios (appendix p 7) ………………………. Women who had stopped at ages 25–34 (mean 29) years still had, decades later, measurably higher lung cancer mortality than did never-smokers: 86 deaths due to lung cancer were recorded among them as against about 46 predicted from never-smoker rates, relative risk 1.84 (1.45–2.34), p<0・0001. They also had slightly higher overall mortality, relative risk 1.05 (1.00–1.11), p=0・05. They avoided, however, about 97% of the excess lung cancer mortality in continuing smokers, and seemed also to avoid about 97% of the excess overall mortality.

Finally, few women in this generation stopped smoking before age 25 years, so direct estimates of whatever small excess risks remained in later life are not statistically reliable. Those who did so had on average been light smokers who had stopped at mean age 22 years. They had a slight excess risk of lung cancer in later life, but this was based on only 24 deaths due to lung cancer observed as against about 15 predicted, so it is not statistically trustworthy: relative risk 1.56 (1.03–2.37), p=0・04. Their relative risk for overall mortality was 1.01 (0.92–1.11). These confidence limits are uninformatively wide, given the narrower confidence limits already seen for the residual hazard in those who smoked substantial numbers and stopped smoking at ages 25–34 years.”

(Pirie et al., 2012, www.thelancet.com , paper included in resources folder).

References on Epidemiology:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Example of A Retrospective Cohort Study and the Calculation of the Relative Risk Ratio

A retrospective cohort study is typically conducted to follow up on an outbreak in a small well-defined population, such as a family gathering or party. Each person in the well-defined population is contacted by the investigator who gathers information about possible sources of exposure, such as the source of water and beverages, the food eaten and its source, and their activities and whether the person became ill with the disease under investigation and when the symptoms started and ended. In a retrospective study the investigator calculates an attack rate for those exposed to a particular item, for example drinking water from a specific container, and also calculates an attack rate for those who were not exposed, for example did not drink from the same container of drinking water.

In the example, the exposure item is the drinking water in the container. An exposure item that has the following characteristics is generally a strong suspect source of outbreak.

1. Attack rate is high among those exposed to the item (e.g., those who drank water from the container).

2. Attack rate is low among those not exposed to the item (e.g., those who did not drink water from the container).

3. Most of the case-patients were exposed to the item, such that exposure could reasonably account for or explain most if not all cases. Cases that occur in the non-exposed group may be indicative of the endemic or background level of disease in the study population.

An attack rate (risk) in an exposed group = number of persons ill / total number of persons exposed

An attack rate (risk) in the non-exposed group = number of persons ill/ total number of persons non-exposed

The relative risk (RR) = the ratio of the Attack rate in the exposed group to the Attack rate in the non-exposed group.

The relative ratio or relative risk provides a measure of the association between exposure (e.g., drinking water in container) and disease. When the relative risk ratio is 1.0 there is no discernible or measurable difference between the attack rates in the exposed and non-exposed population, suggesting that the specific exposure as defined by the study was associated with an elevated risk of disease. The greater the ratio and difference of the attack rate of the exposed group to the non-exposed group, the greater the risk of disease associated with the exposure of question in comparison to the non-exposed group.

In an investigation, the epidemiologist would construct a line-listing table of columns of possible exposure items, the number of people who were exposed to each item (e.g., ate it, drank it, contacted it) and the number of people who became ill, and the number exposed who did not become ill, and similarly columns of the number of people who were not exposed to the items and who became ill, and who did not become ill. From these data the attack rate expressed as a percentage could be calculated for each food item and exposure scenario.

The next step would often be to prepare a two-by-two table, showing the data for the presumptive causal exposure item (drinking water from the container).

For example, standard notation for Two-by-Two Table is as presented below.

Testable Effect No Effect Total % Attack Hypothesis (Well) Rate (Risk) (Ill) (Exposure to Item?) Yes “a” “b” “a+b” = H1 a/a+b (x100)

Exposed Number of Number of Number of persons per person persons effected by not effected exposed disease by disease

No “c” “d” “c+d” = H0 c/c+d (x100)

Unexposed Number of Number of Number of persons per person persons not effected by not effected exposed

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disease by disease

Total a+c = V1 b+d= V2 TV1/T (x100)

Number Number not effected effected

Risk ratio = [a/H1]/[c/H0] expressed as a percent

Proportion of cases exposed = H1/T expressed as a percent

Population attributable risk percent = [(V1/T) – (c/H0)]/(V1/T) expressed as a percent

STANDARD NOTATION of a TWO-BY-TWO TABLE

Drank water Ill Not Ill Total Attack Rate in Container (Risk)

Yes 56 23 79 70.9%

No 5 36 41 12.2%

Total 61 59 120 50.8%

Risk ratio = 70.9/12.2 = 5.8

Proportion of cases exposed = 56/61 = 91.8%

Population attributable risk percent = (50.8 -12.2)/50.8 =38.6/50.8 = 76.0%

Example -

In the example calculation, using a two-by-two table calculate the relative risk ratio of exposed and non-exposed groups to drinking water in container? Also, calculate the relative specificity of disease associated with the risk of exposure and the relative sensitivity of disease associated with risk of exposure? The risk ratio is the ratio of the attack rates or risks. The above example indicates the persons drinking water from the container were 5.8 times more likely to get sick than those who did not drink water from the container. Almost all of the cases (56 out of 61 total cases) could be accounted for by the container of drinking water. A more quantitative approach determines the population attributable risk that could be described in the entire study population that could be attributable to a given exposure (in this example, drinking water from the container of water), assuming that the cases in the unexposed group must be attributable to something else. Keep in mind, the population attributable risk calculated in this

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manner for a single exposure item or source may in many outbreaks be an underestimate, since it does not take into account cross-contamination of foods and person to person contact. The population attributable risk percent in the above example was 76%.

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Case-Control Studies and the Calculation of the Odds Ratio (OR)

A case-control study requires that the population is well defined and it is followed for a specified time period. In most outbreak situations because of the need for rapid investigation case-control studies are often the preferred study design. Investigators ask the same questions to members of both the disease symptomatic group (or exposed group) of cases and the control group without disease. For case-control studies the investigator calculates an Odds Ratio (OR) to quantify the relationship between exposure and disease, including estimating a p-value and a 95% confidence interval to assess the statistical significance of the findings.

Selection of the Control Group

Critical to the study findings and their interpretation is the choice of the control group. A requirement for all case-control studies is that the members of the control group must not have the disease, but should be representative of the population in which the cases of disease occurred. The underlying assumption being that all members of the same population of study would be similar in all other aspects except the exposure being evaluated.

Choosing the appropriate control is difficult, and there are logistical issues to consider such as – process for contacting potential controls, obtaining their cooperation, ensuring they do not have the disease and obtaining appropriate data on exposure. A simple random sample of the healthy population may be the best control group in an outbreak situation, but may not be feasible to obtain. Population-based control groups may be recruited by conducting random telephone surveys. A convenience sample, less representative of the general population, is more commonly used for controls such as neighbours of case-patients, patients from the same physician practice or hospital records but those who are without the disease of interest, and friends of family members who are not sick of cases with illness. The possibility of statistical bias influencing the study is often high, and careful attention to the study design must be taken to decrease bias. The number of cases that can potentially participate in the study is often limited by the size of the outbreak. In the example provided, it would be limited to those cases that attended the family party who became sick. There are usually more controls available who are potential candidates for the study. A study may use one, two, three or four controls per cases, seldom are more than four controls per case used.

Calculation of the ODDS Ratio (OR)

Once the appropriate control groups are established a two-by-two table is produced and the ODDS Ratio is calculated.

The Odds Ratio = (number of exposed cases x number of unexposed controls) ÷ (number of exposed controls x number of unexposed cases).

The OR is sometimes called the cross-product ratio because the numerator is based on multiplying the value in cell "a" times the value in cell "d", and the denominator is based on multiplying the value in cell "b" times the value in cell "c', creating an X or cross on the Two-by-Two table.

OR = ad/bc using the standard notation of the two-by-two table.

Where,

a= number of persons exposed and with disease or illness

b= number of persons exposed but without disease or illness

c= number of persons unexposed but with disease

d= number of persons unexposed and without disease.

(a+c) = total number of persons with disease (case-patients)

(b+d) = total number of persons without disease (controls)

In most situations, the actual total number of people exposed to a suspected source is unknown, precluding the calculation of a proportion of the population and a specific attack rate. The odds ratio (OD) approximates the relative risk ratio that would be found if a cohort study had been feasible.

Hypothesis Testing - Chi-square Test for Statistical Significance

The null hypothesis in a case-control study is that there is no difference between the controls and the cases in the risk of disease.

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In otherwords, the OR = 1.0. If the null hypothesis is rejected the OR > 1.0, the results suggest that the observed exposure under study is greater than that in the controls and is associated with illness and development of disease.

To test the statistical significance of the OR, chi-square test can be done to determine if the p-value for the study is < 0.05, the selected level of significance. The smaller the p-value, the more improbable the Null hypothesis is true. Meaning the less likely it is that the observed association of exposure with disease in cases has occurred by chance alone, and the observed exposure in the cases with disease is greater than expected exposures in the controls, then the exposure is considered to be associated with disease. In addition, the 95% confidence interval is calculated assuming repeated sampling of a normal distribution. A wide confidence interval indicates large variability in the data, but is considered to be statistically significant unless it contains the null hypothesis Odd Ratio value of 1.0, indicating the probability that the exposures of the case and control groups are not significantly different.

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Monitoring & Surveillance

Demographics and population health statistics are used,

By researchers assessing the distribution of the data for patterns and trends in changes in health, nutrition and lifestyles that may suggest and indicate improvements in population health outcomes, declines in harmful exposures, and changes in frequency of disease occurrence and possible implications for community health.

E.g., patterns and trends in body weights corresponding to children age in years, in diarrhoeal disease related morbidity and mortality, in sexually transmitted diseases.

In studying the statistical strengths of relationships between expected and observed outcomes, and independent and dependent variables.

In conducting a weight-of-evidence analysis based on the available information.

In estimating population indicators of health and well-being.

In developing communications and important messages for supporting the development of strategic options and making evidence-based informed decisions about the performance of programs, research needs, and policy gaps, assessment of financial needs and cost-benefits.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Monitoring & Surveillance

Sources of uncertainties

- inherent variance in the data

- laboratory testing and measurements – analytical method and in the precision and accuracy of the sampling methods ( i.e., QA/QC of the data)

- selection of assessment endpoint(s) and statistical parameter for indicator

- development and wording of survey questionnaire

- order of questions

- “truthiness” of the survey responses

- recruitment process for survey participants

Meta-data

It important to ask questions and take into account uncertainties when conducting and interpreting the public health implications of studies of pooled data analyses using meta-data.

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Monitoring & Surveillance - Demographics, Population Ecology and Susceptible Populations

The local, regional and national monitoring and surveillance of health outcomes at the population level should be an ongoing process, as appropriate to the situation and affected population such as, during

status-quo non-epidemic periods epidemic outbreaks and afterwards periods of environmental change, including seasonal and sever weather events periods of behavioral change periods of accidents, such as environmental spills, fire and conflict before during and after implementation of planned interventions to prevent harmful exposures and to break the chain of transmission of infectious disease.

Key Data and Information Requirements

Demographics and population statistics and knowledge of the vulnerabilities of susceptible populations are key data and information requirements for monitoring and surveillance of the status of past and current conditions and emerging problems in the community, corresponding to the locale situation and the time period.

Relevant, adequate and reliable sources of data and information on host susceptibilities are necessary for developing meaningful

needs assessments

situational assessments

environmental scans

risk assessment

outbreak investigations

risk reduction strategies and risk management options and risk communications, as appropriate to the situation and the community, including adopting, adapting and creating as necessary for those most susceptible and vulnerable.

Susceptible Populations

Includes the following groups, women and children, especially pregnant women and the developing fetus, women in child birth and who recently gave birth, infants and children under five years of age, menopausal women, seniors, and other persons with pre- existing metabolic disorders and health conditions.

Communication

Population statistics, demographics and population ecology studies, and information on biological susceptibilities obtained through monitoring and surveillance provide evidence for underpinning important public health messages,

pertinent to susceptible and vulnerable populations, such as strategies for decreasing infant, child and maternal mortality and morbidity from acute and chronic health impacts involving availability and accessibility of the water supply (quality, quantity and distribution) and water sanitation and hygiene issues.

for communicating general and targeted risk management strategies for the prevention and mitigation of water-related impacts on health.

This section of the course addresses the following aspects,

1. The utilization of demographics and population statistics in public health in providing evidence pertinent to conducting a file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D073demographicpopstatsvulpop.htm[11/1/2014 10:22:48 AM] WLC Template

needs assessment and underpinning important messages.

2. The importance of utilizing relevant, adequate and reliable information and where to find it.

3. Historical legislation on gathering of population statistics context influencing the development of public health systems in the UK and worldwide.

4. Topics involving demographics and population statistics important to public health, particularly those affecting women and children and other susceptible and vulnerable populations.

5. Different ways to present demographics and population statistics for public health needs assessments, specifically pertaining to the assessment of water related impacts on health.

6. Population ecology in assessing impacts of access to safe water and sanitation women and children in the developing world.

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Monitoring & Surveillance - National Statistics

Health statistics collected through national randomized surveys on the following topics provide information on the health of the population, lifestyle and environmental factors affecting health, access to and use of health care services, and research into health topics.

· general health

· disability

· diseases and health conditions

· environmental factors

· health care services

· life expectancy and deaths

· life style and social conditions

· mental health and well-being

· pregnancy and births

· and prevention and detection of disease.

National, state, regional and local statistics on all of the above health topics are relevant to conducting public health needs assessments for scoping and shaping public health programs for health protection and promotion and prevention of disease.

The U.S. CDC has an extensive listing of topics important to public health in the United States, particularly to that of susceptible and vulnerable populations of newborns, children, women, seniors, persons with pre-existing health conditions, and other populations.

(Table with links is provided in notes sourced from CDC Fastats).

For example, CDC also maintains statistics on congenital abnormalities, teen pregnancy, leading causes of death, infertility, divorce, nursing home care, Alzheimer’s disease, asthma, births method of delivery, multiple births, osteoporosis, physical activity, health care records, emergency department visits, home health care, mental health and other important topics to public health. Statistical data on geographical area of residence, race and heritage is also collected by CDC.

Listing of Topics of Importance to Public Health in the United States identified by CDC (source http://www.cdc.gov/nchs/fastats/ (accessed Nov. 28, 2012)

Links are provided to publications that include the statistics presented, to sources of more data, and to related web pages.

D M

Deaths/Mortality Mammography/Breast Cancer Dental/Oral Health Marriage Depression Measles Diabetes Men's Health A Diet/Nutrition Mental Health Digestive Disease Mortality/Deaths Access to Health Care Disability (Limitations) Accidents/Unintentional Injuries Divorce N ADHD Doctor Visits (Ambulatory Care) Adoption Drug Use (Illegal) Natality/Births Adolescent Health Drug Use (Therapeutic) Nursing Home Care AIDS/HIV

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Alcohol Use E O Allergies Obesity/Overweight Alzheimer's Disease Electronic Medical Records Obstetrical Procedures Ambulatory Care (Doctor Visits) Emergency Department Visits Older Person's Health Health Emphysema Oral/Dental Health Anemia Environmental Exposures Osteoperosis Arthritis Exercise/Physical Activity Overweight/Obesity Assault/Homicide

Asthma P Attention Deficit Hyperactivity H Disorder Pap Tests / Cervical Cancer Health Expenditures Pertussis B Health Insurance Coverage Physical Activity/Exercise Pneumonia Birth Defects (Congenital Heart Disease Prostate Disease Anomalies) Hepatitis Procedures (inpatient) Births/Natality HIV/AIDS Home Health Care Births-Method of Delivery R Births-Multiple Births Homicide/Assault Hospice Care Births-Teen Births Reproductive Health Births-Unmarried Childbearing Hospital Utilization Birthweight and Gestation How Healthy are We? S Body Measurements Hypertension Bronchitis Sexually Transmitted Diseases I Sinusitis (Chronic) C Smoking Immunization State and Territorial Data Infant Health Cancer Stroke/Cerebrovascular Disease Infant Mortality Cerebrovascular Disease/Stroke Suicide/Self-Inflicted Injury Infectious Disease Cervical Cancer/Pap Tests Surgery (inpatient) Chickenpox Infertility Child Health Influenza T Cholesterol Injury Chronic Liver Disease/Cirrhosis Inpatient Surgery Teen Pregnancy Chronic Obstructive Pulmonary

Diseases Cirrhosis/Liver Disease K U Congenital Anomalies (Birth Defects) Kidney Disease Unintentional Injuries/Accidents Contraception L W

Leading Causes of Death Whooping Cough Life Expectancy Women's Health Liver Disease/Cirrhosis Lung Diseases Chronic Obstructive

In addition the CDC maintains statistics on geographical area of residence, race and heritage.

References:

Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333. file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D074MandSNational%20statistics.htm[11/1/2014 10:22:48 AM] WLC Template

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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National Voluntary Surveys

National health statistics from nationally weighted randomized sampling surveys gather statistically standardized and representative national data enabling the development of public health indicators and valid comparisons by public health organizations monitoring and surveillance of the status of health, nutrition and well-fare across various populations and geographical areas and the nation’s population overall. It is important to be mindful that surveys results provide a snapshot at the time of the survey and are shaped by the study design. By following a proper simple randomized sampling design the results statistically should be representative of the overall population. Statistical findings of national surveys are interpreted as “population estimates” rather than absolute or “true” values, recognizing that there are many unavoidable sources of uncertainties in national surveys involved in the selection of assessment endpoints, development and wording of questionnaires, recruitment process for survey participants, QA/QC of laboratory testing and measurements, and “truthiness” of the answers to survey questions. Using indicator data collected in national randomized surveys over many years, public health organizations look for patterns and trends suggesting and indicating changes and improvements in health and nutrition, such as declines in unhealthy weights, diets, and lifestyle behaviours, and information on changes in exposures to selected environmental contaminants. The information from properly designed national surveys is beneficial and critical for public health research, planning and informing decisions, involving the evaluation of past and present policies, needs, gaps and program performance, and the development of relevant options on strategies to strengthen and maintain public health policies and services for health protection and promotion and disease prevention. The U.S., UK, the European Union and its member countries, Canada and Australia and Japan conduct health and nutrition surveys; however the comprehensiveness and frequency of each is variable. The U.S. National Health and Nutrition Examination Survey (NHANES) is a comprehensive national program of studies designed to assess the health and nutritional status of adults and children in the United States, obtaining information through combined interviews and physical measurements. The NHANES is a major program of the National Center for Health Statistics (NCHS), part of the Centers for Disease Control (CDC), responsible for producing vital and health statistics for the U.S. The NHANES database dates back to the early 1960s providing information beneficial for monitoring and surveillance of patterns and trends in population health status and groups within the U.S.

U.S. National Health and Nutritional Examination Studies (NHANES) The NHANES coordinated by the National Center for Health Statistics of the U.S. Centre for Disease Control is one of the largest and most comprehensive national health surveys of its kind. Since the early 1960s NHANES has been conducted in the U.S. on a continuous cycle collecting, analyzing and reporting on the health status of the U.S. population based on the results of a representative sample of about 5000 people per year from 15 counties across the U.S. Survey participants complete a questionnaire on demographic, socio-economic, dietary and health. Data collected include the amounts of various food items and beverages consumed daily, behaviors and lifestyles, such as smoking habits and non-smoking habits, alcohol and drug use, and medical, dental and physiological measurements and lab tests such as respiratory volume, fitness testing, body height and weight, and results of biomonitoring testing of blood and urine for environmental exposures to selected environmental contaminants. More information is provided in the attached NHANES, CDC brochure and at http://www.cdc.gov/nchs/nhanes.htm .

Canadian Health Measures Survey Canada recently initiated the Canadian Health Measures Survey, a cross-sectional randomized national health, nutrition and fitness survey conducted in three cycles. The CHMS collects information on the health status of the Canadian population through an interview questionnaire about diet and eating habits, smoking, exercise, lifestyle behaviors, health status and housing conditions, and actual physical measurements of height, weight, blood pressure and physical fitness and testing of blood and urine samples for biomarkers of chronic and infectious disease, nutrition and environmental exposures. CHMS Cycle 1 was carried out from 2007 to 2009 (from children 6 years of age to adults 79 years of age) and reported results have been published by Statistics Canada. CHMS Cycle 2 (from children 3 years of age to 79 years of age) was carried out in 2009 to 20011 and a complete report of the results is expected to be released in 2013 partial results are already published; CHMS Cycle 3 (from 3 years of age to 79 years of age ) is underway in 2012 to 2014. The CHMS consists of a randomized representative sampling of about 5600 people in total of children from 3 years of age to adults up to 79 years of age from across Canada. The national survey is being conducted in three cycles of two years each. More information on the CHMS is available on the Stats Canada website at http://www23.statcan.gc.ca/imdb/p2SV.pl? Function=getSurvey&SDDS=5071&lang=en&db=imdb&adm=8&dis=2

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Monitoring & Surveillance Sources of Information

Currently, U.K. National Statistics Authority, an independent statistics office operating at arms-length from government as a non- ministerial department, established in 2008 under the Statistics and Registration Services Act of 2007, is responsible for providing oversight to the Office of National Statistics (ONS) and for scrutinizing the quality and integrity of official U.K. national statistics for the U.K. that are produced by the ONS, government departments and other devolved administrations. The current independent office of statistics has evolved from a wide decentralized statistical system of the Government Statistical Service (GSS) set up in the late 1960s, consisting of a community of professionals and civil servants whose mandate is to produce official U.K. government statistics coordinated through the Office of National Statistics (ONS). The ONS, integrating economic and social statistics, was formed in 1996 from the merging of the Office of Population Censuses and Surveys with the Central Statistics Office, established in 1941 by Prime Minister Sir Winston Churchill in order to serve the war effort.

In the U.S., national statistics are maintained by two organizations the National Center for Health Statistics under the purview of the U.S. Centers for Disease Control, and the U.S. Census Bureau. In Canada, national statistics are maintained by Statistics Canada. Eurostat is the statistical office of the European Union providing oversight and coordination for maintaining demographics and social statistics of member States, including collection, reporting and dissemination of statistics on public health and health-care (expenditure and non-expenditure), causes of death, health interview surveys (European Health Interview Surveys – EHIS, Statistics on Income and Living Conditions – SILC and EHSIS – European Health and Social Integration Survey), morbidity statistics, and health and safety at work – European statistics on accidents at work (ESAW) and European Occupational Diseases Statistics (EODS).

In addition to demographics provided by federal and provincial and state and regional and municipal offices, non-governmental organizations and not for profit organizations gather, analyse and report on statistical demographics, population health data, socioeconomic and other data relevant to public health. These may be international, national, state, regional and local organizations.

The World Health Organization (WHO) publishes demographics and socioeconomic statistics for each member state and these are accessible online. Other sources of global statistics relevant to public health, many of which are accessible online, are the UNESCO Institute for Statistics Data Centre, Montreal, the United Nations Statistics Division, the International Data Base (IDB) of the US Census Bureau, Washington DC, the World Bank, and the Organization for Economic Cooperation and Development (OECD).

The OECD generates statistics for various subjects on the status and performance of its member countries, which are considered to be less influenced by individual federal bias than those derived by the countries themselves. OECD.Stat includes data and metadata for OECD countries and selected non-member economies. OECD Health Status provides statistics on the health status at the country level of information aggregation corresponding to variables such as mortality and life expectancy by specified disease classifications and corresponding to age and gender; mortality for the total population at birth; causes of mortality including all causes and specific causes; infant and maternal mortality further classified by infant mortality, neonatal mortality, perinatal mortality, maternal mortality; potential years of life lost from all causes and specific causes; morbidity and perceived health status by age and gender; infant health low birth weight; dental health; communicable diseases limited to AIDS, incidence of pertussis, measles, and hepatitis B; and cancer statistics for malignant neoplasms (general) and of the colon, lung, female breast, cervix and prostate. OECD Demography and Population provides statistics on migration and population. Other subject areas relevant to public health are covered such as a report on general statistics for each country, the environment, education and training, financial, agriculture and fisheries, development and others. Instructions on ways to access the data in OECD.Stat are provided on the website.

Many independent health research organizations, such as the National Institutes of Health, national Cancer and Cancer Care societies, and various organizations supporting disease research (e.g., Canadian Cancer Society and Cancer Care Ontario, Lung Association, Heart & Stroke Foundation, Diabetes Association) maintain registries and statistical data on selected diseases, producing annual reports including graphics and maps illustrating past and present patterns and trends in disease occurrence in the population.

Private businesses provide and sell demographic data obtained from national census at various levels of aggregation and offer services including GIS mapping and geocoding for academic researchers, federal, state, regional and local levels of government, libraries and not for profit organizations.

Some examples of sources of demographics and population data and health statistics are listed below.

· WHO mortality database: tables [online database]. Geneva, World Health Organization, 2008 (http://www.who.int/healthinfo/morttables (Internet Access Required)

· World fertility patterns. New York, Population Division, Department of Economic and Social Affairs, United Nations Secretariat. file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D076MandSOECDsources.htm[11/1/2014 10:22:49 AM] WLC Template

· UNESCO Institute for Statistics Data Centre [online database]. Montreal, UNESCO Institute for Statistics http://stats.uis.unesco.org (Internet Access Required)

· United Nations demographic yearbook. New York, United Nations Statistics Division.

http://unstats.un.org/unsd/demographic/products/dyb/dyb2.htm (Internet Access Required)

· International Data Base (IDB). Washington, DC, US Census Bureau, (http://www.census.gov/ipc/www/idb (Internet Access Required)

· OECD Stat Extracts is accessible at http://stats.oecd.org/ (Internet Access Required)

· Canadian Health Statistics, Statistics Canada http://www5.statcan.gc.ca/subject-sujet/theme-theme.action? pid=2966&lang=eng&more=0 (Internet Access Required)

· GeoLytics http://www.geolytics.com/ Provides U.S. census data and America Community Survey data, online data and maps.

· The Database of International Statistical Activities (DISA) http://www1.unece.org/stat/platform/display/disaarchive/Database+of+International+Statistical+Activities+%28DISA%29 (Internet Access Required) DISA lists the activities of over 30 statistical organizations active in the UNECE region. Updated every year, DISA is a coherent catalogue of planned work in international statistics over the coming year.

· United Nations Economic Commission for Europe – Eurostat –Statistical Office of the EU http://www1.unece.org/stat/platform/display/Disa2012/Eurostat-+Statistical+Office+of+the+European+Union (Internet Access Required)

· The Conference of European Statisticians (CES) (Internet Access Required)

· United States Central Intelligence The World Fact Book https://www.cia.gov/library/publications/the-world- factbook/geos/xx.html (Internet Access Required)

· The U.S. National Health and Nutrition Examination Survey (NHANES) http://www.cdc.gov/nchs/nhanes.htm (Internet Access Required)

· CDC FastStats http://www.cdc.gov/nchs/fastats/ (Internet Access Required)

with link to Interactive Map of U.S.A. with links to State and Territorial Data, and list of topics of importance to public health.

Notifiable Disease Surveillance

The World Health Organisation (WHO), the CDC and many countries around the world have monitoring and surveillance activities for communicable diseases in accordance with the International Health Regulations adopted by WHO member states (International Health Regulations, 2005) and Revised Annex to IHR 2008.) Under the IHR the States and Territories will collect notifications of comunicable diseases in accordance with relevant public health legislation; and forward to the Commonwealth, de-identified data on the national set of communicable disease for the purpose of national communicable disease surveillance. The States and Territories will provide data on communicable diseases on the NNDL [National Notifiable Disease List] that are nationally notifiable and reported within their jurisdiction. Data will be provided to the Commonwealth's NNDSS [National Notifiable Disease Surveillance System] daily, or otherwise as agreed by the Parties. This is discussed in more detail further on in the course.

A notifiable disease is one for which regular, frequent, and timely information regarding individual cases is considered necessary for the prevention and control of the disease (MMWR, 2014).

Under the International Health Regulations state, two categories of events requiring notification are specified. Category 2 requires notification for any event involving one or more cases of four specific diseases (Small pox, SARS, Human Influenza caused by a new subtype, Poliomyelitis due to wildtype poliovirus), irrespective of the context in which they occur, because they are by definition unusual or unexpected and may cause serious public health impact. Category 1 requires notification when any two of the four situational health criteria are met - 1. Is the public health impact of the event serious? (yes/no).2. Is the event unusual or unexpected? (yes/no);3. Is there any significant risk of international spread? (yes/no). and 4. Is there any significant risk of international travel or trade restrictions? (yes/no). Annex 2 (IHR, 2008) provides that events involving certain epidemic prone diseases must always be assessed using the decision instrument to see if any two of the four assessment criteria are fulfilled, and therefore require notification of the event: Cholera, pneumonic plague, yellow fever, viral

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haemorrhagic fevers (Ebola, Lassa, Marburg), West Nile fever and other diseases of special national or regional concern, e.g. dengue fever, Rift Valley fever and meningococcal disease. Furthermore, additional diseases of national or regional concern may be added to this list. Unlike the second category of diseases, the mere presence of cases of these diseases does not automatically require notification or automatically fulfill any of the four criteria (IHR Annex 2, 2008)

Surveillance priorities should be appropriate to the disease epidemiology, infrastructure and resources in each country. National surveillance activities should reflect global goals for communicable disease control in accordance with the IHR, and it is essential that feedback loops be built into the national and global surveillance activities. For example, a regular epidemiological bulletin with tables and graphs showing trends, progress towards targets and reports on the investigation and control of outbreaks. The personnel involved in surveillance activities must be trained for their surveillance tasks, and there is also a need for ongoing in-service training at all levels.

Notification to WHO is part of the global early warning function the purpose of which is to provide international support to affected countries and information to other countries if needed (IHR Annex 2, 2008).

The scope of the IHR (2005) and potentially notifiable events extend beyond communicable diseases and address concerns like contaminated food or other products including pharmaceuticals, and the environmental spread of toxic, infectious material or other contaminants (IHR, Annex 2, 2008). However, the IHR (2005) do not include a specified notifiable list for harmful environmental exposures to chemical contaminants and other contaminants that do not fall under the category of communicable diseases.

International Health Regulations References:

International Health Regulations. 2005 2nd Edition. 1. Legislation, Health. 2. Communicable disease control - legislation. 3. Disease notification - legislation. 4. International cooperation. I.World Health Organization. II.Title: IHR (2005). ISBN 978 92 4 158041 0 (NLM classification: WA 32.1). © World Health Organisaton 2008, Reprinted 2008

WHO Guidance for the Use of Annex 2 of the International Health Regulations. 2005 2nd Edition. 1. Legislation, Health. 2. Communicable disease control - legislation. 3. Disease notification - legislation. 4. International cooperation. I.World Health Organization. II.Title: IHR (2005). ISBN 978 92 4 158041 0 (NLM classification: WA 32.1). © World Health Organisaton 2008, Reprinted 2008

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

WHO. 2000. Monitoring Bathing Waters - A Practical Guide to the Design and Implementation of Assessments and Monitoring Programmes - Chapter 13*: EPIDEMIOLOGY Edited by Jamie Bartram and Gareth Rees © 2000 WHO. ISBN 0-419-24390-1

Bogich et al., 2012. Preventing Pandemics. PLOS Medicine. 9 (12) e1001354

Integrated Water and Health Surveillance

An integrated approach to Monitoring and Surveillance for Water and Health would involve surveillance of monitoring data and systems for health outcomes and for environmental releases, such as Pollutant Releases and Transfer Registers (PRTRs) for priority pollutants and stakeholder consultation and community right to know. The concept of monitoring and surveillance of environmental contaminants (microbiological and chemical and physical) was introduced earlier in this Course on Water-Related Impacts on Health; Principles, Methods and Applications. Several countries around the world have PRTR systems and guidance for use by industry government and the public to track and communicate pollutant releases and movement, including those from one environmental compartment to another and across regional and national boundaries. A brief introduction to PRTR systems in the context of policy-making and decision-making pertaining to water and health is presented below and in the course entitled Social Perspectives on Water and Health.

Pollution Release and Transfer Registers (PRTRs)

Regional and national pollutant release and transfer registers (PRTRs), consisting of pollutant releases inventories and environmental pollution reporting and monitoring networks, voluntary and legislated, are foundational to risk management of chemicals and pollution prevention planning and awareness of chemical safety and environmental pollution. About 30 countries around the world already report emissions and transfers of chemicals to air, water and soil through their PRTRs and about 14

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countries are in the process of designing their own PRTR system www.prtr.net

The Organization for Economic Cooperation and Development (OECD) www.oecd.org/chemicalsafety/pollutant-release-transfer- register produces documents describing the experiences of countries that have already developed PRTRs; current and emerging uses of PRTR data; how PRTRs differ; and the identification, selection, and adaptation of release estimation techniques that industry can use in the calculation of pollutant releases and transfers. The OECD work on PRTRs is overseen by an OECD Task Force on PRTRs.

PRTR systems are key resources for identifying pollution prevention priorities, supporting the assessment and risk management of chemicals and environmental modelling activities, and the development of pollution reduction strategies (policy, regulations, communications), and improving technological methods, research and understanding among industry, government and the public.

PRTRs are integral to the public's "right to know" and environmental policy making.

Examples of Pollutant Release and Transfer Registers (PRTRs) are:

The U.S. Toxics Release Inventory (TRI) established in 1986 www2.epa.gov/toxics-release-inventory-tri-program (Internet Access Required)

Canada's National Pollutant Release Inventory www.ec.gc.ca/inrp-npri (Internet Access Required)

A listing and links to information on PRTRs established in countries around the world is available at www.prtr.net (Internet Access Required)

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An Historical Perspective on Epidemiology

Early Epidemiology – covers the period from 5th Century B.C. to 1830.

Image of Hippocrates

Two millennia ago, circa 470 to 400 BC, Hippocrates in “On Airs, Waters and Places”stated --

“Whoever wishes to investigate medicine properly should proceed thus: in the first place to consider the seasons of the year, and what effects each of them produces.

Then the winds, the hot and the cold, especially such as are common to all countries, and then such as are peculiar to each locality.

In the same manner, when one comes into a city to which he is a stranger, he should consider it situation, how it lies as to the winds and the rising of the sun; for its influence is not the same whether it lies to the north or the south, to the rising or to the setting sun.

One should consider most attentively the waters which the inhabitants use, whether they be marshy and soft, or hard and running from elevated and rocky situations, and then if saltish and unfit for cooking; and the ground, whether it be naked and deficient in water, or wooded and well watered, and whether it lies in a hollow, confined situation, or whether they are fond of drinking and eating to excess, and given to indolence, or are fond or exercise and labor.”

Ancient Greek and Roman Civilizations

“The achievements of this period in dealing with the hygienic and the functional requirements of palaces and cities, were so advanced that they can only be compared to modern urban water systems, developed in Europe and North America in the second half of the 19th century A.D. The advanced Minoan technologies were exported to all parts of Greece in later periods of the Greek civilization, i.e. in Mycenaean, Archaic, Classical, and Hellenistic periods.” (Angelakis et al., 2004).

Ancient Greek and Roman civilizations water and wastewater management practices consisted of aqueducts’ cisterns and reservoirs; water distribution systems and fountains; and drainage, sewerage systems and toilets. Most households in ancient Greece had their own cistern supplied by rainwater for drinking, bathing, showering and watering plants. The ancient Roman aqueducts were much the same as those present today (DeFeo et al 2011).

The importance of good sanitation and water and food safety and good personal hygiene for the prevention of disease, tenets of public health that were well established in ancient civilizations of Mesopotamia and in sacred documents, such as the Torah, the Bible, and the Koran.

An overview of water in ancient times is provided in Course 1.

The Scientific Revolution occurring circa mid 1600s up to the early 1800s

The Scientific Revolution occurring circa mid 1600s up to the early 1800s was pivotal in the evolution of epidemiology and gave birth to: the Royal Society of London (1660); the industrial age of the Victorian period of the British Empire and of northern and central Europe; and the emergence of “classical epidemiology”

Classical Epidemiology – covers the period from 1830 to 1940

The industrial revolution took off in Great Britain and Western Europe, including large numbers of working class adults and children (many orphaned early in life and wards of the state) launched the era of western industrialization, enabling transcontinental transportation, trade and commerce and emigration as never before, and wide-reaching communication and exploiting new technologies.

Classical epidemiology emerges during this period of history on the back of development of large industrial factories in Britain, Western Europe, and mass migration of millions of people out of eastern and western Europe and including Great Britain to the Americas and Australia, seeking relief from famine, religious oppression and the threat of war in pursuit of the promise of jobs and new land. Classical epidemiology covers the period from the early mid -1800s up to the post World War I era, including the rise of the political ideology of communism and Marxism, and also the period of the Great Famine in Ireland and the mass emigration of tens of millions of people by ship and rail from Great Britain and Europe to North America, Australia, and South America.

The era of western industrialization was punctuated with the occurrence of “crowd diseases” in the slums that grew up in the industrial areas of London, Glasgow, Manchester, Paris, Berlin, Lyon and other places, happening together with a substantial public health movement in Great Britain and parts of Northern and Western Europe. Poor working conditions and child labour were commonplace in industrial England, and elsewhere.

The three streams of knowledge and scientific methods form the foundation of classical epidemiology as follows,

1. Medical

2. Systematic Mathematics and Demographics file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D080epihistory%20early.htm[11/1/2014 10:22:49 AM] WLC Template 3. Theoretical

These three streams converged providing definitive proof of the aetiology of infectious and contagious disease. Including, the development of classical epidemiology methods, Koch’s Postulates of Disease, the irrefutable proof of the Germ Theory of Disease. Some of the major founders recognized for their scientific discoveries and theories during this period are

John Snow (1813 to 1858), a physician of anesthesia and hygiene and also a founding member of the Epidemiological Society of London formed in 1850, investigated the two major epidemics in London.

In 1838, the First Congress of Italian Scientists, held in Pisa, proposed that a randomized trial of treatments be held in a hospital by different wards.

Rudolf Virchow (1821 to 1902), the founder of cellular pathology, is acknowledged for his statement “medicine is a social science.” Virchow encouraged physicians and medical students to carry out microscopic investigations and to integrate the information from experimental sciences, medicine and demographics in the investigation of public health conditions and events, transfer of disease and relationship between animal and human disease; he coined the term “zoonoses”. Virchow was a passionate critic of deplorable living conditions of the working classes and urged societal reform of sanitary conditions and water treatment in Germany, Berlin and other major cities in Europe.

circa 1840s an international system of classification of diseases, as proposed by William Farr.

the late 19th century establishing the international Death Certificate process and it became possible for an international standardized system statistical gathering of information on direct and indirect causes of death allowing for comparisons of different populations, locations and research into the aetiology of infectious disease and recurring epidemics and pandemics.

~1825-1839, disinfection through the use of chlorinated soda, essentially hypochlorite and tincture of iodine in 1839 for the treatment of wounds and for preventing the spread of infectious disease; in 1835 Oliver Wendell Holmes regularly washed his hands in a solution of chloride of lime greatly reducing new cases of fever and infections in maternal health care and surgery.

late 19th century, irrefutable proof of microorganisms and the requisite occurrence of specific pathogenic microorganisms as the causative agents of distinct infectious and communicable diseases, was provided through the collective observations and scientific studies by the four Fathers of Microbiology, Louis Pasteur (1822 to 1895), Robert Koch (1843 to 1910), Ferdinand Cohn (1828-1898) and Joseph Lister (1827-1912).

Louis Pasteur, the founder of microbiology and immunization, first vaccine for anthrax in sheep and cattle 1877-1878; first vaccine for the rabies virus in 1884-1885; pasteurization technique to prevent spoilage of milk, wine and beer and insisting in 1873 on heat sterilization treatment of surgical instruments and steaming of bandages prior to their use which saved thousands of lives.

1860s Joseph Lister pioneer of the surgical antiseptic technique, aggressively used phenol in surgery.

1868-1872 Ferdinand Cohn discovered heat resistant endospores formed by bacilli microorganisms were not killed by boiling water.

In 1877 Robert Koch published Koch's Postulates of Infectious and Contagious Microbial Origin of Disease; Robert Koch, a bacteriologist and physician identified and proved the specific and different bacteria causing anthrax, cholera and tuberculosis.

Paul Ehrlich (1854 – 1915) a Founder of Chemotherapy who maintained the therapeutic and toxic mode of action of chemicals should be studied as it relates to the chemical constitution; he is recognized for his foundational work in the development of bacterial staining techniques, in immunology establishing the need for standardized measurements of sera, antidiptheria serum, side chain-theory of immunity, and research on cancer theory.

Classical epidemiology assimilates Hippocrates teachings, the mathematics of probabilities and gathering of vital statistics, the Baconian approach to the scientific method of reasoning, and microscopic observations and Koch’s postulates.

The primary elements of classical epidemiology involve the following:

i. Integration of descriptive direct observations of the situation and surroundings of the affected population ─ the local environment and living conditions; hygiene practices of the people; assessment of the quality of water, land, and air; the type of work; and local surroundings associated with disease.

ii. Inquiry of the patient by the physician (epidemiological investigator) to obtain information relevant to the exposure scenarios of at the level of the individual and seek answers to what are the causes of what is ailing the patient

iii. Registries of chronological records of births, deaths, and observations presumptive and if possible confirmatory disease, signs and symptoms at time of death and underlying causes. Collecting and reporting data in a standardized manner and format,

iv. Quantitative analyses using standardized methods of counts of certificates of death presumed and confirmed cause, immediate and underlying causes and age at death for a specific population or group of peoples in a community or locality (collected and reported using standardized methods).

v. Comparative analyses of differences in exposures to possible sources of a probable disease agent using hypothesis testing methods.

vi. Confirmatory laboratory testing, in accordance with proven microbiological techniques and scientific methods.

vii. Calculation of estimates of life expectancies through the application of mathematical models of probabilities and chance.

Current Modern Epidemiology – covers the period from the1940s, post- World War II, up to the beginnings of the 2nd Millennium AD.

Out of the post-World War era emerged industrialization and mass consumerism of big tobacco, chemical manufacturing, petroleum refining, the industrial super stacks, massive hydroelectric projects, pharmaceutical manufacturing and the automation of factoring assembly lines, and industrialization of agricultural practices and food production. With these industries came

better paying jobs, increased productivity and prosperity. file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D080epihistory%20early.htm[11/1/2014 10:22:49 AM] WLC Template large population growth and the emergence of upper and lower middle economic classes, and suburban development surrounding large city centres.

Societal improvements in sanitation and water treatment and distribution, especially in large cities vastly improved living conditions in comparison to the deplorable conditions of the previous 19th century.

Promotion of private health insurance and the of state paid health and welfare systems including education, recognition of equal rights of every man woman and child, vastly improved the general social economic status and opportunities of the “common” man and woman and child living in developed countries.

Common use of antibiotics and chemical therapeutics and vaccines, and promotion of mass public health coordinated immunization programs (in school children, by family physicians, and public health clinics).

Within only a few decades, in developed countries of the UK, Western Europe, and the Americas., acute illness and certainty of death from previously common infectious diseases and communicable diseases, of long-term debilitating sequelae and physical impairments, including deafness, blindness, mental retardation, malformations, muscle and mobility disorders, had been relatively conquered, pushed into the shadows, out of sight.

A resurgence of previously controlled infectious disease and more virulent and drug resistant disease; epidemics of cholera still occur and cholera is endemic in many places in Asia and Africa. Recognition weakening public health initiatives and awareness is a major threat to population health and the spread of infectious and communicable diseases and harmful environmental exposures to contaminants.

The emergence of new strains and more virulent pathogens (viruses, bacteria, parasites, and fungi) and antibiotic resistant organisms (AROs), including multi-drug resistant strains in hospitals and communities.

wide spread use of antibiotics, antimicrobial agents (e.g., triclosan, alcohol based sanitizers), and of pharmaceuticals for treatment and prevention of disease in humans and animals, including domestic pets and the production of food animals for food and animal feed.

increased global ecological pressures and changes such as the clear-cutting of rainforests and temperate forests and intensification of agriculture, of urban development and of major hydroelectric and water re-routing and harvesting projects. Increased global travel and trade, including the shipping of waste materials of all types around the world.

movement and displacement of peoples fleeing famine and war,

continued global population growth

increased average life span of the human population and requirement for long-term care of the elderly

frequent use of immune-suppressive agents to treat allergies and immune disorders, organ, tissue and bone marrow transplants

advanced human surgeries, and scientific and biomedical research involving recombinant DNA and recombinant RNA technology, use of transgenic and knock-out mice and other genetically modified animals, plants, viruses, bacteria, fungi, and parasites used to study various diseases, the etiology of disease and develop possible treatments at the molecular-level, and use of biotechnology in food production, agriculture, medicine and therapeutics.

increasing therapeutic and recreational drug use and the release of pollutants to air, land and water.

Some important elements and events of the era of modern epidemiology are as follows,

1. Establishment of National Registry of Births.

2. Establishment of International List of Reportable Diseases and system for monitoring and surveillance of zoonotic diseases.

3. Establishment of International Food Safety Surveillance System – International Codex Alimentarus

4. Establishment of a National Registry for Chronic diseases.

5. Establishment of National and Industry-specific Registries of Occupational Accidents, Deaths and Exposures

6. Establishment of National Registry of congenital birth defects.

7. Establishment of National Health Records System

8. Establishment of National and State Environmental Protection Legislation

9. Establishment of National Environmental Impacts and Exposure Monitoring and Surveillance Programs

10. Harmonization of National and International Pollutant Release Inventories of Priority Pollutants.

11. Over-use and non-essential use of antibiotics – therapeutic and non-therapeutic uses, including animal food production, cosmetic use.

12. Inappropriate use of disinfectants and sanitizers.

13. Uncontrolled emissions of toxic pollutants to water, air and land

14. Incomplete and inappropriate treatment of municipal and animal sewage and wastes.

15. Global trade in human body parts, animal by-products and human and animal sewage and waste.

16. Possible contribution from use of immune-suppressants.

17. Global travel and emigration to remote places, including ecotourism. file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D080epihistory%20early.htm[11/1/2014 10:22:49 AM] WLC Template 18. Massive water projects, mining projects, agriculture, forestry clear cutting of rainforests, crushing of mountains, rerouting of rivers and lakes, excessive erosion and damage to riparian zones and wetlands, destruction of habitat on global scale.

19. Changes in human behaviors, lifestyles, and occupations

20. Increasing use of data registries and electronic information systems for tracking and analyses of activities, food and other products manufacturing, usage and disposal, including environmental releases and health services.

The Codex Alimentarius Commission, established by FAO and WHO in 1963 develops harmonised international food standards, guidelines and codes of practice to protect the health of the consumers and ensure fair trade practices in the food trade. Environmental protection organizations in Canada and the United States only came into being in the early 1970s, in response to gross observations of pollution of the Great Lakes. In the 1940s and 1950s, observations of increasing numbers of lung cancer related deaths in men, particularly in the UK and the US, were made using statistical data from insurance registrations, statistical and clinical data on patients who were tobacco smokers. In 1950, three hospital-based control studies were published (Levin et al., 1950; Wynder and Graham, 1950; and Doll and Hill, 1950). Over the same time period the severe air pollution, documented as London Fog events of the time, involving high concentrations of sulphur dioxides and other acid emissions from London industries burning coal and smelting metals burned eyes, killing plant vegetation and colouring the sky., but the focus shifted from environmental exposure to air pollution to tobacco smoking and personal behavioural choices as the more plausible causal association, following the publication of the first Doll and Hill (1950) study and subsequent papers. The WHO has development international agreements and guidance on anti-tobacco and smoking cessation.

In 1965, Sir Bradford Hill developed a new set of nine criteria, known as Hill’s criteria for establishing disease causality. Koch’s postulates of disease were not applied and were ignored by many modern epidemiologists and those working in the public health sector as they shifted their focus from infectious diseases to cancer and the association with tobacco smoking and other toxicological effects of behavioral exposures and occupational exposures. Modern epidemiological methods have more recently placed greatest emphasis on findings of human studies, ignoring data from animal studies and observations in wildlife, giving emphasis to the use of analytical regression techniques, cluster analyses, and more complex statistical analyses to infer causality by association and statistical correlation, often drawing conclusions about causality with few to no experimental studies or involving hypothesis testing, biological plausibility and weight-of-evidence. Much of the limited database of human epidemiological data on toxic substances comes from historical environmental spills, accidental poisonings and occupational studies of situations with outdated, lax and non-existent health and safety regulations and comparisons of exposures primarily in working adult males to workers in jobs involving less exposure. Down-playing the public health importance and human health implications of the chain of disease transmission and exposures to toxic substance in animals, both domestic and wildlife, real-world observations and experimental studies in animals, plants and ecosystems, despite the numerous biological consistencies and conservation that exists across all biological systems (e.g., animal reproduction, development, tissue differentiation, regulatory and molecular processes), and the inter-dependency of humans on animals and plants and the biodiversity and integrity of the ecosystem.

In the 21st Century there is a renewal for epidemiological investigation into root causes of population health outcomes and disease development, epidemic and endemic. At the forefront is the recognition of the increased global transmission of disease and of the importance of the need for integrated management of environmental and health systems for monitoring and surveillance in the areas of population health outcomes, public health education, safety and access of water supply, fro drinking hygiene and sanitation - in home, schools, hospitals and medical clinics water quality and supply for livestock, food production, processing, and agriculture, municipal development, industry and manufacturing, and pollution releases and controls for protecting and preventing contamination of water supply (surface water and groundwater).

Today in the global society of the 21st Century, international travel and trade is common place and people, animals, products and materials can easily be transported around the world reaching numerous countries within less than 24 hours to a week, even to remote places. The International Health Regulations are legally binding agreements for 194 countries, including the World Health Organization (WHO) Member States, for the prevention and control of diseases that are potentially of Public Health Emergency of International Concern (PHEIC). Four diseases are always a PHEIC: Severe Acute Respiratory Syndrome (SARS), smallpox, poliomyelitis wild-type poliovirus, and human influenza new sub-type. Also, the waterborne disease cholera and water-related vector-borne diseases Yellow fever and West Nile fever should be reported to the WHO, and also diseases involving viral hemorrhagic fevers, and meningococcal diseases. For each of these and other public health emergencies of international impact, especially affecting travel and trade, such as chemical, biological and radiological spills, an assessment following the IHR framework for the determination of a PHEIC is necessary and notification of the WHO may also be necessary.

The IHR requires by international law that that all 194 participating countries and all WHO Member Sates worldwide strengthen their national capacities for surveillance, reporting and responding to epidemic outbreaks of disease.

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Monitoring and Surveillance - Demographics and Population Statistics

The development of public health systems in the U.K. has been influential on the development of public health systems worldwide, including the development of international integrated public health systems. Some chronological events in the U.K. of importance to public health systems are listed in Table attached below. A timeline of the history of the UK national statistical system is available at http://www.statisticsauthority.gov.uk/about-the-authority/uk-statistical-system/history/statistical-system-timeline.html (Internet Access Required)

A chronology from the 19th Century forward of dates, events and reports important to the development of public health systems in the U.K and worldwide, together with that of the U.K. official statistical system

1801 The first ‘Census of Population’ took place on 10 March 1801. This gave the total number of people in England and Wales as nine million.

1836 The Births and Deaths Registration Act and the Marriage Act received Royal Assent, thereby establishing secular system for recording births, marriages and deaths.

1837 – GRO (England and Wales) The General Register Office for England and Wales was established on 1 July 1837 at Somerset House. It was given responsibility for the administration of civil registration, for the analysis and publication of statistics on births and deaths, and for the conduct of the population census in England and Wales. In 1855 and 1864 the GROs for Scotland and Ireland were established, respectively.

1839 The first classification of causes of death was devised by the Registrar General

1841 The first ‘modern’ ‘Census of Population for England and Wales’ was carried out by the Registrar General – so-called because it required each householder to provide a self-completed schedule recording the names and characteristics of every individual in the household. This system has remained more or less unaltered to the present day.

1849 The first publication of the Registrar General’s ‘Quarterly Return’ which continued until 1975 when it was replaced by ‘Population Trends’.

1851 Two innovations were introduced in the processing and presentation of the Census results - the classification of people by their occupation, and geographical disaggregation.

1874 - Registration The Births and Deaths Registration Act of 1874 transferred the onus of registration from the registrar to the

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next of kin. The Act also required the medical certification of the cause of death.

1895 The notification of infectious diseases became compulsory.

1911 The Registrar General’s ‘Social Classes’ was introduced as a means of analysing population statistics according to occupation/employment status groups. In addition, The UK adopted the ‘International Classification of Diseases’ (ICD).

1919 The Local Government Board was abolished and responsibility for statistics on health was passed to the newly created Ministry of Health.

1920 On 11 October in Paris, the League of Nations convened the International Statistical Commission.

1926 The registration of stillbirths was made compulsory.

1929 The Local Government Act of 1929 transferred the civil registration function to local authorities.

1938 The Population (Statistics) Act 1938 greatly increased the amount of statistical information obtained from those registering a birth or death.

1948 The Cancer Registration scheme was introduced.

1948 The United Nations published the first issue of its ‘Statistical Yearbook’.

1949 – National Health Service Central Register The General Register Office was given responsibility for the National Health Service Central Register (NHSCR).

1952 National Registration, introduced in 1939 as a wartime security measure, was abolished in February 1952. In the meantime, the identity numbers and the registers had been used to prepare the National Health Service Central Register (NHSCR). The latter is a register of NHS patients which is kept up-to-date from returns file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D081UK%20chronology.htm[11/1/2014 10:22:49 AM] WLC Template

submitted by the local registrars of births and deaths and Family Practitioner Committees (FPCs).

1960 The Population Statistics Act of 1960 required the compulsory notification of the causes of stillbirths.

1961 Sampling was introduced to the Census of Population which, for the first time, was processed on computers.

1978 WHO Declaration of Alma-Ata of the International Conference on Primary Health Care.

1986 WHO Ottawa Charter for Health Promotion.

2005 The Information Centre for Health and Social Care was established as an independent body in England in April 2005 and charged with the task of collecting health statistics on behalf of the Department for Health.

http://www.statisticsauthority.gov.uk/about-the-authority/uk-statistical-system/history/statistical-system-timeline.html (Internet Access Required)

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Conceptual Steps involved in a Systematic Plan for Investigating an Outbreak

Note: The order of steps is conceptual and somewhat flexible. The actual order for an investigation of an outbreak should be determined based on what is best suited for a given outbreak.

Steps 1-3: [Sometimes done in the reverse order and simultaneously]

o Preparing and planning for field work – typically not the first step but staff must be well prepared in advance before going into the field on scientific and investigative issues, and (b) management and operational issues.

o Establishing the existence of an outbreak;

o Verifying the diagnosis.

Steps 4-6:

o Create a workable case definition

o Go out and look for additional cases

o Organize information about cases in a line listing or computer database – enabling staffers to check for duplicate records

o Update records as additional information becomes available

o Perform descriptive epidemiology

Step 6: Descriptive Epidemiology [essential for characterizing an outbreak, identifying populations at risk, developing hypotheses about risk factors, and targeting control/ prevention strategies]

o Organize data by – time, place, and person

o Plot epidemic curve ─ a histogram of the number of cases by time of onset of illness [provides visual display of outbreak’s magnitude and time trend]

Step 7: Develop hypotheses based on what is known about the disease, descriptive epidemiology, and what others have postulated. Must be developed before conducting an analytic epidemiological study.

o What are you going to look for?

Step 8: Conduct an analytic study – Hypotheses testing [not all outbreaks require an analytic study]

o Usually a cohort study or case-control study ─ to identify associations between exposures (risk factors or causal associations) and the disease of interest.

o Cohort study is best suited for outbreak situation in a well-defined population (e.g., food poisoning at a wedding); investigators should: i) enroll everyone, ii) determine exposures and outcomes, iii) calculate attack rates, and iv) compare attack rates using a risk ratio or relative risk to identify associations.

o Case-Control study is well suited for outbreak situation without a well-defined population (e.g. contaminated community drinking water source). Investigators should: i) enroll all case-patients plus control sample of those who did not get ill, ii) ask questionnaire about exposures, iii) compute the Odds Ratio to look for associations.

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Step 9 and 10: Refine and re-evaluate hypotheses. – Multidisciplinary approach

o Three lines of investigation, usually done simultaneously: 1. Epidemiologist conduct epidemiologic investigations. 2. Environmental health specialists and researchers conduct studies. 3. Laboratory testing is done.

o Do the findings of 3 lines of investigation converge, pointing to a single conclusion?

Step 11 and 12: Implement control and prevention measures and maintain continued surveillance.

Appropriate control and prevention measures are usually the primary goal of most outbreak investigations; steps 11 and 12 often occur early in the investigation. Want to be able to implement controls and prevention measures quickly to prevent further transmission and cases of disease.

o Implement as soon as a link in the chain of transmission susceptible to intervention is identified.

o Do not wait to implement control measure if the source and mode of transmission are known.

o But keep in mind there is no guarantee that the control measures will work.

o Continued surveillance is essential.

Step 13: Communication – Written report

o Documentation of:

i) What was found, AND

ii) What should be done or what was done.

Documentation of the outbreak and the outbreak investigation is imperative for public health, scientific, and legal purposes.

In addition to steps 11, 12 and 13 a follow-up investigation is necessary to assess the underlying contributing and causal factors manifesting in an infectious disease outbreak or toxic exposure situation.

iii) What initiated the first case and additional cases to enable an outbreak? Were there unusual circumstances which led to the compromise or failure of established health and safety procedures to be effective in controlling exposures and preventing the transmission of disease? Was there a breach in procedures? Were essential health and safety procedures, training and supervision lacking or limited?

Findings from a follow up investigation should be documented for the purpose of compliance with pertinent regulations and legislation, and also for the purpose of updating and strengthening regulatory guidance, and as part of a needs assessment for guidance for the prevention of recurrence of adverse events and non-compliance outcomes.

iv) Education and Training – follow up education for prevention and health protection. Assess competency and education and training needs. Develop and make accessible training and education matching the literacy level and content to the roles and responsibilities of those involved.

v) Litigation – May require prosecution of perpetrator, if outbreak event is deemed to have been started by some form of deliberate action including failure to provide reasonable precautions resulting in negligence and lack of due diligence (e.g., compliance with reasonable expectations under law for education, competency, training requirements, adherence to best practice and pertinent legislation, regulations and policies).

(CDC Epidemiology training course Table 6.2 and summary page 6-57).

References:

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Bonita, Ruth. 2006. Basic epidemiology / R. Bonita, R. Beaglehole, T. Kjellström. 2nd edition.1.Epidemiology. 2.Manuals. I.Beaglehole, Robert. II.Kjellström, Tord. III.World Health Organization. ISBN 92 4 154707 3 (NLM classification: WA 105) ISBN 978 92 4 154707 9 © World Health Organization 2006

CDC. 2006. Principles of Epidemiology in Public Health Practice 3rd Edition. An Introduction to Applied EPidemiology and Biostatistics. U.S. Department of Health and Human Services. Office of Workforce and Career Development. Atlanta GA 30333.

dos Santos Silva, I. 1999. Cancer Epidemiology: Principles and Methods. Isabel dos Santos Silva. Lyon France.© International Agency for Research on Cancer 1999. ISBN 92 832 0405 0 (NLM Classification W1)

The Johns Hopkins and the International Federation of Red Cross and Red Crescent Societies. Public Health Guide for Emergencies. Chapter 6. Epidemiology Surveillance.

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Step 1: Prepare and Plan for Field Work

Typically, investigators do not conduct field work until after officials have identified an increase in cases of a disease (above endemic levels, typically life-threatening exposures, unusual increase in number of deaths indicative of a possible outbreak situation ) at which point a decision to conduct a field investigation is made.

Investigators should be well trained and prepared in advance before embarking on a field study.

Two broad categories of issues involved in field investigations are: i) Scientific and Investigative Issues, and ii) Management and Operational Issues.

Scientific and Investigative Issues:

1. Requires - Appropriate scientific knowledge; supplies; and equipment to carry out investigation in the field.

2. Debrief before entering the field – Discuss empirical knowledge and current situation with person knowledgeable of the disease and field investigations pertinent to the situation (type of illness, disease, location, cases, etc.), and review relevant and applicable literature. Be aware of knowledge from previous similar outbreaks:

· What are known possible sources?

· What are known possible modes of transmission?

· What are possible risk factors for the disease?

3. Gather documentation in file (e-folder and hard copy binder) of useful references and questionnaires (e.g. WHO, CDC, EU, Health Canada Fact Sheets, journal articles, exposure questionnaires from previous similar investigations).

4. Consult with lab, verify that you know what is needed for the field investigation and to inform them about the outbreak – so lab can be prepared to receive samples for testing and can see that the lab has the necessary resources that will be required.

· Know what are the proper materials and equipment required to be taken with you to carry out field investigation.

· Know the proper methods and techniques for sample collection, sample storage and transportation.

· Know what Personal Protection Equipment (e.g., masks / respirator, gloves, eye protection, gowns foot wear coverings, clothing), you will need to have to protect yourself in the field (e.g., bioterrorism, SARS or Ebola hemorrhagic fever, toxic chemicals).

5. Establish an action plan and confirm with senior management what is the purpose of the field investigation, what should be done and in what order they will be done. Document the primary, secondary and tertiary objectives of the investigation.

Management and Operational Issues:

Requires – Good management and collaborator skills, and good team player. Most investigations are carried out by a team.

1. Select team members before departure to the field; All members should know who is in charge. Each team member should know their expected role and responsibilities in the field. Possible team members – laboratory researcher; veterinarian; IT & computer specialist; entomologist; translator/interpreter, microbiologist, toxicologist, other specialists. If not part of the local public health unit you should know your role and relationship and expectation, lead an investigation, provide consultation, or assist local staff (volunteer)? Who are your local contacts?

2. Depending on the type of investigation – food and agriculture, criminal, drug and medical product, health care, occupational, community, , bioterrorism, determine: Determine if multiple government regulatory and science organizations are involved at the federal, state provincial level, local regional and municipal levels? Are different departments involved, if so what are they – Health, Environment, Food, Drug, Education, and Law Enforcement?

Keep in mind that different authorities have different mandates and priorities. Know who is leading the investigation. It is important to establish the respective roles of the various parties involved in an investigation and their respective objectives which can be dissimilar, contrasting, distinct and unrelated. In a public health investigation the emphasis is often on identifying the pathogen or

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hazardous agent, the source, the mode of transmission and route(s) of exposure. If a criminal investigation is also involved then the focus would include finding the perpetrator.

Examples of multiple departments and organizations that could be involved in an investigation depending on the situation, federal and state Food and Drug Administration (FDA), Environmental Protection Agency (EPA), Department of Agriculture (USDA), Police and Bureau of Investigations (FBI), and Municipal Emergency Management.

Establish an outbreak communication plan. A system for direct communication between the clinical practitioners and public health involving the public and private laboratories should be established. In an outbreak situation, it is also important to be able to communicate effectively and quickly with elected officials (City Mayor, Boards of Health, Provincial and Federal political leaders, regional and municipal EMS (ambulance, police, and fire) and the public.

An Outbreak Communications plan should include:

· Communications schedule of how often and when to hold conference calls with involved organizations

· A designated spokesperson, responsible for preparing health alerts, press releases, and other communication materials.

· Identify key contacts within each organization, their roles and those of their organization, regarding the investigation and the reporting process, internally and externally.

· Identify in advance requirements for security clearance and for health privacy related issues, such as in the collection of personal health data and other information.

3. Establish operational and logistics plans, at a detailed level. Including arrangements for laptop computers, cell phones, blackberries and phone cards, digital camera, and other equipment and supplies. Make advanced arrangements for travel, accommodations and meals for the duration of your field work. In advance, arrange meetings for when you arrive with local authorities and contacts. Be respectful of organizational budgetary limits and approval processes. Have passport up to date, for some countries a visa may be required for travel and work activities. Before leaving home, take care of personal matters, especially if the investigation is expected to take several weeks or months.

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Step 2: Verify the Existence of an Outbreak

1. Determine if a cluster is an outbreak. Some clusters are true outbreaks with a common source, others are sporadic but unrelated, and others are unrelated cases of similar but unrelated diseases.

2. Are the cases the same disease? Is it a notifiable disease?

3. Compare the observed number of cases to the expected number of cases for that area.

Is the observed number of cases of disease more than expected for that area? The expected number of cases is often the number from a comparable period of time, such as the previous few weeks or months or years. For notifiable diseases are cases above the expected number based on health department surveillance records. For other diseases – the expected number may be informed by hospital discharge records, emergency department records, mortality statistics, cancer registries, birth defect registries. If no local health department data are available – rates from state, provincial, and national data may be used for comparisons to the expected. Other possible sources are obtaining information through physician surveys conducted by telephone to determine whether they are seeing more cases of a specific than usual. A community survey is a tool for gathering information on the background or historical levels of disease in the community.

4. Rule out other possible reasons for more reporting of cases – such as changes to record keeping, changes to case definitions, new classification of a disease (e.g. cancer and leukemias), heightened interest from awareness campaigns, new diagnostic testing, change in personnel (new physician, infection control nurse, new health care facility protocols) may increase the consistency and frequency of reporting but no actual increase in occurrence of disease in the population. Misdiagnosis by laboratory error could suggest an apparent increase. Changes in number of cases may reflect changes in demographics of the community, change in size of population, change in racial, cultural and socioeconomic make-up of the community.

5. Even if there is no epidemic detected. Depending on the severity of the illness, the potential for transmission and spread of illness, the availability of control measures, political and public perceptions and pressures, available resources, sensitivity of unusual circumstances and uncertainties, and other considerations, public health organizations may decide to launch a field investigation.

What is an outbreak?

An outbreak typically refers to an acute health-related event such as a microbial mediated disease or poisoning. An outbreak is the occurrence of more cases of disease than expected in a specific area and time period. Another term used to describe an outbreak situation is epidemic, when the number of cases of disease is increasing above baseline levels in a population over a specified time period in a localized area. Epidemics usually imply larger numbers of people are affected by a presumed common cause and expanding over a wider geographical area. In contrast, outbreak tends to be used more often to describe a more limited occurrence of increases in cases of disease presumed to have a common cause affecting individuals in a localized area (e.g. daycare centre, hospital ward, small town).

What is a cluster?

A cluster is an aggregation of disease cases in a specified area within a specified time period. No comparison to baseline is required. The increase in cases may be considered unusual by some but could have occurred by chance alone. A common example of a cluster is the number of cancer cases in a neighborhood, which may or may not be related to a common source, taking in to account the type of cancer, the size and characteristics of the population, including age, gender, occupation, and the presence of other risk factors.

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Step 3: Verify the Diagnosis

Steps two and three are closely linked and are addressed at the same time. It is important to confirm the disease has been properly identified, and to rule out laboratory error or other computer or human error as the basis for an increase in reported cases. Because control measures are often disease-specific misdiagnosis of disease origin could lead to ineffective controls for prevention of additional diseases. For example, failure to properly diagnose acute lead poisoning in a child admitted to emergency with severe abdominal cramps and gastrointestinal pain by not conducting the appropriate tests have contributed to repeated life-threatening exposures to lead and even death of a child who was treated for a bacterial gastrointestinal illness without testing for other possible causes. Failure to attribute source of bacterial fecal contamination to community drinking water supplies but instead to treat the source as a foodborne illness could contribute to prolonged duration of exposure to high numbers of people in the community served by the contaminated public or private water supply before appropriate controls are enacted and alternative safe drinking water source is made available.

1. Carefully review the clinical findings and laboratory report. Pay attention to details. Look for consistencies between the two reports. If you have questions, ask a qualified laboratory microbiologist or toxicologist to review the laboratory report and the techniques used. Confirmatory laboratory testing should be done using appropriate specimens, isolates and materials as soon as possible. Standardized operating procedures, testing by a reference laboratory, DNA testing, biological fingerprinting, PCR analyses are techniques that may be useful in verification of the diagnosis.

2. Visit one or more patients with the disease; bring a qualified clinician with you if you do not have a clinical background. Review video clips. Improve an investigators understanding of the clinical features of the illness, develop a mental image of the disease, and those affected by it. Helpful in generating hypotheses about the etiology of the disease and spread. Examples of critical questions – what were their exposures before they became ill? What do they think caused their illness? Do they know anyone else with the disease? Do they have anything in common with others who have the disease? “Get it while you can”

3. Prepare frequency distributions of the clinical features of the disease; a frequency table should be first and foremost in the investigator’s report. This is useful in characterizing the spectrum of the illness, verifying the credibility of the diagnosis, developing case definitions. Are the clinical features consistent with the diagnosis?

Step 4: Construct a Working Case Definition

What is a case definition?

A case definition is a standard set of decision criteria for determining whether an individual should be classified as having the health condition of interest (CDC, Training Course page 6-15). It includes simple objective clinical criteria and restrictions on the time, place, and person (especially in the situation of an outbreak investigation). All criteria must be applied consistently to all persons under investigation.

Because there is uncertainty inherent in most diagnoses, especially early in the investigation – multiple categories of case definitions are often developed for: Confirmed, Probable, Possible and Suspect (Presumptive). A case might be classified as probable or possible while waiting to receive laboratory test results. A case may be concluded to be probable or possible should a physician not request confirmatory laboratory testing; for reasons such as test is expensive, not available or difficult to obtain, deemed unnecessary. The case definition used by epidemiologist should strive to include few or no false positives.

Confirmed diagnosis of a case requires laboratory verification of specimen test results.

Probable diagnosis of a case has typical clinical features of disease without laboratory confirmation.

Possible or Suspected diagnosis of a case usually has fewer clinical features.

Clinical Case Definition – describes clinical signs and symptoms of disease – fever, onset and duration, rash, physical behaviour, urine, bowels movements, etc.

Outbreak Case Definition – includes clinical case definition and specifies a time and place.

Laboratory Criteria for diagnosis – specifies the type of test and test result required to confirm disease agent.

For example, criteria for characterizing fever temperature and duration, bowel movements, muscle pain, onset of illness, place of residence, place of work, and by person (TB test, age, life-stage, gender).

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The case definition must not specify the risk factor or exposure factor under investigation or for hypothesis testing. Instead a broader definition should be incorporated into the case definition (e.g. illness among persons in a community; not illness in persons drinking from well). Then conduct appropriate analyses to determine if those who drank from the well were at greater risk than those who obtained their drinking water from another source.

Investigations of an outbreak of diarrhoea among cruise ship passengers, fecal samples from all persons affected may be tested to identify the pathogen or only the first few persons affected may be tested if the results show consistently the same pathogen is likely the causal agent. Only those cases with confirmed lab test results are counted as true cases, the remainder is counted as probable or possible. Those without signs and symptoms of disease may be classified as not having the disease of interest, but some persons with mild illness may be missed, as they have little reason to be tested and health costs of testing those who are not ill cannot be justified.

What is the purpose of a Case Definition?

A sensitive or “loose’ case definition is used to characterize the extent of the problem (part of the problem formulation step in risk assessment), to help identify the populations affected, and to develop hypotheses about possible causes.

Strategically a broader case definition may be developed early in an investigation. Inclusivity early in the investigation is useful and more efficient, particularly when an investigation involves multiple hospitals, homes, and sites for gathering information. “Get it while you can”

In analytic epidemiology inclusion of false positives can weaken results. As the investigation progresses the case definition may be tightened and possible or probable definitions may be eliminated for analyses in Step 8.

In situations involving a new disease, more specific case definitions are often used to ensure that only those cases with similar clinical signs and symptoms suggesting they are the same illness are included. For example, case definitions for SARS and AIDS. As laboratory tests are developed and more is learned about the disease and disease agents, the case definition may be revised accordingly, such as to include characteristics early in the development of the disease or mild symptoms.

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Step 5: Systematically Find Cases and Record Information

Establish a consistent and reliable process for identifying and gathering basic information on the persons with disease. Sharing information between public health organizations and healthcare providers is essential. Gather basic and specific information on all cases identified. Outbreaks are usually first brought to public health attention following the occurrence of a few cases diagnosed by physicians or emergency admissions. The job of public health workers is to look for additional cases to determine the actual extent of the geographical spread of the disease or illness and populations affected by it by conducting:

Passive surveillance – investigators send letter describing a situation of interest asking for reports of similar cases.

Active surveillance ─ investigators contact facilities by phone or visit to collect information on any additional cases.

1. Starting with where the diagnosis is likely to be made - healthcare practitioners and facilities, clinics, hospitals, laboratories.

2. Public health may alert public by using the local media. Global public health institutions may spread word more widely. Examples, food recalls, contamination of drugs, product safety recalls to alert the public so that they can protect themselves, properly identify and dispose of contaminated product, and to seek medical necessary attention. Also, fish consumption and travel advisories, such as to inform travelers about necessary health precautions to take when travelling in areas with ongoing epidemics and endemic of disease in the aftermath of natural disasters (Haiti, Japan Tsunami and earthquakes, warzones Egypt Middle East), mad cow crisis and surveillance, foot in mouth disease.

3. Develop a survey questionnaire that could be distributed to those where populations have been affected, especially if symptoms are mild or asymptomatic (e.g., cruise ship outbreak, school, daycare facility, work site). Survey to determine the true occurrence of clinical symptoms, laboratory specimens collected to determine number of asymptomatic cases.

4. Ask if case-patients know of others who have the same condition, as often one case has heard of others.

5. Use a generic data collection form or develop a data collection form tailored to the details of the outbreak situation to gather the following information about each case:

·

Identifying information – name, address, and telephone number are essential for follow up by investigators with more questions and to notify them of lab results, and outcome of the investigation. Useful for checking for duplicate records. Addresses enable mapping of geographical extent of situation – not without some uncertainties.

Demographic information – age, sex, race, occupation, etc. Useful for descriptive epidemiology to provide person characteristics to build profile of population at risk.

Clinical information – signs and symptoms of disease. Useful for verification of diagnosis matched to case definition. Date of onset required to chart course of outbreak. Additional clinical information useful for characterizing the spectrum of illness (e.g. duration of illness, hospitalization, death).·

Risk factor information – tailored to the specific disease in question. What are expected exposure routes and pathways, modes of transmission? susceptibilities and vulnerabilities of each case.

Reporter information – case report must include the reporter or source of the report, usually a physician, hospital, clinic, laboratory. May be required to contact reporter to seek clarification, additional information or report back on the investigation.

The above information is collected on a standardized form, questionnaire, and data abstraction form from which a line listing of selected critical items is created by the investigator. Each column in a line listing represents an important variable – record identification number, age, sex, case classification, etc. and each row represents a different case and observation. Line listings containing key information on every case are updated as new information becomes available. Hand written line listings are done by many epidemiologists – even today.

Example of a Line Listing Table

Record Variable Name Variable Name Variable Name Variable Name Variable Name Identification (date of (Location) (Age in years) (sex M/F) (symptoms)

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Number (Case Diagnosis) number and Observation )

01

02

03

...

Variable can be numeric and descriptive and classified into one of four types:

· Nominal - categorical or qualitative; example disease status, ovarian cancer – Yes/No, country name, alive vs. dead, vaccinated unvaccinated

· Ordinal – categorical or qualitative; example disease status, ovarian cancer – Stage I, II, III or IV, rank values but not necessarily evenly spaced, exposure groupings A, B, C,

· Interval – continuous or quantitative; example date of birth period of exposure – any date from recorded time to current, measurement on an equally spaced scale but does not start at zero.

· Ratio – continuous or quantitative; example concentration of arsenic in water, antibody titer – 0 to ????, interval-scale variable starting at true zero, such as measurement of height, weight, duration of illness

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Step 6: Perform Descriptive Epidemiology

Once the information has been gathered in Step 5, it is important to systematically describe some of the key characteristics of the people affected and characterize the outbreak by time, place and person by carrying of descriptive epidemiology.

Descriptive epidemiology is a critical step -

· Summarizes data by key demographic variables and gives a comprehensive characterization of the outbreak– shows trends over time (time); geographic distribution (place); and populations affected by disease (persons).

· Allows one to identify or infer populations at risk for the disease.

· Provides clues to etiology, source, and mode of transmission – basis for developing testable hypotheses (step 7)

· By describing the where and whom – enables initiation of strategic intervention and prevention measures

· Becoming more familiar with the data enables the investigator to identify errors in the data, follow up to enable correction of errors and finding missing values.

1. Plot (draw) an epidemic curve – histogram of the time course of the epidemic.

o Plot of the number of cases versus the date and time of onset

o Distinguish an epidemic from an endemic situation

o Look at the shape of the curve – it may reveal the pattern of spread in the population (point versus intermittent source versus propagated)

o Shows time point as epidemic unfolds – is it increasing or declining

o Useful for evaluation – how much time did it take for health department to identify a problem? Are intervention measures working?

o Identify outliers – may provide valuable clues

o Deduce probable time course of exposure and develop questionnaire focused on time period – when disease and incubation period are known.

2. Interpreting an epidemic curve -

Four common patterns of epidemic curves are Common Point Source, Common Persistence Point Source, Common Intermittent Source, and Propagated Source, as illustrated below and discussed in more detail later on.

Look at the overall shape of the curve which reflects the pattern of the epidemic, the exposure period (i.e., length of time during which people are exposed), and the minimum, average and maximum incubation periods of the disease.

Pay Attention to Outliers

Pay attention to cases that do not follow the pattern of others (outliers), such as early and late cases. These may provide clues to assist the investigation. For example early cases may suggest the source of the epidemic or present background levels in the population. Whereas late cases could be unrelated, or cases with a longer incubation period, secondary cases, or persons exposed later than most others (e.g. water borne illness, person may have been away when outbreak first occurred and upon return ingested contaminated water, or leftover food prepared with contaminated water). Outliers may be actual errors in data or miscoded records, or be associated with sources that are more easily revealed by follow-up. When the disease is known and the incubation period is known (determined by referring to average and minimum incubation periods in WHO published disease Fact Sheets and the Control of Communicable Diseases Manual, Heymann, DL. 2008), it is possible to identify the likely exposure period using the epidemic curve.

Establish the Exposure Period

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identify the source of the epidemic. Investigators ask persons affected “what were they doing around that time” and then look for commonalities in the answers received. The minimum incubation period can be estimated by subtracting the time of onset of the earliest cases from the time of exposure. An estimate of the median exposure period can be calculated by subtracting the time of onset of the median case from the time of exposure. It may be possible to narrow down the possibilities by comparing the estimates of minimum and median incubation periods to available list of incubation times to known diseases.

3. Geographical Description

Involves documenting and often mapping the places where those persons affected by the disease live, work, or may have been exposed.

The determination of what are the appropriate geographical boundaries for an area of study requires careful consideration.

Maps allows visual comparisons of cases of disease by location to that of others, and may show clusters of exposed individuals.

Clustering of cases could be indicative of a point source or person-to-person spread of illness (e.g., from a small private drinking water well). Scattering of cases throughout the community may be more indicative of a wider dissemination source.

A classic example of an epidemiological investigation is that by John Snow and others of the cholera epidemic in London England in 1854. Dr. Snow retrospectively used a spot map to assist in communicating to others the extent of the neighbourhood affected by the cholera epidemic.

Modern GIS techniques can be useful in mapping of geographical location of cases having the same disease signs and symptoms, such as in an outbreak of acute waterborne illness.

4. Susceptibility and Vulnerability - Two Types of Risk Factors

What? Where? Whom? When? Why? (2 of 5Ws)

The susceptibility to disease and the vulnerability or opportunity for exposure are influenced respectively, by a person's biological - physiological-genetic characteristics, and by their work diet and living conditions, including alcohol, smoking, exercise and other lifestyle activities.

Age and sex, and location and occupation are some of the most commonly collected information.

Initially in an investigation, the focus may be restricted to collecting data on numbers of cases and incidence rates, indicative of the burden of disease used in planning risk management strategic actions and resources.

5. Prepare A Summary Report

A summary report should be prepared that provides documentation of essential and other important known information obtained through the descriptive epidemiology investigation (e.g., the process followed and the outcomes, including the epidemic curve, line listings, case definition including incubation period, exposure period, signs and symptoms of disease, descriptive tables and spot maps of number of cases, people at risk, incidence rates, characteristics of persons affected, geographical spread, presumptive exposure and risk factors for the disease).

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Step 7: Systematic Tabulation of Available Evidence and Develop Hypotheses for Testing

Develop hypotheses for testing based on the available information to assist in the determination of:

· the source of the agent causing the disease

· the mode of transmission (vehicle or vector)

· the route of exposure

Hypotheses should be testable by application of the scientific method and inductive reasoning. A case-control study is one approach used to investigate potential causal factors for disease.

Keeping in mind there may be multiple causal factors, and combinations may be necessary for eliciting illness and disease (e.g., material causes such as exposure to various pathogens and chemicals; form causes such as exposure to asbestos fibres, particulates, vapours, aerosols and fumes; efficiency causes associated with the route and duration of exposure such as inhalation, skin contact, ingestion, and injection; functionality causes such as immunosuppression, reproductive disorders, endocrine disruption, neurotoxicity, nutritional disorders, blood pressure and circulatory effects and blood disorders; and end causes such as types of cancer, birth defects, anaphylaxis, Parkinsons Disease, Alzheimers Disease, Downs Syndrome, HIV AIDS, known diseases ─ syphilis, TB, pneumonia, heart attack and CVD).

In reviewing the available information ask what are “possible suspects given what is currently known”. By asking questions such as the following it may be possible to formulate testable hypotheses that can be tested by analytic epidemiological techniques and by using scientific methods.

1. What is the agent’s usual reservoir?

Examples: water-borne; food-borne; soil-borne dust-borne airborne; animal host – skin fur hair urine feces blood-borne (livestock, pets, wildlife, birds, human), insect-borne, fomite-borne (e.g., bedding, pillows, furnishings, clothing, hair care and hygiene items, packaging, consumer products)

2. How long can the agent survive in the environment? In the host? (microbiological pathogen, chemical persistence, chemical half-life in environmental compartments, in the body?

3. Can the pathogen (virus, bacteria, parasite, and fungal pathogen) survive outside of human fluids (e.g., blood, mucous, saliva, and tissues - obligate human pathogens)? If yes, for how long?

4. How the agent is usually transmitted? What are the usual exposure routes? What are other exposure routes and modes of transmission, less common but known or plausible? What are common vehicles, environmental media, vectors that have been implicated in the investigation and in other situations?

5. What are known risk factors for the disease?

6. Why does illness and disease occur in the exposed population but not the controls? What are the differences and similarities in the exposed? Between the exposed and controls? Systematically, tabulate the absence, presence and degrees of potential and possible exposure factors and determinants (i.e., causal factors) and identify common factors present in those afflicted by disease and absent in controls, using exclusion technique, eliminate non-biologically plausible ones. From these results construct hypothesis for testing and carry out a weight-of evidence analyses.

When an investigation finds that the epidemiology does not fit the usual or natural patterns of transmission – should consider the possibility of intentional modes of transmission (poisoning, accidental spill or contamination, bioterrorism, sabotage).

Talk to some case-patients in open-ended and wide-ranging conversations about possible exposures, not restricted to known sources, exposure pathways and vehicles. It may be useful to make a site visit or home visit checking for clues (e.g., how drinking water is stored, where drinking water is sourced from and transported, refrigeration of food and food preparation, sanitation and hygiene practices and facilities, and cleaning supplies). Speak with local health department who may know the community and people in the community and their practices. Some may have hypotheses based on their local and professional knowledge.

From the epidemic curve, is there a particular exposure period with events happening around that time for further investigation?

Does one area have the highest attack rate when compared to others? Why?

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Are person with certain characteristics (e.g., age, sex, occupation, residence, other) more likely to have higher risk of disease? Why?

Epidemiologic Clues to Poisoning, Sabotage, Bioterrorism

1. Unusual isolated case or few cases of disease caused by exposure to rare and uncommon agent without adequate epidemiological explanation (e.g., occupational hazard, recent travel, exotic food cosmetics aruveydic remedies, unusual hobbies and pets).

2. Identification of unusual strain of microbial agent, genotype, genomics and proteomics, and (e.g., antibiotic resistance pattern in certain bacteria).

3. Increased morbidity and mortality rates than usual for common disease, syndrome; failure of patients to respond to usual treatment.

4. Disease presents in an unusual manner (e.g., uncommon cancers, inhalation effects), and occurs outside of usual geographical region and of the typical seasonal period.

5. Unexplained increase incidence in an otherwise endemic disease in a stable population.

6. Only possible explanation is transmission route is by aerosols, adulterated food, and contaminated water and consumer products, in a manner that suggests deliberate sabotage.

7. Illness observed in persons in close proximity and sharing common ventilation system, drinking water supply but persons with separate and closed ventilation or drinking water source do not present with illness.

8. Multiple unexplained diseases and unusual events occurring in one individual with no other explanations.

9. Large unrelated group of persons affected by unusual illness (e.g., breathing problems, blurred vision, dizziness, fainting, lack of coordination, vomiting suggests exposure to chemical, pathogen and toxin).

10. Unusual or atypical illness for an age group or population (e.g., childhood disease rash in adults, outbreak or chemical or food exposure).

11. Unexplained unusual pattern of illness and death observed in animals sudden or unusual and may accompany or precede outbreak of illness in people.

12. Unexplained unusual pattern of illness and death in people that may precede or accompany death and illness in animals.

13. Multiple persons who are ill seek treatment at and within the same time period (point source with compressed epidemic curve).

14. Same isolated genetic typed microorganism or chemical causing same illness in people but from distinctly different places and points in time.

15. Clusters of similar illness in persons in areas that are separated from each other, in domestic and foreign locations.

16. Unexplained large number of cases of disease and deaths.

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Step 8: Evaluate Weight-of-Evidence and Hypotheses Testing Using Epidemiological Methods

Step 8 involves the evaluation of the plausibility of the weight-of-evidence and hypotheses developed in Step 7. Three lines of evidence are typically involved in the evaluation process:

1. Environmental Evidence – may include problem formulation, monitoring and surveillance data, exposure pathways analysis and assessments, available toxicological information, and principles of risk assessment including uncertainty and sensitivity analyses.

2. Laboratory Science Testing Results

3. Epidemiology Evidence

a. Descriptive Epidemiological Methods

Use descriptive epidemiological methods only. Conduct a comparison of hypotheses to available facts, speculate on the probable cause, and verify by confirmatory follow up surveillance and possible testing. Most likely approach when clinical, laboratory, environmental and pertinent specific and unique microbiological, toxicological and experimental testing results and other useful epidemiological information is complete and sufficiently compelling to identify and contain the source of the disease agent and break the route of transmission to stop and prevent additional exposures and cases of disease (i.e., implementation of effective risk management options and risk communication strategies). Does not require a comparison group to be part of the investigation but uses available information.

For example, several children in a small rural community and some elderly adults have been admitted to hospital with severe bloody diarrhoea and dehydration, some infants and elderly die. Investigation of the local municipal well water system show it is a shallow dug well and the current laboratory tests reveal chlorination-levels are insufficient for proper disinfection of groundwater which has been impacted by human sewage from leaking septic systems and runoff from manure piles coinciding with heavy rains and flooding. Immediate action is taken by public health to: alert members, workers and visitors in the community to stop using the municipal water for drinking, food preparation and basic personal hygiene; to announce a boil water advisory; and to provide an alternative source of drinking water and water for food and basic personal hygiene until the safety of the municipal water supply is restored.

b. Analytic Epidemiological Methods

Use analytic epidemiological methods to quantify relationships of disease determinants (i.e., risk factors) and to calculate and compare the mathematical chance of disease in the exposed group versus the control group, using hypotheses testing, and may involve the use of probability tables. The key feature of analytic epidemiology is the involvement of a comparison group, enabling the investigator to compare the observed counts and rates, pattern and trends in disease in the exposed group to those expected in the unexposed comparison group. Field investigations commonly involved retrospective cohort studies and case-control studies.

For example, classical epidemiology investigation by Snow of the London cholera epidemic, comparison of his hypotheses that polluted water supplies was source, conducted follow up investigation of differences and similarities in water haulers supplying areas of London where outbreaks occurred, and conducted door to door survey of affected homes to inquire which company they used, leading to the conclusion that cholera was transmitted by contaminated water. Many decades later microscopic observations Vibrio cholera bacteria contamination in water supplies and control animal studies and the application of Koch’s postulates of disease, and laboratory testing of clinical specimens provided substantive and definitive proof of the cholera disease agent and that polluted water supplies by human sewage as the source and reservoir of exposure, including the ingestion of contamination of food, contact with soiled hands and items, and person to person contact are involved in the transmission of cholera disease.

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Step 9: Reconsider, Refine, and Re-evaluate Hypotheses.

Not all analytic studies including test of statistical significance are revealing, especially if the hypotheses are not well founded.

When this occurs it is necessary to rethink the prevailing hypotheses.

Good hypotheses are developed by talking to case patients and local staff, carefully examining descriptive epidemiology and often giving close attention to outliers. It is often best to start with what is different than by examining each commonality one by one. If not simply because there may be fewer differences among cases than similarities, although that is not always the case. It may be beneficial to convene a meeting with the case-patients and their families, making a visit to their homes to look for common links, the source of drinking water and how it is stored, at the sanitation in the home, at food, household and therapeutic products, and alcohol and narcotic use.

Keep an open mind to the possibility of new and emerging vehicles or modes of infectious disease transmission and of acute and chronic exposure to toxic substances, and physical agents. When analytical investigation indicates a statistical association between an exposure and disease it may be necessary to refine the investigation to find the specific causal agent or exposure source, in order to enable targeted disease prevention.

Follow up laboratory and environmental investigations may be conducted.

As well, a stepwise case-control study may be conducted to focus first on a broader potential source of exposure, such as a store, restaurant or school, then narrowing the scope of the investigation to specific locations within the store, restaurant and school, or to specific food items and specific source of drinking water, such as a well, cistern and water-container.

It is important to think about the following:

What is known and what is not known.

What are the uncertainties and the underlying assumptions.

What are feasible and reasonable candidates (e.g., biological, chemical and physical contaminant exposures)?

What are probable environmental exposures and causal relationships?

What are biologically plausible relationships (e.g., pathogenic modes of transmission; toxicological modes of action; genetic susceptibilities; ADME; gender age and life stage factors)?

Are there questions that remain unanswered about the particular disease for further investigation?

Think about the investigation from a research perspective - develop a systematic plan – what expertise is necessary and who needs to be involved.

Step 10: Compare and Reconcile with Laboratory and Environmental Studies

Epidemiological investigation often follows up on speculations about possible sources and exposures.

Classical epidemiology placed less emphasis on statistical testing and more on the weight-of-evidence accumulated across different disciplines including medical, environmental, vital statistics, observations of real world events, the local environment and obtained in experimental studies, natural and controlled, and by conducting site visits and talking to those person affected.

Laboratory testing is used to verify the presence of a common microorganism, known pathogens, opportunistic pathogens and emerging new pathogens, and to verify the presence of toxic levels of poisons, metals and other hazardous substances.

Environmental investigations are often beneficial in providing plausible explanations based on scientific evidence and human and animal behaviours about why and how an outbreak occurred. For example outbreak investigations that found the presence of hepatitis in contaminated ice made with local water, Listeria contamination in cold cuts traced back to the meat processing plant, and virulent E. coli in meat from an abattoir and meat packing plant that was widely distributed, causing many people to become ill and some hospitalized. Other investigations have observed evidence of oral-faecal transmission of disease at the point of use and occurring between collection of drinking water and transportation to the home and user, from use of soiled and contaminated file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M045D090OIStep9and10.htm[11/1/2014 10:22:51 AM] WLC Template

containers, from small jugs to large water trucks and water tanks, and cross-contamination of food contact surfaces by contaminated water used in food preparation and by inadequate hygiene, including the occurrence of surgical infections and hospital acquired infections by inadequate washing of hands. Photography and collection of environmental and clinical samples for laboratory analyses are critical sources of information in an epidemiological investigation.

Equally important are investigations of information systems, including electronic registries and databases and paper files of records that can range from land registries, health registries, water supplies and utilities, school attendance records, domestic sales registries of foods and commercial products, registries of pharmaceutical prescriptions and purchases, environmental registries of emissions, of chemical production and use, inventories of imports and exports.

Snow’s Investigations of Cholera

For example, in Snow’s investigations of the Golden Square outbreak, Snow followed his hunch based on information that he had gathered from others that drinking water was a likely source of exposure. Snow rapidly identified that the majority of cholera cases lived within a short distance of the broad street pump, but began his investigation by focusing on the few persons who did not live close by. He was able to determine from interviews with family and friends that those cases were known to drink water from the same pump or at least were highly likely, in the case of school children attending the local school that obtained water from the same pump. Perhaps fortuitous for advancing the understanding of cholera was the natural experiment that occurred when the niece of fatal case of cholera, who lived far away from her aunt, drank a glass of water at her deceased aunt's home before returning to her home and died shortly after arriving.

The great natural experiment by Snow was much more involved, including tracking the different water supply companies serving different cases living with in the same general area, using hospital records and estimating an exposure period, establishing that the number of cases of cholera deaths was substantially higher in those residences supplied with water provided by one company compared to another. Dr. Snow built a compelling weight-of-evidence connecting sewage contaminated water supply and the spread of cholera from site visits, interviews with survivors, environmental investigations, hospital records and death records, results of monitoring and surveillance of disease, geographical location and source of water supply and water company and type of water treatment.

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Step 11: Implement Control and Prevention Measures

The primary goal of most outbreak investigations is control of the outbreak and prevention of additional cases.

Step 11 should be carried out as early as possible to protect individual and community health, often general control and prevention measures are implemented at the start of and investigation, and these can be upgraded or downgraded as appropriate to the situation based on available information, at that point in time.

Keep in mind the importance of both confidentiality and the need for communication and awareness of essential information for the implementation of effective control measures, particularly as it pertains to the collection, management and sharing of data, and in maintaining the integrity of the patient and health worker relationship. Disclosure of confidential patient information without the patient’s permission may stigmatize the patient and their family, or may instigate rejection from family and friends, loss of job or eviction from housing. The health worker could lose trust of the patient and the patient may lapse in receiving treatment. For example in the treatment of communicable disease this can have very serious consequences. Government legislation, such as Health Protection Privacy Acts and Regulations, enacted in many countries addresses the issue of protection of private information.

Control measures are usually directed at breaking the chain of infectious disease transmission, containing and eliminating the source of a hazardous substance and blocking critical exposure pathways.

The most effective approach may be controlling or eliminating the agent at its source. For example, blocking access to a contaminated water supply by closing the well; providing alternative water supply, until the well is decontaminated or a new safe well is installed. Stopping person-to-person transmission of disease and oral-faecal transmission by improved sanitation and hygiene, and scrupulous washing of hands and use of proper food safety and food hygiene practices. For destruction of heat-labile toxins and heat-labile microbial contamination in food and seafood ensure thorough cooking of food to required temperatures.

Blocking the mode of transmission is commonly used to prevent and control vector borne diseases by targeting pests and domestic animals that are carriers of disease.

Various methods are used for the prevention of vector-borne diseases include 1) targeting the pathogen itself through the use of pharmaceuticals, such as antibiotics targeting bacteria and anti-parasitic drugs for malaria trypanosomes; 2) targeting the vector itself, such as the use of insecticides and pesticides, traps and the use of integrated pest management practices to kill mosquitoes ticks and flies, rodents, and eliminate or reduce the availability of breeding areas, food and habitats for pests that serve as vectors of disease; and 3) by protecting the host through the development of vaccines and immunization programs, and by the use of protective barriers, such as clothing, hats, footwear, bed nets and netting for protecting face and body and food and water supplies, use of covered water and food containers and water containers with small openings and spigots or spouts for dispensing water, insect repellents on skin and in air to deter biting insects, and traps, baits and noise to kill and deter pests, and elimination of breeding areas, garbage wastes and sewage, and marshy stagnant water near residences, water supplies, livestock, pets, food storage areas and gardens where pest live and breed, such as rodents, mosquitoes, other insect pests, and also fungi.

Investigations of outbreaks of vector-borne disease would involve site visits and follow up interviews about cases, families and with person unaffected to assess the use and effectiveness of prevention control measures such as those described above.

The findings of investigations of outbreaks may be beneficial in identifying areas where improved environmental controls are necessary to protect both surface water and ground water that serves as source waters for drinking water supplies.

Retrospective and prospective studies can demonstrate the value of integrated management of water systems for the protection of the water supply, both water quality and water quantity, and of health and the prevention of the spread of disease and acute and chronic illness from harmful exposures to biological, chemical and physical contaminants.

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Step 12: Initiate or Maintain Surveillance

It is important that control and prevention measures once implemented are continued to be monitored. If there is no active surveillance occurring before the outbreak, it should be initiated for the following reasons.

1. To determine if the prevention and control measures are working. This means that the situation should continue to be monitored.

Are there new cases of disease occurring?

Is the number of cases decreasing?

Are there new cases occurring in throughout the affected area, indicating the interventions are having little to no effect?

Are there new cases occurring only in contained spots, suggesting that the interventions may not be reaching all areas equally, some may have been missed?

If new cases are occurring an assessment of the effectiveness of the interventions must be carried out.

Are there alternative risk management and disease prevention and control options available that could be implemented?

2. To determine if the outbreak has spread beyond the original area of impact or beyond the area where interventions have been put in place.

If the outbreak has spread, prevention and control measures should be put in place in those areas identified as impacted, and an assessment of the effectiveness of the interventions should be carried out.

Are there alternative risk management and disease prevention and control options available that could be implemented?

Step 13: Communicate the Findings

Critical to the investigation is the development of a communications plan and communicating with key contacts whose roles and responsibilities require that they are kept informed and up to date on the development and findings of the investigation. Upon the completion of an epidemiological investigation it is essential that the overall findings and detailed findings and outcome of the investigation, especially important elements and pertinent details and reliable information should be documented in a report. The communication of the report should be carried out in an effective and appropriate manner and is a requirement of all outbreak investigations. One form of communication is by conducting an oral briefing to local health organizations, government departments, and non-government organizations, and may include the news media to assist in sharing the news of the findings of the study with members of the public. Because the audience is typically comprised of persons who are not epidemiologists it is important that the findings and key messages about pertinent aspects of the study must be presented in clear, coherent and compelling manner, with appropriate, feasible options and justifiable recommendations for action should they be necessary. The presentation should address the following:

· what is the purpose of the investigation and why does it matter;

· what is being done or has been done to address it;

· what is the approach taken by the investigators and what did they find;

· what to do next - what options are available, which one do they recommend and why

A written report should also be prepared by the investigators in the usual scientific format consisting of an introduction, background, methods, results, discussion and recommendations for actions.

The report should serve not only as a record documenting the performance of the investigation, it should also address the next stages of the study in its recommendations for action. The report should serve as a resource document for potential compliance and legal issues, and should be a reference document for the health department that may be beneficial should a similar outbreak occur in future. The report may also be published or parts thereof and shared within the public health sector and the scientific research community; the report of the investigation approach and its findings would be part of the knowledge base of the

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epidemiology and of the health of the community, including its public health system.

Outbreaks are usually unexpected. When multiple organizations are involved, as is always for situations involving the use, contamination, and management of water systems, it is important to have a systematic plan for coordination, communication and execution of an epidemiological investigation. A large portion of an outbreak investigation usually takes place in the field often in remote places. It is essential that communication of pertinent information and key messages occurs, throughout all stages of the investigation, communicating to key points of contact, including health care workers, frontline staff, the news media and public, and government and non-governmental organizations and those responsible for making decisions about health prevention and control interventions, in all parties involved. A written report by the investigators should communicate what was found, and what should be or what was done, and provides key public health, scientific, and legal documentation of the outbreak situation, the investigation, and a weight-of-evidence evaluation of causes and outcomes.

For example, Dr. John Snow Report on the Communication of Cholera (1855) (http://www.ph.ucla.edu/epi/snow.html accessed November -December 2012).

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Examples - Using a Weight-of-Evidence Approach in an Outbreak Investigation of Water-Related Health Impacts

Walkerton Ontario Canada Outbreak of Severe Gastrointestinal Illness

In an investigation of an outbreak of severe gastrointestinal illness in Walkerton, Ontario Canada a weight-of-evidence approach was applied, incorporating the findings of clinical and descriptive epidemiological investigation, laboratory investigation and environmental investigation, as these became available (CCDR, 2000). The epidemiological investigation initially focused on the possibility of food-poisoning as the source of the outbreak in the community. Public Health was alerted to the outbreak by the local hospital serving the broader area. The investigation found that the number of cases continued to increase. A common source of a food exposure pathway was not evident; the outbreak occurred in persons living in and recently visiting the community. The investigation switched its focus to the possibility of contaminated drinking water from a municipal well after scrutiny of laboratory reports revealed inadequate chlorination disinfection of water supplies and false documentation of records by water systems operators. Further investigations revealed the operators were not properly trained and certified for the management and maintenance of municipal small drinking water systems. An environmental investigation identified a presumptive source of contamination to be a manure pile situated uphill of a shallow well with visible signs of surface water seepage and runoff from heavy rainfall that could have carried pathogenic bacteria into the well contaminating the municipal water supply. The well was quickly shutdown. In the meantime alternative bottled safe water was being provided to the community and a “boil water” advisory for the community had been issued by the Medical Officer of Health. A Summary of the Wallkerton Inquiry, Events of May 200 and Related Issues (O'Connor, 2002).

Dr. John Snow's Investigation of Cholera

Another example of a weight-of-evidence approach to an epidemiological investigation was the investigation by Dr. John Snow in the early 19th Century of the communication of cholera outbreaks in London England and elsewhere (Goldstein, 2011). Dr. Snow integrated the findings from several lines of investigation including the use of descriptive epidemiological methods, early analytical methods, clinical observations and investigation, environmental investigation, and a natural experimental study to build a compelling scientific and public health argument that polluted water, contaminated food and person to person contact were transmission pathways for cholera, particularly contaminated water supply which could be prevented by improved sanitation, waste water treatment and proper drinking water treatment and storage of water supplies. Quote by Dr. John Snow, M.D. from his Treatise on Cholera 1855.

Cholera epidemics have occurred in Asia, Europe, Africa, and South America (map of Cholera Case Fatalities, Global Task Force on Cholera, 2011). Since 1992, in south Asia a new serogroup, O139, has become endemic there, and threatens to start the next pandemic. Rehydration therapy for dehydrating diarrhoea in general, including the proper use of intravenous and oral rehydration solutionsand appropriate case management has reduced deaths from diarrhoeal disease by an estimated 3 million per year compared with 20 years ago (Sack, D. A.,Sack, B.R., Nair, B.G., and Siddique A.K., 2000 )

References for Cholera:

WHO/CDC 2004. Cholera Outbreak. Assessing the Outbreak Response and Improving Preparedness. Global Task Force on Cholera Control. © World Health Organisation Geneva.

Snow Map 1 Broad Street Pump Dr. John Snow, M.D. from his Treatise on Cholera 1855. Snow Map 2 Grand Natural Experiment Source: Dr. John Snow, M.D. from his Treatise on Cholera 1855

Snow's investigations of Cholera epidemics in London 1848 - 1854 Snow's Investigation of Cholera epidemics 1848-1854, UCLA

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Key Books and References Used in Developing the Material on Epidemiology

Center for Disease Control. Principles of Epidemiology in Public Health Practice. Third Edition. An Introduction to Applied Epidemiology and Biotatistics. Self-Study Course SS1000. U.S. Department of Health and Human Services. CDC Office of Workforce and Career Development. Atlanta Georgia 30333.

Moore, D.S. Statistics: Concepts and Controversies. Purdue University. © 1979 W.H. Freeman and Company, San Francisco.

Rothman, K.J., Greenland, S. and Lash, T.L. Modern Epidemiology. Third Edition. © 2008 by Lippincott Williams & Wilkins, Philadelphia.

Woodward, M. Epidemiology- Study Design and Data Analysis. Second Edition. Chapman & Hall/CRC texts in statistical science series. ISBN 1-58488-415-0. © 2005 Chapman & Hall/CRC. Boca Raton, Florida.

Examples of Case Studies

Water-Related Infectious Disease

Cholera Epidemic of London and Great Britain – Investigations by John Snow of the Communication of Cholera Implicating Polluted Water Supplies

Walkerton, Ontario, Canada– Epidemic of acute outbreak of bloody diarrhea and bacterial contamination of municipal well water

Water-Related Chemical Contaminant Exposures

Arsenic Contaminated Well Water, India and Chile

Fluoride Contaminated Well Water, India

Nitrate Contaminated Well Water, California USA

Published reports of the above case studies, and guidance documents on drinking water quality guidelines for human health and on methods for conducting initial rapid analysis, situational analysis, needs assessments, and human health risk assessments are provided in the Resource folder for the course.

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SOCIAL SCIENCE RESEARCH APPROACHES TO UNDERSTANDING WaSH

Introduction

Social scientists study social relationships. These relationships include the behaviours of individuals, groups, and communities at all levels (e.g. geographic relational groupings, political units, and economic entities). Although inclusion varies from organization to organization, the most frequently associated disciplines are anthropology, political science, economics, sociology, social psychology,

WaSH rightfully attracts the attention of researchers from a variety of academic disciplines. It is a complex issue requiring comprehensive approaches to research. Increasingly included in these research efforts social scientists help us to unravel and understand the relationships between WaSH and human behaviour.

What do we know about water, sanitation and hygiene (WaSH)?

Since the adoption of the MDGs significant amounts of data have been gathered through many organizations and researchers that focus on problems associated with water and, more recently, on sanitation and hygiene especially in health and education settings. By sheer volume, much of the data comes from national level administrative data sets that report on the numbers associated with WaSH; how much water (e.g., well production), of what quality (e.g., coliform counts), at what cost (e.g. unit costs for improved sanitation facility), borne by whom (e.g., rural vs. urban water system additions), with what illness outcome (e.g., change in malaria zones). To a lesser extent, and in direct response to the monitoring of MDG goal attainment, data is available about access to improved water sources (see http://www.un.org/en/globalissues/water/), improved sanitation facilities (see: Prüss- Ustün et al, 2014), and frequency of hand washing (see: http://www.unwater.org/fileadmin/user_upload/watercooperation2013/doc/Factsheets/sanitation.pdf). In short, we have become better at numerically describing the broad elements that constitute WaSH.

We also have a reasonably sophisticated world-wide system for describing the frequency and geographic location of many diseases (see: http://www.who.int/healthinfo/country_monitoring_evaluation/en/). We know the descriptive basics: what disease (diagnosis), who gets it (gender, age), location (where they live), and if they have a recorded death (see: http://www.who.int/healthinfo/statistics/mortality/en/). From a research point of view, even this basic epidemiological data is suspect in terms of completeness and accuracy (Hoe et al., 2012).

Generally, social scientists have started to describe WaSH in its skeletal form by describing the existing social relationship (values, norms, and behaviours) cantered on WaSH. Concurrently they have begun to gather the stories of WaSH – the human element of what water, sanitation, and hygiene mean in the lives of individuals and communities – largely using qualitative studies to illustrate the reciprocal impacts of WaSH and society (Prüss-Üstün, Bos, Gore & Bartram, 2008). These studies have targeted health and economic variables. Virtually no experimental social science research in WaSH has been undertaken.

What do we know about WaSH and health?

We know a considerable amount about WaSH and illness, but much less about WaSH and health. The WaSH-illness story is a compelling one. Children dying attract public attention and research dollars. Toilets are much less glamorous, unquestionably available in high income countries, and lacking in any priority for research support. Hand washing is a given for funders in high- income countries and defined by many as “simply teaching children how to behave”. [1] We can measure the distance to a potable water source but rarely think about how that distance is traversed. Is walking 3 kilometers to a water hole equivalent to riding a bicycle or driving a scooter? What is the impact of each activity on an individual’s health? How is a community affected by so many people spending so much time on water collecting? In sum, we know a fair amount about the mechanics of WaSH (e.g., what bacteria level in water makes it unsafe to drink), and about the failure of health (e.g., illness rates) , almost nothing about WaSH related behaviors and health, and even less about how to change those behaviours to enhance WaSH-related health.

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What do we need to know?

The social scientist’s contribution in this arena will come from understanding WaSH-related attitudes and behaviours. Ultimately, we need to understand how to the shape those behaviours in the service of individual and community health. How do you go about getting children to wash their hands at a tippy tap? How do you mediate the loss of social contact when women no longer walk to a water site? How do you make open defecation socially unacceptable? We need to understand not only the microbiology of why access to potable water improves health status but also why attempts to improve water quality (e.g. well drilling) are embraced by some communities and rejected by others. The information that social science researchers could bring to the WaSH health discussion can be used to tailor both WaSH practice and policy.

How do we find out?

This section that follows in this module lays out a range social science approaches to understanding WaSH and health. The descriptions are not exhaustive but highlight the most common approaches used in various disciplines. Students are encouraged to explore the approaches used in specific social science disciplines. For example, geography brings GIS (Geographic Information Systems) as a tool to gather data that helps us to understand the role of ‘place’ in WaSH and health. The goal of this section is to provide students with sufficient familiarity to critically read social science studies and to engage in discussions with social scientists about research issues.

[1] There is a recent renewed interest in hand washing in health care facilities in high income countries. This interest is directly attributable to the rise of antibiotic resistant bacterial infections occurring in hospitalized patients.

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SICKNESS-FOCUSED VS. HEALTH-FOCUSED APPROACHES

Vulnerability vs. Resiliency

Social scientists study both illness and health. However, they distinguish between social factors that contribute to people getting sick (vulnerability) and how they remain or get well (resilience). Often social scientists start by trying to describe the parameters of the subjects they are studying.

· Who is being studied (describe common features of the population)? How can I describe them? What do they have in common?

· What makes them different from others?

Social Scientists study people – their beliefs, attitudes, and behaviours – so one of their first tasks is to define the population which is of interest (e.g., people with poor sanitation facilities). What are their characteristics (e.g., location, age, gender, education, marital status, income level, racial origin, religious affiliation, family membership)? The particular characteristics chosen for inclusion will depend upon the factors that have been demonstrated to be relevant and the theoretical lens being applied to the issue under study (i.e., what does the theory say should be important factors). If the population, or a similar population, has been study previously, the literature will point the researcher toward the important factors.

If the focus is on an unstudied issue, qualitative research is often used to unmask the key features which may be of concern. “Picking the brains” of practice and policy experts often helps to frame this part of the research

· What is the problem?

development. Expert panels, key informant interviews, and historical research contribute to defining these factors for the researcher.

· For whom is it a problem?

· Are there people for who it is not a problem?

· How do you know?

· How did it come to be?

· What has been tried to solve the problem?

· With what affect(s)?

Thus two major stream of social science research have emerged: quantitative (what we can count) and qualitative (i.e., the meaning people have constructed, or how people make sense of their world and the experiences they have in the world. (Merriam, 2009, p. 13). Quantitative research is based in a positivist perspective (Macionis, 2012, p.11) which posits that science and scientific techniques, rooted in facts, provide the only valid knowledge explaining phenomena by collecting numerical data that are analysed using mathematically based methods (in particular statistics (Aliaga and Gunderson, 2002). Qualitative research, on the other hand, “involves any research that uses data that do not indicate ordinal values” (Nkwi, Nyamongo, and Ryan, 2001, p. 1).

Outcomes

Outcomes in WaSH and health studies have largely focused on morbidity and mortality. They describe the illness outcomes which accompany lack of access to or insufficiency of WaSH resources. It is more difficult to define and directly measure health outcome (survival/ thriving). Reductions in illness variables (e.g., reduction in days missed from paid employment or higher school attendance) or surrogate variables such as nutritional evaluations or growth measurements may provide data which can be used in interpreting the outcomes of WaSH interventions. If qualitative perspectives are used we may develop an understanding of how WaSH impacts an individual’s or community’s sense of well-being. The capacity to extract meaning from qualitative data depends on the researcher’s ability to interpret qualitative data normally using one of the standard qualitative techniques such as documentation, conceptualization, coding, and categorizing, examining relationships and displaying data, authenticating conclusions, and reflexivity. The focus in each instance is on the meaning of the data and not on quantifiable phenomena.

Utility of each point of view

Both quantitative and qualitative research play important roles in generating a complete and textured understanding of the WaSH

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and health nexus. Quantitative research provides this with the numbers. Who says it's a problem? How big is the problem? For whom is it a problem?

Qualitative research tells us the stories about the problem. Social Science qualitative research tells us the stories of people and WaSH. How did the problem begin? Was it always a problem? Over time, have there been changes in the problem? How are you affected by this problem? What if you tried to do to solve this problem? The answers to these questions will provide us with the stories of people in their environment and how they face the challenges of WaSH and health.

Both methods give us information about the scope and depth of problems. How big is the problem? How deep does it go into community? Who is affected by the problem?

Quantitative research, by definition, has a set of predefined parameters to be explored by the research enterprise. Prior to a specific research project enough is already known and has been documented to allow the researcher to predefine the issues to include in the study. Qualitative research is more likely to be used to examine emerging issues or wash problems that have not been researched to the point where associated variables are clearly identifiable [i.e. exploratory research]. As a result, in the WaSH-health field, most quantitative studies have focused on intervention while qualitative studies have focused on prevention.

Each approach has pitfalls. Quantitative research tends to focus on individuals or individual events the reported in the summative way. Qualitative research paints broad strokes that are generated by the interpretation of events rather than by their description. Quantitative studies are of a nature appeared to the collection of data from large groups while qualitative research usually addresses smaller samples. Associations generated by quantitative research appeal to those who look for causes of problems and their solutions while qualitative research brings true with those who want to understand the nature of an issue and responses to it and is therefore less likely seen as solution oriented.

The magnitude of problems is also a factor in deciding which approach should be taken to research. The large scale the more likely the use of quantitative methods. It would be virtually impossible to produce qualitative research about a national problem given the variability of perceptions that are likely to be found in qualitative data. Since culture is one of the factors that influences how we view events, variability in the culture of respondents is likely to produce highly variable accounts of their meanings.

Social scientists have come to understand that neither quantitative nor qualitative research is sufficient, and of itself, to fully discuss rise and analyze major social issues. As a result, researchers developed an approach which has become known as mixed methods. This approach combines both quantitative and qualitative techniques to both describe and illustrate complex problems. A mixed method approach can result in the nuanced understanding of an issue – of the person in an environment - that it needed to address complex problems.

The researcher is then left to choose among the three basic social science approaches to research – quantitative, qualitative, and mixed methods. In the next section we will examine the circumstances under which each of these approaches is chosen as the preferable approach.

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APPROACHES TO INQUIRY

Quantitative

Quantitative research addresses the basic questions of what, when, where, and who. The analysis of quantitative data leads us to an understanding of why, how much, for whom, and with what outcome. In short quantitative research describes in varying degrees of detail what we have come to perceive to be “the facts”. For example, in relation to WaSH, how much contamination is present in the district's water supply, when did it become polluted, where is it located, who uses/does not use the water, and what are burden of water-borne disease in the contaminated areas, who bears the burden, what are the morbidity and mortality rates in these areas?

Quantitative research can be either experimental (comparing a control group to an experimental group) or non-experimental. Non- experimental quantitative research can be descriptive of pre-defined variables or it can compare these variables between two or more groups. It can be correlational with a goal of testing for statistical relationships between variables looking for association. It should be noted that association does not imply causation but only statistical correlation.

Qualitative

Qualitative research should provide a rich description of the world being investigated rather than focusing on specific variables. It studies its question in both detail and depth with sensitivity to context. It seeks to understand how different people make sense of their worlds rather than assuming that some sort of objective, definable world exists that can be categorized and understood devoid of personal interpretation.

Qualitative researchers seek to understand the variability of perceptions of a situation and how people interpret it. They want to know how a problem got defined, who defined it as a problem, what the circumstances were which led to the problem definition, and how people understand why it happened. Finally they usually are interested in the effects of a problem on their informants. Is it viewed as a negative (a problem), positive (an opportunity), or neutral (just the way the world is) event?

Mixed Methods

Mixed method combine quantitative and qualitative approaches to data gathering. Mixed method attempts to both define a situation and examining the range of perceptions about it. This method is applied to complex situations about which something is known but which is not understood in a specific context. For example, one could use mixed methods to test the impact of a WaSH intervention such as the provision of clean water and improved sanitation on the attitudes and behaviors in a rural community. The quantitative aspect of this study will examine the nature [how clean is it compared to the previous water source, how much water is available] and use [who accesses the clean water supply, at what volume, with what frequency, for what purpose] of the clean water and improved sanitation. The qualitative aspect of this study will examine attitudes about changing patterns of water access and use of an improved sanitation facility [who uses the facility, who does not, and whether this addition to the community is seen as an improvement]. Qualitative analysis would also examine the circumstances under which these changes came to the community, who was influential in getting the changes, and how the changes are viewed in the larger community]. It would also be possible to examine the value questions surrounding these changes [e.g., What is the effect of having improved water and sanitation? Are the changes good for the community? Who in the community benefits? Who in the community does not benefit?].

Since each approach yields different types of results, it is important to select the right approach for the question that are asked. The next section looks at which approach should be selected depending upon what question is being asked.

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CHOOSING AN APPROACH

In choosing the research for approach the single most import issue is what is the question you are trying to answer. Are you trying to describe the parameters of some very specific event or are you trying to understand the meaning of that situation to either those involved or those outside the event. Do you understand the event? Can you define it in clearly? Is this the first time event or have others experienced undocumented this occurrence? If it is clear parameters is possible to freely determine the information that you want to know in much the same way that you would describe any object [e.g., size, shape, color, frequency, location]. Not the researcher is able to predict the variables that will be of concern.

The second issue is “What does the literature tell us?”. Is there a theoretical perspective it seems to fit the researchers vision of what they are studying? If there is, the theoretical perspective will define a number of variables that must be examined in order to fit the data into the theoretical framework. Again these variables are predetermined but in this case by the theoretical perspective. If the subject of the research is relatively unknown [e.g., a one-off event] there is no way of predetermined which variables will be formed to track. Therefore quantitative research is generally restricted to the examination of subjects about which there is at least some pre-existing knowledge.

Often social scientists want to understand how different groups perceive the same subject so that comparisons can be made between groups. If the question involves comparison, it is important to have specific variables that can be compared and at least two groups that can be compared. This usually requires a quantitative approach. While it is possible to compare qualitative data on two or more groups, such an approach is a less common approach.

While you may know a great deal about identifiable variables that describe a subject, you may be trying to test an association(s) between and among variables. If the goal of the research is to test the presence or absent of associations, and their strength, then the goal becomes quantitative data analysis to establish or reject a statistical relationship. Similarly, if you are testing an hypothesis, quantitative data will be critical to your work.

The researcher needs to be clear about what is the goal of the research. The social scientist, as we said earlier, is trying to understand social relationships. At a basic level these researchers try to describe what they want to understand. That description should yield researchable variables or distinct characteristics that make up the description (e.g., gender, height, location).

Once described, researchers work to make sense of their observations of variables by looking for correlations that make some kind of theoretical sense and stand up to statistical analysis. The mechanisms for establishing statistical correlations are beyond the scope of this module[1].

When correlations are found they have taken another step in understanding the ways in which social relationships are organized.

The next question that arises is “What causes this social arrangement?”. Underlying much of the problem focused social research is a desire to understand ‘why’. Why something happens? What causes it? This quest is often driven by the assumption that if we understand causality, we can control or correct a problem.

Causal relationships in social sciences actually lie in the theoretical underpinnings of research. Repeated demonstration of statistical association is insufficient proof, in and of itself, to assert causality. The philosophy of science literature contains an extended debate between positivists and interpretivists about this issue (Bryman, 1984). In the social sphere it is virtually impossible to assert direct causality. Human behaviour does not appear to follow the rigid rules of cause and effect that seem to dominate the physical world. Positivists have moved towards understand behaviour as resulting from a complex causal nexus of variables. For example, although we know that Cholera is caused by the Vibrio cholerae bacteria, finding the source of the bacteria and who actually gets cholera in an infected environment requires an understanding of not only the biology but also the social behaviors (water use, hand-washing, sanitation practices) that make individuals vulnerable to it.

To undertake this type of research social scientists use a variety of resources. When we are trying to describe a situation we use existing documents such as administrative data, diaries, and eye witness accounts. Findings from this approach set the stage for a close up look at a problem.

To conduct on-site research depends on the availability of many types of resources including money to hire research personnel (dedicated [e.g., research grant] or in-kind resources [e.g., student research assistants]), people with appropriate skill sets (e.g., interviewers, data analysts), community support (i.e. a willingness to provide information), access (physical and social access) to the situation being researched, and time to complete the task (i.e. gaining social science knowledge in the midst of a tsunami is problematic when the priority is on saving lives and not understanding why people behave in the way they do) . Research is a slow, detailed, and expensive undertaking. The choice of research design depends in no small part on the availability of all these resources.

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The choice also depends upon the tradition of the social science discipline doing the research. Increasingly multidisciplinary teams of researchers are tackling problems of water and health. It is likely that research teams will have sociologist, anthropologist, economists, geographers, political scientists, and policy analysts working together on research projects. Social scientists also work closely with health scientist in trying to understand water and health. Multidisciplinary teams begin by not only defining the problem and the theoretical perspective about it, but also on choosing an appropriate research design. The choice is tempered by the variables identified above (i.e. time, money, and resources).

The next step in planning research is to decide upon the research design – how the researcher is actually going to collect data from which information can be developed. Natural scientists have long argued that the best information comes from data about at least two data groups at a minimum of two points in time. In the next section we will examine the design options based on the classical 4-cell design.

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RESEARCH DESIGN

An experimental design is “used to test cause-and-effect relationships between variables. The classic experimental design specifies an experimental group and a control group. The independent variable is administered to the experimental group and not to the control group, and both groups are measured on the same dependent variable. Subsequent experimental designs have used more groups and more measurements over longer periods. True experiments must have control, randomization, and manipulation.” (Mosby's Medical Dictionary, 8th edition. 2009, Elsevier) It is rare outside of a laboratory setting to have the prerequisites necessary for an experimental design. Psychologists are the one disciple which routinely uses this design in examining human behaviour.

However other disciplines use modifications of the experimental design including the following:

· Single subject design;

· Ex Post Facto design;

· Comparative design;

· Before and after design; and,

· Panel design.

Single subject design collects data at one point in time from one group of subjects. This design results in a description and is the most common design used by social scientists. Often called a “snap-shot” design, the research can provide significant detail but does not let the researchers compare the findings with other groups or to track the information over time to see if it changes.

Ex Post facto design also collects data at one point in time from one group (group is defined as one or more subjects) of subjects but this data collection is done after an event which is of interest to the researchers. For example, this design might be used to understand something about the impact of a hurricane on the health of a community. In both instances the inability to compare groups or to compare the same group at different times, limits the ability of researchers to make associations between or among variables.

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Comparative designs are used to allow researchers to find differences between groups. For example one might compare the attitudes towards water fetching of people in a village in Kenya with a village in Cambodia. By comparing the key outcome (attitudes) to other different variables studied (e.g., gender, distance to safe water, ratios of children to adults in the villages) it is possible to hypothesize about the role of different variables in shaping attitudes.

A little luck sometimes permits a different comparative design. Going back to the hurricane example, it might be that data already existed about the community of interest before the hurricane. If that were the case, a before-and-after design could be used. In this design data gather before the event is compared to data collected after the event. The difference in data is then associated with the intervening event. From this data it is possible to hypothesize about the role of the event in shaping the differing variables.

When the same group is studied multi times the design is called a panel or longitudinal study design. This design is particularly helpful to examine the evolution of a group over time. For example the researcher might be interested in the recovery of a region after a period of drought. Collecting data from the same sample many times permits them to display and develop an understanding of change. What is not known is whether other populations are experiencing the same or different changes over the same time period.

By accumulating many comparative studies researchers develop data sets which are transformed into information by organizing the data in a way that gives it meaning. Data in and of itself is flat. It only takes shape, only becomes information, when it is organized by the researcher. This is the process of data analysis; it gives meaning to data. Data analysis is both a formal process and an art. Researchers talk about data “speaking” to them; providing them with clues to patterns and paths that provide meaning.

For that transformation from data to information to happen, the researchers must take into account how the sample of data in located in the larger universe of data; sampling is the mechanism through which a group is selected from which information is gathered.

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SAMPLING

A population is the entire group of things (people, object, events) that is the subject of study. A sample is a subgroup of that population and sampling is the procedure used to identify that subset. Sampling enables the researcher to use a representation to explain a larger phenomenon. Sampling can be of two types; probability and nonprobability.

A probability sample is one in which every unit in the population has a predetermined, known chance of being selected for the sample. This probability must be more than zero.

A nonprobability sample is any sample in which the method of sampling makes it possible that a member of the population has no chance of inclusion and in which the likelihood of inclusion cannot be accurately predetermined. Selection is not random and may result in the exclusion of important representatives of the population (exclusion bias) thus limiting the ability of the researcher to accurately generalize from the sample to the population.

Sampling frame

A sampling frame identifies the population to be studied (e.g. university students in Canada). The sampling frame (e.g. enrolment lists from all accredited universities in Canada) must ensure the representativeness and therefore demands the judgment of experts in the particular subject matter being studied.

In the most straightforward case it is possible to identify and measure every single item in the population and to include any one of them in our sample (e.g., the average weight of newborn infants in Canada). However, in the more general case this is not possible. There is no way to identify all babies born in Uganda where birth registration is not mandatory. Complete populations which cannot be defined in advance are not amenable to sampling in ways that allow statistical manipulation.

The factors which may influence the choice of sampling methods include:

· How good is the sampling frame;

· How much is known about the population and variables of interest;

· How accurate does the measurement have to be;

· How detailed is the analysis required; and,

· How important is it to be able to generalize from the sample to the population?

Simple random sampling provides each and every member of the population with a statistically equal chance of being included in the sample. This is virtually impossible to achieve in the real world. At best we can approach randomization by using a variable most common to all members of the population under study. For example, in North America, phone numbers are often used as the basis of random sampling on the assumption (now often incorrect) that every adult has a telephone number.

Systematic sampling prearranges the population in some kind of predetermined order (e.g. age) and draws the sample at regular intervals from this list (e.g., every 5th person included in the sample).

Stratified sampling starts with organizing the population into different subgroups based on distinct and mutually exclusive categories. Each category becomes a stratum and each stratum is sampled as an independent sub-population.

Cluster sampling permits the selection of sub-groups or clusters from the population. For example in studying a water purification system you might cluster sample of technicians. Cluster sampling can be combined with other approaches such as stratified sampling (e.g., Having selected a cluster of technicians, the sample is stratified into workers with less than 5 years’ experience, 5 to 10 years’ experience, and more than 10 years’ experience. Then a random sample is drawn from each stratified group in the cluster.)

Quota sampling is used to force the inclusion of subjects underrepresented in the population when selecting the sample. The researchers sets the number (or quota) of sample members with a specific characteristic, independent of the population characteristics. For example if you are studying the attitude of physicians to hospital based births you might want to be sure to include a larger sample of obstetrician than would be their proportion as part of the population of physicians being studied.

Accidental or convenience sampling defines inclusion simply by availability (e.g. shoppers at a supermarket). Although not predetermined, the sample is not random and cannot be assume to represent a larger population.

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Expert sampling defines inclusion by the particular knowledge or experience of potential respondents. The sample includes persons with known expertise in the area being studied. Expertise may be assumed because of previous work in the area (e.g., published academic) or because of the person’s position in a relevant organization (e.g., government minister). They may be leaders in the academy, government, relevant organizations, or the media. It is likely that they have been uncovered by a search of the literature coupled with snowball sampling (i.e. identified by other experts in the field).

Snowball sampling is a selection process in which one member refers the researcher to someone else whom they know to have information about the subject. This sampling method is used where inside information (e.g. group membership) which is not public would provide access to important information (e.g., member of HIV/AIDS support group).

Errors and biases from sampling

Sampling errors and biases are induced by the sample design. Selection bias results when the possibility of inclusion is different from the assumptions of the researcher. Random sampling error is inherent in the methods for random selection. This is why statistics include the possibility of error in their results (confidence limits).

Additionally sampling, data collection, and statistical analysis can produce other errors that affect the ability to accurately project from sample information to the wider population. Over-coverage results from the inclusion of data from outside of the population. Under-coverage occurs when the sampling omits a portion of the population. Measurement error happens when information is not accurately reported or deliberately distorted (e.g. under reporting of smoking rates). Processing errors happen when data is miscoded. Non-response also distorts data when a subject declines to respond to a question resulting in an incomplete data set.

Having selected a sampling approach, attention turns to data collection. Both quantitative and qualitative tools will be identified.

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QUANTITATIVE TOOLS

Surveys are tools which permit researchers to collect predetermined information about a sample of the population. Both questionnaires (written surveys) and structured interviews (e.g. telephone interviews) are modes used to accomplish this task.

One or more of the following modes may be used to collect survey data:

Telephone survey; Mailed questionnaires; Online surveys; Personal face-to-face surveys; and

Personal street-intercept survey.

Advantages and disadvantages of different type of survey modes

Method Benefits and Cautions Low cost-per-response.

Mail is subject to postal delays, which can be substantial when posting remote areas or unpredictable events Postal such as natural disasters.

Survey participants can choose to remain anonymous.

It is not labour intensive. Questionnaires can be conducted swiftly.

Rapport with respondents.

High response rate.

Be careful that your sampling frame (i.e., where you get the phone numbers from) doesn't skew your sample. For example, if you select the phone numbers from a phone book, Telephone you are necessarily excluding people who only have a mobile phone, those who requested an unpublished phone number, and individuals who have recently moved to the area because none of these people will be in the book.

Are more prone to social desirability biases than other modes, so telephone interviews are generally not suitable for sensitive topics This method has a low ongoing cost, and on most surveys costs nothing for the participants and little for the surveyors. However, initial set-up costs

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can be high for a customised design due to the effort required in developing the back-end system or programming the questionnaire itself.

Questionnaires can be conducted swiftly, without postal delays.

Survey participants can choose to remain anonymous, though risk being tracked through cookies, unique links and other technology.

It is not labour intensive. Electronic Questions can be more detailed, as opposed to the limits of paper or telephones.

This method works well if your survey contains several branching questions. Help or instructions can be dynamically displayed with the question as needed, and automatic sequencing means the computer can determine the next question, rather than relying on respondents to correctly follow skip instructions.

Not all of the sample may be able to access the electronic form, and therefore results may not be representative of the target population. Questions can be more detailed and obtains a lot of comprehensive information, as opposed to the limits of paper or telephones. However, respondents are often limited to their working memory: specially designed visual cues (such as prompt cards) may help in some cases.

Rapport with respondents is generally higher than other modes.

Typically higher response rate than Personally other modes. Administered Can be extremely expensive and time consuming to train and maintain an interviewer panel. Each interview also has a marginal cost associated with collecting the data.

Usually a convenience (vs. a statistical

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or representative) sample so you cannot generalize your results. However, use of rigorous selection methods (e.g. those used by national statistical organisations) can result in a much more representative sample.

The questions used in surveys can be either open-ended (provided in the words of the respondent (e.g. how important is water fetching in determining how you spend your time on an average day) or closed-ended (predetermined by the researcher) questions. Close-ended questions can have four types of scales. Answers may be dichotomous (two options; the “Yes-No” option e.g., the water available at the community tap is safe to drink. a. Yes; b. No), multiple choice (more than two ordered or unordered options, e.g. I use water to a. drink.; b. wash clothes; c. water animals; d. water crops; d. keep the dust down in my house by watering floor; e other), and continuous, (bounded continuous scale; e.g., in my life water collection takes too much of my time – a. strongly agree; b. somewhat agree; c. neither agree nor disagree; d. somewhat disagree; e. strongly disagree).

Cross-sectional surveys, which involve a single questionnaire or interview administered to each sample member, are suitable for gathering snapshot data. Researchers can compare snapshots between groups but cannot tell how the picture emerges over time. Longitudinal surveys (sometimes called panel surveys) repeatedly collect information from the same people over time. This type of survey provides “a video picture” of the group over time and is appropriate when it is important to understand changes in the group over time. Undertaking a longitudinal survey has many methodological problems, not the least of which is retaining the original sample in follow-up surveys. It is not unusual to have a dropout rate of ≥ 30% in each round of surveying.

Administrative data is used by researchers to answer many social science questions. This data is not collected for the primary purpose of research but rather with some other focus. For example, hospital admissions data are collected primarily to know how many hospital beds are needed and how the current inventory is being used. However this data can be a rich source of useful information. For example census data, which is a type of administrative data, is widely used to describe populations of areas or nations. Over time this data tells us about social trends such as income, home ownership, health status, migration, and gender distribution. Where census data is mandated by law, the picture is complex and rich. Voluntary census data is less complete and reliable. This date is normally publically available and published by government organizations.

Epidemiological studies –SEE EPIDEMIOLOGY SECTION of this Course on Principles Methods and Applications in Water and Health.

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QUALITATIVE RESEARCH TOOLS

Qualitative researchers use a range of tools to elicit, record, and organize the data that they seek. Typically this data is “messy”. It is not in predetermined categories, not easily coded, and provided in varying forms. Often multiple tools are used to achieve a comprehensive picture. Interviews are perhaps the most common way of collecting qualitative data. The interview can be held face-to-face or mediated by technology (i.e. on computer or via phone). Unlike quantitative interviews, in which a pre-determined set of questions and answers are provided orally, the qualitative interviewer uses themes to explore a topic. For example, quantitative interview about water use would provide the respondent with a series of questions such as: Do you use well water for cooking? Do you use well water for your animals? Do you use well water for cleaning clothes? The qualitative researcher would ask “How do you use well water?”. The answers from all of the respondents would be organized, and perhaps categorized, after the interviews are complete.

Key informant interviews are a special type of qualitative interview in which someone who is an expert on the subject provides the interviewer with their insights into a subject. Again a thematic approach is used to define the subject and get the best available information from the perspective of an expert in the field. This type of interview I most often use to define the important characteristics of the subject being studied and to answer the question “What should we be concerned about knowing?”.

Focus groups are used to understand group practices and norms.

Case studies are fulsome descriptions of specific situations providing an exploratory or explanatory analysis of a person, group or event. Data are collected about participants using participant and direct observations, interviews, protocols, tests, examinations of records, and collections of writing samples such as chart notes. These cases provide an unusual or particularly revealing set of circumstances as an example of a wider phenomenon.

Document analysis is an historic method which uses documents of past events. The documents may be electronic or in hard copy. Bothe the structure and content of the document provides clues identifying and naming the components of the situation being documented (e.g., is the document written by someone who was present at an event or is it a description by others provided to the author). Documents also suggest the relationship among the components (e.g., “In 1948 staff from a Norwegian NGO drilled a bore-hole in the village:” contains four important pieces of information – when, who, what, and where). Documents may also contain details about these propertied (e.g., “drilling for the bore hole reached 40 feet without success”). The source of documents varies widely. Church and health records have long been used in area of the world where a tradition of oral history dominates over written history. On the other hand significant historical research has been achieve with documents as old as the Dead Sea Scrolls[1].

An ethnography provides a detailed, in-depth description of everyday life and practice and provides a culturally interpretation of those events. From the anthropological traditions, this approach goes beyond simple observation to providing a cultural framework for giving meaning to the observations. This is an interpretative qualitative process and outcome. Participant observation is a common way to collect ethnographic data in the field.

Similarly, media analysis looks at an event or report from print or electronic media and tries to understand its meaning within a cultural context. Media analysis could be a simple as the number of hits on a website as an indicator of interest in particular

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posting (e.g., How many hits on the United Nations MDG website) or as complex as tracing media accounts of an event which drew international attention (e.g., media reports of the Japanese tsunami). The breadth of the analysis depends upon the specific question of interest.

Activity evaluations gather the impressions or reaction of individuals to a specific event. For example you to might want to know if believe that they learned something in water reclamation seminar. P Surveying participants to find out their reactions to the seminar is a form of activity evaluation. Very precise measurements of outcome usually fall into the quantitative research realm (e.g., an examination of participants to measure how much they learned din the seminar would be a form of quantitative activity evaluation).

Artistic representation is being more widely used to capture the process of an event. This is an old form of qualitative work (e.g. cave drawings, portraiture) which has come back into vogue. Because it allows for the representation of both content and process, it is particularly useful for describing and beginning the analysis of an event. The artist/researcher is the filter through which the event is viewed and given meaning. However, after the fact discussion of the representation allow others to elaborate on and debate the meaning of the representation.

[1] See https://www.jewishvirtuallibrary.org/jsource/History/deadsea.html for further information.

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MIXED METHODS

Complex questions often require complex ways of obtaining and analyzing data. To this end social scientists have developed a mixed methods approach which integrates quantitative and qualitative research methods.

In very broad strokes qualitative methods are used to describe what something (person/event/object) is. Qualitative research methods are used to answer the question, what does it mean? By combining both methods in any research endeavour we come closer to forging an understanding of social causation or how did it come to be.

Often the social scientist is trying to understand how to solve a social problem. Therefore it is important to understand what conditions are likely to result in a problem happening under the assumption that if one understands the pre-existing conditions changes can be made to avoid a negative or problematic outcome. In a positivist philosophy, as previously discussed, in many ways this search for understanding is equivalent to the search for causation in the natural sciences.

Again it is important to remember that not all societies adhere to this positivistic philosophy. “It is God’s will” is not an idle comment; many people believe that some social experiences (.e.g. hurricane) are acts of God and not an event to be systematically studied or questioned. Behaviours are often defined as simply “evil” (e.g., robbery) and not open to other explanations or modification. The idea that we can understand social situations using scientific methods reflects a particular view of the world and place of human beings in it. As a result, researchers can be defined as nosey, intrusive, or misguided. It is not uncommon to have social science explanations seen by the public as excuses for unacceptable behaviour (e.g., honor killings need to be understood; understanding the cultural origins for honor killings does not make them right or wrong). Research is. Using research for a purpose exceed the boundaries of the role social scientist researchers.

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MIXED METHODS TOOLS - TRIANGULATION

"The concept of triangulation is borrowed from navigational and land surveying techniques that determine a single point in space with the convergence of measurements taken from two other distinct points.(Rothbauer, Paulette (2008) "Triangulation." In Given, Lisa (Ed.), "The SAGE Encyclopedia of Qualitative Research Methods." Sage Publications. pp. 892-894) Used in quantitative research for validation and qualitative research to enhance inquiry, triangulation takes the data from two or more sources examining the same subject. Triangulation is a qualitative method that supplants statistical test for of validity and reliability of quantitative data. It is used to buttress the claim that the qualitative data research accurately reflects the actual situation studied, that it is valid, by helping to overcome the limitations of any one research approach.

Denzin (1970) identified four primary types of triangulation:

1. Data triangulation, which uses data collected through different through sampling strategies, at different times and from different groups of people. 2. Investigator triangulation, which uses of more than one field researcher to gather and analyze data; and, 3. Theoretical triangulation, which uses more than one theory in the analysis of the data.

In each case the data derived from each approach are systematically compared. Differences in data must be explained by either methodological limitations or theoretical considerations.

Participatory Action Research (PAR)

When action matters social science researcher may engage in PAR.

PAR is “an emancipatory and collaborative form of research between researchers and communities for the purpose of facilitating community action and pursuing social change”. Retrieved May 1, 2014 from http://2010.cmha.bc.ca/files/PARinfosheet_CTD.pdf

PAR is widely used in public health and social welfare research where community engagement in problem definition is important to beginning the process of change. Action research is regarded as “systematic and orientated around analysis of data whose answers require the gathering and analysis of data and the generation of interpretations directly tested in the field of action” (Greenwood & Levin, 1998, p.122). “Thus, PAR is considered an alternative approach to traditional social or scientific research, as it moves social inquiry from a linear cause and effect perspective, to a participatory framework that considers the contexts of people’s lives” (Macdonald, 2012, p. 36). For further information on how to conduct PAR, consult Kemmis, McTaggart, Nixon, 2014.

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SYSTEMATIC REVIEWS

Systematic reviews attempt to answer the question, “what do we know” in relation to quantitative studies. It really asks questions about the quality of the information that we already have about a particular subject.

The Cochrane Collaboration, probably the best known moment in systematic reviews, is a group of over 31,000 healthcare specialists in who systematically review randomized trials of the effects of prevention, treatments and rehabilitation as well as health systems interventions. When appropriate, they also include the results of other types of research.

According to the Cochrane Handbook systematic reviews must include eight general steps as follows:

1. Defining the review question(s) and developing criteria for including studies;

1. Searching for studies;

2. Selecting studies and collecting data;

3. Assessing risk of bias in included studies;

4. Analyzing data and undertaking meta-analyses;

5. Addressing reporting biases;

6. Presenting results and "summary of findings" tables; and,

7. Interpreting results and drawing conclusions (Higgins JPT, Green S (editors). Cochrane handbook for systematic reviews of interventions, version 5.1.0 (updated March 2011). The Cochrane Collaboration, 2011. Retrieved 2014-05-11.)

It is rare for qualitative research to be included in a Cochrane report. However a complete systematic review must consider all available evidence including grey literature (Grey literature has also been broadly defined to include everything except peer- reviewed books and journals accepted by Medline. It has not been published in a conventional way, and can be difficult to identify and obtain through the usual routes, and for this reason it is known as ‘grey literature)

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ETHICAL CONCERN IN COLLECTING AND USING COMMUNITY DATA

Researchers come to their task with a conviction that knowledge is a good thing and that communities are inevitably better off by knowing about how they function and what problems they are facing. This view is not always shared by the communities in which they work. Researchers are, by definition, outsiders in research activities, often without any sense of why research is being done or why they should be part of the enterprise.

The intermediary between researchers and communities is increasingly found in ethics review committees. These committees, frequently located in universities or government agencies, are charged with the task of ensuring that research subjects are fully aware of the risks of their station in research and that they have reasonable access to the results of the research in which they have participated. Committees must ensure that professional practice guidelines are maintained in the research enterprise (e.g., that no predictable harm comes to research subjects), that data is treated respectfully, and that reasonable care is taken in the interpretation of research findings. Community members must not be coerced or provided with unreasonable incentives to participate. Researchers may only stake defensible claims to the importance of the research to the well-being of the community and must be prepared to take steps to ensure that community members can access these results. Social science research is generally perceived to be a public good and, therefore, subject to public scrutiny. It is not a proprietary activity cloaked in secrecy. In particular research using community data is strengthened by public scrutiny.

However, like individuals, communities have secrets. They have ways of making decisions, setting priorities, and running the day- to-day business of living together. They have been created by making decisions that involve trade-offs between members of the community and the acquisition of obligations to each other. They have a history and they have relationships that often span generation. Social science research threatens to expose and upset these often hidden arrangements, leaving participants facing scorn, condemnation, and reprisal from others. The researchers, rather than being seen as helpers, can become the enemy.

It is important therefore, that in thinking about research and community, the role of the community be considered just as critically as any other aspect of the research project. The community can have a number of different roles either within different projects or within one research undertaking.

The most common vision of community is that of research subject. Communities see themselves becoming the object of the research – something to be poked, prodded, analyze, and written about for the entire world to see. For example, many communities with high rates of HIV/AIDS were overrun by researchers trying to understand, with all good attentions, how HIV/AIDS affected and was effective by life in their community. The same phenomenon has been noted by aboriginal communities who have been the subject of numerous "outside" research projects. In these scenarios, the community is the subject of the research with little benefit being seen by them as a result of their participation in the research. In such circumstances there are major barriers to developing trust between the community and the research team. Low levels of participation, unless mandated by external forces, and other mechanisms for sabotaging research frequently occur.

Some communities become research consumers. In these instances the community looks to the social science researcher to provide information about a problem that they are facing. Often communities are divided in their anticipation of what researchers will find. They have a conviction about the outcomes before the research ever begins. Communities may want researchers to make their point to other levels of government or to outside organizations (e.g., a community may want a researcher to demonstrate that a proposed industrial development will threaten the ecology of the community and hire a researcher to produce data that demonstrates the negative effects of this development.) The nature of communities is such that it is unlikely that they will come to the research with the neutral vision. They want to use research to serve their interests.

Communities may use research from other locales to buttress their current arguments. It is difficult to convince a community that their circumstances are different from their neighbors and that the research found in one community may not be applicable to theirs. The difficulties in transferring research findings from one community to another makes being a consumer of research a demanding undertaking. Researchers can be frustrated by attempts to do so and see this activity as a misuse of their hard work. From researchers point of view the uniqueness of each community can frustrate the generalizability of their research findings. In such circumstances the researcher may be faced with the dilemma of whether or not to release raw data. This raises the question

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of whether all research is public or whether researchers retain the right to withhold research findings in the belief that to do otherwise could harm the community. This ongoing philosophic debate in the research community needs to be taken seriously particularly, but not limited to situations, when sensitive or high-stakes research is being undertaken.

Conflict can arise between communities and researchers when they cannot agree on whether or not being the consumer gives you the right to participate in the design, data analysis, and interpretation of research data. It needs to be clear exactly how research contracted by the community is to the use. Control over research design, data analysis, and data interpretation needs to be decided before the research is begun.

In some instances communities can be research decision makers. Not only is the community the intended user of the research but also lays claim to designing and managing the execution of the research. In this instance, the researcher is the expert journeyman who is there to ensure that the technical aspects of research are conducted according to appropriate standards. For example, researchers may be hired to find out community opinions about an impending water development. If this had been the researchers’ project they might have wanted to know something about project alternatives but the task being contracted to them is to study community attitudes about a specific proposal. This is not curiosity driven research but rather research in which the community has made a decision in advance about what they want to know. The researcher might want to use mixed methods to get both broad and deep information about people’s responses but the community is only interested in or able to fund survey research.

In undertaking research when the community is the decision-maker it is important to decide up front what latitude the researcher has in decision-making. Is the researcher in the role of technical consultant deciding only upon those matters that directly affect how the research will be conducted (e.g., sampling method, sample size, method of data collection, and data analysis strategies) or does the researcher have the latitude to design and execute research that answers a question posed by the community (e.g., what is the best way to get potable water to our community)? In the latter instance, the scope of research decision-making that is left in the hands of researcher is much wider, much less restricted or guided by the community. Whatever the position, when the community is the research decision-maker, one of the likely stumbling blocks relates data ownership, interpretation, and dissemination. These are issues that need to be clarified before the research begins.

Increasingly communities are being viewed, and demanding to be seen as, research partners. In these instances a community undertakes research in a partnership with the research team. Overall the research may be initiated by either partner; the community assumes a position of being a meaningful partners in developing the research question, in designing research protocols, and in analyzing an interpreting the data. Mutual decisions are made about resources, timing, and data release. This approach has become the norm in research in aboriginal communities in response to their demands of increased participation in framing and understanding aboriginal issues. The communities that are full partners in the research enterprise have access to all the data and are active participants in its interpretation. Conclusions are not presented to communities but rather are discussed, and often heatedly debated, by the community with the researchers.

A number of other issues arise in social science research commanding the attention of both funders and practitioners. In the next section we will highlight four such issues.

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OTHER RESEARCH ISSUES

Every research project has its unique challenges but some are more common than others and likely to be faced in any social science project. While to approaches to dealing with these issues will vary from project to project, some general observations and cautions are warranted.

All researchers need to be concerned about data handling issues. These issues include how raw data (e.g., field notes, questionnaires, videos) are created and retained. This issue is particularly problematic when data collection is distributed among many people. Data collectors need to be trained in the appropriate security of their data including timely recording of data, complete and accurate note taking, and suitable follow up to ensure data completeness.

Data is confidential; it must be discussed only with the research team until it is released by the person responsible for its release (There are ethical situations in which research findings demand the release of information to public authorities (e.g., imminent danger, child abuse). See Sieber & Tolich, 2013 for a more complete discussion).

Once data has been recorded, in whatever format, it needs to be secured and stored. Most social science research requires that data be recorded in such a way as to ensure the anonymity of the research subjects. Coding research according to a master coding plan hides the identity of respondents from everyone but the research team. Coding manuals must be stored in secure circumstances whether in hard copy or electronically. Computers (or cloud storage) containing research data must be password protected. Access to protected data must be restricted on a “need to know” basis. It is the responsibility of the lead researcher to ensure that storage protocols are developed, adhered to, and constantly maintained. The completion of the research project does not end the responsibility for data storage. Normally data is kept for several years after a project is completed to ensure that data analysis can be re-examined. When the decision is made that the data is no longer required, raw data must be completely destroyed. For example written questionnaires must be shredded or burned, tapes must be erased, and coding books must be destroyed.

Data ownership is another sometimes contentious issue. Agreeing to participate in research gives ownership of the research data to the researcher. If the researcher is conducting contract research ownership is normally held by the funder. The ownership arrangements, including use of the data for multiple purposes, is specified in the contact and must be reflected in any consent to participate provided by participants.

Data ownership carries both rights and responsibilities. The owner is responsible for data storage, appropriate analysis of the data, and data release. Each of these functions entitles the researcher to make decisions and carries the responsibility of conducting the research in an ethical fashion. Institutions who employ researchers (e.g., corporations, government, universities) share in the responsibility for ethical research practices. The institutions may own the data (e.g., proprietary research and development data) or merely sponsor it (e.g., universities) but in both cases bear a responsibility for ethic research practices.

Data interpretation is a contentious issue in social science research especially, but not exclusively, in relation to qualitative data. Researchers often use research teams to thrash out the interpretation of research data. There is no perfect interpretation of social science data. It must be understood with a social context that often gives data changed meaning. For example, letters from explorers 100 years ago might have a very interesting facts about abundance of bananas found growing wild in East Africa but that information must be processed through a lens of what a banana looked like to a European explorer. Similarly the observation of clean water sources might have merely described water with no obvious discolouration and to safe water.

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While using specific and sequential data analysis techniques, researchers bring an art to data interpretation that goes beyond these linear processes. Thinking “out of the box” often is required to move our understanding of social phenomenon forward; sometimes we need to expand the box in our interpretation to understand the complex and texture nature of social interactions. It is wise to remember that even “hard data”, numbers from appropriate samples, collected in a rigorous fashion, analyzed carefully using the best statistic tests are subject to statistical error and can be interpreted in different ways. Interpretation is where the science and the art of research meet full force.

[1]

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REFERENCES USED IN DISCUSSION NOTES FOR SOCIAL SCIENCES RESEARCH

Aliaga, M & Gunderson, B. (2002). Interactive statistics. New Jersey: Prentice Hall.

Armstrong, R, Waters, E, & Doyle, J. (2008). Reviews in Public Health and Health Promotion Cochrane Handbook for Systematic Reviews of Interventions (pp. 593-606): John Wiley & Sons, Ltd.

Bryman, A. (1984). The Debate about Quantitative and Qualitative Research: A Question of Method or Epistemology?. The British Journal of Sociology 35:75-92.

Creswell, JW. (2002). Research design. Qualitative, quantitative and mixed method approaches. Chapter 11: Mixed methods procedures, pp. 208-227.

Denzin, NK. (1970). The Research Act in Sociology. Chicago: Aldine.

Greenwood, DJ & Levin, M. (1998). Introduction to action research: Social research for social change. Thousand Oaks, CA: Sage.

Hoa, NP, Rao, C, Hoy, DG, Hinh, ND, Chuc, NTK, & Ngo, DA. (2012). Mortality measures from sample-based surveillance: evidence of the epidemiological transition in Viet Nam. Bulletin of the World Health Organization, 90, 764-772.

Kemmis, S, McTaggart, R, Nixon, R. (2014). The Action Research Planner: Doing Critical Participatory Action Research. Singapore: Springer Singapore.

MacDonald, C. (2012). Understanding participatory action research: A qualitative research methodology option. Canadian Journal of Action Research 13(2):34-50.

Macionis, J J. (2012). Sociology (14th Edition). Boston: Pearson, p. 11.

Merriam, S. (2009). Qualitative research: A guide to design and implementation. San Francisco, CA: Jossey-Bass.

Nkwi, P, Nyamongo, I, & Ryan, G. (2001). Field research into socio-cultural issues: Methodological guidelines. Yaounde, Cameroon, Africa: International Center for Applied Social Sciences, Research, and Training/UNFPA.

Prüss-Üstün, A, Bos, R, Gore, F, & Bartram, J. (2008). Safer water, better health: costs, benefits and sustainability of interventions to protect and promote health. Geneva: World Health Organization.

Prüss-Ustün, A, Bartram, J, Clasen, T, Colford, J M, Cumming, O, Curtis, V, . . . Cairncross, S. (2014). Burden of disease from inadequate water, sanitation and hygiene in low- and middle-income settings: a retrospective analysis of data from 145 countries. Tropical Medicine & International Health, doi: 10.1111/tmi.12329

Rothbauer, P. (2008). "Triangulation," In Given, Lisa (Ed.). The SAGE Encyclopedia of Qualitative Research Methods. New York: Sage Publications. pp. 892-894.

Sieber, JE & Tolich, MB. (2013). Planning Ethically Responsible Research. Los Angles: Sage Publishing.

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RISK ANALYSIS - OVERVIEW

Three Major Components that are iterative and interactive.

Risk Assessment Risk Management Risk Communication

Risk Analysis consists of the two processes of Risk Assessment and Risk Management. Also of considerable importance to the success of these two processes is Risk Communication

What is Risk?

Risk is generally expressed as the product of exposure and hazard.

Risk = Exposure X Hazard

Without exposure there is no risk. Without hazard there is no risk.

For example,

i) Financial Risk (financial gain or loss) depends on the size of the investment (Exposure) and rate of return on the investment and performance of the financial market (Hazard).

Without exposure (actual financial contribution to investment) there is no risk (no financial gain or loss.

ii) Cigarettes have high hazard potential, but they pose no risk unless someone smokes them (exposure).

Risk is defined as the following (Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry

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79:1153-1344),

1. The probability of harmful effects caused under specified circumstances by a contaminant and their mixtures in an organism, a population, or an ecological system. 2. The probability of a hazard causing an harmful effect. 3. The expected frequency of occurrence of a harmful event arising from such an exposure.

Negligible risk is defined as the following (Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344),

1. Probability of adverse effects occurring that can reasonably be described as trivial. 2. Probability of adverse effects occurring that is so low that it cannot be reduced appreciably by increased regulation or investment of resources.

What is Exposure?

Exposure involves contact with water by direct contact through ingestion, skin contact, and inhalation (and injection) exposure routes, and indirect contact such as through consumption of prepared foods, garden produce, fish and other products and water uses. Estimation of exposure involves the environmental conditions and situational circumstances influencing exposure including susceptibilities and vulnerabilities of the population and individuals. Environmental concentrations are governed by fate and transport and physical chemical properties including half-lives and growth rates of contaminants chemical biological and radioactive, influences of the characteristics and properties of the watershed and hydrology of surface waters and the hydrogeology of groundwater systems, and cumulative stressors such as multiple users and climate change, and the structure and performance of the water treatment system, accessibility to alternative drinking water sources, and various socio-economic aspects influencing exposures and impacts.

Exposure is defined as the following (Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344).

1. Concentration, amount, or intensity of a particular physical or chemical agent or environmental agent [biological contaminant] that reaches the target population, organism, organ, tissue, or cell, usually expressed in numerical terms of concentration, duration, and frequency (for chemical agents and microorganisms) or intensity (for physical agents).

2. Process by which a substance becomes available for absorption by the target population, organism, organ, tissue, or cell, by any route.

3. For X- or gamma radiation in air, the sum of the electrical charges of all the ions of one sign produced when all electrons liberated by photons in a suitably small element of volume of air completely stopped, divided by the mass of the air in the volume element.

What is Hazard?

Hazard is defined as a set of inherent properties of a substance, mixture of substances, or a process involving substances that, under production, usage, or disposal conditions, make it capable of causing harmful effects to organisms or the environment, depending on the degree of exposure; in other words, it is a source of danger. Harm (harmful effect) is defined as damage or adverse effect to a population, species, individual organism, organ, tissue, or cell. See also risk. (Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344).

What is Risk Assessment?

Risk assessment (part of risk analysis) is the process of understanding the likelihood, of whether or not a risk event will occur, including the degree and severity of the event contributing to risk.

There are many different types of risk.

An event may be either harmful or beneficial; typically the term risk is perceived to mean harmful or negative events.

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Examples:

i) Human health risk assessment of cigarette smoking would estimate the likelihood (probability) of harmful health effects to occur from smoking cigarettes, such as the risk of developing lung disease or other harmful health effects;

ii) Financial risk assessment of a business investment would estimate the likelihood (probability) of financial gain or loss of money corresponding to known or perceived financial risks of a good or bad investment

Reference:

Risk Assessment Toolkit Human Health Risk Assessment (HHRA) IPCS-WHO 2010

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RISK ANALYSIS - OVERVIEW

Three Major Components that are iterative and interactive.

Risk Assessment Risk Management Risk Communication

What is Risk Management?

Risk management (part of risk analysis) is the decision-making process to control and manage situations contributing to risk. As used in environmental risk assessment, the term risk is meant to refer to the likelihood, type and severity of harmful health effects to occur in humans and the environment (ecosystem).

Examples:

i) Human health risk management of cigarette smoking could involve strategies, such as: decrease exposure to cigarette smoke, ban cigarette smoking, use of filters to remove chemicals in cigarette smoke, increase knowledge of substances in cigarette smoke and their ability to cause lung disease and other harmful health effects of smoking, find ways to eliminate these substances from cigarettes.

ii) Financial risk management of business investments could involve strategies to increase knowledge of investments to determine which would give low financial returns versus high financial returns to make better choices, to invest in more than one area or business

Examples of Stakeholders

Risk Managers

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Risk Assessors Industry Government Non-Government Organizations (NGOs) Schools, Daycares, Hospitals Members of the Community and Other Users

Stakeholders may include those from multiple sectors - municipal, water and sanitation and public works, food and agriculture, metals and mining, petroleum and energy, manufacturing, health care, recreation and tourism

Risk assessment and risk management when directed at the source of chemical releases and contamination of food, water, soil, products should be effective to prevent and mitigate potential for harm to humans from subsequent environmental exposures.

It is important in today's large global economy (of food, chemicals, materials and products) for environmental and health protection regulations to be harmonized internationally, because pollutants in water, air, soil/dust are transported within and among environmental compartments, and food, wildlife and people also move and travel around the world, but legislation and regulations serve little purpose without conducting monitoring and surveillance programs to assess performance.

Are regulations being met? Is further action necessary to protect the environment and human health? What is appropriate risk management actions to the situation?

Some examples of environmental legislation and environmental monitoring and biomonitoring programs and theri links are:

Canada CEPA, NPRI, Hazardous Substances Act. Product Safety, Provincial Environmental Protection Act, …. Examples of environmental monitoring re: metals and persistent organic pollutants (POPs) in the environment is Environment Canada’s Northern Contaminants Program, and Ontario’s Guide to Eating Ontario Sport Fish…

US Toxic Substances Control Act and the Toxic Release Inventory (TRI) currently updating to keep up with EU and Canada and other OECD trading partners.

California OEHHA have several programs (biomonitoring, fish, Prop 65, Air Toxics) you may want to look at

NAFTA CEC programs - Taking Stock reporting. Pollutant Release and Transport Registers (PRTR) and Sound Management of Chemicals (SMOC )

EU - EC REACH legislation and others at the national level…

OECD – chemical management

http://www.ec.gc.ca/lcpe-cepa/default.asp?lang=En&n=26A03BFA-1

http://www.chemicalsubstanceschimiques.gc.ca/about-apropos/cepa-lcpe-eng.php

http://laws-lois.justice.gc.ca/eng/acts/F-14/

http://www.ec.gc.ca/inrp-npri/

http://www.e-laws.gov.on.ca/html/statutes/english/elaws_statutes_90e19_e.htm

http://www.hc-sc.gc.ca/fniah-spnia/promotion/research-recherche/index-eng.php

http://www.aadnc-aandc.gc.ca/eng/1100100022942/1100100022943

http://www.ene.gov.on.ca/environment/en/resources/collection/guide_to_eating_ontario_sport_fish/index.htm

http://www.epa.gov/lawsregs/laws/tsca.html

http://www.epa.gov/TRI/

http://oehha.ca.gov/

http://www.cec.org/Page.asp?PageID=122&ContentID=1816&SiteNodeID=366

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http://ec.europa.eu/environment/chemicals/reach/reach_intro.htm

http://www.oecd.org/env/chemicalsafetyandbiosafety/1900785.pdf

References

IPCS WHO 201 Risk Assessment Toolkit HHRA USEPA Risk Assessment Guidance Bartram et al, 2009. Water Safety Plan Manual step by step risk management for drinking-water suppiers. World Health Organisation Geneva

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RISK ANALYSIS - OVERVIEW

Three Major Components that at iterative and interactive.

Risk Assessment Risk Management Risk Communication

What is Risk Communication?

Risk Communication is the sharing of information relating to risk assessment and risk management. Risk communication occurs between five broad groups of stakeholders.

Five broad groups of stakeholders:

1. Risk managers- require information about the risk assessment necessary for the development of a successful risk management strategy.

2. Risk Assessors – require reliable data and assumptions, understanding of hazards and risk factors of interest to all parties. Information about needs and priorities of risk management are necessary to ensure that all areas of interest are investigated to the level needed to meet risk management objectives. Communication among all stakeholders will facilitate use of risk assessment for comparison of relative risks, the development of relative-risk ranking procedures, and decision making based on the levels of risk in different areas of interest.

3. Industry may be part of either or both risk management team and risk assessment team.

4. Non-Governmental organizations – these organizations play a role in raising awareness of perceived risks and contributing factors that require the attention of both risk assessors and risk managers. Communication of the objectives, focus and methods

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used in conducting the risk assessment, relative-risk ranking and development of suitable risk management strategies in cooperation with NGO groups will improve the overall public acceptance of actions by risk management team.

5. Public or users group – Communication of the methods used to estimate the “likelihood of risk events actually to occur” as compared to the “perceived likelihood of events to occur” is needed to gain acceptance of risk-based management decisions. Through communication interests and concerns of the public or users can be identified for consideration in the development of risk assessment and risk management strategy.

Effective (good) risk communication can lead to co-operative risk management, more realistic and therefore better risk assessment through better use of data, acceptance of assumptions, hazards, and risk factors by all parties, and the development of useful relative-risk ranking procedures through a shared vision and common goals of the stakeholders.

Example:

i) Public perception of the health risks of smoking has changed over recent years related to information on the actual health effects of cigarette smoke; however the actual health risks of smoking have largely remained the same. Today, risk management has public support to ban cigarette smoking in public areas (e.g. airplanes, government offices, schools, some restaurants).

ii) Financial managers and analysts design investment programs that meets the needs of their clients which could be high return- high risk, low return-low risk, short-term or long-term investments. Risk communication to stakeholders about factors contributing to financial risks and the need for appropriate risk management interventions to address the potential severity of risk outcomes and their cumulative impacts have been implicated in contributing to the collapse of major banking and mortgages institutions and widespread economic losses.

It is important to clarify the science and its complexities, especially when it comes to interpreting environmental exposures, biology and health implications and health risks. Talk to your technical experts and review risk communications materials with them before trying it out on the public.

When delivering the risk communication messages be confident and show that you understand it and have a reasonable sense of the limitations!

Consider how best to describe environmental exposures and biomonitoring data for a particular substance?

It is misleading (and certainly non-scientific) to talk about “exposure to chemicals” without providing more context. All biological tissues, fluids, solids and gases, even proteins and DNA are chemical in composition – chemicals are biological building blocks; not all are exogenous and not all are harmful.

Contaminant(s) and Pollutant(s) - are more appropriate terms. These terms imply that the substance(s) shouldn’t be there in the amounts found and that exposures might or might not be harmful depending on the amount and duration.

Regulatory science and environmental scientists and chemists use the term “contaminant(s)” to describe concentrations in environmental media of a substance(s) that have been emitted or released into the air, water, soil, and measured in water, drinking water, food, flora and fauna, air, soil and dust in the amounts greater than what would normally be expected; especially if present in amounts above legal limits and in potentially harmful amounts. For example, contaminated drinking water, food and soil impacted by metals, solvents, microbial pathogens, radionuclides, …. concentrations above background levels would be called contaminated. Sodium chloride is a contaminant when discharged in sufficient amounts to impact the salinity of fresh water and groundwater, but in natural concentrations in seawater, blood or tears would not be a contaminant or pollutant.

Impurity (impurities) – is a term used to describe substances that may be found in “trace” amounts or low levels in products, such as drugs, personal care products, cosmetics, commercial products, manufactured chemicals. Products that have been contaminated by accidental spills, sabotage, manufacturing and processing problems and poor sanitation and occupational hygiene, environmental pollution… are referred to as “contaminated” and “adulterated”.

Hazardous substances or toxic substance(s) – are terms applicable to biological, chemical, radiological, physical substances that are known to be hazardous and toxic to human health and to other life forms, and also non-toxic hazards such as high reactivity, explosivity, oxidizer, etc.. Even in small amounts.

Disease agent, toxic agent, hazardous agent, poison – are terms that are often used when discussing generically and in referring to an as yet unidentified causal agent of disease, toxicity or hazard that has occurred. Such as in conjunction with disease – as in the

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“disease agent” biological agent, pathogenic agent, toxic agent or poison. A generic term that can be applied to biological, chemical, radiation, physical (e.g., U.V, particulates, PM10 and PM 2.5) substances.

When discussing expousre estimates, biomonitoring data and interpretation of the information, it is important to provide context in terms of the persistence, multiple sources of exposure, detection limits and analytical method and laboratory certification.

What are the trends and patterns in the data over the period that is has been collected?

References

OECD Guidance Document on Risk Communicaton for Chemical Risk Management 2002

OECD G20 Disaster Risk Assessment and Risk Financing A methodological framework 2012

Lang, S. Fewtrell, L and Bartram, J. Risk communication Chapter 14 in © 2001 World Health Organization (WHO). Water Quality: Guidelines, Standards and Health. Edited by Lorna Fewtrell and Jamie Bartram. Published by IWA Publishing, London, UK. ISBN: 1 900222 28 0

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Risk Analysis (Risk Assessment and Risk Management)

Examples of areas where risk assessment or risk analysis are used:

Financial – to predict risks of financial investment returns.

Insurance – to estimate costs for life-insurance, fire-insurance, car insurance, and business insurance.

Catastrophic Event – to predict the risk (occurrence, size and location and timing) of earthquakes, volcanic eruptions, floods.

Weather – to predict the risks of meteorological events related to global climate change, to predict the occurrence and amount of local rainfall and snowfall, and sunshine.

Human Health – to assess the safety (adverse health risks) of foods and food additives, drugs and medical devices, medical procedures, vaccines and methods used in disease prevention; to estimate the likelihood and magnitude (size) of disease outbreaks and transmission (infection and spread) in human populations (e.g. AIDs, hepatitis, mad cow disease).

Environment – to assess the risk of substances (chemical, biological, physical) in the environment to result in harmful health effects in humans and organisms (e.g. plants, animals, birds, fishes, insects and others) in the ecosystem.

Risk-Benefit Analysis – to compare the risk of harmful effects to the beneficial effects of an event or situation for use in decision-making.

For example, a risk benefit analysis of drinking water disinfection would compare the likelihood of harmful health effects from consumption of low-levels of chemicals formed during the water disinfection process to the health benefits from destroying water- borne disease organisms (e.g. cholera, dysentery, typhoid, polio, parasites) in treated drinking water.

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ENVIRONMENTAL RISK ASSESSMENT

The type of risk analysis applicable to this course on water-related health impacts is Environmental Risk Assessment and Environmental Risk Management.

The three main components of environmental risk assessment are:

RECEPTOR - Humans, Other Organisms, and Ecosystems.

HAZARD - the properties of a chemical, biological and physical contaminants that make it capable of causing harmful effects to the organism and to the environment.

EXPOSURE - Concentration, amount, or intensity of a particular physical or chemical agent or environmental agent that reaches the population, organism, organ, tissue, or cell (i.e., receptor); and the process by any route inhalation, ingestion, skin contact, injection by which a contaminant or substance reaches the receptor.

Environmental Risk Assessment (ERA) is the understanding of the relationships between the receptor of interest – humans other organisms and ecosystems – and environmental hazards through exposure pathways and the potential to result in health risks in the receptor.

Environmental Risk Assessment (ERA) is defined as the following (Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344), an estimate of the probability that harm will result from a defined exposure to a substance in an environmental medium. The estimate is valid only for a given species and set of conditions.

Risk = Hazard X Exposure.

Without exposure there is no risk to the receptor, even for the most hazardous substance.

The figure below illustrates the necessary interaction between the receptor, and the hazard through exposure (e.g. breathing, eating, skin contact, lifestyle, work, recreational, play, diet and cultural activities).

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MAJOR TYPES OF ENVIRONMENTAL RISK ASSESSMENT

Human Health Risk Assessment - HHRA Ecological Risk Assessment - ERA Integrated and Cumulative Risk Assessments

The primary objective of environmental risk assessment is to improve our understanding of the potential for or the probability of harmful environmental exposures in the exposed population, as it relates to risk management interventions, based on the following:

Likelihood (i.e., potential for)

Degree (acute, chronic)

Type and Severity (reversible, irreversible)

of harmful health effects in HUMANS and the ENVIRONMENT.

Environmental risk assessment of the potential for water-related impacts on human health involves the application and integration of core knowledge, principles and methods pertaining to:

water quality - physical, biological and chemical contaminants and consituent propoerties of water (discussed previously in the course).

water quantity variability and distribution - access and availablility of water for immediate and essential requirements for sustaining life (drinking water, food, hygiene and sanitation) and other uses.

point and non-point sources of pollution and the fate and transport in the environment.

exposure pathways and disease transmission.

toxicology.

microbiology.

epidemiology.

human health hazards of contaminants and the associated signs and symptions of disease and acute and chronic effects.

environmental sampling, monitoring and surveillance.

health outcome monitoring and surveillance.

technical interventions.

knowledge of local situation, social aspects (people, demographics, susceptibilities and vulnerabilities, activities), local geography and conditions, including food and products and processing and uses involving the water supply.

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BASIC FRAMEWORK FOR ENVIRONMENTAL RISK ASSESSMENT

The basic framework for environmental risk assessment consists of five major stages:

Problem Formulation –Conceptual Model– understanding the history, present and future uses, users, inhabitants and characteristics of the environment or site; including sources of hazardous substances and identification of substances in environmental media and possible pathways of exposure; this information is synthesized and integrated through the development of a conceptual model (or template) for the environmental risk assessment.

Hazard Identification - identification of contaminants (substances) of concern in environmental media based on the their concentration (measured or predicted) and their harmful effects (degree, type, and severity), target populations, and conditions of exposure and presence of available pathways for exposure, taking into account toxicity data and knowledge of effects on human health, other organisms, and their environment.

Hazard Assessment – for those contaminants (substances) and populations (receptors) selected for assessment the determination of factors controlling the likely effects of a hazard such as the exposure (dose)–effect and dose–response relationships, variations in target susceptibility, and mechanism of toxicity; for pathogens it would include the incubation period knowledge of the chain if transmission, vectors and fomites, sensitivity and resistance to disinfectants (e.g., chlorination, UV, ozonation, other).

Exposure Assessment – for those contaminants (substances) and populations (receptors) selected for assessment (humans, other organisms and the environment including ecological habitats and processes) the process of measuring or estimating concentration (or intensity), duration, and frequency of exposures to an agent present in the environment or, if estimating hypothetical exposures, that might arise from the release of a substance, or radionuclide, into the environment.

Risk Characterization (including Uncertainty Analysis and Sensitivity Analysis) – estimation of the probability of harmful health effects (the frequency, degree, type and severity of harmful health effect) in humans and ecosystems. Risk characterization is conducted to identify important factors contributing to risk of harmful effects. Risk characterization is defined as the integration of the hazard assessment and exposure assessment. It is the outcome of hazard identification and risk estimation applied to a specific use of a substance or occurrence of an environmental health hazard (i.e., the probability of harmful impacts on the source water and the quality of the treated drinking water). Risk characterization requires quantitative data on the exposure of organisms or people at risk in the specific situation.

Several guidance documents on HHRA are available.

This is not exclusive list – just what is readily available on the internet – other agencies in countries not listed may have guidelines.

Country/Organization Guidance

Australia/EA ERA

Canada/CEAA ERA

Canada/Health Canada; CEPA HHRA

EU/ECB ERA, HHRA

Japan/EMJ ERA

Netherlands/RIVM ERA,HHRA

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U.S. EPA ERA, HHRA

WHO ERA, HHRA

Reference documents on HHRA and ERA are provided in the Resources folder.

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The Principles of Environmental Risk Assessment

The principles of RA are based on the four principles of toxicology ( see previous course materials).

Principle 1 of Environmental Risk Assessment.

The underlying principle of risk assessment is that Risk is a function of Hazard and Exposure. This is based on the principle that Toxicity (adverse response) is a function of the dose and exposure, whereby in risk assessment the hazard is equivalent to the dose.

RISK = HAZARD X EXPOSURE

There is no risk if there is no exposure.

Examples:

1) Cyanide even though deadly when stored in a sealed container presents no risk to people in the same room as the sealed container because there is no exposure pathway for human contact with and tissue uptake of cyanide.

2. A high security fenced area of land contaminated with elevated levels of metals and arsenic from mining wastes (mine tailings) presents no human health risk to people from direct contact with soils on-site because there is no access of people to the contaminated land (no contact with soils) except possibly by certain workers whose health risks may be considered as occupational health risks. However, possible environmental human health risks exist off-site through human contact with contaminants via blowing soil and dust, as well as movement of contaminants into groundwater and local wells used as a source of drinking water and irrigation water by the community.

3. Possible ecological health risks exist for those in contact with soil, surface water and plant-life of the area contaminated with mining wastes. Possible ecological risks exist for wildlife that frequent on-site contaminated areas during food gathering (foraging area for plants and invertebrates) and hunting (prey hunting territory). Possible health risks exist to wildlife living off-site from contact with soil contamination off-site via blowing soil/dust, groundwater movement, puddle formation, erosion, and run-off of water from land surfaces due to precipitation (i.e. rain and snow).

Pollution control and clean-up strategies that are based on reducing health risks often use methods (mechanical, physical, chemical) that block major exposure pathways to contaminated environmental media (e.g. soil, water, sediment, air, food and fish). It is often easier to successfully block exposure pathways to humans and minimize human health risks than it is to block those to wildlife and aquatic ecosystems.

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The Principles of Environmental Risk Assessment

2. Principle 2 of Risk Assessment is that the level of risk is proportional to the level of exposure. As the amount of exposure increases so does the risk or certainty of harmful effect.

Example:

Human health risks from consumption of fish containing chemical contaminants, such as mercury and POPs (e.g., DDT-DDE, PCBs and chlorinated dioxins and furans) would depend on the level of exposure (amount of fish consumption and concentration of contaminants in fish consumed, and the types and severity of the heath effects of exposures to the contaminants). Health risks from these contaminants might be low if only small amounts of fish containing low levels of contaminants are consumed in comparison to higher health risks from consuming large amounts of fish that have high concentrations of contaminants in their tissues.

However, repeated exposures to some chemical contaminants such as toxic metals (e.g., mercury and lead) in diets high in fish and seafood could be capable of causing cumulative harmful health effects, especially in the developing fetus and children.

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The Principles of Environmental Risk Assessment

3. Principle 3 of Risk Assessment is that the level of exposure is a function of the amount of chemical or substance in contact with biological systems and the duration and frequency of contact.

The amount of contaminant in contact with biological tissues is determined by the activities or interaction of the receptor (humans, wildlife) with environmental media (air, water, soil, sediment, food, etc.), the concentration of chemical contaminants (and others) in environmental media, the length of contact time and the frequency (how often) contact occurs.

Three main routes of exposure of biological tissues to environmental contaminants are:

· inhalation (contact with air and air particles via lung tissue, blood and systemic circulation)

· ingestion (contact of with food, soil, water and other ingested materials via Gastrointestinal tract, blood and systemic circulation)

· and skin (dermal) (contact with air, water, soil, dust, and other materials via skin and blood and systemic circulation).

Biological characteristics, such as age, body weight, respiration rate, and body surface area will influence the level of exposure (mg chemical/kg body weight/day).

Lifestyle activities, work (occupation), recreational activities, hobbies, children’s play, diet and cultural preferences and activities will influence the type of environmental media, the exposure route, the duration and frequency of exposure. In addition, characteristics such as dietary preferences and amount of food items, as well as body weight, body surface area, respiration rate will determine the interaction with different environmental media and contaminants, and the level of exposure and susceptibility and vulnerability of different ages and life-stages, such as infants, children, teens, adults, and pregnant women.

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The Principles of Environmental Risk Assessment

4. Principle 4 of Risk Assessment is that the risk is proportional to the hazard (x exposure), and hazard is a function of the innate properties of the contaminants (chemical, biological, physical) itself to cause harmful health effects, acute and chronic illness (toxicant, pathogen, irritant, sensitizer) and the mode or mechanism of action.

The hazard of contaminants are determined through epidemiological studies, clinical studies and controlled laboratory studies using animals and other organisms (e.g. plants, algae, invertebrates, fish). The hazard is represented by the exposure level (dose) and exposure route known to cause or not to cause harmful health effects. A chemical exposure hazard is typically expressed as the mass of chemical (mg)/ kg body weight/day.

Hazard is a Function of:

i) The innate properties of the contaminants (chemical, biological, physical) to cause toxicity and disease;

ii) the biological species including species sensitivity, life-stage (early-life stages generally more sensitive), metabolism, genetics, and other biological characteristics;

iii) the exposure route (ingestion, inhalation, dermal, other);

iv) material or matrix in which the substance is dissolved or adsorbed (bound to), such as water, soil solids, suspended solids in water and sediment, food, oil,

v) individual substances and mixtures of multiple substances and their interactions.

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The Principles of Environmental Risk Assessment

5. Principle 5 of Risk Assessment is that the biological significance of the health risk is based on the likelihood, degree, type and severity of harmful health effects to occur.. This typically requires professional judgment in integrating the available information within the context of the susceptibility and vulnerability of the exposed population and the chronicity of the exposure situations.

This includes information relating to: the mechanism of toxic action; cumulative exposures from all potential pathways; the potential for interactive effects of mixtures of chemicals (substances) in the environment; and the scientific and biological plausibility of cause-and-effect relationships based on results of controlled infection prevention and control studies, epidemiological evidence and case studies, and controlled laboratory studies of evidence of harmful acute and chronic effects and illness and disease, and human health impact and environmental impact assessments.

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Environmental Health Effects Guidelines and Criteria

Guidelines for the protection of human health and the environment are developed by the World Health Organization and various federal and state government health and environment departments by regulatory scientists.

Guidelines for health and safety are developed through the application of the principles of environmental risk assessment and the review of available reliable and relevant scientific information on the environmental fate and health effects of priority environmental contaminants, on what is known about their hazard potential, about the quantities used and produced, and the quantities released and measured in the environment. including monitoring and surveillance data for drinking water, surface water and ground water, food, air, soil, and levels of contaminants found in tissues of plants, animals, birds, fish and aquatic organisms and humans.

This simple figure illustrates the relationship between exposure, hazard and the receptor (human and ecological) in contact with the hazardous substance. The region where the three circles overlap is the area of risk.

Environmental Risk Assessment methods are used to develop health effects and risk-based guidelines and criteria that can be either generic or site specific. Generic environmental risk assessments use general information to characterize the environment the organisms of concern, exposure pathways using assumptions that are more protective and conservative in the estimation of exposure, hazard and risk. Generic values are thus applicable to a wide range of environments, ecosystems and sites and uses. Site-specific environmental risk assessments use information specific to the site of interest to describe the source, uses, users and organisms, and exposure pathways to estimate exposures and risks of specific chemicals and substances measured in the environmental media.

It is beyond the scope of this course to summarize regulatory criteria established for various environmental media (air, water, sediment, soil) of all countries, states and provinces. Generally, environmental quality criteria for water, sediment, soil and air and certain food (fish, shellfish and game) are available and are intended to be protective of the following:

Water Quality

drinking water (and groundwater) to protect human health

surface water to protect:

aquatic life

consumers of fish and seafood

fish-eating wildlife

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Sediment

to protect sediment dwelling organisms (benthic species)

to protect fish-eating wildlife

Soil Quality

to protect human health for:

residential and parkland use

agricultural use (agricultural crops and food)

industrial and commercial use

to protect ecosystem health

plants

soil dwelling organisms (beneficial invertebrates)

wildlife

Air Quality

to protect human health

(local environment)

Food Quality

levels in various agricultural produce for human consumption

levels in meat for human consumption

levels in fish and seafood for human consumption

Tissue Residue Guidelines for levels of bioaccumulative chemicals and other contaminants in tissues of birds, fish and mammals and other organisms to protect wildlife

Bioaccumulative chemicals are typically those that have a low solubility in water (hydrophobic chemicals), but are soluble in fat (lipophilic chemicals) and are not metabolized in the body into less toxic and more water soluble forms. Bioaccumulation occurs when the rate of chemical uptake is greater than the rate of elimination. Consequently, they build up in animal tissues. Some toxic metals accumulate in plants, animals and microorganisms.

Other considerations in the development of guidelines and criteria for air quality include cumulative exposures from multiple sources; emissions reporting, monitoring and surveillance of local regional and global issues related to:

- long-range transport

- bioaccumulative chemicals

- photochemical smog and secondary pollutants - ground level ozone formation, NOx and SOx

- acid rain

- ozone depletion

- global warming

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- atmospheric deposition of chemicals to water and their fate, transport and bioaccumulation in aquatic ecosystems

Other considerations in the development of water quality guidelines and criteria include:

- Cumulative releases and environmental loadings to shared water systems from multiple sources of industrial and municipal and non-point sources, such as erosion and water run-off from agricultural land.

- Transport of chemicals and substances bound (adsorbed) to suspended solids and sediments in water systems and sediments as a source of chemicals and substance to the overlying water through sediment turnover via biological (burrowing and bottom feeding of aquatic organisms) and physical processes (scour, wave action).

- Food chain transfer and accumulation of chemicals and substances in tissues of fish and shellfish and their foods, and exposures and risks to fish-eating wildlife and humans.

- Sediments and surface waters as a source of chemicals to the air via processes such as evaporation and volatilization and microbial transformation of the parent chemical into a more volatile form.

- Agricultural uses such as plant irrigation and animal watering may require actions for the protection of human health and the prevention of agricultural releases to the aquatic environment through run-off, crop spraying, disposal practices, land application of liquid manure and sewage sludge, animal wastes, and spills.

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Environmental Risk Assessment - Applications

There are many areas of application of environmental risk assessment. Some examples are listed here.

Environmental Risk Assessment - Applications

· New and Existing Chemicals and Substances

· New industrial facilities and their expected environmental emissions

· Changes to existing industrial facilities and their expected environmental emissions

· Decommissioning of former industrial sites

· Communities near industrial sources of emissions

· Waste Disposal Facilities – landfill, incinerator, land application of sludge

· Waste water effluents to the aquatic environment – changes in waste water technology

· Determination of source load allocations for shared water systems

· Determination of source load allocations for shared air shed

· Abandoned (Orphaned) Contaminated Sites

· Drinking water disinfection technologies

· Pesticide use and residues in food, wildlife, water, soil, sediment

· Children’s Health and the Environment

· Ground water contamination, clean-up

· Municipal waste water effluent treatment

· Human health in high fish and seafood consumers

· Human health in high game consumers

· Waterborne disease (human drinking water; bathing and swimming; crop irrigation; fish and seafood; wildlife drinking water and aquatic food chain)

· Microbial disease related to waste disposal and environmental effluents (animal and meat processing facilities; food processing facilities; sanitation; dairy industry; hospitals, dental and healthcare facilities)

· Aquatic ecosystem health

· Terrestrial ecosystem health

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Human Health Risk Assessment - HHRA

The focus of HHRA is the understanding of the potential for harmful health effects to occur in humans, including all life stages, that could be exposed to substance(s) in the environment. These life stages include the developing fetus, infant, toddler, child, adolescent, teen, adult and senior (male and female). The life stage can have a significant influence on the outcome of the HHRA

Ecological Risk Assessment - ERA

The focus of ecological risk assessment is the understanding of the likelihood, degree, type and severity of harmful effects to occur in: organisms (plants, birds, animals, insects and invertebrates, microorganisms) at the individual, population and community level within the ecosystem; in key organisms filling an ecological niche (or specialized area or role); in important ecological processes, such as nutrient cycling (N, S, P, C, etc.), decomposition, primary production, energy transfer via consumer and predator-prey relationships; in habitats ( affecting plant growth and species diversity); and in the physical environment (e.g. damage to earth’s ozone layer; acid rain; photochemical smog).

Inextricable Connection Between HHRA and ERA

Aspects of the HHRA are inextricably connected to those of the ERA, in particular those involving waste water contamination and nutrient loadings causing eutrophication of surface waters bacterial growth and toxic algal blooms, proliferation of flies and other vectors of vector-borne diseases, such as mosquitoes and malaria, pollution of fisheries and contamination of food and drinking water.

While each has its own unique factors and considerations there are certain key stages that are applicable to both.

The five major stages are referred to as the BASIC FRAMEWORK OF ENVIRONMENTAL RISK ASSESSMENT, and are generally consistent in most guidance documents on environmental risk assessment.

Recapping, the five major stages are:

1. Problem Formulation – Scoping of the situation and development of a conceptual model: During this stage the risk assessor develops an understanding of the history of the environment, location (community or site), and ecosystem, including the past, present and future uses, the users and inhabitants of the environment (humans and ecological), and characteristics of the environment or site.

2. Hazard Identification: Involves the identification of substances in environmental media (measured or predicted) of potential environmental health hazard and the selection of substances for assessment.

3. Hazard Assessment: Consists of a comprehensive determination of the hazard (toxicity) of the substances selected for assessment in the Hazard Identification stage. Involves the determination of the most sensitive receptor and life-stage ( e.g. child or early-life stage in species of fish) and the most sensitive toxicological endpoint or effect (e.g. for dioxins and furans impairment of reproduction) and the dose rate (mg chemical or substance/kg body weight/day) at which the specified effects have been observed to occur in the most sensitive species and the No Observed Adverse Effect Level (NOAEL) or dose rate (mg chemical or substance/kg body weight/day) at which no harmful effects are observed in the exposed sensitive species.

4. Exposure Assessment: Estimations of exposures to substances selected for assessment (in the Hazard Identification stage) in various media in the environment, site or ecosystem to specific receptors (humans, biological organisms and ecological habitats and processes).

5. Risk Characterization: The potential harmful risks to health in humans and ecosystems are estimated on the basis of the likelihood, degree, type and severity of harmful health effects to occur in humans and ecosystems. This is achieved through a comparison of estimated exposures determined in the exposure assessment to hazards determined in the hazard assessment.

Environmental Risk Assessment – Detailed Flow Chart

This flow chart shows some of the many steps involved within each of the five major stages of environmental risk assessment and the inter-relationships between and among them. The thicker arrows on the left-hand side traces the main path of environmental risk assessment process through the five key stages. While the thinner arrows on the right-hand side illustrate the iterative (repetitive feedback process) that occurs within and between each stage.

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NOTE: Risk Management and Risk Communication are directly connected to the Risk Assessment process and should be engaged at the beginning of the risk assessment process. This is to maximize the successful integration of risk assessment methods and findings into the risk management strategy for the environment, site or ecosystem, and the effectiveness of risk communication to the public and the public’s acceptance of methods, assumptions and interpretation of results in the risk assessment.

Guidance Documents for Conducting Environmental Risk Assessments (HHRA and ERA)

There are a number of Environmental Risk Assessment Guidance Documents for Human Health Risk Assessment and Ecological Risk Assessment that have been developed by various regulatory organizations and other recognized risk assessment organizations to promote and guide environmental risk assessments. Some of these include:

U.S. EPA

Canada, Health Canada, CEAA

Australia EA

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Netherlands RIVM

These guidance documents involve similar approaches consistent with the basic framework of risk assessment present above and are based on the same scientific principles.

However, there are some differences in terminology and definition of terms used in each document.

Recently, there have been increasing efforts for international harmonization of environmental risk assessment guidance., some examples are as follows,

The EU, U.S. and Australia harmonization efforts for environmental risk assessment methods for regulation of pharmaceuticals and cosmetics in the environment; the International Programme on Chemical Safety http://www.ipcsharmonize.org/ is a cooperative effort of the World Health Organization, CH-1211 Geneva 27, Switzerland and National Center for Environmental Assessment ORD/USEPA, Cincinnati, Ohio, USA. The goal of the international Harmonization Project is to globally harmonize approaches to the assessment of risk from exposure to chemicals through increased understanding by focusing on specific issues and basic principles. One area of the harmonization project deals with Uncertainty and Variability in Risk Assessments.

The North America, the Commission for Environmental Cooperation (CEC) has a special initiative for Canada, Mexico and the U.S.A. to develop a cooperative agenda to protect children from environmental threats to children’s health. The Cooperative Agenda for Children’s Health and the Environment in North America was adopted by the CEC Council in June 2002. The first North America Trilateral Workshop on Risk Assessment and Children’s Environmental Health was held in February, 2003; the overall goal of which was to develop a common understanding of risk assessment terms and approaches among the three countries, between environment and health departments and others including the public, dealing with toxic chemicals, including pesticides. These initiatives may lead to more effective collaborations and sharing of information and results to ensure that children’s susceptibilities and vulnerabilities are taken into consideration when assessing environmental health risks.

Some Sources of Risk Assessment Guidance Documents

Country/Agency URL Comments

Ecological Risk Assessment Guidance Documents

http://www.ea.gov.au/assessments/eianet/index.html Regulatory environmental Australia/Environment impact assessment Australia documents for Australia

http://www.ceaa-acee.gc.ca/0011/0001/index_e.htm Canadian Environmental Canada/CEAA Assessment Agency guidance documents

EU/Existing Chemicals http://ecb.jrc.it/existing-chemicals/EUSES/ EUSES – risk assessment Bureau software

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EU Technical guidance

document for risk http://ecb.jrc.it/Documents/Existing- assessment Chemicals/TECHNICAL_GUIDANCE_DOCUMENT/tgdpart2.pdf

Parts 1-4 http://ecb.jrc.it/Documents/Existing-

Chemicals/TECHNICAL_GUIDANCE_DOCUMENT/tgdpart3.pdf Part 2 = Environmental risk

assessment http://ecb.jrc.it/Documents/Existing- Chemicals/TECHNICAL_GUIDANCE_DOCUMENT/tgdpart4.pdf

Summary of completed http://ecb.jrc.it/existing-chemicals/ assessments and status of

chemicals – click on risk assessment tab

http://www.env.go.jp/en/ Environment Ministry of Japan Japan

List of published guidance Netherlands/RIVM http://arch.rivm.nl/csr/risk/riskrapp.html documents

USES – risk assessment http://arch.rivm.nl/csr/risk.html#uses software for Netherlands

http://www.oecd.org/ Main page – use search OECD function for individual documents

http://www.unep.org/ United Nations/Environment http://www.unep.org/Project_Manual/ UNEP main web site Program

http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=12460 Ecological risk assessment US/EPA guidance documents

http://cfpub.epa.gov/ncea/cfm/prior.cfm?ActType=default EPA priorities for file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M060D020HHRAandEcoRA.htm[11/1/2014 10:22:57 AM] WLC Template

environmental protection

http://cfpub.epa.gov/ncea/cfm/wefh.cfm?ActType=default Wildlife exposure factors

handbook

http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=23734 Completed ecological risk assessments – specific places

http://www.who.int/environmental_information/ Environmental health WHO information

http://contamsites.landcareresearch.co.nz/review_methodolgies.htmLinks to ERA guidance from Worldwide various countries

Human Health Risk Assessment Guidance Documents

Country/Agency URL Comments

http://www.hc-sc.gc.ca/pmra-arla/english/pubs/spn-e.html Guidance for pesticide risk Canada/Health Canada assessment

http://www.hc- sc.gc.ca/ehp/ehd/catalogue/bch_pubs/95ehd193/part1.pdf

http://www.hc- sc.gc.ca/ehp/ehd/catalogue/bch_pubs/95ehd193/part2.pdf Exposure handbook

http://www.hc- sc.gc.ca/ehp/ehd/catalogue/bch_pubs/95ehd193/part3.pdf

http://www.hc-sc.gc.ca/vetdrugs-medsvet/amr/pdf/e_finalamrreport- Advisory committee report on june27.pdf antimicrobial resistance

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Canada/Canadian http://www.hc- Human health risk Environmental Protection sc.gc.ca/ehp/ehd/catalogue/bch_pubs/cepa/approach.pdf assessment for priority Act substances

http://www.hc-sc.gc.ca/hecs-sesc/exsd/index.htm Chemical specific

assessments

http://ecb.jrc.it/Documents/Existing- Chemicals/TECHNICAL_GUIDANCE_DOCUMENT/tgdpart1.pdf EU Technical guidance

document for risk http://ecb.jrc.it/Documents/Existing- assessment Chemicals/TECHNICAL_GUIDANCE_DOCUMENT/tgdpart2.pdf

European Union Parts 1-4 http://ecb.jrc.it/Documents/Existing-

Chemicals/TECHNICAL_GUIDANCE_DOCUMENT/tgdpart3.pdf Part 1 = human health risk

assessment http://ecb.jrc.it/Documents/Existing- Chemicals/TECHNICAL_GUIDANCE_DOCUMENT/tgdpart4.pdf

Health Council of the Netherlands has issued two reports on the scientific Netherlands/RIVM http://www.engmath.dal.ca/courses/engm6675/web/passchie.htm basis of risk assessment and risk management in environmental policy.

http://www.oecd.org/ Main page – use search OECD function for individual documents

http://www.epa.gov/ncea/healthri.htm Chemical specific risk USA/EPA assessments

http://www.epa.gov/oerrpage/superfund/programs/risk/rabasics.htm Risk assessment basics

http://www.epa.gov/oerrpage/superfund/programs/risk/toolthh.htm Risk assessment tools, including guidance file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M060D020HHRAandEcoRA.htm[11/1/2014 10:22:57 AM] WLC Template

documents

http://www.epa.gov/radiation/assessment/ Radiation risk assessment

http://risk.lsd.ornl.gov/homepage/epa_hh.shtml EPA guidance documents

US/Agency for Toxic http://www.atsdr.cdc.gov/ Substances and Disease Toxicology profiles Registry

http://www-nehc.med.navy.mil/hhra/ Human health risk US/Navy assessment guidance

http://www.deq.state.or.us/wmc/cleanup/hh-intro.htm Human health risk US/State of Oregon assessment guidance

http://www.who.int/peh/ceh/ WHO Protecting children’s health

WHO/International Program http://www.who.int/pcs/ra_main.html Main risk assessment page on Chemical Safety

References for HHRA and ERA are provided in the Resources folder for the course.

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Environmental Risk Assessment

Environmental risk assessment is a multi-disciplinary study that require professional experience expertise and judgment in many areas. These areas include but are not limited to:

The determination of relevance of available data (environmental monitoring data, environmental fate, transport and accumulation data, input data to describe receptors and estimate their exposures, hazard data to determine “safe exposure limits or levels”)

The formulation and design of study ( identification and characterization of sources, environmental release rates or loadings, environmental fate modelling, exposure pathways analysis)

Risk communication of the needs and the methods (identification and engagement of all stakeholders, development of communication strategy and implementation of methods to provide and discuss information on the risk assessment and future plans).

The evaluation and selection of models and analytical methods. What models are available to estimate environmental fate and concentrations in environmental media (e.g. air dispersion and deposition models, surface water modelling, soil transport and fate models, groundwater/hydrogeology models, multi-pathway, multi- contaminants exposure analysis models,

The development of model assumptions and data input (for above models)

The evaluation of uncertainty and sensitivity of the results of the risk assessment and of the data and assumptions used in the hazard and exposure assessment.

The identification of key data gaps (areas where data or information is incomplete or missing and flaws in the methodology or risk assessment design; these key data gaps are identified based on sound science and determined to be critical to the outcome of the risk assessment).

The determination of the need for additional information (as above)

The interpretation of health and ecological significance of estimated risks (based on likelihood of occurrence, degree, type and severity of harmful health effect using a weight-of-evidence approach (based on a comprehensive review of all available information relevant to the risk assessment).

Levels of Comprehensiveness or Detail

There are different levels of comprehensiveness or detail involved in environmental risk assessments. Less detailed assessments are often referred to as screening level assessments which may involve the comparison of measured environmental levels in various media to environmental quality criteria for those media; these are often considered screening criteria or environmental triggers indicating the need for further assessment.

Screening Level 1 Assessment: may involve documentation of the historical uses and environmental releases of a contaminated environment, site or ecosystem. Should this assessment reveal that historical use practices or present conditions would have resulted or are likely to result in the release of hazardous substances to the environment then a follow-up Screening Level 2 assessment may be conducted.

Screening Level 2 Assessment: often involves a comparison of environmental monitoring data to environmental quality criteria and development of a conceptual model based on the identification of users and uses of the environment, site or ecosystem and all possible exposure pathways between environmental media and receptors (human and ecological) and a qualitative or semi- quantitative assessment of health risks. This often involves simplistic assessment using worst-case or maximizing exposure conditions based on the premise that if a worst case is not a problem, then realistic case is also not a problem.

Important Note: whenever environmental quality criteria are used as a screening tool to attention MUST be given to identifying the limiting conditions and assumptions on which the criteria are based and whether or not they are relevant to the situation under assessment. For example, if the environmental conditions are not representative of the conditions, uses, type of contaminants and mixtures of contaminants, and type of receptors and their life-stages (i.e., child vs. adult; species of fish, invertebrate, animal or microorganism and ecological function) of the environment, site or ecosystem under assessment then it is NOT scientifically valid to use those criteria as a screening tool.

Level 3 Detailed or Comprehensive Risk Assessment

A Level 3 Detailed or comprehensive risk assessment and a hazard identification process that reviews all contaminants would be required if a Level 2 assessment suggests that a health risk may exist. If there is uncertainty whether or not the most sensitive file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M060D021ERAQualitative%20vs%20Quantitative.htm[11/1/2014 10:22:57 AM] WLC Template

receptor (e.g. life stage and species, genetics and other compromising factors) (also known as the critical receptor) and the most sensitive toxicological endpoint (critical endpoint) has been used in the development of the criteria or differences in the exposure pathways exist then a Level 3 assessment needs to address these concerns. Furthermore, it is important to recognize that the knowledge of toxicity and the toxic mechanism of action of substances is continually being added to through new advances in science. These advances in scientific understanding of toxicology are realized through controlled toxicity laboratory studies, epidemiology studies and field studies. Therefore a hazard identification process that reviews the potential for health risks of all contaminants associated with sources and environmental media needs to consider the age or date of development of environmental quality criteria.

Although some recent environmental quality criteria may have been developed using health effects and risk-based methods (these consider environmental fate and all relevant exposure pathways to the receptor of concern including bioaccumulation and exposures through food) many older criteria are NOT risk-based. Some environmental quality criteria are effects-based for a specified effect in a specified organism (e.g. acute lethality in rainbow trout or fathead minnow based on the concentration that causes lethality in fifty percent of the exposed organisms, LC50) and do not include more than one exposure pathway. Other environmental criteria might be based on the analytical chemistry detection limits with no hazard-meaning, or based on aesthetics (smell and odour) from which no conclusions can be made with respect to the potential for harmful health effects to occur. In some cases the basis for regulatory exposure limits cannot be identified, which is not useful for conducting risk assessments.

Other examples of screening level criteria that are used in the selection of substances for environmental risk assessment are by comparisons to ambient or ‘background’ concentration levels in various environmental media. "Background" concentrations should be representative of the local concentrations of substances in the environment resulting from natural sources (e.g. metals and metalloids in soils through natural geological and weathering processes), and may also include contributions from non-point sources of human activity. A background comparison approach may be used to distinguish between environmental levels that are unrelated to point sources of human activity, particularly those point sources that are the focus of the environmental risk assessment (e.g. metal smelter emissions, or pulp and paper mill effluents).

Environmental risk assessments can be conducted in either a qualitative manner or quantitative manner.

Qualitative:

In qualitative environmental risk assessments the hazard, exposure and risk levels of particular environmental scenarios are expressed on using descriptive methods such as a level of concern approach.

Possible levels of concerns are: no identifiable health risk

Quantitative:

In quantitative environmental risk assessments the hazard, exposure and risk levels of particular environmental scenarios are expressed by a numerical value. Semi-quantitative and fully quantitative environmental risk assessments estimate the exposures and compare these to quantified hazard limits through a risk characterization stage. The results of the risk analysis are typically expressed as either a ratio often referred to as the Hazard Quotient (HQ) or Hazard Index (HI) for non-cancer and threshold acting substances or as a relative risk ratio of the estimated exposure to the RSD (risk specified dose) for cancer-causing substance with no identifiable threshold level. Cancer risks can also be expressed as a population risk incidence (predicted number of cancer cases within a specified population) or individual risk level (estimated risk of getting cancer in an individual).

The decision to conduct a qualitative, semi-quantitative or quantitative environmental risk assessment is largely based on the:

i) Complexity of the assessment

· Type and number of sources and information on source characterization

· chemical composition of source emissions/effluents (complex - multiple chemicals of varying types of molecules versus simple - one or two chemicals released of similar type)

· loading rates, type, point-source, non-point source, magnitude of releases, duration and frequency of emissions/effluents)

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· multiple sources of similar type to same receiving environmental compartment (i.e. multiple municipal waste waster effluents to same river system downstream one after the other)

· versus multiple sources of different types to same receiving environmental compartment (i.e. surface water) or multiple sources to different environmental compartments (e.g. pulp and paper mill waste waters discharged to river, pulp and paper stack emissions released to air; municipal drinking water treatment effluents released to same river; waste to energy incinerator stack emissions to air; underground storage tanks containing petroleum hydrocarbons in soil leaking to groundwater and river).

· Temporal history of environmental releases –

· New or proposed facility or changes

· Existing facility and current releases

· Historical activities and environmental contamination

ii) Type, availability, quantity and quality of data on:

· knowledge of environment, site or ecosystem related to history (natural and human activities) of sources and uses

· environmental monitoring of contaminants in various media

· biological data to characterize receptors (human and ecological)

· environmental fate, transport and bioaccumulation

· toxicity/epidemiology/mechanism of toxic action (biochemical and molecular biology) for hazard assessment

iii) Type of exposure analysis and information needs:

· generic approach using non-site specific information

versus

· site-specific approach requiring site-specific data (e.g. for HHRA data on dietary habits, local market basket survey, life- style factors; for ERA species and habitat data, feeding preferences, consumption rates and bioenergetics, ecological function, characterization of water chemistry including biotic and abiotic factors modifying toxicity).

Deterministic models (using point-estimates or single values for model input data) versus Probabilistic models (using distributions, ranges and confidence intervals for model input data).

iv) For ERAs, the extent of environmental monitoring and effects based studies that have been conducted for the environment, site or ecosystem of study:

· the number of years of monitoring

· the type of and number of environmental (ecological) effects studies

· the amount and quality of data available for specific areas or water system.

For highly complex environmental situations with extensive monitoring data available it is often useful to first conduct a qualitative assessment as part of the Problem Formulation stage. This involves a review of available data and information related to identification of sources, environmental loading rates and substances of interest in different environmental media on the basis of their environmental fate, transport and accumulation characteristics. The objective of the qualitative assessment is to identify key data and data gaps critical to the environmental risk assessment. In this way the questions:

· What do we know?

· What don’t we know?

· What do we need to know?

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These questions are asked during the data review process. The purpose of the qualitative assessment and data review is to identify key information available on sources, contaminants, loadings, environmental media, users (human and ecological receptors), possible exposure pathways and hazards of substances. The qualitative assessment will determine whether or not a more comprehensive environmental risk assessment is needed for the environment, site or ecosystem and focus a quantitative assessment on the substances, receptors, and the environmental media and exposure pathways in habitats or ecosystem areas that likely contribute the greatest to environmental exposures in humans and ecological receptors and hence may present the greatest health risks. Confirmation of the relative magnitude (level) of contribution to specified health risks in human and ecosystems of individual substances or groups of substances, types of environmental media and individual exposure pathways would be determined thorough a quantified environmental risk assessment using a multi-media multi-exposure pathways analysis. The combined use of a qualitative and quantitative approach maximizes the use of knowledge for the area of study in a cost- effective manner.

References for HHRA and ERA are provided in the Resources folder for the course.

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Purpose of HHRA:

1. To determine the likelihood, degree, type and severity of harmful health effects in humans resulting from exposure to contaminants in the environment.

Human Life-Stages include

Developing fetus Infant Toddler Child Adolescent Teen Adult Senior People with underlying disease states or genetic susceptibility

2. And, identify and understand key factors (chemical, biological and physical), environmental media and exposure pathways contributing to environmental health risks.

Contaminants refers to:

Chemicals (individual and mixtures)

Biologicals (e.g. bacteria, viruses, fungi, parasites, insects, foreign species, etc.)

Physical agents ( e.g. sun’s UV radiation; low frequency radiation, sound, temperature, etc.)

Environment refers to the media:

Air

Water (drinking water, surface water and sediment, ground water)

Soil and dust

and Food (plant and animal, and fish and seafood origin).

References for HHRA are provided in the Resources folder for the course.

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HHRA - Six Main Objectives

i) To estimate health risks

ii) To identify populations or individuals at greatest risk (susceptibility and vulnerability)

Life-stages -

Developing fetus

Infant

Toddler

Child

Adolescent

Teen

Adult

Senior

· sex (male, female)

· activities

· other sensitivity factors ( e.g. health status, genetics)

iii) To identify major contributors to health risks

· chemicals (substances)

· exposure pathways

· and environmental media

iv) To identify appropriate “safe” exposure limits for the location and situation, based on i) and ii) and characteristics of the environment (e.g., modifying factors of toxicity, physical properties) that have been derived by reliable and credible internationally reputable health protection organizations, and gaps.

v) To develop and identify options for risk management and environmental clean-up (if needed) to achieve iv) and protect ii)

vi) To provide input about potential risks of harmful health effects for the development and evaluation of cost-effective risk- reduction strategies by comparison those in v) on the basis of their risk reduction capability and cost-effectiveness.

References for HHRA are provided in the Resources folder for the course.

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Risk Assessment Stage #1 HHRA - Problem Formulation

· Understanding the environmental problem, objectives and needs of the study (HHRA)

· Identification of Sources (type, quantity, environmental media)

· Identification of contaminants ( individual and mixtures)

· Hazard identification (screening of all contaminants to determine those of potential health risk or concern)

· Determination of the environmental fate and transport of contaminants – in and between various environmental media

· Human uses of environment or receiving water system (past, present, future)

· Human receptors of concern – humans (includes all possible life-stages of individuals, male and female, communities and populations) using environment or receiving water system or likely to come in contact with environmental media.

· Exposure pathways of all contaminated environmental media to all human receptors identified.

Based on the above information develop a Conceptual Model for the HHRA– be sure to include all sources, environmental media (contaminants), pathways and humans receptors.

HHRA is an iterative process – information learned in one step may affect the approach and outcome of a previous stage or step and therefore requires further consideration.

Problem Formulation is the first and perhaps the MOST critical stage in the risk assessment process. Problem formulation involves developing an understanding of all factors contributing to health risks (human and ecological) within the environment, location, study area, or ecosystem chosen for assessment. This involves a review of knowledge of the history of the environment (both natural and related to human activities) and uses of the environment (human uses – past, present and future; and ecological – wildlife habitats). During this stage the risk assessor develops an understanding of the history of the environment, site or ecosystem, including the past, present and future uses, the users and inhabitants of the environment (humans and ecological), and characteristics of the environment or site. This involves the identification and characterization of sources of substances to the environment, the identification of substances in environmental media (air, water and sediment, soil, biological organisms) and possible pathways of exposure to users and inhabitants of the environment, site or ecosystem. This information is synthesized and integrated through the development of a conceptual model (or template) for the environmental risk assessment. The conceptual model (often presented as a flow diagram) illustrates all possible exposure pathways of contaminants in all types of environmental media (air and airborne particles, water (dissolved and suspended particles, sediment (pore water and particles), soil and dust, microorganisms, plant and animal tissues) to all possible receptors (human and ecological) and their respective life stages through behavior and lifestyle activities. During this scoping and problem formulation stage of ERA a number of questions are asked to help understand the conditions (environmental -biological, chemical and physical and related to human activities, and ecological processes and relationships) affecting the possibility for harmful health effects to occur in humans and other biological organisms using the environment, site or ecosystem.

Examples of types of questions asked during problem formulation:

What are the sources of contamination to the environment? Are they point source, non-point source, natural origin, from human activities (anthropogenic origin), involving single contaminants or multiple contaminants, and single sources or multiple sources?

Do the environmental releases affect the local environment or are they subject to long-range transport affecting distant communities and environments?

What types of contaminants (chemical, biological and physical substances) have been, are and will be released to the environment?

In what environmental media are these contaminants initially introduced?

And to what environmental media do they preferentially distribute to?

What type, quality, and quantity of environmental investigation data and information is needed for the level of risk assessment (Screening Level 1, Screening Level 2, Level 3 Detailed or comprehensive risk assessment)?

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How where or when should samples be collected to provide reliable estimates of contamination?

This will depend on the type of contamination, the media sampled, and sample stability.

Example- volatile chemicals (chloroform, trihalomethanes in chlorinated drinking water and benzene, ethylbenzene, xylene, toluene (BTEX), certain constituents of total petroleum hydrocarbons (TPH) readily evaporate therefore need to be collected in sealed container filled to capacity and stored under refrigeration to slow down volatilization. Some chemicals stick to filters and some go through. Also some chemicals are broken down in the presence of light (photodegradable) and therefore samples may need to be stored in dark containers. Microbial contamination may be sensitive to temperature and light, such that the number of organisms could increase or decrease during storage so certain precautions must be taken during sample collection and storage (e.g. growth media, refrigeration, oxygen or no-oxygen). For water-insoluble chemicals that adsorb to solids, collection of suspended particles and separation of dissolved phase (water and sediment porewater) from the adsorbed phase may be necessary.

If data are to be used from previous studies or other environments, site or ecosystems does a process exist for validating the data and its application in the risk assessment?

What statistical methods are appropriate for analysis and data interpretation?

What relationships exist between contaminants measured within the same environmental media and the source emissions or effluents?

What are past, present and future uses of the environment, site or ecosystem?

Who are the users (human) and what life-stages could be exposed to contaminants?

What are possible pathways of human exposure to contaminants in environmental media?

What are the ecological species, communities, habitats that may be exposed?

What are possible pathways of ecological exposure to contaminants and in what environmental media are contaminants likely to occur?

What are ecological processes of significance and ecological relationships that are critical to the ecosystem?

Receptors/Exposure Pathways

This step in the Problem Formulation stage involves the identification of the users or receptors of potential concern and all possible exposure pathways for each receptor to environmental media and potential chemicals of concern. Receptors may be human and various life-stages or different biological species, communities, and ecological processes and habitats.

CONCEPTUAL MODEL - EXPOSURE PATHWAYS MODEL

The conceptual model is based on information identified and reviewed during the problem formulation stage and integrates knowledge on:

Sources

Uses

Environmental media

Environmental fate, transport and accumulation –

Exposure pathways

Receptors (human and ecological)

The conceptual model or exposure pathway flow chart design begins with contaminants originating at their source, traveling through the environmental compartments (air, water, land) and media to contact humans and ecological receptors. The pathways of contact with environmental media depends on the use by receptors (humans and other biological organisms) of the environment, site or ecosystem.

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References for HHRA are provided in the Resources folder for the course.

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Risk Assessment Stage #2 HHRA - Hazard Identification

The hazard identification stage involves the identification of contaminants in environmental media (measured or predicted) of potential environmental health hazard (health concern to humans and components of the biological and physical environment, including defoliation, ozone depletion, photochemical smog, acid rain, global warming, etc.). The basis for identification of hazardous substances includes exposure information on their environmental concentration (measured or predicted) and environmental media, and hazard information on the degree, type, and severity of harmful health effects and knowledge of available pathways for exposure (includes fate and bioaccumulation). Individual chemicals or substances may be selected for environmental risk assessment or groups of substances that act through a similar mechanism of toxic action may be selected. In some cases where there is insufficient data to assess the toxicity of individual chemicals, surrogate chemicals or substances (chemicals and substances with similar physical-chemical properties, environmental behavior and toxicological properties) may be selected for assessment to be representative of potential health risks of other less understood chemicals and substances.

Hazard identification is essentially a screening process for the selection of those contaminants (chemical, biological, physical) for environmental risk assessment of potential significant concern.

Hazard identification may be considered to be part of the Problem Formulation Stage or may be treated as a separate stage or step in Risk Assessment.

The hazard identification screening process should take into consideration the following,

· Type of environmental emissions (e.g. combustion gases and particles; waste water effluents; oil and petroleum hydrocarbons; pesticide use).

· Environmental Releases or loadings (amount released per unit time or volume of waste material)

· Identify type of substances released (chemical, biological, physical)

· Environmental fate and environmental media based on properties of substances

· Persistence

· Transformation

· Distribution and transport in environmental compartments

· Accumulation in biological tissues or other media

· Tendency for other environmental effects (e.g. ozone depletion, global warming, acid rain)

· Environmental levels of substances related to the sources of interest in the study

· Hazard information related to degree, type and severity of effect in most sensitive receptor (human and ecological) including life-stage (critical receptor) for the most sensitive effect (critical endpoint), according to individual contaminants, and by groups of contaminants with similar properties (physical-chemical and/or toxicological).

Physical Contaminants and Chemical Contaminants are typically assessed separately and by groups of chemical and physical contaminants with similar properties and structure, similar mechanism of toxicity, mode of action causing harm to the same target tissue or toxic endpoint.

As whole mixtures such as whole effluents and as effluent fractions, and sometimes as surrogates based on structure activity relationships. Type of radiation and target tissues and cumulative impacts.

Biological Contaminants are typically assessed based on what is known about their pathogenicity (ability to cause disease), chain of transmission, immunization and disinfection methods, and resistance of pathogens to heat and chemical destruction and physical elimination.

References for HHRA are provided in the Resources folder for the course.

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Hazard Identification: Selection of Chemical Contaminants for Risk Assessment

A screening process to select substances for HHRA study should be developed based on the following and possibly others information:

· The relationship of substances selected for HHRA to sources is established and documented

· The capability of the contaminant (toxic, irritant, sensitizer) in causing acute and chronic illness and disease.

· Mode of action and mechanism of toxicity and the chronicity of disease.

· Severity of the harmful effect – toxic endpoints and target tissues, irreversible or reversible effects and cumulative harmful effects.

· Potential for interactive effects

· Bioaccumulation

· Environmental persistence

· Transformation to more toxic form

· Transport within environmental compartments and downstream

· Physical chemical properties

· Lack of toxicological health information to assess hazard (substance with unknown properties and effects)

· Comparison to Environmental Quality Criteria or Guidelines for Various Jurisdictions (Federal, State,Provicial) -*Caution: Determine basis of criteria/guideline –Is it relevant to environment, site, ecosystem, use and human users (all lifestages and exposure pathways). Is toxicology/epidemiology up to date; critical endpoints?

Retain contaminants of health concern to the local, regional, national international community ( e.g. priority pollutants such as chlorinated dioxins and furans and incineration emissions; lead and mercury and children’s environmental health; PCBs and consumers of fish, seafood, and marine mammals, and reportable and notifiable diseases caused by pathogens and parasites.

· Retain for assessment those chemical contaminants, pathogens and radioactive materials that are known to act through a similar mechanism of toxicity and/or have the same target tissue or toxic endpoint (e.g. all liver carcinogens, all neurotoxic chemicals, all endocrine disrupting substances).

· Apply a whole mixture approach for the assessment of waste waters (i.e., testing the toxicity of whole effluent or effluent fractions).

A similar selection process should be developed for pathogens and parasites and othe biological contaminants of potential significant concern, and for radioactive materials and othe physical contaminants of potential signficant concern.

References for HHRA are provided in the Resources folder for the course.

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EXAMPLE Hazard Identification: Selection of Biological Contaminants for Risk Assessment

Three Major Classes of Pathogens Causing Water-Borne Disease

1. Bacteria

2. Protozoa

3. Viruses

A comprehensive risk assessment and management approach, called a water safety plan (WSP) should support consistent and good quality water.

A hazard identification process for biological contaminants in drinking water should measure and monitor for the presence of all three major classes of pathogens and how effective is the water treatment in the removal of the major classes of pathogens and how effective is the safety of water storage methods in preventing recontamination and regrowth of microbial contamination.

Evaluating the Performance of Water Treatment Methods and Practices

National standards and guidelines for the certification of water treatment devices provide assurance that the devices are structurally sound and regulators may evaluate how well water treatment devices removes the bacterial faecal indicator organism E.coli, but these important measures are not sufficient to determine if water treatment devices reduces the amount of pathogens adequately to protect health and typically do not provide any indication of the adequate removal of non-biological contaminants for the prevention of potential impacts on health.

The performance of water treatment devices in the removal of pathogens can be classified in three tiers: highly protective; protective; or interim.

Highly contaminated source waters require a better performing water treatment device and or a multi barrier approach, such as filtration followed by chlorination.

Laboratory testing of technologies should mimic environmental and use conditions, spanning a range of water quality properties found in different source waters and according to manufacturer-recommended use procedures, and be applied for conditions simulating the lifetime of the expected use of the technology.

Water treatment products should be labelled with clear and consistent product use certification of the disinfection effectiveness that should allow users to make informed choices about the proper use of the product.

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EXAMPLE Hazard Identification: Selection of Physical Contaminants for Risk Assessment (Flow Chart)

For example: physical contaminants of potential for concern may include the following and their sources,

Particulates in Air and in Water Solid Wastes Temperature Radiation and Radioactive Materials Light Noise and vibration, currents and turbulence, including ultrasonic and sonic waves Structures

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Risk Assessment Stage #3 HHRA - HAZARD ASSESSMENT

This stage of environmental risk assessment consists of a review of the published scientific literature on hazard for each individual and group of contaminants identified for assessment in the Hazard Identification stage. Information on the toxicity, absorption, distribution, metabolism and elimination (ADME) of substances and relevant epidemiological data is reviewed. The Hazard Assessment can also include specific toxicity tests or epidemiological studies that may be conducted for the purpose of filling important data gaps in the available hazard information for a particular contaminant exposure in a population, environmental conditions and modifying factors and species and life stage. This is often the case in comprehensive ERAs and may also include studies of effects of contaminants on certain ecosystem services and ecosystem processes (e.g. fisheries sustainability, nitrogen fixation; leaf litter decomposition).

For pathogens and parasites information on the chain of transmission of infectious and communicable diseases, including vectors and fomites, and the known incubation period for developing acute and chronic illness should be assessed.

Identify what are the potential harmful health effects from exposure to the contaminant (and environmental mixtures), corresponding to the amount, duration and frequency of the dose, based on the guidance documents published by reputable and reliable health protection agencies, available published studies in the scientific literature.

Identify sensitivity factors (also called susceptibility factors or risk factors) that influence the likelihood of the type and severity of harmful effects, and the potential for the development of acute and chronic illness.

Identify whether human exposure guidelines for the contaminants and the applicable routes of exposure have been established by reputable and reliable health protection agencies and are published in the scientific literature; an exposure limit guideline represents a value of exposure below which there is expected to be no appreciable risk to human health.

The hazard assessment also involves the determination of whether the contaminants are capable of causing an immediate, delayed and cumulative harmful health effects and under what exposure conditions.Health effects are generally classified as either non- cancer effects or cancer effects.

Based on the weight-of-the available health effects evidence, health protection organizations and their experts develop "safe" acceptable exposure levels to contaminants, at or below which no harmful effects would be expected to occur, corresponding to the specified exposure route and exposure period (e.g., acute less than 24-hour exposure; short-term exposure of a few days or weeks, sub chronic exposure several weeks to months, chronic long-term exposure lasting several months to years, and chronic lifetime exposures), according to either a non-mutagenic or mutagenic mode of action.

Two fundamental types of dose-response models and exposure limits are:

1. Non-linear model, corresponding to a discernable threshold for harmful effects. defined as the dose or exposure concentration below which a defined effect will not occur for the corresponding exposure route, gender and life-stage.

Exposure limits such as a Reference Dose (RfD) or Reference Concentration (RfC) are derived for non-linear threshold-acting substances, corresponding to the critical effect on the critical target organ and for the critical receptor, and to the exposure routes and transmission routes, the environmental medium, gender and life-stage of concern. These are typically based on either of the following,

No-Observed Adverse Effect Level (NOAEL) in human and animal studies, where the NOAEL = Greatest measured concentration or amount of a substance which causes no detectable adverse alteration of morphology, functional capacity, growth, development, or life span of the target organism under defined conditions of exposure.

No Observed Effect Level (NOEL) in human and animal studies, the NOEL = Greatest concentration or amount of a substance, found by experiment or observation, that causes no alterations of morphology, functional capacity, growth, development, or life span of target organisms distinguishable from those observed in normal (control) organisms of the same species and strain under the same defined conditions of exposure.

Lowest-Observed Adverse Effect Level (LOAEL) in human and animal studies, where the LOAEL = Lowest concentration or amount of a substance (dose), found by experiment or observation, that causes an adverse effect on morphology, functional capacity, growth, development, or life span of a target organism distinguishable from normal (control) organisms of the same species and strain under defined conditions of exposure.

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Lowest Observed Effect Level (LOEL) in human and animal studies, where the LOEL = Lowest concentration or amount of a substance (dose), found by experiment or observation, that causes any alteration in morphology, functional capacity, growth, development, or life span of target organisms distinguishable from normal (control) organisms of the same species and strain under the same defined conditions of exposure.

Effect levels and exposure limits may be different for various toxicological endpoints and taking into account the susceptibility of different life-stages. ( e.g., the developing fetus, newborn, infant, toddler, child < 6 years, sexually immature offspring in juvenile animal studies and sexually mature adult animals).

2. Linear model (single-stage and multi-stage), corresponding to a theoretical principle of a self-propagating lesion or harm at the cellular level that can lead to greater detrimental effects at the tissue and whole organism level; primarily applied in the assessment of contaminants that are known to be mutagenic and carcinogenicity, especially that of chemical mutagens and radiation. A conservative model used in the assessment of carcinogens for which there is insufficient human and animal data demonstrating unequivocally a non-linear mode or mechanism of action. Underlying assumption is that all exposures no matter how small cause harmful biological effects.

Exposure limits for mutagens and for carcinogens that are known mutagens, or lacking sufficient evidence of a threshold and non- linear dose response model are typically derived using the unit risk approach (UR) and calculation of a risk specified dose (RSD)

In deriving an acceptable exposure limit for humans uncertainty factors (UF) are applied based on the general assumption that humans are more sensitive than animals, and according to the type and completeness of the toxicological and epidemiological data.

Non-Cancer Effects

Exposure Limits identified in the hazard assessment and used in the Risk Characterization stage of the HHRA are doses that are considered to be “safe” based on the NOAEL (or NOEL) and applied safety factors. Exposure limits guidelines for several environmental contaminants have been developed for the protection of human health by the WHO and various government regulatory organizations using this approach based on the application of safety or uncertainty factors to the NOAEL or LOAEL. The regulatory exposure limit for non-cancer effects (non-mutagenic effects, assuming a non-linear dose-response) is called the Reference Dose (RfD) having units micrograms contaminant per kg body weight per day. In foods this "safe" exposure limit is referred to as the Acceptable Daily Intake (ADI) or the Tolerable Daily Dose (TDI). Limits for environmental exposures to contaminants in air are called the Reference Concentration (RfC) having units of micrograms of contaminant per cubic metre of air (m3).

Typical Safety Factors or Uncertainty Factors

Effect Observed Effect Estimated Safety (Uncertainty Factor)

In Animal Study In Humans X 10

In Average Individual In Sensitive Individual X 10

Lowest Observed Adverse Effect No Observed Adverse Effect Level X10 Level (LOAEL) (NOAEL)

Less than Chronic Study Chronic Exposure or Lifetime X 10 Exposure

Dose-response and mechanism of Data Quality toxicity well understood to poorly X 1 to 10 understood

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1. Empirical data indicate that differences between human sensitivity and that in animals may be less than 10-fold or greater than 10-fold when calculated on the basis of body surface area.

2. It is generally assumed that the most sensitive individuals or sub-population may be 10-fold more sensitive than the average individual (and test animal).

3. Exposure limits for food and lifetime exposures are ideally based on results of long-term chronic studies in animals (> 6 months, usually 18 mos to 2 y in rats). If the critical study and critical effect (most sensitive toxicity endpoint) is a less than lifetime study then a 10-fold chronic exposure uncertainty factor is applied to the NOAEL.

4. When a harmful health effect is observed at all doses tested, even at the lowest dose, the Lowest Observed Adverse Effect Dose is used to determine the RfD. In which case an additional uncertainty factor of 10-fold is applied. Sometimes depending on the type of effect and species (e.g. non-human primates) an uncertainty factor between 1 and 10 is used.

5. An uncertainty factor to account for data quality and quantity may be applied based on the completeness of the overall toxicology information, the number of species and type of effects tested. This can range from 1 to 10. Typically a value of 1 is applied.

The RfD is specific for a certain health effect and life-stage depending on the critical endpoint in the study on which it is based (e.g. RfD for liver toxicity is an exposure limit or level at or below which No observable adverse effects of liver toxicity would be likely to occur).

A chemical contaminant, or group of chemicals, with similar properties can have more than one RfD depending on the life-stage, exposure route and toxicity endpoint.

Chemical Exposure Toxic Effect LOAEL and Safety factor/Uncertainty RfD Route and NOAEL factor duration

Inorganic Oral Ingestion Human studies: LOAEL = 0.17 X3 for differences in NOAEL/3 Arsenic mg/L (0.014 sensitivities in individuals Lifetime daily Skin Pigmentation, mg/kg/d) within a population exposure via Cardiovascular drinking water and Blood Effects Chronic Daily Oral in Humans Non-Cancer Risk NOAEL = Estimated for 0.009 mg/L = 0.0003 mg/L or mean inorganic (0.0008 arsenic in drinking mg/kg/d) 0.0003 mg/kg body water of 0.001 to weight/day 0.017 mg/L (US EPA, 1998)

Inorganic Either Oral, Human studies: LOAEL= 0.05 100X LOAEL/100 Arsenic Dermal or mg/kg body Inhalation- edema of the face, weight/day [10X factor for individual Short term and variation in sensitivities Intermediate Incidental gastrointestinal, within the exposed Exposure = Shorthand upper respiratory, population, and an additional Intermediate- skin, peripheral 10X uncertainty factor is 0.0005 mg/kg body Term Exposure and neuropathy applied due to: weight/day symptoms (1). Lack of the NOAEL and no other data to support a NOAEL for the short-term effects; (2) Concern of the severity of the effects such

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as the irreversible peripheral neuropathy in some individuals; and

(3). Effects of short-term exposure are different from longer-term exposure. Transient short-term effects masks continued accumulation of effects with repeated exposure, and some effects may appear even after arsenic intake stopped.

Inorganic Dermal Long- based on NOAEL= X 3 differences in NOAEL/3 Arsenic Term hyperpigmentation, 0.0008 mg/kg sensitivities among keratosis and body individuals within the possible vascular weight/day population. complications Dermal Long-term skin and cardiovascular effects =

0.0003 mg/kg body weight/day

TPH: Toxicity is dependent on Some individual components substances and may include: their interactions Benzene

Toluene

Xylene

PAHs

Benzo-a- pyrene

2,3,7,8-TCDD Oral Ingestion Reproductive NOAEL = 100X 10 x 10-9 mg/kg body effects and non- weight/day Lifetime daily genotoxic 1 x 10-9 mg/ exposure in mechanism of kg body diet and cancer promotion weight/day X 10 for animal study to drinking water in liver estimate effects in humans; (Environment x 10 differences in Canada, 1990) sensitivities among individuals within the population

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2,3,7,8-TCDD Oral Ingestion Cancer One-in-a- Cancer slope factor q* = 0.006 (US EPA, million risk 1.56 x 105 1984) Lifetime daily Non-Threshold incremental exposure in mechanism cancer diet and increase drinking water

Cancer Effects

Several carcinogens are also mutagens that have been shown or assumed to act through a mutagenic mode of action by causing damage to the DNA in exposed cells, allowing for the theoretical possibility of self-propagation of lesions at the molecular and cellular level manifesting in various types of cancer. The underlying assumption is that all exposures no matter how small may carry some risk of irreversible harmful biological effects. This is the case for “True or classic” carcinogens that are mutagenic (genotoxic).However, not all carcinogens are mutagens (genotoxic) and various mechanisms of carcinogenesis have been proposed. For cancer effects a risk specified dose (RSD), corresponding to a risk of developing cancer in a lifetime spanning a one-in-one million [1x10-6] is usually derived as an acceptable guideline for environmental exposures to carcinogens. Based on results of animal cancer studies and human epidemiology studies the cancer potency or cancer risk slope factor is statically determined using mathematical models.

Unit Cancer Risk = cancer incidence per gram of chemical contaminant.

Sources of Hazard Information:

i) Recognized Health Risk Assessment Organizations:

· WHO – IPCS

· IARC

· ATSDR

· US EPA

· Health Canada

· UK Environment Agency

· RIVM Netherlands

ii) Published Scientific Literature

Toxicity, epidemiology, biochemistry, microbiology, molecular biology studies

human, animal, and non-animal test-tube (in vitro) studies

iii) Site-Specific Toxicity Tests and Health Studies

Toxicity: individual chemicals /whole mixtures /mixture fractions

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Example - soil/dust, water/sediment, air/dust– ingestion, inhalation, dermal

Community Health (exposure/effects): exposure metric and blood/urine analysis for indicators of exposure and/or effects

Resources on Health Effects and Exposure Limits

For each chemical contaminants selected for assessment using the available published guidance identify acceptable and permissible exposure limits derived by the World Health Organization (WHO) International Programme on Chemical Safety (INCHEM). http://www.who.int/ipcs/methods/en/ and http://www.inchem.org/

Additional sources of information are:

Environmental Health Criteria Monographs (EHCs) http://www.who.int/ipcs/publications/ehc/ehc_numerical/en/index.html and http://www.inchem.org/pages/ehc.htm Toxicological Profiles for Chemicals Agency for Toxic Substance and Hazardous Diseases registry (ATSDR) http://www.atsdr.cdc.gov/toxprofiles/index.asp

Reference doses derived by the U.S. Environmental Protection Agency Integrated Risk Information System (IRIS) http://www.epa.gov/IRIS/

Health Canada's guidance on environmental contaminants http://www.hc-sc.gc.ca/ewh-semt/contaminants/index-eng.php and existing substances http://www.hc-sc.gc.ca/ewh-semt/contaminants/existsub/index-eng.php

CLASSIFICATION OF CARCINOGENICITY

Classification according to International Agency for Research on Cancer IARC

http://www.iarc.fr/

The IARC Classification is based on the weight of the evidence and not on potency as follows,

1. Sufficient evidence. Causal relationship has been established between exposure to the agent and human cancer: a positive relationship has been observed between exposure to the agent and cancer in studies in which chance, bias, and confounding could be ruled out with reasonable confidence.

2. Limited evidence. Positive association has been observed between exposure to the agent and cancer for which a causal interpretation is considered to be credible, but chance, bias, or confounding could not be ruled out with reasonable confidence.

3. Inadequate evidence. Available studies are of insufficient quality, consistency, or statistical power to permit a conclusion regarding the presence or absence of a causal association.

4. Evidence suggesting lack of carcinogenicity. There are several adequate studies covering the full range of doses to which human beings are known to be exposed, which are mutually consistent in not showing a positive association between exposure to the agent and any studied cancer at any observed level of exposure. A conclusion of “evidence suggesting lack of carcinogenicity” is inevitably limited to the cancer sites, circumstances, and doses of exposure and length of observation covered by the available studies. In addition, the possibility of a very small risk at the levels of exposure studied can never be excluded.

5. Overall evaluation. Total body of evidence is taken into account; the agent is described according to the wording of one of the following categories, and the designated group is given. The categorization of an agent is a matter of scientific judgment, reflecting the strength of the evidence derived from studies in humans and in experimental animals and from other relevant data.

Group 1 The agent (mixture) is carcinogenic to humans. The exposure circumstance entails exposures that are carcinogenic to humans. This category is used only when there is sufficient evidence of carcinogenicity in humans. Exceptionally, an agent (mixture) may be placed in this category when evidence

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of carcinogenicity in humans is less than sufficient, but there is sufficient evidence of carcinogenicity in experimental animals and strong evidence in exposed humans that the agent (mixture) acts through a relevant mechanism of carcinogenicity.

Group 2 This category includes agents, mixtures, and exposure circumstances for which, at one extreme, the degree of evidence of carcinogenicity in humans is almost sufficient, as well as those for which, at the other extreme, there are no human data but for which there is evidence of carcinogenicity in experimental animals. Agents, mixtures, and exposure circumstances are assigned to either 2A (probably carcinogenic to humans) or 2B (possibly carcinogenic to humans) on the basis of epidemiological and experimental evidence of carcinogenicity and other relevant data. Group 2A The agent (mixture) is probably carcinogenic to humans. The exposure circumstance entails exposures that are probably carcinogenic to humans. This category is used when there is limited evidence of carcinogenicity in humans and sufficient evidence of carcinogenicity in experimental animals. In some cases, an agent (mixture) may be classified in this category when there is inadequate evidence of carcinogenicity in humans and sufficient evidence of carcinogenicity in experimental animals and strong evidence that the carcinogenesis is mediated by a mechanism that operates in humans. Exceptionally, an agent, mixture, or exposure circumstance may be classified in this category solely on the basis of limited evidence of carcinogenicity in humans. Group 2B The agent (mixture) is possibly carcinogenic to humans. The exposure circumstance entails exposures that are probably carcinogenic to humans This category is generally used for agents, mixtures, and exposure circumstances for which there is limited evidence of carcinogenicity in humans and less than sufficient evidence of carcinogenicity in experimental animals. It may also be used when there is inadequate evidence of carcinogenicity in humans but there is sufficient evidence of carcinogenicity in experimental animals. In some instances, an agent, mixture, or exposure circumstance for which there is inadequate evidence of carcinogenicity in humans but limited evidence of carcinogenicity in experimental animals together with supporting evidence from other relevant data may be placed in this group.

Group 3 The agent (mixture or exposure circumstance) is not classifiable as to its carcinogenicity to humans. This category is used most commonly for agents, mixtures, and exposure circumstances for which the evidence of carcinogenicity is inadequate in humans and inadequate or limited in experimental animals. Exceptionally, agents (mixtures) for which the evidence of carcinogenicity is inadequate in humans but sufficient in experimental animals may be placed in this category when there is strong evidence that the mechanism of carcinogenicity in experimental animals does not operate in humans. Agents, mixtures, and exposure circumstances that do not fall into any other group are also placed in this category.

Group 4 The agent (mixture) is probably not carcinogenic to humans. This category is used for agents or mixtures for which there is evidence suggesting lack of carcinogenicity in humans and in experimental animals. In some circumstances, agents or mixtures for which there is inadequate evidence of carcinogenicity in humans but evidence suggesting lack of carcinogenicity in experimental animals, consistently and strongly supported by a broad range of other relevant data, may be classified in this group

Classification of Carcinogens into Five Groups, according to the USEPA

Source: USEPA Fact Sheet: EPA's Guidelines for Carcinogen Risk Assessment http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm? deid=119032

USEPA. Guidelines for Carcinogen Risk Assessment, U.S. Environmental Protection Agency, Washington, DC (2005). http://www.epa.gov/osainter/mmoaframework/pdfs/CANCER-GUIDELINES-FINAL-3-25-05[1].pdf

Carcinogenic to Humans: The Guidelines recommend this descriptor when there is convincing epidemiologic evidence demonstrating causality between human exposure and cancer, or exceptionally when there is strong epidemiological evidence, extensive animal evidence, knowledge of the mode of action, and information that the mode of action is anticipated to occur in humans and progress to tumors.

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Likely to be Carcinogenic to Humans: The Guidelines recommend this descriptor when the available tumor effects and other key data are adequate to demonstrate carcinogenic potential to humans, but does not reach the weight-of-evidence for the descriptor "carcinogenic to humans."

Suggestive Evidence of Carcinogenic Potential: The Guidelines recommend this descriptor when the evidence from human or animal data is suggestive of carcinogenicity, which raises a concern for carcinogenic effects but is judged not sufficient for a stronger conclusion.

Inadequate Information to Assess Carcinogenic Potential: The Guidelines recommend this descriptor when available data are judged inadequate to perform an assessment.

Not Likely to be Carcinogenic to Humans: The Guidelines recommend this descriptor when the available data are considered robust for deciding that there is no basis for human hazard concern.

Note: Multiple Descriptors: More than one descriptor can be used when an agent's effects differ by dose or exposure route. For example, an agent may be “Carcinogenic to Humans” by one exposure route but “Not Likely to Be Carcinogenic” by a route by which it is not absorbed. Also, an agent could be “Likely to Be Carcinogenic” above a specified dose but “Not Likely to Be Carcinogenic” below that dose because a key event in tumor formation does not occur below that dose. (USEPA, 2005).

USEPA. Guidelines for Carcinogen Risk Assessment, U.S. Environmental Protection Agency, Washington, DC (1986). http://www.epa.gov/raf/publications/pdfs/CA%20GUIDELINES_1986.PDF

Previous classification system derived by USEPA (1986) was as follows, Group A: “Human Carcinogen” “This group is used only when there is sufficient evidence from epidemiologic studies to support a causal association between exposure to the agents and cancer.”

Group B (1 and 2): “Probable Human Carcinogen” “This group includes agents for which the weight of evidence of human carcinogenicity based on epidemiologic studies is ‘limited’ and also includes agents for which the weight of evidence of carcinogenicity based on animal studies is ‘sufficient’. The group is divided into two subgroups. Usually, Group B1 is reserved for agents for which there is limited evidence of carcinogenicity from epidemiological studies. It is reasonable, for practical purposes, to regard an agent for which there is ‘sufficient evidence of carcinogenicity’ in animals as if it presented a carcinogenic risk to humans. Therefore, agents for which there is ‘sufficient’ evidence from animal studies and for which there is ‘inadequate evidence’ or ‘no data’ from epidemiologic studies would usually be categorized under Group B2.”

Group C: “Possible Human Carcinogen” “This group is used for agents with limited evidence of carcinogenicity in animals in the absence of human data. It includes a wide variety of evidence, e.g., (a) a malignant tumor response in a single well conducted experiment that does not meet conditions for sufficient evidence, (b) tumor responses of marginal statistical significance in studies having inadequate design or reporting, (c) benign but not malignant tumors with an agent showing no response in a variety of short-term tests for mutagenicity, and (d) responses of marginal statistical significance in a tissue known to have a high or variable background rate.”

Group D: “Not Classifiable as to Human Carcinogenicity” “This group is generally used for agents with inadequate human and animal evidence of carcinogenicity or for which no data are available.”

Group E: “Evidence of Non-Carcinogenicity for Humans” “This group is used for agents that show no evidence for carcinogenicity in at least two adequate animal tests in different species or in both adequate epidemiologic and animal studies. The designation of an agent as being in Group E is based on the available evidence and should not be interpreted as a definitive conclusion that the agent will not be a carcinogen under any circumstances.”

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Hazard Assessment Special Considerations CANCER RISK POTENCY ESTIMATION

UNIT RISK and RISK SPECIFIC DOSES

Unit risk estimates express the slope in terms of micrograms/L drinking water or micrograms/m3 or ppm air. In general, the drinking water unit risk is derived by converting a slope factor from units of mg/kg-d to units of micrograms/L, whereas an inhalation unit risk is developed directly from a dose-response analysis using equivalent human concentrations already expressed in units of micrograms/m3. Unit risk estimates often assume a standard intake rate (L/day drinking water or m3 /day air) and body weight (kg), which may need to be reconciled with the exposure factors for the population of interest in an exposure assessment. When the cancer risk slope factor for inhalation is in units of ppm, it may sometimes be termed the inhalation unit risk.

Risk-specific doses are derived from the slope factor or unit risk to estimate the dose associated with a specific risk level, for example, a one-in-a-million increased lifetime risk.

There is some evidence for certain substances in certain situations that short-duration risks are not necessarily proportional to exposure duration and can depend on the nature of the carcinogen and the timing of exposure.

The dose-response assessment can provide a recommendation to exposure assessors about the averaging time that is appropriate to the mode of action and to the exposure duration of the scenario. For example, where there is evidence of precursor effects that result from less than a lifetime exposure, that exposure period may be used to derive the cancer risk potency. This reflects an expectation that the precursor effects on which the analysis is based can result from less-than-lifetime exposure, bringing consistency to the methods used for dose-response assessment and exposure assessment in such cases. A non-linear analysis may be used to derive the cancer risk potency or tumorigenic risk.

Some Limitations of Epidemiological Studies For Hazard Assessment in HHRA

To the exposure range observed in many epidemiologic studies and the age and gender and lifestyle of the study population (often adult male worker). Coined the "Healthy Worker Effect".

The latent period for most cancers implies that exposures immediately preceding the detection of a tumor would be less likely to have contributed to its development and, therefore, may count less in the analysis. Study subjects who were first exposed near the end of the study may not have had adequate time since exposure for cancer to develop; therefore, analysis of their data may be similar to analysis of data for those who were not exposed.

For carcinogens that act on multiple stages of the carcinogenic process, especially the later stages, all periods of exposure including recent exposures may be important.

Epidemiologic studies, by their nature, are limited in the extent to which they can control for effects due to exposures from other agents. In some cases, the agent can have discernible interactive effects with another agent, making it possible to estimate the contribution of each agent as a risk factor for the effects of the other. This can lead to overestimation of toxicity and cancer risk potency or underestimation.

Findings and analysis depends on the type of study and quality of the data, particularly the availability of quantitative measures of exposure.

Many studies collect information from death certificates, which leads to estimates of mortality rather than incidence.

Because survival rates vary for different cancers, the analysis may be improved by adjusting mortality figures to reflect the relationship between incidence and mortality.

Comparison groups that are not free from exposure to the agent can bias the risk estimates toward zero. The analysis can be improved by considering background exposures in the exposed and comparison groups.

Some study designs can yield only a partial characterization of the overall hazard and therefore risk as, for example, in studies that: (1) investigate only one effect (typical of many

case-control studies), (2) include only one population segment (e.g., male workers or workers of one socioeconomic class), or (3) include only one life stage (e.g., childhood leukemia following maternal exposure to contaminated

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drinking water).

When several studies are available for dose-response analysis, meta-analysis can provide a systematic approach to weighing positive studies and those studies that do not show positive results, and calculating an overall risk estimate with greater precision. Issues considered include the comparability of studies, heterogeneity across studies, and the potential for a single large study to dominate the analysis. Confidence in a meta-analysis is increased when it considers study quality, including definition of the study population and comparison group, measurement of exposure, potential for exposure misclassification, adequacy of follow-up period, and analysis of confounders

A nonlinear approach should be selected when there are sufficient data to ascertain the mode of action and conclude that it is not linear at low doses and the agent does not demonstrate mutagenic or other activity consistent with linearity at low doses. Special attention is important when the data support a nonlinear mode of action but there is also a suggestion of mutagenicity.

Both linear and nonlinear approaches may be used for the same contaminant when there are multiple modes of action. For example, an agent can act predominantly through cytotoxicity at high doses and through mutagenicity at lower doses where cytotoxicity does not occur.

Health effects (acute, subchronic and chronic) must match with the averaging period of the duration of the administered dose in animal testing or exposure period of epidemiological studies (acute, short-term, long-term, chronic).

When the response differs qualitatively as well as quantitatively with dose, this information should be part of the characterization of the hazard. In some cases reaching a certain dose range can be a precondition for effects to occur, as when cancer is secondary to another toxic effect that appears only above a certain dose. In other cases exposure duration can be a precondition for hazard if effects occur only after exposure is sustained for a certain duration. These considerations differ from the issues of uptake or potency at different dose levels because they may represent a discontinuity in a dose-response function.

Toxicokinetic modeling can be used to compare results of studies by different exposure routes. Results can also be compared on the basis of internal dose for effects distant from the point of contact.

If testing by different exposure routes is available, the observation of similar or dissimilar internal doses can be important in determining whether and what conclusions can be made concerning the dose-response function(s) for different routes of exposure.

For chronic exposure studies, the cumulative exposure or dose administered often is expressed as an average over the duration of the study, as one consistent dose metric. This approach implies that a higher dose administered over a short duration is equivalent to a commensurately lower dose administered over a longer duration. Uncertainty usually increases as the duration becomes shorter relative to the averaging duration or the intermittent doses become more intense than the averaged dose. Moreover, doses during any specific susceptible or refractory period would not be equivalent to doses at other times. For these reasons, cumulative exposure or potential dose may be replaced by a more appropriate dose metric when indicated by the data. (U.S. EPA 2005).

Ideally, epidemiologic data would be used to select the dose-response function for human exposures, but epidemiological data are often limited in their application and representativeness for deriving exposure limits, in particular those pertinent to children and maternal health, and to the general population.

Special Considerations - Susceptibility Corresponding to Life stages

Some exposures to certain contaminants that occur during in utero and early-life can contribute to health effects in the newborn child and later-on in puberty and in adulthood.

Current environment and health policies and regulations and risk assessment guidance by leading health protection organizations and agencies and governments emphasize the importance of addressing the disproportionate health and safety risks from environmental exposures in children and those impacting maternal health.

Guidance for assessing health risks, including cancer risks often view children (and childhood) as a sequence of life stages within the entire population, rather than as a single subgroup.

Rarely are there studies that directly evaluate risks following early-life exposure. Epidemiologic studies of early-life exposure to environmental agents in children are seldom available.

Standard animal bioassays generally begin dosing after the animals are several weeks old, when many organ systems are mature.

In regard to the science of carcinogenesis, an accepted concept is that young animals are usually more susceptible to the carcinogenic activity of a chemical than are mature animals (McConnell, 1992).

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There is some evidence from human epidemiological studies of higher cancer risks following early-life exposure. For radiation carcinogenesis, data indicate that risks for several forms of cancer are highest following childhood exposure (NRC, 1990; Miller, 1995; U.S. EPA, 1999c cited in USEPA, 2005 Risk Assessment Guidance for Carcinogens).

These human results are supported by the few animal studies that include perinatal (prenatal or early postnatal) exposure. Perinatal exposure to some agents can induce higher incidences of the tumors seen in standard bioassays; some examples include vinyl chloride (Maltoni et al., 1981), diethylnitrosamine (Peto et al., 1984 cited in USEPA 2005), benzidine, DDT, dieldrin, and safrole (Vesselinovitch et al., 1979 cited in USEPA 2005). Moreover, perinatal exposure to some agents, including vinyl chloride (Maltoni et al., 1981 cited in USEPA 2005) and saccharin (Cohen, 1995; Whysner and Williams, 1996 cited in USEPA 2005), can induce different tumors that are not seen in standard bioassays.

Surveys comparing perinatal carcinogenesis testing with standard carcinogenicity testing for a limited number of chemicals have concluded that:

• the same tumor sites are usually observed following either perinatal or adult exposure, and

• perinatal exposure in conjunction with adult exposure usually increases the incidence of tumors or reduces the latent period before tumors are observed.

Some aspects potentially leading to childhood susceptibility:

• Differences in the capacity to metabolize and clear chemicals can result in larger or smaller internal doses of the active agent(s).

• More frequent cell division during development can result in enhanced expression of mutations due to the reduced time available for repair of DNA lesions (Slikker et al., 2004).

• Some embryonic cells, such as brain cells, lack key DNA repair enzymes.

• More frequent cell division during development can result in clonal expansion of cells with mutations from prior unrepaired DNA damage (Slikker et al., 2004).

• Some components of the immune system are not fully functional during development (Holladay and Smialowicz, 2000; Holsapple et al., 2003).

• Hormonal systems operate at different levels during different life stages.

• Induction of developmental abnormalities can result in a predisposition to carcinogenic effects later in life (Anderson et al., 2000; Birnbaum and Fenton, 2003; Fenton and Davis, 2002).

To evaluate risks from early-life exposure, state-of-the-art risk assessment guidelines emphasize the role of toxicokinetic information to estimate biologically active levels in the body and toxicodynamic information to identify whether any key events of the mode of action of toxicity, carcinogenicity and pathogenicity are of increased concern early in life. Developmental toxicity studies and morbidity and mortality disease registries can provide information on critical periods of exposure in fetal development and early-life time for particular targets of toxicity and the occurrence of acute and chronic illness and disease in the fetus, newborn and child and those coinciding with impacts on maternal health.

Life-Stage Approach for Hazard Assessment

In a life-stage approach for hazard assessment, when there are mode of action data available, the hazard assessment should consider whether these data have special relevance to pregnancy and maternal health, fetal and child development, giving attention to the various aspects of development listed above and others such as pleurperal fever, toxemia, preeclampsia, preterm delivery, and other potential health effects of biological, chemical and physical contaminants. The differences in biological processes among routes of exposure (oral, inhalation, dermal) can be great. Route-to-route extrapolation of dose data is generally discouraged and requires specialist professional knowledge relying on a case-by-case analysis of the available data as appropriate to the situation.

Examples of such data for consideration of critical effects should include toxicokinetics (ADME) that predict a sufficiently large internal dose in maternal organs and tissues and in uterine tissues and organs and tissues in the newborn and child, or a mode of action where a key precursor event is more likely to occur during pregnancy, the perinatal period and in child development, including puberty. In the dose-response assessment, the potential for susceptibility during childhood warrants explicit consideration in each assessment.

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In addition to metabolic differences, there are also important toxicodynamic differences; for example, children have faster rates of cell division than do adults, so scaling across different life stages and species simultaneously may be particularly uncertain.

State-of-the-art HHRA guidelines encourage developing separate risk estimates for children according to a tiered approach that considers what pertinent data are available. Childhood may be a susceptible period; moreover, exposures during childhood generally are not equivalent to exposures at other times and may be treated differently from exposures occurring later in life. In addition, adjustment of unit risk estimates may be warranted when used to estimate risks from childhood exposure.

When data are available for a sensitive life stage, they should be used, as appropriate, to evaluate risks for that chemical and that life stage on a case-by-case basis.

For example susceptibility to endocrine disruption may differ corresponding to developmental life-stage. Puberty and its associated biological changes, for example, involve many biological processes and corresponding physiologically mediated changes that might influence sensitivity to the effects of some carcinogens, depending on their mode of action.

The hazard assessment should also give attention to whether there are mode of action data that have special relevance to the susceptibility of the aging population and subgroups in the general population, in particular perimenopausal women, the elderly, and data pertinent to increased susceptibility corresponding to sex and hormonal homeostasis (M or F), heritable traits (genetic polymorphisms) and metabolism (epigenetic traits), and those with pre-existing health conditions, such as CVD, immuno- suppression, dementia.

The human respiratory system passes through several distinct stages of maturation and growth during the first several years of life and into adolescence (Pinkerton and Joad, 2000), potentially influencing the contact and retention of inhaled toxicants and their systemic distribution.. Children and adults breathing the same concentration of an agent may receive different doses to the body, to the lungs and different parts of respiratory system.

Example of a Flow Chart for the Risk Assessment of Carcinogens Taking into Account Susceptible Life stages -

Note the flowchart should be expanded to include maternal health and the developing fetus and her baby during pregnancy and the perinatal period, as well as postnatal child development through puberty to adulthood.

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When to Use a Tiered Risk Assessment Approach to Address Susceptible Populations and Life stages

When there is epidemiological studies or an animal studies that reports quantitative results for susceptible individuals, the data should be analyzed to provide a separate risk estimate for those who are susceptible. If susceptibility pertains to a life stage, it is useful to characterize the portion of the lifetime risk that can be attributed to the susceptible life stage.

When there are data on some risk-related parameters that allow comparison of the general population and susceptible individuals, the data should be analyzed with an eye toward adjusting the general population estimate for susceptible individuals. This analysis can range from toxicokinetic modeling that uses parameter values representative of susceptible individuals to more simply adjusting a general population estimate to reflect differences in important rate-governing parameters. Care is taken to not make parameter adjustments in isolation, as the appropriate adjustment can depend on the interactions of several parameters; for example, the ratio of metabolic activation and clearance rates can be more appropriate than the activation rate alone (U.S. EPA, 1992b).

In the absence of such agent-specific data, there is some general information to indicate that childhood can be a susceptible life stage for exposure to some carcinogens (U.S. EPA, 2005); this warrants explicit consideration in each assessment. The potential for susceptibility from early-life exposure is expected to vary among specific agents and chemical classes. In addition, the concern that the dose-averaging generally used for assessing less-than-lifetime exposure is more likely to understate than overstate risk

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(see Section 3.4) contributes to the suggestion that alternative approaches be considered for assessing risks from less-than-lifetime exposure that occurs during childhood. Accompanying these cancer guidelines is the Supplemental Guidance that the Agency will use to assess risks from early-life exposure to potential carcinogens (U.S. EPA, 2005).

CONSIDERATIONS IN HAZARD ASSESSMENT

NOTE: Given the vast amount of information available on the hazard of many environmental substances it is advisable to begin the Hazard Assessment with a search of published peer reviews on the toxicity and hazard for each substance or group of substances. For those substances for which an authoritative review of health effects has been published by a recognized health risk assessment organization (see organizations listed below) the risk assessor would prepare a brief summary of the conclusions of the assessment identifying any critical studies and effects levels for threshold substances (e.g. NOAELs, NOELS, LOELs) and non- threshold substances the specified cancer risk level and types of cancer. This information would be supplemented by a review of all relevant studies published in the scientific literature from one or two years prior to the date of the authoritative review to the present data. This approach is recommended to ensure that any new developments in toxicology or human epidemiology that could alter the interpretation of hazard are addressed in the HHRA and the development of ‘safe’ exposure limits.

Substances can cause many different toxic effects and can exert toxicity through more than one mechanism of toxic action. And interactions can occur (additive, antagonistic, synergistic , potentiative) [See Toxicity of Mixtures Lecture No. 3].

Effects caused by the same substance may differ depending on the route of exposure and exposure media, as well as the duration and frequency of exposure (e.g. long-term daily inhalation exposure of chemical Y may cause only lung cancer whereas oral ingestion of chemical Y may cause both lung cancer and internal cancers – this is observed for high level exposures to arsenic trioxide in air via occupational exposure to smelter emissions versus high level daily exposure to inorganic arsenic in drinking water).

Also, effects of observed in animals may not always be the same in humans due to differences in species metabolism and physiology and physical characteristics. Also differences in effects are observed between males and females due to differences in metabolism, hormones and physiology, and tissues. Not all animal carcinogens are carcinogenic in humans; however, the only chemical confirmed to cause cancer in humans and generally not carcinogenic in animals is inorganic arsenic – This observation may be due to differences in long-term exposure between humans and rats (average life-span in humans is 70 years vs. that in rats is 2 years) and the latency of development of cancer in humans.

Special considerations are warranted for the most sensitive and susceptible human receptors – early life-stages (child defined as 3 months pre-conception to 18 years), the elderly, and immuno-compromised individuals in populations

Example- Multiple Toxicological Endpoints Per Chemical

Chemical Toxicological Endpoint (Acute and Chronic Effects)

Inorganic Arsenic Acute Effects: Chronic Cancer of: Chronic Non-Cancer Effects on:

Lethality Lung Blood

Gastro-Intestinal Skin Cardiovascular System Pain Kidney Peripheral Nervous System Vomiting Bladder Skin Coma Reproductive and Developmental

Immune System

TPH: Acute toxicity is Chronic cancer Chronic non-cancer effects are chemical chemical specific; effects are chemical specific, may act on the same targets Chemical high level exposures specific, but may act organs (e.g., nervous system, immune

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composition may are harmful to the on the same targets system, liver, blood, skin) and may be include among nervous system and organs (e.g., liver, influenced by cumulative exposures and others: blood and liver and blood, immune exposures to solvent mixtures. are influenced by system) and may be Benzene cumulative exposures influenced by Blood to solvents and to exposures to solvent Toluene solvent mixtures. mixtures. Cardiovascular System Xylene Nervous System

PAHs Skin

Benzo-a-pyrene Reproductive and Developmental

Immune System

2,3,7,8-TCDD Lethality (delayed) Cancer of: Liver, Non-Cancer Effects: Teratogenicity (birth Lung (high doses); defects); Reproductive Effects (reduction Soft-tissue Sarcoma in fertility, number of offspring, survival (human after birth, and body weight, and impaired epidemiology) reproduction in mature offspring of exposed parents), Behavior Developmental Effects, Immune System Effects, Changes in Natural Hormone Non-genotoxic. Levels (endocrine disruption), Liver toxicity, Chloracne

PCBs Lethality (low Cancer of: Liver Non-Cancer Effects: Teratogenicity (birth potential) (exposure to Aroclor defects); Reproductive Effects (reduction 1260). in fertility, number of offspring, survival after birth, and body weight, and impaired Evidence of cancer in reproduction in mature offspring of humans inadequate exposed parents), Behavior and or only at high levels Developmental Effects, Immune System by non-genotoxic Effects Changes in Natural Hormone mechanism. Levels (endocrine disruption), Liver toxicity, Chloracne.

Sources of Hazard Information on Chemical Contaminants

i) Recognized Health Risk Assessment Organizations:

· WHO – IPCS (World Health Organization – International Programme of Chemical Safety)

· IARC (International Agency for Research on Cancer)

· ATSDR (Agency for Toxic Substances and Disease Registry)

· US EPA (United States Environmental Protection Agency)

· Health Canada (Government of Canada, Health Canada)

· UK Environment Agency (United Kingdom Environment Agency)

· RIVM Netherlands (Research for Man and the Environment – the Dutch National Institute of Public Health and Environmental Protection)

· TERA (Toxicology Excellence for Risk Assessment)

ii) Published Scientific Literature

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· Toxicity, epidemiological, biochemistry, microbiology, molecular biology studies

-human, animal, and non-animal test-tube (in vitro) studies

iii) Site-Specific Toxicity Tests and Health Studies

· Toxicity tests of individual chemicals, whole mixtures, mixture fractions

· Bioavailability and Absorption Studies – for environmental media per exposure route (e.g., soil/dust, water/sediment, air/dust – ingestion, inhalation dermal)

· Community Health Studies (exposure/effects)– exposure metric and personal monitoring of chemical levels in blood and urine, and/or other biochemical indicators of exposure and/or effects

Sources For Toxicity Information

Databases: URL

CANCERLIT http://www.cancer.gov/CancerInformation/cancerliterature

CCRIS http://www.toxnet.nlm.nih.gov

ChemID http://toxnet.nlm.nih.gov

DART/ETIC http://toxnet.nlm.nih.gov

EMIC http://toxnet.nlm.nih.gov/cgi-bin/sis/htmlgen?EMIC

EPA IRIS http://toxnet.nlm.nih.gov

EPA TSCATS http://esc.syrres.com/TSCATSInfo.htm

GENETOX http://toxnet.nlm.nih.gov

HSDB http://toxnet.nlm.nih.gov

PUBMED http://www.ncbi.nlm.nih.gov:80/entrez/query.fcgi? SUBMIT=y

RTECS http://ccinfoweb.ccohs.ca/

TOXLINE http://toxnet.nlm.nih.gov

Published Reports and online Databases by URL Recognized Health Risk Assessment Organizations file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M060D032Hazard%20Assessment%20Considerations.htm[11/1/2014 10:22:59 AM] WLC Template

Agency for Toxic Substances and Disease http://www.atsdr.cdc.gov Registry (ATSDR)

- e.g., toxicological profiles

Concise International Chemical Assessment http://www.inchem.org/cicads.html Document (CICADS)- International Programme on Chemical Safety (IPCS)

European Centre for Ecotoxicology and http://www.ecetoc.org Toxicology of Chemicals (ECETOC) - e.g., joint assessments of commodity chemicals reports (JACC Reports), Inventory of Critical Reviews on Chemicals

Health Canada Existing Substances PSL http://www.hc-sc.gc.ca/hecs-sesc/exsd/index.htm reports

Health Canada- Drinking Water http://www.hc-sc.gc.ca/ehp/bch/water_quality.htm

-e.g., supporting documents; guidelines

International Programme on Chemical Safety http://www.inchem.org/pages/jefca.html (IPCS) Joint Expert Committee on Food Additives (JECFA) and Joint Meeting on http://www.inchem.org/pages/jmpr.html Pesticide Residues (JMPR) -e.g. monographs and evaluations

Published Reports and online Databases by URL Recognized Health Risk Assessment Organizations

International Programme on Chemical Safety http://www.inchem.org/pages/ehc.html (IPCS) Environmental Health Criteria (EHC) Reports - e.g., concise international chemical assessment documents, environmental health criteria documents

International Programme on Chemical Safety http://www.inchem.org/pages/iarc.html (IPCS) International Agency for Research on Cancer (IARC)

National Industrial Chemicals Notification http://www.nicnas.gov.au/publications/car/pec/pecindex.htm and Assessment Scheme (NICNAS) - e.g., priority existing chemical reports

Organization for Economic Cooperation and http://www1.oecd.org/ehs/sidstable/index.htm Development (OECD) - e.g., screening information data sets (SIDS)

SIDS initial assessment report (SIAR)

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World Health Organization - Air quality http://www.who.nl guideline(WHO)

World Health Organization- Drinking Water http://www.who.int/water_sanitation_health/GDWQ/Chemicals/chemicalsindex.htm guideline (WHO)

Toxicology Excellence for Risk Assessment http://www.tera.org/iter/ & Concurrent Technologies Corporation- International Toxicity Estimates for Risk Database

References: References in Resources Folder on on HHRA, including U.S. EPA Cancer Risk Assessment Guidance U.S. EPA Supplemental Guidance on Cancer Risk Assessment of Early Lifetime Exposures

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Susceptibility to Environmental Exposures - Life stages: Sensitive or Critical Stages of Human Development

Source: copied from the US EPA 2003 document entitled "Children's health critical periods in development"

Major Stages of Development from Conception to Adulthood (USEPA 2003)

Individual development proceeds from the formation of germ cells (sperm and egg) through fertilization, embryonic and fetal development (both of which take place during pregnancy), infancy, early childhood, and adolescence. Specific events during each of these broad developmental stages may create sensitivity to environmental influences. Damage from environmental exposures may occur and manifest itself immediately or may not appear until subsequent stages of development or after development is complete.

1. Germ Cell Development

Germ cells are the sperm and egg cells. They carry the genetic information—DNA—from each parent. The combination of genetic material from sperm and egg cells provide the unique genetic blueprint for each child. Environmental contaminants that harm germ cells can affect an adult's own fertility as well as the health of the offspring.

In males, the primordial germ cells develop in utero in the male fetus, but do not undergo further cell division and development until puberty and onwards producing mature sperm from puberty throughout adulthood.

In females, primordial germ cells undergo further cell division and development in utero producing millions of primary oocytes in the female fetus, which degenerate naturally by puberty to about 400,000 primary follicles; during menstruation a group of follicles

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mature with typically only one developing to form the egg released during ovulation.

During each stage of development, the primordial germ cells in both sexes and the primary oocytes in females are susceptible to damaged by environmental exposures.

2. Pre-Natal Period - Embryonic and Fetal Development During Pregnancy

Between conception (the union of sperm and egg) and birth, human life advances from a single-cell zygote to an infant (see above illustration) capable of living outside the womb. Because of the complexity and speed of development and the high rate of growth through the prenatal period, the prenatal period of development has a special set of vulnerabilities to environmental exposures that are not seen at any other time.

As shown in the Figure above, prenatal development is often divided into three stages:

i) Periconceptual (generally the 2 weeks following fertilization).

ii) Embryonic (3 to 7 weeks).

iii) Fetal (8 to 38 weeks).

During the periconceptual period, the zygote undergoes rapid cell division, implants into the wall of the uterus, and forms a simple embryo. Harmful environmental exposures to the mother and to the developing zygote in-utero usually causes fetal death rather than injury, and could result in spontaneous abortion and such short-lived pregnancies are often undetected.

During the embryonic period, most major organs begin to form, with growth and development continuing through the remainder of the pregnancy, and into infancy and early child development. The basic structure of organs and organ systems occurs from 3-8 weeks to 12 to 16 weeks. Disruption of development during this period can result in major changes in the structure of organs and damage to other tissues, which could result in fetal death or major physical malformations (congenital anomalies). The timing in utero of structural development and functional development of major organs varies and is sequential, but not definitively established for all properties. For example, the auditory function of the ear does not manifest before 28 weeks of gestational age. The specific organ effected by environmental exposures to contaminants (chemical, biological and physical) in the mother, including maternal symptoms and sequelae from infectious disease (e.g., temperature, dehydration, change in blood pressure) and the resulting harm to the developing fetus are highly dependent on the gestational age at which the exposure occurs.

For example, Rubella infection of the mother before the 11th week of gestation may cause congenital heart defects and deafness (Miller, 1982). If infection occurs at 13 to 16 weeks, deafness usually occurs without heart defects. If infection occurs after 16 weeks, no structural anomalies usually occur.

3. Post-Natal Period - Ongoing Development During Childhood

Important development processes continue after birth. As shown in the last column of the Table below, major cellular structures of the brain and other systems continue to develop through childhood. For example, in the brain and nervous system, neuron migration, cell proliferation, and synapse formation are all very active from birth through three years of age, and myelination, the development of cellular insulation around nerve fibers, continues for at least 10 years and possibly well into adulthood. The immune system also develops extensively during early childhood as immune memory is established (Dietert, 2000, cited in USEPA, 2003). Improper development of the immune system are associated with allergies and autoimmune disorders.

Physical growth and maturation of organ systems, involving physiologic and hormonal regulatory feedback processes controlled through the neuro-endocrine axes continuing through adolescence. Puberty and sexual maturation are primary developmental milestones of adolescent development, and the brain continues to develop into adulthood.

Certain Developmental Stages May Be Especially Susceptible and Vulnerable to Harmful Environmental Exposures, As Well As Having Biological Resiliency Low-Level Environmental Exposure

Some of the underlying biological reasons for the resiliency and sensitivity of specific developmental stages to environmental exposures are as follows.

The rapid and diverse nature of processes that occur in critical developmental periods, including processes, such as sexual maturation, that occur only during certain periods of development.

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Other processes such as apoptosis, or programmed cell death, occur more widely during development and are less prominent during adulthood, and may be involved in biological detection and repair processes during critical stages of development.

Cell division in most organs occurs much faster during development than in adulthood which may allow for biological resiliency and further refinement during development and maturation. Finally, many complex processes need to be effectively coordinated during development, which requires the cellular and intercellular signaling systems to work correctly, hence the importance of negative feedback systems with key biological checkpoint controls.

Biological barriers to the uptake and distribution of harmful contaminants, including the placental maternal - fetal blood and uterine fluid, blood-brain barrier, epidermis and mucous membranes.

Physiological functional properties governing the absorption distribution metabolism and elimination of essential minerals and vitamins and key nutrients. Including the maturation of metabolism processes and detoxifying mechanisms of liver and kidneys, and the physical and chemical properties of the gastrointestinal tract and its development.

Four important biological processes and instances where environmental exposures have been shown to disturbed these processes, resulting in harmful developmental impacts: • Control of cell division • Apoptosis • Gene expression • and Cellular metabolism and biotransformation of environmental agents.

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Source: copied from the US EPA 2003 document entitled "Children's health critical periods in development"

Adverse Effects of Parental Exposures Before or Around the Time of Conception

In men, germ cells continue to be produced from stem cells throughout adulthood. Male reproductive stem cells also may be particularly sensitive to environmental exposures due to their rapid cell cycle.

In women, mature oocytes are produced every month from follicular cells. Fertility clearly can be harmed by those environmental exposures that affect ovarian function. Workplace exposures, such as high levels of exposure to nitrous oxide or mercury, also can impair fertility. Ovarian toxicity and impaired fertility can be caused by drugs or radiation exposure used to treat lymphoproliferative disorders or cancer. A substantial body of evidence from human studies demonstrates that exposures to environmental agents and medical radiation can injure germ cells in such a way as to cause increased incidence of cancer, particularly leukemia, among offspring of the exposed individuals. There is a substantial body of evidence that smoking during pregnancy and environmental tobacco smoke (ETS) are associated with elevated risk of sudden infant death syndrome (SIDS) and respiratory and inner ear infections in infants and children.

Isotopic studies indicate that maternal exposure to lead may occur prior to conception; during a subsequent pregnancy, lead from skeletal stores can be mobilized and transferred to the fetus through the bloodstream, resulting in exposure during a critical period of prenatal development. Most women experience limited lead exposure during pregnancy and the postnatal period, but their long- term skeletal stores may contain large quantities of lead that can become mobilized at an accelerated rate and impact the development of their offspring. In addition, greater mobilization of skeletal lead occurs during the file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M060D033Susceptibility%20Children.htm[11/1/2014 10:23:00 AM] WLC Template

postnatal period than during pregnancy, resulting in increased exposure to breast-feeding infants. As with men's exposures, it is likely that some of the effects attributed to preconception exposures may in fact be due to exposures near conception.

Congenital Malformations

Birth defects are a leading cause of infant mortality. The relationship between exposures to environmental agents and specific types of abnormalities has been studied extensively. The following are well established examples of human teratogens (chemicals that cause birth defects):

• Pharmaceuticals such as anticancer agents, sex hormones and steroids, certain anticonvulsants, and certain psychotropics may cause abnormalities of the nervous system and other organs.

• Infectious agents such as cytomegalovirus, syphilis, and toxoplasma gondii produce a wide range of malformations.

• Intensive ionizing radiation administered for diagnostic or therapeutic purposes can affect fetal development.

• Substance abuse, such as maternal alcohol abuse during pregnancy, can cause fetal alcohol syndrome, producing symptoms including craniofacial anomalies (abnormal development of the head and face) and microcephaly (greatly reduced skull size); craniofacial abnormalities have been associated with high exposures to vitamin B compounds. Maternal cocaine abuse can lead to cardiovascular and brain defects. • Methyl mercury exposure from contaminated food may be associated with central nervous system anomalies, abnormal dentition, and mental retardation. • Maternal endocrine disorders such as diabetes mellitus, if poorly controlled, also increase the risk of congenital anomalies.

Occupational exposures to solvents or glycol ethers just before or during pregnancy have been associated with increased risk of birth defects. Inhalant abuse during pregnancy has been associated with craniofacial abnormalities.

Damage to adult male reproductive tissues and function and birth defects have been associated with occupational or environmental pesticide exposures in some studies.

Epidemiology ecological studies evaluate the relationships between patterns of disease incidence in specific populations or geographic areas and indicators of potential environmental exposures, such as land use or proximity to pollution sources. Because exposures are not directly measured, ecological studies must be interpreted cautiously; the observed patterns of disease incidence may actually be associated with factors not included in the analysis, and results of the data analysis are dependent on the selection of the control population. Ecological studies have found, compared with control area, elevated rates of birth defects in California counties with extensive agricultural activities, with implications of a relationship between harmful exposures to pesticides and birth defects; although there are inconsistencies among studies.

Adverse Effects of Exposures During Childhood

A wide range of harmful health outcomes manifested during infancy, early childhood, and adolescence can be grouped as follows,

Neonatal mortality Growth deficits during early childhood Functional deficits and delayed or impaired functional maturation Effects on puberty and sexual maturation Childhood cancer

The precise timing of the exposures responsible for the observed effect may not be clear in all cases. For example, studies of maternal occupation may involve exposures occurring both before and after conception.

Development is a continuum, progressing from germ cells through embryo, fetus, infant, child, adolescent, and adult. It is not always possible to identify exactly when a damaging exposure occurred or which stage of development has been affected. Sufficient knowledge is available, however, to identify many key events and processes and to delineate general patterns in sensitivity.

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Stage #4 HHRA - EXPOSURE ASSESSMENT

Exposure assessment is the determination (qualitative and quantitative) of the magnitude, frequency, and duration of exposure (external dose or intake) and internal dose (absorbed dose or uptake).

Exposure is a two part process. Exposure (intake) is contact of an agent with the outer boundary of an organism.

The exposure concentration is the concentration of a chemical in its transport or carrier medium at the point of contact; in other words the concentration or amount of a contaminant in water, in air, in soil, in dust, in sediment, in food and in consumer products.

Dose is a term that is used to describe the amount of a substance available for interaction with metabolic processes or biologically significant receptors after crossing the outer boundary of an organism (uptake).

The absorbed dose is the amount crossing a specific absorption barrier (e.g., the exchange boundaries of skin, lung, and digestive tract) through uptake processes. Internal dose is a more general term, used without respect to specific absorption barriers or exchange boundaries.

The conditions describing the timing, exposure route, exposure medium, exposure duration and exposure frequency used to estimate environmental exposures should match with those of the critical studies identified in the hazard assessment dose- response analysis that is used in the derivation of exposure limits selected for use in the risk assessment.

The differences in biological processes among routes of exposure (oral, inhalation, dermal) can be great.

In the risk characterization step it is important that the exposure estimate is reconciled with the dose effect.

Timing of exposure can also be important. When there is a susceptible lifestage, doses during the susceptible period are not equivalent to doses at other times, and they would be analyzed separately.

For chronic exposure studies, the cumulative exposure or dose administered often is expressed as an average over the duration of the study, as one consistent dose amount. This approach implies that a higher dose administered over a short duration is equivalent to a commensurately lower dose administered over a longer duration.

The exposure assessment reviews the available information on the tendency of selected contaminants to persist and to build-up over time in animal and plant tissues which could result in increased exposures to humans through diet and cultural activities (e.g. herbal medicinals, curing of animal hides, cosmetic use).

Estimating Exposures to Carcinogens For Assessing Cancer Risk

Lifetime human exposure scenarios are typically used to assess the potential risk of developing cancer in a lifetime, and unit risk estimates that have been developed in the dose-response assessment (hazard assessment) often assumed standard adult intake rates (2L per day adult drinking water intake).

The lifetime average daily exposure or dose (LADD) is typically an estimate of the daily intake of a carcinogenic agent throughout the entire life of an individual.

The lifetime average exposure concentration is the corresponding estimate of average exposure concentration for the carcinogenic agent over the entire life of an individual.

Depending on the objectives of the assessment, the LADD or lifetime average exposure concentration may be calculated deterministically (using point estimates for each factor to derive a point estimate of the exposure) or stochastically (using probability distributions to represent each factor and such techniques as Monte Carlo analysis to derive a distribution of the LADD).

Short-term, less-than-lifetime exposure estimates may be more appropriate than the LADD for risk assessment. This may be the case when a nonlinear dose-response approach is used.

Special problems arise when the human exposure situation of concern suggests exposure regimens, e.g., route and dosing schedule, that are substantially different from those used in the relevant animal studies (i.e., animal testing of carcinogenicity)

Unless there is evidence to the contrary in a particular case, the cumulative dose received over a lifetime, expressed as average daily exposure prorated over a lifetime, is recommended by the USEPA as an appropriate measure of exposure to a carcinogen. The underlying assumption in this approach is that a high dose of a carcinogen received over a short period of time would be

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expected to be equivalent in terms of cancer risk to a corresponding low dose spread over a longer period such as in a cumulative exposure during a lifetime. This approach becomes more problematical as the exposures in question become more intense but less frequent.

In most HHRAs, the assessment of lifetime human exposure scenarios that involve intermittent or varying levels of exposure, the prevailing practice has been to assess exposure by calculating a lifetime average daily exposure or dose (LADD), as per the USEPA guidance and methodology for the risk assessment of carcinogens.

For less-than-lifetime human exposure scenarios, too, the lifetime average daily exposure or dose has often been used.

However, there are examples in the published scientific literature that short-duration risks are not necessarily proportional to exposure duration and can depend on the nature of the carcinogen and the timing of exposure in which use of a lifetime average daily dose (LADD) would be expected to underestimate cancer risk and others in which it might overestimate risk. Thus in those cases averaging over the duration of a lifestage or a critical window of exposure may be appropriate. Highlighting the importance for each dose-response assessment and risk assessment to critically evaluate all information pertaining to less-than-lifetime exposure and including taking into account persistence of contaminants in the body in assessing the potential for long-term effects of shorter-term exposures. In which case a daily dose that is averaged over the expsure period may be a more appropriate estimate of exposure. For example when there is evidence in the hazard assessment of signficant precursor effects from less than lifetime exposure then a less than lifetime assessment of exposure may be more suitable, bringing consitency to the methods used for the dose-response assessment (hazard assessment) and derivation of the exposure limit and the exposure assessment.

The findings of the hazard assessment (dose-response analysis) can provide a recommendation to the exposure assessors about the averaging time that is appropriate to the mode of action and to the exposure duration of the scenario.

Susceptible Life-Stages and Susceptible Populations

Exposures for susceptible life-stages (e.g., early life exposures) should be assessed for the critical portion of a lifetime for which the effects of exposures would not be expected to be equivalent to effects of exposures at other times; the estimated exposures and risk attributable to each life-stage period should be assessed depending on the available hazard information.

In contrast, a susceptible population is used to refer to those having a particular genetic susceptibility, such as sex (male or female), metabolism, genetic polymorphism, and would include only a portion of the general population.

Exposure Data Collection

When using existing data for characterizing daily drinking water consumption rates, food consumption rates, body weight and other properties describing the population or group, it is important to evaluate the quality of the data and the extent to which the data are representative of the population or group under consideration. When existing data fail to provide an adequate surrogate for the needs of a particular assessment, it is important to collect new data. Subpopulations or lifestages of concern are an important consideration in any data collection effort.

Good exposure assessment practice would replace the standard intake rates with values representative of the exposed population. Small changes in exposure assessments can be approximated by using linearly proportional adjustments of exposure parameters, but a more accurate integrative analysis may require an analysis stratified by exposure duration.

The following categories are examples of nonchemical-specific data collected for exposure factors corresponding to specific childhood age groups, and standard intake rates for the standard 70 kg adult male and and teh standard 63 kg adult female:

ingestion of water and other select liquids non-dietary ingestion factors ingestion of soil and dust inhalation rates dermal exposure factors such as surface area and adherence body weight intake of fruits and vegetables intake of fish and shellfish intake of meat, dairy products, and fats intake of grain products intake of home-produced foods total food intake human milk intake activity factors and consumer products

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For example, the U.S. EPA has developed the following standardized set of age categories to be used for children’s exposure assessment in the United States, based on population data collected for the U.S.A.

Less than 12 months old: birth to <1 month, 1 to <3 months, 3 to <6 months, and 6 to <12 months.

Greater than 12 months old: 1 to <2 years, 2 to <3 years, 3 to <6 years, 6 to <11 years, 11 to <16 years, and 16 to <21 years.

These data documented in the U.S. EPA guidance entitled "Child-Specific Exposure Factors Handbook (US EPA 2008) have been specifically selected for estimating environmental exposure factors in U.S. children, based on the following considerations:

(1) soundness (adequacy of approach and minimal or defined bias);

(2) applicability and utility (focus on the exposure factor of interest, representativeness of the population,currency of the information, and adequacy of the data

collection period);

(3) clarity and completeness (accessibility, reproducibility, and quality assurance);

(4) variability and uncertainty (variability in the population and uncertainty in the results); and

(5) evaluation and review (level of peer review and number and agreement of studies).

Overall confidence ratings of high, medium, or low were derived by the authors for the various exposure factors based on the evaluation of the elements described above.

NOTE: Before adopting data from USEPA or other health protection organizations in estimating exposures in risk assessments it is important to assess the representativeness of the data for the population and situation of interest.

Some Guidance Documents for Exposure Assessment

OECD Guidance Document For Exposure Assessment Based on Environmental Monitoring. OECD Environment, Health and Safety Publications. Series on Testing and Assessment No. 185. Environment Directorate OECD Paris 2013

Exposure Factors Handbook (U.S. EPA, 2011)

Child-Specific Exposure Factors Handbook (CSEFH), September 2008. EPA/600/R-06/096F www.epa.gov/ncea

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Risk Assessment Stage 4 - Exposure Assessment

Exposure assessment provides estimates of the magnitude, frequency, duration, and distribution of exposures in the exposed population as the data permit. It identifies and compares the contribution of different sources, pathways, and routes of exposure.

Step #1 Identify exposure pathways to environmental media

· Air – breathing

· Water – drinking water, cooking, washing, swimming

· Sediment – contact swimming, wading

· Soil/dust – gardening, agriculture, construction/excavation, walking (barefoot), playing (children)

· Fish/ Shellfish/ Seafood/ Marine mammals–food, medicinal, cosmetic

· Plants/ Fruits/ Vegetables/ Animals/ Insects / Fungi –food, medicinal, cosmetic use

Step #2 For each human receptor (and life-stage), use and lifestyle behavior and activity, and exposure route and environmental media ESTIMATE the:

· Amount of contact

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· Duration of contact

· Frequency of contact

Major Human Exposure Pathways to Environmental Contaminants

· Diet

· Drinking Water (wash water - dermal exposure < than ingestion)

· Air and Dust

Soil (usually minor contributor –in North American and European HHRAs), exception ingestion pathway for children to persistent contaminants, and person working in contaminated sites.

Surface water - skin contact exposure - work related; and bathing and swimming related children

Examples-

Diet and drinking water - major contributors to total daily intake of chemical contaminants such as,

· Arsenic

· Metals – Mercury, Nickel, Cadmium, Copper

· Bioaccumulative chemicals

· 2,3,7,8-tetrachlorodibenzo-p-dioxin

· PCBs,

· DDT and DDE

Also drinking water and diet are exposure pathways to biological contaminants such as, water-borne pathogenic bacteria viruses and protozoa.

Sources of Information on Diet and Consumption include the following:

Total Diet Surveys; Market Basket Surveys provide information on:

· food consumption habits – preference and rate of consumption

· concentrations of environmental chemicals in national food supply

- estimated daily intake via food

Step #3 Determine concentrations in environmental media:

a) Direct measurement (chemical and radioactivity testing and microbiological analysis; water quality indicator testing)

b) Estimate using models (environmental fate and transport models)

Concentrations in Environmental Media

Consumer Water Sediment Soil Air Fish/shellfish/meat Food Products and Other

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Whole water personal sample vapour care Solids Plant/vegetable/fruit products Sand aerosol Dissolved phase tissue, organ meat (fresh weight or dry and Silt particle bound (PM10; phase Pore water whole organism weight) cosmetics, Clay PM , ultrafine <0.01 phase 2.5 Milk and Dairy medicines Suspended micrometre diameter) and health solids phase care and nutrition products

Concentrations in Human Tissues and Fluids

Tissue residues and tissue contaminants levels - biomonitoring; testing for bioindicators (biomarkers) of exposure to contaminants metabolites and physiological measurements in humans of harmful effects on health (e.g., blood lead levels, blood mercury, urinary arsenic, blood pressure, glucose metabolism, hemoglobin, urinary specific gravity, urinary protein and ketones).

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Risk Assessment Step #4 HHRA: EXPOSURE ASSESSMENT

Step four in the Exposure Assessment is to estimate the internal exposures (or the internal daily dose) to specified substances.

Internal Exposure Units = µg chemical/ kg body weight/day

This is a two step process:

First estimate,

i) Daily Intake = µg chemical/ kg body weight/day = the amount of chemical (contaminants) ingested per day.

Next estimate,

ii) Internal Daily Dose = µg/kg body weight/day = the amount of chemical (contaminants) taken up into biological tissues (crosses membranes into bloodstream, fat) = Daily Intake x Internal Absorption of chemical in specified media and dose route into blood or other tissue or organ specified. ( e.g. oral absorption of arsenic in drinking water; oral absorption of arsenic in soil; inhalation absorption in air and dust; dermal absorption of arsenic in soil and water).

Absorption of Inorganic Arsenic via Different Dose Routes and Environmental Media Media and Route % Absorption 100% (conservative assumption) Oral absorption in water

100% (conservative assumption) Inhalation absorption factor

6.4%. dermal absorption

100%. This means that by dermal exposure, the A dermal relative bioavailability (soil vs. water) amount of absorption of arsenic is the same in water or in soil.

A dermal relative bioavailability (soil vs. water) 25% This means that by dermal exposure, the amount of absorption of arsenic is 75% less in soil than in water across the skin.

The following example demonstrates that when estimated exposures are expressed on mass per body weight basis, exposures received by children are often greater than those received by adults (female and male) due to their smaller body mass.

Example exposure to chemical contaminant A measured in drinking water at a concentration of 15 µg/L (ppb) would result in the following exposure in a child (13 kg), adult woman (60 kg), adult man (70 kg).

Example Drinking Water Exposure to Chemical A

Concentration of Chemical A in drinking water is 15 µg/L.

Assumptions:

Child 13 kg drinks 1.2 L per day

Woman (non-pregnant) 60 kg drinks 2.0 l per day

Man 70 kg drinks 2.3 L per day file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M060D037Steps4%20Estimate%20exposure.htm[11/1/2014 10:23:00 AM] WLC Template

Oral bioavailability of chemical A in drinking water is 100%

Daily Exposure via Drinking Water to Chemical A:

Child = 1.4 µg A/kg body weight/day

Woman (non-pregnant) = 0.5 µg A/kg body weight/day

Man = 0.35 µg A/kg body weight/day

.

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Cumulative Exposure Assessment

In cumulative risk assessments that examine risks posed by multiple chemicals, exposure assessments evaluate a population’s chemical exposures through multiple routes of exposure over time.

Such assessments may encompass multiple exposure timeframes in which the timing and intensity of exposures to different chemicals are examined relative to each other.

It is also important to determine whether the exposures to multiple chemicals can lead to toxicokinetic interactions or toxicodynamic interactions.

In addition to providing information about multiple chemical exposures in the general population, these exposure assessments identify potentially susceptible or vulnerable subpopulations3 in the study area and potentially unique pathways of exposure in those subpopulations.

Cumulative exposure assessments will likely rely on environmental monitoring data and environmental fate models. The community’s boundary may define the geographic region of study for a cumulative exposure assessment, unlike chemical-focused assessments or single source-focused assessments.

If the timing of different chemical and pathogen and physical contaminant (radiation) exposures is important, the analyst can use fate models to estimate changes in the concentrations in environmental media over time.

The pollutants may occur in these media as a consequence of releases from multiple and different sources that could be either close to or distant from the population of concern.

The environmental fate information for such an assessment could be site dependent.

The use of biomonitoring data (e.g., biomarkers of exposure) when available should be incorporated into cumulative risk assessments.

The use of biomarkers in cumulative risk assessments currently is limited to studies of exposures to metals and some solvent exposures, such as lead, arsenic, benzene, TCE.

This figure provides a summary of the pathways involved in environmental exposure analysis.

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Quantitative exposure estimates from biomonitoirng data have been used in cumulative risk assessments (e.g., biomarker data are used to estimate current chemical exposure levels in an affected population or the general population and comparison with baseline levels in the general population and health protection guidelines for low level environmental exposures to environmental contaminants.

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Example: Initiating Factors and Data Elements for Cumulative Risk Analysis [Source: copied from USEPA 2007 Concepts, Methods and Data Sources for Cumulative Health Risk Assessment of Multiple Chemicals, Exposures and Effects: A Resource Document]

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Variables to Consider in Cumulative Risk Assessment and their Relationship to Initiating Factors [Source: copied from copied from USEPA 2007 Concepts, Methods and Data Sources for Cumulative Health Risk Assessment of Multiple Chemicals, Exposures and Effects: A Resource Document]

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Hypothetical Example of Chemical Groupings by Co-occurrence in Media and Time, Similar Toxicity Terms: As = Arsenic (inorganic); BDCM = Bromodichloromethane; Cd = Cadmium; CCl4 = Carbon tetrachloride; Cr = Chromium; DCA = Dichloroacetic Acid; U = Uranium (soluble salts); Hg = Mercury (based on mercuric chloride); Ni = Nickel (soluble salts); PCB = Polychlorinated Biphenyls (Arochlor 1016); TCE = Trichloroethylene

[Source: copied from copied from USEPA 2007 Concepts, Methods and Data Sources for Cumulative Health Risk Assessment of Multiple Chemicals, Exposures and Effects: A Resource Document]

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DETERMINISTIC MODELS VERSUS PROBABILISTIC MODELS: HHRA

DETERMINISTIC MODELS

Deterministic models use single numeric values or point estimates to describe a particular biological characteristic, behavior or activity related input used in the estimation of exposure (e.g., all body weights of child is assumed to be 13 kg; all body weighs of adult male is assumed to be 70 kg; mean concentration used to represent all concentrations in an environmental media with no indication of the actual variation). Single estimate of toxicity used to derive exposure limit (e.g. RfD based on NOAEL in most sensitive species for most sensitive toxicological endpoint or RSD based on regulatory determined acceptable incremental cancer risk level above background cancer risk level).

Benefits of Deterministic Models – simple to use and require minimal input data. Easy to check the math using desk top calculations. Public satisfied that exposure limit is based on an exposure level that causes no measurable harmful health effect in animals or humans with additional safety factors to compensate for uncertainties in human and individual responses to exposures.

Limitations of Deterministic Models – do not provide information on the variability in populations [e.g. differences in individual body weights, food consumption, respiration rates, and differences in environmental concentrations (time and space)].

PROBABILISTIC MODELS

Probabilistic models are based on Monte Carlo simulations or computer generated numerical sampling based on distributions or ranges in values + standard variation in data used to describe biological, environmental and possibly toxicological parameters. These distributions are used to account for the variability or uncertainty in measurements of substances in environmental media, of biological data describing receptor (e.g. body weight, surface area of hands, respiration rate, dietary intake of food item). Effects based models don’t use toxicity data for a single species to determine the NOAEL but use data for a range of organisms. Results of these models provide a probabilistic estimate of risk based on variation in the input data.

Benefits of Probabilistic Models – are that they allow for quantification of uncertainty in exposure modelling and in risk. Probabilistic models offer greater realism because not all receptors (human and wildlife) are the same weight, same respiration rate, eat the same type and quantity of food, and others. By inputting full range of possible values that are based on measurements representative of the population of study, members of the study population can identify exposure levels and risk levels that best represent themselves. Provides probabilistic estimate of risks based on variation in input data. Numerous simulations may be readily performed for exposure analysis (~10,000 iterations). Exposure limits may be based on statistical analysis of toxicological data from more than one study and multiple biological species. This approach is relatively new and is referred to as the benchmark dose. It requires lots of data and gives an exposure limit that is based on a specific low level incidence of harmful effect in exposed organisms (e.g., the exposure level that would cause toxicity in one-tenth percentile of the exposed population.

Limitations of Probabilistic Models – can require large amount of input data to accurately describe distributions in biology (population), environment (various media spatially and temporally), toxicology (number of species, number of animals, number of studies). Assumed distributions based on limited data can be entered but they may not accurately reflect the real environment or biology and exposures of humans (or ecological receptors). Need to be careful that computer generated simulations do not assign data relationships that would not normally exist (e.g. maximum body weight values and maximum respiration rate values for an individual). Requires computer programming and/or purchase of software. Results may not be easily confirmed by simple desk-top calculations – lack of transparency. Numerous simulations are required for exposure analysis (~10,000 iterations). Public may not accept of benchmark exposure limits based on measured low level incidence of harmful effects when there is evidence of exposure levels at which no measurable harmful effects occur in animals and humans (e.g. NOAELs; NOELs) – lack of transparency.

Using Monte Carlo Simulation to Estimate Exposure

Monte Carlo simulation is based on the distribution of values for a given exposure model parameter (e.g. environmental concentration; body weight; respiration rate)

Monte Carlo simulation uses a computer program that selects values based on a specified distribution and range of values input by the exposure modeller..

Uncertainty in Exposure Modelling

Refers to the sensitivity and specificity of the exposure and risk model and the influence of variability in the exposure model inputs file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M060D039Deterministic%20vs%20probablistic%20models.htm[11/1/2014 10:23:01 AM] WLC Template

and outputs

Variability

Differences exist in environmental exposures among individuals (inter-individual variability) and within an individual over time (intra- individual variability); these differences in exposures contribute to differences (variations) in risk in a population.

Examples include differences in the actual variation or spread of concentrations of contaminants in samples collected and analysed of air, water, soil and food and other media. As well as, variations in behaviors and interactions with the environmental media and opportunities and duration of contact with environmental contaminants by people, differences in demographics of communities, and biological (physical and physiological) differences in people comprising a population. All of which would contribute to the overall variability in environmental exposures that occur amongst individuals in a population, and corresponding to changes in location, daily events and activities. As well as changes in exposures occurring corresponding to differences on an hourly, daily, weekly, monthly, seasonally and yearly basis.

Hypothetical worst-case exposure scenarios focus on those that are expected to contribute to the most risk, in an effort to "rule- out" potential risks from various combinations of situational exposure factors.

In deterministic RA the use of point estimates (based maximum or average values) may not provide enough information at population level. Certain sub-populations may receive greater environmental exposures than others and have a greater potential risk of harmful health effects.

For those reasons it is important to conduct an Uncertainty Analysis of the risk assessment model findings and its assumptions.

Uncertainty is a measure of the level of confidence in the HHRA. There can be uncertainty in the exposure assessment, including the exposure model design and the data collected and used to estimate exposure. Uncertainty in the RA findings corresponding to the exposure estimation can be reduced to some extent by increasing the amount of environmental sampling, monitoring and surveillance.

Examples of Sources of Uncertainty in the Exposure Estimation Used in Risk Assessment (RA)

Environmental sampling and contaminant analysis, different receptors and exposure input data, including differences in metabolism and elimination rates of toxic contaminants, and differences in immunity and carrier effects of exposures to pathogens. Estimated time of exposure duration and exposure chronicity (recurrence of repeated exposures). Additive exposure over a lifetime; is it the same for all life stages?

References on uncertainties in risk assessment and guidance on probabilistic risk assessment are provided in the Resources folder for this course.

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Risk Assessment HHRA Stage 5 Risk Characterization

The Risk Characterization typically consists of two parts:

1. An Integrative Analysis - consisting of risk estimates either qualitative or quantitative and can be highly technical.

2. A Risk Characterization Summary - focusing on recommendations and uncertainties.

It may be difficult to identify a single chemical, pathway or critical effect that drives the risk.

Recommendations might be based on groupings of chemicals, pathways and effects, but such groupings can be based on subjective judgments.

Recommendations might be based on epidemiological findings relevant to a population illness, for which it is useful to describe key confounding factors and exposure uncertainties in the risk assessment.

The risk analysis that follows the summary is generally much more extensive. It typically will identify exposure scenarios of interest in decision making and present risk analyses associated with them. Some of the analyses may concern scenarios in several media; others may examine, for example, only drinking water risks. As these cancer guidelines allow different hazard characterizations and different potencies for specified conditions, e.g., exposure level, route of exposure, or life stage, some of the integrative analyses may need to be stratified to accommodate the appropriate combinations of parameters across relevant exposure durations.

In constructing high end estimates of risk, the assessor should bear in mind that the high end risk is a plausible estimate of the risk for those persons at the upper end of the risk distribution. The intent of this approach is to convey an estimate of risk in the upper range of the distribution, but to avoid estimates that are beyond the true distribution. Overly conservative assumptions, when combined, can lead to unrealistic estimates of risk. This means that when constructing estimates from a series of factors (e.g., emissions, exposure, and unit risk estimates) not all factors should be set to values that maximize exposure, dose, or effect, since this will almost always lead to an estimate that is above the 99th-percentile confidence level and may be of limited use to decision makers.

Common sense, reasonable applications of assumptions and policy, and transparency are essential to avoid unrealistically high estimates, in the face of the scientific uncertainties. Reporting should include the distribution of risk estimates and the underlying evidence and quality of the available data and degree of confidence in the risk estimates. Otherwise risk management decisions may be made on varying levels of conservatism, leading to misplaced priorities for risk management and potentially higher overall risks (U.S. EPA)..

UNCERTAINTY ANALYSIS

Uncertainties (strengths and limitations) of the data and the models exist because of the quality of the data used in estimating environmental exposures and the available information and knowledge of the scientific issues and the state of scientific understanding of environmental exposures pathways and the relationship between exposure and health effects across the health continuum from short-term to long-term exposures and interactions of multiple contaminants and of cumulative exposures.

Uncertainties are a function of the variability of the data selected for input to the exposure model

that are indicative of the range of concentrations of contaminants measured in drinking water and other environmental media used in the calculation of the reasonable maximum estimate of environmental exposures during a lifetime and for shorter term exposure periods, as appropriate, and

that are selected from the datasets used to characterize the population (adult male and female receptors, and child receptors, across a lifetime and for different life-stages and age groups) such as, the amount of drinking water ingested per day per kg body weight for each age group male and female assessed, the amount of air inhaled per day, the amount of soil and dust ingested, and the amount of skin contact with soil and water, and the amount of certain food items consumed per day per age group and body weight.

The reliability and representativeness of the environmental concentration data depends on the sampling design and the analytical testing methods used to measure contaminants in the environmental samples collected (i.e., drinking water, surface water, sediments suspended solids, dissolved materials, soil, air, aerosols and particulates, food items and biological organisms, and consumer products).

The spread or distribution of the data is not affected by increasing the number of samples collected.

Uncertainties can also arise from the inappropriate use of health effects information and misinterpretation of the exposure and effects relationships.

The uncertainty analysis can be quantitative and qualitative. The comprehensiveness of the uncertainty analysis often will depend on the timeframe, level of comprehensiveness and the availability and quality of the data for use in the overall Risk Assessment (e.g., for estimating exposures and addressing interactions and multiple effects).

Examples of data uncertainties are as follows,

National data (i.e., data collected to represent the entire country population) may not be representative of exposures occurring within a regional or local population or that of another country or region.

The use of short-term data to infer chronic, lifetime exposures should be done with caution. Use of short-term data to estimate long-term exposures has the tendency to underestimate the number of people exposed while overestimating the exposure levels experienced by those in the upper end (i.e., above the 90th percentile) of the exposure distribution.

The following questions can be useful in framing the qualitative uncertainties in the risk assessment.

• Is the presence or absence of effects observed in a human population predictive of effects in another exposed human population?

• Is the presence or absence of effects observed in an animal population predictive of effects in exposed humans?

• How do metabolic pathways relate across species and among different age groups and between sexes in humans?

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• How do toxicokinetic processes relate across species and among different age groups and between sexes in humans?

• What is the relationship between the observed dose-response relationship to the relationship at lower doses?

SENSITIVITY ANALYSIS

A sensitivity analysis is conducted by testing a range of input values for key exposure model parameters and documenting changes in the model predicted results corresponding to differences in model inputs.

The model should perform and produce exposure estimates that are consistent with empirical knowledge of environmental fate and exposure pathways of contaminants and toxicokinetics in the human body and the various ecosystem compartments. The model details and inputs and results should be documented in a clear and transparent manner and a working copy of the actual model should be made available to risk managers and to key reviewers of the risk assessment.

RISK CHARACTERIZATION

Risk assessment is an iterative process that progresses in depth and scope from screening for priority making to preliminary estimation to fuller examination in support of complex risk management decision making and possible litigation.

Not all risk characterizations can or should be equal in coverage or depth. The risk assessor and the clients or sponsors should carefully decide which issues in a particular assessment are important to present, choosing those that are noteworthy in their impact on results.

The objective of the risk characterization stage is to highlight any significant issues that arose within the particular assessment being characterized and inform the reader about significant uncertainties that affect conclusions.

The summary report is a nontechnical discussion of important conclusions, issues, and uncertainties that uses the hazard, dose response, exposure, and integrative analyses for technical support. The primary technical supports within the risk assessment are the hazard characterization, dose-response characterization, and exposure characterization, and the risk characterization is derived from these.

Risk characterization should be prepared in a manner that is clear, transparent, reasonable, and consistent with available guidance for environmental risk assessment developed by leading reputable organizations, and applicable regulatory guidance.

The risk assessment should identify and discuss all the major issues associated with determining the nature and extent of the risk and provide commentary on any constraints limiting fuller disclosure. The risk characterization includes a summary for the risk manager that is an appraisal of the science that informs the risk manager in public health decisions, as do other decision-making analyses of economic, social, or technology issues. It also serves the needs of other interested readers. The summary is an information resource for preparing risk communication information, but being somewhat more technical than desired for communication with the general public, is not itself the usual vehicle for communication with every audience.

The risk characterization also brings together the assessments of hazard, dose response, and exposure to make risk estimates for the exposure scenarios of interest. The risk analyst should provide summaries of the evidence and results and describe the quality of available data and the degree of confidence to be placed in the risk estimates. Important features include the constraints of available data and the state of knowledge, significant scientific issues, and significant science and science policy choices that were made when alternative interpretations of data exist

Quantification of Risk Estimates

With linear extrapolations (e.g., cancer effects for mutagenic contaminants and self-propagating lesions for which no theoretical threshold is identified), risks below the point of departure (POD) is typically approximated by multiplying the slope factor by an estimate of exposure,

Cancer Risk = Slope Factor x Exposure. For exposure levels above the POD, the dose-response model is used instead of this approximation.

With nonlinear extrapolations (non-cancer effects non-mutagenic mode of action for which a theoretical threshold is identified), the method of risk assessment depends on the procedure used. If a nonlinear dose-response function has been determined, it can be used with the expected exposure to estimate a risk. If an RfD or RfC was calculated, the hazard can be expressed as a hazard quotient (HQ), defined as the ratio of an exposure estimate over the reference dose (RfD) or reference concentration (RfC), i.e., HQ = Exposure / (RfD or RfC).

The risk characterization should therefore include, where practicable, expected or central estimates of risk, as well as upper and lower bounds.

In the Risk Characterization stage of a cumulative risk assessment it is important to provide the pertinent context for evaluating multiple chemicals, including the following,

Exposures and effects, including known and possible interaction effects, with respect to the exposed population characteristics. Issues regarding the uncertainty, variability and sensitivity analysis. An integrative technical analysis of the predicted risks, as well as a summary of the results and uncertainties and sensitivity of the risk analysis, identifying where possible key risk factors, such as certain exposure pathways and uses of the area, specific locations and environmental media and contaminant sources impacting, the drinking water, surface and ground water, air quality, land area and use, food items and products.

Because the findings of the Risk Characterization may be used by risk managers for decision-making about risk management interventions it is important that the summary report should provide the key information and may be beneficial to provide cross referencing to detailed analysis.

It is important that documentation of the planning and scoping process preceding the actual risk assessment, the data sources, analytical techniques, logic used to make various technical decisions and uncertainty analysis and the underlying scientific rationale are presented in a transparent manner, and at the literacy level as appropriate to the intended audience.

Schematic Flowchart of the Risk Characterization Step in a Cumulative RA

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[Source: copied from copied from USEPA 2007 Concepts, Methods and Data Sources for Cumulative Health Risk Assessment of Multiple Chemicals, Exposures and Effects: A Resource Document]

References on uncertainties in risk assessment and guidance for conducting risk assessments are provided in the Resources folder for this course.

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UNCERTAINTIES

Ways to Reduce Uncertainty in Exposure Assessment

1. Environmental monitoring and surveillance studies.

· Point Sources (end of pipe)

· Non-Point Sources (atmospheric deposition, downstream of several effluents points of discharge, erosion and water run-off from surfaces such as agricultural land or city streets)

a) Environmental media concentrations of contaminants measured in collected samples in a predetermined sampling procedure to determine amount, spatial distribution and depth of contamination, and environmental media affected, chemical analysis of samples. Analytical results are typically reported to provide an indication of the range and variability in the data. e.g., the average +/- standard deviation; minimum and maximum values; 95th percentile confidence intervals.

b) Environmental media concentrations predicted using environmental fate and transport modelling. Measured field data should be used to verify and confirm or refute environmental fate and transport model results.

2. Human Exposure Estimates may be obtained from human health surveys and epidemiology studies, but accurate measurements are difficult and impractical to obtain.

a) Personal Monitoring surveys. Work place (for certain occupations) monitoring is done for specific substance(s) in air and dust, inhalation, dermal (e.g. portable personal monitors for radiation exposure in X-ray technicians). Workplace and health studies may include biomonitoring consisting of a blood analysis, urinalysis, tissue analysis biological or biochemical effect for exposure to specific chemical species or biomarker (biochemical marker of exposure) (e.g. blood lead levels in workers and in children at high risk of elevated exposure).

Environmental exposure monitoring at and individual and community level is typically impractical – too many environmental media, pathways, and substances, and low level exposures have analytical sensitivity issues.

b) Modelling Human Environmental Exposures

Estimates are made using theoretical exposure pathway models based on estimated time-activity relationships. Models estimate source to dose relationships and require an understanding of the relationships between model parameters and data inputs.

Cautionary note: Be aware that certain relationships are NOT biological and physiologically possible (e.g. body weights of an infant would not correspond with the food ingestion rate of an adult male; high respiration rate would correspond to high level of physical activity; smaller body size tends to have higher resting respiration rate) and selection of model input data requires professional judgment based on understanding of principles governing environmental fate and behaviour of substances, as well as pharmacokinetics and toxicology ( see Lectures 1,2 ,3 and 4).***

· Exposure models are used to identify major contributors to exposure, such as

· Exposure routes

· Environmental media

· Life-stage (age) receiving greatest exposure

· Compare exposure levels to similar situations

· Identify data gaps (research needs)

Biomonitoring – blood analysis, urinalysis, tissue analysis, biological or biochemical effect for exposure to specific chemical species or biomarker (biochemical marker of exposure) may be useful to confirm exposure modelling

3. Conduct a health effects and an exposure metric survey - develop survey questionnaire and health effects monitoring and surveillance tool for assessing the health status and environmental exposures status in a population

e.g. , A survey tool for use in a community health study. A tool to identify time and activity and exposure and effects relationships

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(who what where when)

Exposure metric surveys - national surveys, regional and community surveys.

These types of surveys are used to assist in the determination of exposure relationships to environmental media and whether or not there is a likelihood of environmental exposures in an population to contaminants from various sources (e.g. community health study) study participants are asked to complete an exposure metric survey. The exposure metric survey is a tool to identify time and activities related to the likelihood and magnitude of exposures to substances in environmental media through exposure pathways. Series of Questions – answers may be quantitative or qualitative and may include physical and physiological measurements, blood chemistry testing, and health effects data.

Example: Water

What is source of drinking water?

How much water do you drink per day? (i.e. How many glasses, 250 ml or 8 oz?)

How much water do you use for cooking typical daily meals? How many meals per day? Per week?

What is source of water for washing?

How often do you bathe or shower? What is average length of bath/shower? How much water do you use to wash dishes? To wash clothes? Other cleaning

What is the source of water for garden and agricultural use (crops; animals)? How often do you water livestock and how much water is used per event? How often do you water crops and how much water is used or duration of watering (time)?

What is source of recreational water use?

How often do you swim and for how long during each event?

Do you eat fish and/or shellfish and/or marine animals? How often do you eat fish and/or shellfish and/or marine animals? What type of fish and/or shellfish and/or marine animals do you eat?

What part of the fish and/or shellfish and/or marine animals do you eat?

Where do you get your fish and shellfish [catch your own; local fishermen; market; imported (canned)]?

Laboratory measurement of concentrations of toxic metals in blood and urine, forced respiratory volume, and other measurements.

References on uncertainties in risk assessment and guidance for conducting risk assessments are provided in the Resources folder for this course.

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RISK CHARACTERIZATION Risk Assessment Using a Level of Concern Approach

Qualitative Level of Concern Approach

Hazard – classify as either None, Low, Medium, High, or Severe (death)

Exposure – categorize and classify as follows: Amount or Level: None, Low, Medium, High; Duration: Short-term, long-term; Frequency: One-time occurrence; Repeated (number of times); Continuous; Periodic or discontinuous.

Risk Characterization: Rank overall risk classification as either Low, Medium, High, Immediate- Severe or Long-term -Severe

Exposure Likelihood

High Medium Low Very Low

Hazard High High risk High risk Medium risk Low risk

Potential Medium High risk Medium risk Low risk Very low risk

Low Medium risk Low risk Low risk Very low risk

Very Low Low risk Very low risk Very low risk Very low risk

It is important to provide justification for inclusion and exclusion of all possible risk factors.

1. Begin with scoping the situation and the problem formulation step

2. Draw an exposure pathway flow chart for each receptor and environmental medium as you develop the conceptual model. Highlight those environmental media and exposure pathways that are of potential health risk to receptors.

3. Conduct relative risk ranking of all identified risk factors (contaminant media and health effect (hazard), exposure route and pathway duration and frequency (exposure), likelihood or probability of occurrence (risk)

4. Identify uncertainties and sensitivities in the risk assessment in a table format.

5. Discuss risk assessment outcome in consideration of risk management strategy and options; for what risks (hazards and exposures), if any, should immediate action be taken? For what risk or exposure and hazard scenarios is further study needed? why? for what risk factors? What are key data gaps?

Use hazard, exposure and risk characterization screening level criteria and checklist to develop a strategy for conducting an HHRA.

HHRA Problem Formulation - Situation Sources and Environment (Community Characterization)

Hazard Identification (Selection of Contaminants for HHRA) - develop and apply selection criteria based on the following,

human and animal pathogens priority pollutant ( see guidelines for drinking water quality, air quality, soil quality and food quality) confirmed and suspected harmful health effects, incubation period for pathogens, half-life in the body for chemical and physical contaminants persistence in the environment susceptibility of contaminants to disinfection, removal and treatment

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occurrence of known sources(past and present), exposure routes and exposure pathways uses and users

Hazard Selection Flowchart- Example - Hazard Identification: Selection of Chemicals for RA (Flow Chart)

Exposure Assessment - taking into account the following -

environmental media (air, water/sediment, soil, organisms); monitoring data – contaminants, biological markers (air, water/sediment/fish and shellfish, soil/plants, other foods – e.g. livestock); users (various ages, life-stages, and biological characteristics – e.g. weight, respiration rate, body surface, gender); uses and life-style; exposure scenarios – corresponding to the uses and the users; exposure pathways (single or multi-media); and links to ERA – such as consumption of and contact with plants, fruit, fish, game.

Hazard Assessment - taking into account the following,

health effects information; susceptibility of life-stages, especially children and maternal health; exposure and effect relationship (dose-response analysis; survival curves; lethality curves); potential interactions and cumulative effects; existing guidance for risk

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assessment and relevant international and national, regional legislation and regulations.

Risk Characterization - taking into account the following -

exposure assessment vs. hazard assessment; uncertainties and sensitivities in the risk assessment; comparison of theoretical health risks to measured health risks

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Stage #5 HHRA - RISK CHARACTERIZATION

QUANTITATIVE - Calculation of Numeric Unit Estimate of Risk

The risk characterization is achieved through a comparison of the results of the Hazard Assessment and Exposure Assessment taking into consideration: the exposure route and environmental media, the severity of the harmful health effects, the exposure- effect relationship (dose response), exposure period and incubation period, ADME, mode of action, potential interactions of mixtures, differences in sensitivities and susceptibilities of individuals and life-stages in a population, susceptibility and vulnerabilities of the exposed population and groups.

Two fundamental approaches are applied in quantitative estimates of potential risks of harmful effects, based respectively on the mode of action for non-cancer effects or cancer effects, and assuming a non-mutagenic or mutagenic (self-propagating) mechanism of action.

1. Applied to Non-Cancer Effects and Non-Mutagenic Effects (non-genotoxic effects, may include some carcinogens)

The underlying assumption is that there is an identified threshold for harmful effects at or below which no observable adverse effects would occur; any short-term effects that may occur at or below the threshold level of exposure are reversible and would not be biologically significant in the long-term overall lifetime health and reproduction in the human population.

Risk potential is expressed as a Hazard Quotient (HQ) determined from the ratio of the estimated exposure during a lifetime to the acceptable daily reference dose (RfD or RfC) in the population at which and below no harmful effects on health would be expected to occur for the specified exposure route, exposure medium, critical health effects and critical target organs or tissues observed in the study from which the exposure limit (RfD or RfC) was derived.

The hazard quotient (HQ) is the exposure ratio typically calculated for oral exposures to chemical contaminants in drinking and food in the risk assessment of potential for non-cancer effects from environmental exposures.

Generally, the following interpretation of the HQ or exposure ratio is applied by risk assessors. Exposure ratios (HQ) < 1 indicate that there is no concern of harmful health effects in human receptor; Exposure ratios (HQ) >1 indicate that a risk of harmful health effect could occur in human receptors.

Exposure Ratios ~ 1 require careful consideration of the uncertainties in the HHRA and professional judgment. Reminder: RfD = NOAEL x Uncertainty Factors (typically 100 to 1000-fold; may be up to 100,000-fold) therefore the exposure limit could be orders of magnitude lower than the NOAEL or threshold level of effects in animals or humans. Human health risk significance is unclear at first glance and may require further assessment to fill data gaps and reduce uncertainty in HHRA.

Uncertainties in Risk Characterization of Non-Cancer Effects

The determination of the NOAEL and LOAEL are affected by toxicological study design [e.g. selection of range in dose levels, timing of administration of dose, sex of animals, species and strain of animals (genetics), number of animals in test group]. Toxicity endpoints selected for study or not studied is a source of uncertainty; critical study is the study with the lowest dose tested showing harmful health effects and the critical endpoint is that of the lowest LOAEL and the lowest NOAEL. Cannot comment on the potential health risks of effects on toxicity endpoints that have not been studied or assessed. The health significance is unclear when estimated exposures are similar to the RfD (i.e., HI or HQ ratio = 1 slightly above or below); these cases require careful re- assessment and review of all uncertainties identified in the HHRA to determine health implications.

2. Applied to Cancer Effects that have a mutagenic mode of action (Genotoxic and Non-Genotoxic Carcinogens as assessed by US EPA)

The cancer risk assessment guidance by U.S. EPA and other leading health protection organizations recommends that the cumulative dose received over a lifetime, expressed as average daily lifetime exposure (dose) prorated over a lifetime (e.g., 70 years), as an appropriate measure of exposure to a carcinogen, unless there is evidence to the contrary in a particular case.

The major underlying assumptions are that i) all exposures, no matter how small, are capable of causing some damage to DNA and its related properties in biological tissues that are self-propagating leading to the development of cancer effects in humans, and that ii) a high dose of a carcinogen received over a short period of time would be equivalent to a corresponding low dose spread over a lifetime. file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M060D045RCQuantitative.htm[11/1/2014 10:23:02 AM] WLC Template

Accordingly, for lifetime human exposure scenarios that involve intermittent or varying levels of exposure, the prevailing practice has been to assess exposure by calculating a lifetime average daily exposure or dose (LADD) as described.

For less-than-lifetime human exposure scenarios, too, the lifetime average daily exposure or dose has often been used.

The general calculation followed for estimation of the increased (incremental) cancer risk above the background level of cancer risk in the population involves the mathematical comparison of an estimate of environmental exposures to the Cancer Risk -Level Specified Dose (RSD).

For ambient environmental exposure a neglible increased cancer risk of a “ONE-IN-A-MILLION” or less is the "safe" or acceptable Incremental cancer risk-Level typically used in risk assessments of low-level environmental exposures, particularly in legislative and regulatory context of environmental pollution and environmental health impacts.

The Risk Specified Dose (RSD) in units of µg substance/kg body weight per day is derived from the cancer slope factor or unit risk to estimate the dose associated with a specific risk level, for example, a one-in-a-million increased lifetime risk.

Unit risk estimates express the slope in terms of micrograms/L drinking water or micrograms/m3 or ppm air. In general, the drinking water unit risk is derived by converting a slope factor from units of mg/kg-d to units of micrograms/L, whereas an inhalation unit risk is developed directly from a dose-response analysis using equivalent human concentrations already expressed in units of micrograms/m3. Unit risk estimates often assume a standard intake rate (L/day drinking water or m3 /day air) and body weight (kg), which may need to be reconciled with the exposure factors for the population of interest in an exposure assessment (see Section 4.4). Alternatively, when the slope factor for inhalation is in units of ppm, it may sometimes be termed the inhalation unit risk. Although unit risks have not been calculated in the past for dermal exposures, both exposures that are absorbed into the systemic circulation and those that remain in contact with the skin are also important.

Uncertainties in Cancer Risk Assessment

It is typically an upper-bound estimate that is likely an over-estimate of cancer risk. Assuming a lifetime exposure may over- estimate of cancer risk of short-term exposures and infrequent exposures, and could under-estimate cancer risk of childhood exposures. Dependent on the scientific understanding of mechanism of action (MOA) for carcinogenesis. Conservatively a mutagenic (genotoxic) MOA is assumed for most carcinogens and potential for additive interactions exist for the same type of cancer and critical target organ or tissue.

Need to include in risk characterization consideration of the classification of carcinogens according to the understood mechanism of action. Not all carcinogenic substances behave in the same manner to cause cancer in tissues. Non-mutagenic (non-genotoxic) carcinogens; contaminants with compelling evidence that their mechanism of carcinogenicity does not involve a direct mutagenic (genotoxic) mechanism are classified as non-mutagenic (non-genotoxic) carcinogens and are assumed to have a threshold for carcinogenic effects; an RfD approach may be appropriate to characterize potential health risks related to exposures to these types of carcinogens.

Uncertainty of the mechanism of carcinogenicity and the assumption that any exposure no matter how small will result in irreversible damage to occur in molecular and cellular systems leading to cancer. These uncertainties and assumptions may overestimate health risk of developing cancer from low level exposures. Existing models do not adequately address the latency period of carcinogenicity between exposure and effect. Some carcinogenic effects are only observed after very long periods after exposures have ceased – therefore it is difficult to determine cause-effect relationships in human epidemiological studies; also the presence of exposures to other substances. Existing models do not consider the significance of timing of exposure with respect to early and sensitive life-stages and development of cancer later in life (e.g. LADD approach and the assumption that exposure to carcinogens and health risk is uniformly distributed over a lifetime is inappropriate for estimating child exposures to carcinogens based on evidence that cell damaged in early life may be of greater health significance than in later years such as childhood sunburn and skin cancer). Need for expert judgment to interpret the significance of hazard data for genotoxicity studies, mutagenicity studies, carcinogenicity studies and human epidemiology studies

Estimate of Cancer Risk of Inorganic Arsenic

Unit Cancer Risk Excess cancer risk from continuous exposure (e.g. occupational inhalation) Inhalation Inorganic Arsenic = 1.5 x 10-3 (risk estimate for lifetime exposure to 1 µg arsenic file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M060D045RCQuantitative.htm[11/1/2014 10:23:02 AM] WLC Template

trioxide/m3 air)

Dose corresponding to Cancer Risk Level Dose corresponding to a specified cancer risk level based on an estimated cancer potency (q*) slope e.g. Inorganic Arsenic factor = Risk Specified Dose (RSD) Oral Dose

0.0006 µg/kg body weight /day =

one-in-a-million incremental Lifetime Cancer Risk (U.S EPA)

Individual Cancer Risk Individual’s increased risk of cancer through a specific exposure (annual or lifetime); increased probability of Increased cancer risk above background from developing cancer exposure to inorganic Arsenic is 1 x 10-3 , assuming average inorganic arsenic levels in U.S. drinking water = 2.5 µg/L, and average d.w. intake 1.6 L/day

Population Cancer Risk Refers to the number of cancer cases in population; reported as excess cases of cancer Average Individual Cancer Risk X Population = Population Risk

Need to consider potential for interactions; total cancer risk for cancer effects in the same target tissues.General risk assessment guidance for cancer effects is to sum cancer risk levels for same target tissues (e.g. sum the total estimated risk for all liver carcinogens). Note cannot sum exposures to carcinogens directly from different dose routes must first calculate estimate risk levels and then determine total risk for same types of cancers.

Special problems arise when the human exposure situation of concern suggests exposure regimens, e.g., route and dosing schedule, that are substantially different from those used in the relevant animal studies and human epidemiology studies used to derive the cancer risk slope factor or RSD.

Such averaging may be problematic in some situations, especially for early lifetime exposures and latency of cancer effects, and in situations when exposures become more intense but less frequent, especially when there is evidence that the agent has shown variable effects across different dose ranges (e.g., short-term high level occupational exposures such as to petroleum workers exposure to benzene and other solvent workers).

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RISK CHARACTERIZATION - Importance of Understanding Uncertainty in Environmental Risk Assessment

Risk Assessment to Risk Management

Need to Understand Variability and Uncertainty in HHRA for informed risk management decision-making.

How reliable are the results of the risk assessment?

Are there other plausible assumptions that would affect estimated exposures and risk outcome?

Special Considerations - HHRA

1.0 Children’s Health Risks - Child (3 mos preconception to 18 y)

Early lifetime exposures - greater risks of developing long-term harmful health effects; Cancer risks; Developmental Risks - Behavior and Cognitive (Neurological); and Reproduction.

2.0 Other Sensitive Groups in the Populations

Pregnant Woman; Seniors; Gender Differences – male and female; Genetic Susceptibility-Metabolism; Health Status – immunocompromised; Cultural Practices

3.0 Cumulative Risks – Multi- substances; Multi-media; Multi-pathways

a) Individual Substance – Effects are exposure route specific; Effects are not exposure route specific

b) Multiple Substances – Contaminants Interactions act through same or similar mechanisms; surrogate substance for group with similar properties; Different physical-chemical properties, environmental fate, ADME; Similar mechanism of toxic action.

4.0 Biological Significance of Health Risks

· Effects are measurable at the whole animal level

· Effects are irreversible depending on life stage of exposure

5.0 Bulk Parameters - Descriptors of Mixtures

e.g. Total VOCs; Total TPH; Total PCBs; Total PAHs, Total Metals

a) Provides information on type of contamination –only

b) No information on properties of components

c) Cannot estimate health risks of bulk parameter - Develop a Risk Strategy for Bulk Parameters - environmental mixtures and their fractions.

References on uncertainties in risk assessment and guidance for conducting risk assessments are provided in the Resources folder file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M060D046Risk%20Characterization.htm[11/1/2014 10:23:02 AM] WLC Template

for this course.

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RISK CHARACTERIZATION Risk Characterization Summary Report of the Findings and Recommendations of the HHRA

In this final stage of the risk assessment the potential for harmful risks to health in humans (and ecosystems) are estimated on the basis of the likelihood, degree, type and severity of harmful health effects to occur in humans and ecosystems. This is achieved through a comparison of estimated exposures determined in the exposure assessment to hazards determined in the hazard assessment. Estimated exposures calculated in the Exposure Assessment are then compared directly to the “safe" limit or "acceptable risk level”. In the risk characterization phase, the exposure limit most suitable to the exposure conditions of each particular receptor is identified and compared with the dose expected to be received by that receptor. For example, if the receptors were exposed to formaldehyde in drinking water, then the oral Reference Dose for formaldehyde would be compared with the expected oral dose. If the receptors were exposed via inhalation, then the Risk Specific Dose for nasal cancer would be compared with the expected inhalation dose. Consideration is given to the various factors involved in estimating the exposure and in developing the exposure limit to ascertain the likely relevance of the assessment and to identify sources of uncertainty.

A summary of the weight-of-evidence approach should be included in the risk characterization report. A weight-of-evidence approach uses empirical, scientific and professional judgment to interpret results of the assessment based on the integration of knowledge of the biological significance , the mechanism of action (toxicity and pathogenicity), and critical target organs and the potential for interactions. Depending on the level of understanding and confidence in the results of the risk assessment and its recommendations, options such as strategies to eliminate or reduce health risks from confirmed and possible exposures to individual and groups of contaminants and identified sources are made to stakeholders involved in risk management and risk communication. Risk reduction and risk management strategies for the environment, site or ecosystem can be further developed.

Special Considerations in HHRA

1.0 Maternal and Child Health Risks - Child (3 mos preconception to 18 y). Early lifetime exposures - greater risks of long-term harmful health effects. Cancer risks- childhood sunburns and risk of skin cancer. Developmental Risks -Behavior and Cognitive (Neurological), and Reproduction; Prenatal exposure to endocrine disrupting chemicals (EDC) and risk of cancer in adulthood and reproduction problems.

2.0 Other Susceptible Populations - including Seniors, Sex (male female), Genetic susceptibility, Health Status – immunocompromised, Cultural Practices.

3.0 Cumulative Risks – Multi- substances; Multi-media; Multi-pathways. a) Individual Contaminants - effects are exposure route specific (localized effects versus systemic effects); cannot sum exposures via different pathways (and media);sum individual risks (e.g. total cancer risk); effects that are not exposure route specific, sum total exposures via all pathways and media, calculate total risk from all pathways and media. b) Multiple Contaminants – Interactions, assess those that act through same or similar mechanisms; group substances by health effect (critical endpoint) (e.g. neurotoxicity – anti-cholinesterase insecticides; cancer type; endocrine disruption in early life-stages and developmental effects, pathogens and effects - acute diahhroea); sum individual risks calculated for individual substances (assume additive toxicity of low-level exposures); surrogate substance used to represent risk for group with similar properties.

4.0 Biological Significance of Health Risks - effects are measurable at the whole animal level (e.g. growth, development, reproduction, survival), harmful effects are always irreversible, effects are irreversible when exposures and effect occur during critical period of development or life stage (e.g. exposure of fetus, infant, child, adolescent to EDCs can affect development of brain and reproductive organs and their function).

5.0 Bulk Parameters - Descriptors of Mixtures (e.g., Total VOCs; Total TPH; Total PCBs; Total PAHs, Total Metals) a) Provides information on type of contamination –only; no information is provided on mixture composition – individual substances; composition varies with type, source and age of mixture (weathering). b) No information is provided on properties of components (e.g., physical-chemical, environmental fate and exposure (relative concentrations in media vary with type, source and age), health effects (health hazard depends on relative concentrations in environmental media). c) Cannot estimate health risks of bulk parameter; health risks dependent on properties determining hazard and exposure. Need to develop a Risk Strategy for Bulk Parameters, taking into account i) type of contamination; ii) chemical analysis - individual substances and relative concentrations; iii) complex mixtures – group substances by properties; iv) assess risk using surrogates for each group or assess risk for individual components and determine cumulative risks of similar acting substances.

UNCERTAINTY and SENSITIVITY ANALYSIS:

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A critical part of the risk characterization stage is the uncertainty and sensitivity analysis. It is important to understand the limitations of the hazard data and data used to estimate exposure to estimate potential health risk as these limitations affect the level of confidence in the results of the risk assessment.

All assumptions and data input into the conceptual model related to the sources, fate, determination of environmental concentrations, data to describe receptors (human and ecological), exposure pathways and to define hazard potential should be reviewed and verified. Those assumptions and data that are most critical to the risk assessment outcome should be identified. All rationale for assumptions must be clearly provided in the risk assessment report and the risk assessor should provide an indication either qualitatively or quantitatively as to what affect the assumption would be expected to have on the outcome (i.e., would the assumption likely over-estimate or under-estimate the estimated health risks).

Examples:

i) If in the Hazard Assessment a surrogate is used to represent the toxicity of similar less toxic substances; this assumption could be expected to over-estimate the health risks of exposure to these less toxic substances in the environment.

ii) Variability in the spread of the environmental concentration data and in the temporal and spatial spread of the data; all of which is used in the estimation of environmental exposures.

iii) If the Risk Characterization stage did not consider the potential cumulative risks of all possible exposure pathways it is should be expected that health risks may be under-estimated.

However if it was known that one exposure pathway represented 98% of the exposure from all pathways it is likely that the health risks would not be significantly under-estimated. Five general exposure pathways and media are possible, these include air compartment, water compartment, soil compartment, food and consumer products; a generic approach assuming proportionally the same amount of exposure form all five compartment should theoretically apply 20% of the total allowable daily intake (e.g., TDI or ADI) to each compartment or exposure pathway. However, since the distribution of contaminants is seldom equal across all compartments and exposure pathways it is recommended in risk assessment guidance to determine form monitoring and surveillance studies the comparative amounts of contaminants in each compartment and their contribution on average to the total exposure estimates as part of the risk characterization step.

OVERALL FINDINGS and RECOMMENDATIONS

Overall findings of the environmental risk assessment uses a weight-of-evidence approach to determine the human health and ecological significance of the estimated risks of certain biological responses. Identify in the conclusions and recommendations key factors contributing to risk specific to:

· Sources

· Contaminants of Concern (risks of harmful effects on health)

· Environmental media of concern (based on health risk)

· Exposure pathways – major pathways

· Receptors and their activities and uses of the environment, site or ecosystem that would be expected to place them at greater health risk.

· Key data gaps and uncertainties influencing the outcome of the environmental risk assessment, in particular taking into account the variability in measured environmental concentration data and in health outcome data from epidemiological studies and their representativeness to the population of interest.

Importance of Understanding Uncertainty in Human Health Environmental Risk Assessment

Risk managers and risk communicators and stakeholders involved in making decisions about whether or not to implement interventions for reducing health risks need to know the level of confidence to place in the results of the risk assessment.

How precise are the results of the risk assessment?

Is there a need for more study? If so what are the critical data gaps and assumptions (which ones contribute the most to

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the uncertainty of the risk assessment); How would the assumptions made in the risk assessment be expected to affect the risk outcome? Do they overestimate or underestimate risk?

Average measure of risk based on single point estimates or worst-case exposure scenarios may not provide sufficient information for decision making at the population level. For example, certain groups within a larger population may be at greater risk than others, of particular concern are the potential for significant risks to maternal and child health from water- related impacts. Depending on the situation, potential for significant health risks may occur in genetically susceptible individuals, immunocompromised individuals or seniors, and vulnerable populations living near an uncontrolled source of pollution.

Uncertainty is the confidence in the interpretation of the information and assumptions used in the model design and data interpretation to estimate exposure.

Are there other alternative plausible assumptions that would affect estimated exposures and the outcomes predicted in the risk assessment?

Recommendations - Assessing the Need for Risk Communications and Risk Management Interventions

Propose next steps for consideration by risk managers and risk communicators based on results of risk assessment. These steps might include:

Strategy to fill critical data gaps (e.g. site-specific bioavailability, chemical speciation; tissue residues; market basket survey, biological monitoring).

Environmental monitoring (sample collection and analyses).

Mapping (GIS)

Database development

More detailed risk assessment - Screening Level 2 and 3; integration of new data to provide updating on status of situation and risk interventions and or fill critical data gaps

Development of remediation options and risk communication materials.

Development of an environmental monitoring and surveillance program to document changes (improvements or deterioration) in population and ecosystem health.

References on uncertainties in risk assessment and guidance for conducting risk assessments are provided in the Resources folder for this course.

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Risk Assessment - Reviewer's Checklist - Example

Checklist of Risk Factors for Consideration in Human Health Environmental Risk Assessment

Project Management and HHRA Design Comments

Purpose of Overall Study – if HHRA is part of a larger study e.g. linked to ERA – clearly stated

Purpose of HHRA stated

Scope of HHRA - is outlined and notes constraints, restrictions

Approach - consistent with basic RA framework; scientifically defensible; rationale to address data gaps; innovative to contribute to HHRA knowledge

Approach - innovative to contribute to HHRA knowledge; address HHRA uncertainties (theoretical and measurement)

Describes how approach is specific to Community and Populations of interest for study and its strengths/limitations

Project Team - states unique qualifications and experience related to Ecosystem or specific area of study

Project Management - HHRA experience in strategy and success

Schedule - Milestones and timeframe stated

General Approach – scientifically-sound and cost-effective

RISK FACTOR: Considered Comments

HHRA Problem Formulation: Scoping

Sources and Environment (Site –Community) Characterization -

Strategy to identify information to describe environment site, community, sources and releases, uses and users (all ages, cultural communities, etc.) file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M065D005RAReview%20Checklist.htm[11/1/2014 10:23:03 AM] WLC Template

Strategy to identify and describe (including search historical records) sources –past and present

Sources – point sources identified

Sources – point source quantified – total volume per unit time

Sources – non-point sources identified

Sources – non-point sources quantified

Waste Releases strategy - to consider influence of time and location of releases and area affected (environmental transport component)

Waste Releases strategy - to consider time and location of releases and the environmental fate of substances tendency to distribute to air, water, soil, sediment, biological organisms and for conversion to less persistent or more persistent substances, and/or more toxic or less toxic substances

Previous risk assessment, health and environmental impact studies, risk management interventions, remediation (clean- up), describe

Environment description – existing characteristics – see Lecture #3 environmental modifying factors (abiotic) and landscape and ecosystem characteristics

Information community, populations, cultural representations, uses, and life style habits

Existing ecosystem specific environmental monitoring data – historical; present

Demonstrate understanding of local ecosystem conditions – note how the are similar or differ from generic conditions used in regulatory guidelines and environmental criteria (soil, air, water, sediment)

List any Eco health concerns that have been raised prior to ERA

List any Human health concerns that have been raised prior to ERA

Human community description – pop size, industry, agriculture, other practices, identify specific locations or areas related to use – include parkland, industry, schools/daycares,

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hospitals, gardens, agricultural land, residential areas.

Waterways – note all uses and users involving drinking water, swimming and recreational use, washing, irrigation, other direct contact with water, contact with sediment, consumption of aquatic organisms, indirect uses of water for pumping, ballast, cooling, etc.

Risk management problem – strategy to identify and engage all Stakeholders

Risk Communication – strategy to identify and engage all stakeholders

Objectives of HHRA

Rationale to define Spatial Boundaries for Study Area – consistent with HHRA Overall Purpose and objectives; appropriate for type of sources, hazards, and community, geographical area of impact, available knowledge of past, present, and future uses

Identify key data gaps needed for problem formulation- rationale why information is needed

Strategy to fill data gaps for problem formulation – rationale why strategy is appropriate

Strategy to identify community's (populations and sub- populations) of interest – all ages and life stages ( embryo, fetus, child to adult and senior), sensitive populations; life- style, diet, etc.

Strategy to identify localized areas for more detailed HHRA

Hazard Identification (Selection of Substances for HHRA) Considered Comments

List of all known substances form all identified sources – include what has been measured; limits of detection; media type and from literature what types of substances may be in releases if no waste monitoring data or limited analyses

Environmental media monitoring data for (air, soil, water, sediment, organism) exists – time and location ; consider limits of study design and analyses (e.g., analytical method and detection limit; number of samples, etc.,)

Compare monitoring data to natural background environmental concentrations in soil, water, sediment, air for the location. To identify contamination (increase in environmental concentrations compared to natural

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background). If no available natural background information – develop strategy for comparison?

Compare monitoring data to regulatory guidelines and criteria – note basis of regulatory levels are they consistent with geographical location, community, culture and life-style factors, source and substances environmental fate and transport; are regulations human health risk- based using an exposure pathways analyses or are they effects-only; are they for the most sensitive life-stage (early-life stages may be at greater risk but depends on the exposure scenario).

Strategy to assess contaminants (chemicals, biologicals, physical agents) for which there are no human health risk- based criteria relevant to the HHRA and community of interest

Note inherent toxicity and pathogenicity (hazard) of contaminants – type of effect, severity of effect, exposure level at which effect occurs, exposure route, sensitive species and life-stage based on human epidemiology, microbiology and clinical disease, mammalian toxicity testing, etc.

Source of hazard data – scientific credibility; date of publication; conduct literature review to update hazard information – for screening purposes use readily available peer reviewed published sources .

Note environmental fate – what environmental media is substance likely to occur in upon release to the environment – based on physical chemical properties (vapour pressure, water solubility/hydrophobicity, etc.); based on lab and monitoring data

Note environmental persistence (estimated half-life); lab and monitoring data; are there cyst and spore forms of biological contaminants

Note information on breakdown products in the environment and metabolites in the body, presence of vectors for VBD and life-cycle of parasites – less toxic, more toxic and persistence; lab and monitoring data

Based on environmental fate note – likely exposure pathways to humans based on life-stage, age, behaviour and activities.

Are any of these pathways related to inherent toxicity and specified exposure route (e.g. inhalation route most potent than dermal)

Consider potential for interactive effects – mixtures

No information is available on toxicology for chemicals (microorganisms - disease initiating ability – infectivity, file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M065D005RAReview%20Checklist.htm[11/1/2014 10:23:03 AM] WLC Template

transmission, control) – compare to other substance s with similar properties, same source

No information on environmental fate, transport, transformation?

Consider potential for exposure – based on environmental compartment into which release occurs, quantity of release; measured concentrations in environment, operation of source - continual on-going release; historical release no longer ongoing; short-term occasional release, environmental media into which substance will distribute

Consider Public Concern of health risks of substance(s) and sources – is there a need to address these?

Conceptual Model- proposed model will address the Considered Comments following:

Conceptual model – consistent with basic internationally recognized guidance and applicable regulatory frameworks for HHRA

rationale for determination of spatial boundaries clear and consistent with scope of study; proposed spatial boundaries consider sensitive/critical habitats, protected areas, and are consistent with scope of study

considers appropriate environmental media and exposure pathways and exposure scenarios are representative of users and uses, age and life-stage, life-style and behaviours

reflects fate, transport and phys-chem properties of substances selected for detailed HHRA

Draft flow diagram of Conceptual model

Exposure Assessment - will address: Considered Comments

use of contaminants monitoring data - existing

additional contaminants monitoring data – to be collected

Biological markers of exposure – general non-specific exposure to class of substances; substance specific only; substance and hazard specific

Exposure modelling approach - confirmed with site-specific

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monitoring data

Exposure modelling approach – literature data only

Qualitative approach

quantitative approach - deterministic

quantitative approach - probabilistic (Monte Carlo)

individual level assessment

population level assessment

exposure scenarios and selected receptors are representative of community, situation and realistic uses of environment and contact with environmental media

all life stages to be assessed; consideration of sensitive populations

innovative approach but consistent with basic HHRA framework and exposure pathways analyses

exposure pathways selected for detail HHRA correspond to substances, biological species, environmental media, fate and transport, includes exposure route of greatest health concern and all others

multi-media exposure analysis - exposure via drinking water, cooking, bathing, washing, air, soil/dust, water ( swimming, recreational use), food (supermarket, home garden, commercial garden, wild berries, fish, game)

Inhalation exposure pathway - only

Ingestion exposure pathway -only

Dermal exposure pathway - only

Natural background exposure to be estimated; source of background data is relevant to environment and community; may need more than one reference site depending on size of area of impact.

Consideration of Bioavailability - methods to estimate discuss the implications of bioavailability on exposure assessment

Receptor Characterization - proposed data is considered to file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M065D005RAReview%20Checklist.htm[11/1/2014 10:23:03 AM] WLC Template

be representative of area population of interest (e.g. body weight, respiration rate, body surface area, etc.).

Provide a strategy for integration of environmental monitoring data into realistic exposure assessment

Develop link to ERA for food, fish and game species, species of economical importance

Discuss implications of Bioavailability on exposure; propose method to estimate bioavailability in different media

Uncertainty and Sensitivity Analysis of exposure - will be done; discuss implications to HHRA outcome

Demonstrates knowledge of sources of uncertainty in exposure assessment ( e.g. scientific judgment, mathematical models, mathematical distributions, no. of iterations used, receptor characteristics, receptor activities, consumption of home garden produce, environmental monitoring data, bioavailability of substances in various matrices)

Hazard Assessment – will address the following: Considered Comments

weight-of-evidence approach

extrapolation from controlled laboratory animal studies in published literature

Source of data (databases) to be used to determine hazard of long-term low level exposure to substances is stated and is scientific peer reviewed (credible)

Toxicity assessment will incorporate most recent information- up to date literature review of hazard data

review and compare various regulatory and scientific methods for the derivation of exposure limits for each life stage and sensitive populations – note limitations to assumptions as they related to community of interest and real exposure scenarios and life stages

address a wide range of potential endpoints and effects in all life stages

ensure that the most sensitive receptor is protected

Exposure limits for each substance or mixtures based on

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exposure route and specific health effect and sensitive life stage

Address affect of bioavailability of substance in different environmental media on toxicity

use information from regional, provincial and national health statistics databases – note gaps

Assessment of interactive effects

Uncertainties in hazard assessment identified and discussed - noncancer endpoints, cancer endpoints, interactions, extrapolation from occupational epidemiology studies and extrapolation from animal studies

Risk Characterization- methods will address the Considered Comments following:

weight-of-evidence approach

Hazard Quotient

Incremental Lifetime Cancer Risk – note flaws in theoretical model

Risks to susceptible and vulnerable groups, especially children and maternal health (other Life-stages and genetic susceptibilities)

Appropriate distributions and sufficient iterations of the exposure model are proposed for Monte Carlo simulations – discuss implications for HHRA

Comparison of HHRA theoretical risks to theoretical health risk based on background environmental concentrations

Comparison of theoretical risks to measured health effects incidence based on regional, national, provincial databases

Describe the application of HHRA results to develop strategic intervention if needed - innovative approach based on sound science

Means to ensure best professional judgment in HHRA interpretation (e.g. Expert Panel)

Discuss implications of uncertainties on outcome of risk assessment - ( e.g. uncertainties -exposure limits, Lifetime Chronic Daily Intake (CDI), Cancer Slope Factor )

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Sensitivity analysis to determine critical parameters contributing to risk estimates

Revise Exposure assessment - as additional information becomes available and in refinement of the situation

Revise Hazard assessment as additional information becomes available and in refinement of the situation

Revise Risk characterization – uncertainty and sensitivity analyses; as additional information becomes available and in refinement of the situation

OTHER Considerations: Considered Comments

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RISK MANAGEMENT AND RISK COMMUNICATION ----- RISK COMMUNICATION AND RISK MANAGEMENT

The evidence of risk assessment findings that support key recommendations inform risk management and risk communication processes by providing important context, identifying current and potential significant risks and key contributing factors and susceptible and vulnerable groups, and provides recommendations or options for next steps..

Several types of strategic approaches have been developed and implemented by health protection organizations, governments, industry, and communities to mitigate and reduce health impacts and significant risks to health and the environment.

The selection of an appropriate risk management and risk communication strategy largely depends on the level of concern for immediate or long-term impacts and the extent of the area of impacts and whether observed and expected impacts are reversible or irreversible, as well as the availability of tools and applications for treatment to reduce immediate and longer term risks and for the prevention of further impacts on health of the population and damage to the environment.

Many approaches for managing health risks from water-related impacts are adopted and adapted from standardized and conventional interventions accordingly to meet the needs of the users and uses of the water source and supply.

For safe drinking water multi-barrier strategies are often necessary in order to provide adequate health protection and acute and chronic illness and disease prevention.

Risk Management and Risk Communication Strategies and Options

Examples of some risk management and risk communication strategies and options that have been applied in countries around the world for the mitigation of water-related impacts on health and for the reduction in health risks are as follows,

1. Conduct a risk benefit analysis of the risk reductions (benefits) vs. costs (health social and economic) of proposed risk management interventions. This should include an assessment of the status quo of doing nothing versus doing something to lower threats (risks) to health and well-being from contaminants in the drinking water source and supply.

2. Implement WHO safe water quality guidelines, based on the water use and users such as drinking water guidelines for maternal and child health and fish and shellfish consumption advisories for lakes rivers and coastal areas.

3. Evaluate and promote reliable multi-barrier methods for drinking water disinfection, sanitation and hygiene at the household, schools, hospitals and healthcare clinics, and food processing and food services facilities.

4. Apply the precautionary principle for safe-guarding and protecting water quality water quantity and health.

5. Conduct routine and targeted sampling monitoring and surveillance of water quality quantity, including water usage and water-related health outcomes at the community, regional and national level, and develop integrated databases of pertinent information.

6. Review the available evidence and develop a level-of-concern approach based on the quality and interpretation of the available data, including risk communications and strategies for acting in the absence of sufficient evidence, as necessary. Develop and test contingencies for supporting emergency preparedness.

7. Develop and implement risk communications with stakeholders and the public and public education about water-related health impacts current and future risks and benefits of change, such as interventions for prevention of harmful exposures. Examples include, information fact sheets, frequently asked questions, speakers, public report cards on the issue, briefing notes to government offices, posters, bookmark, continuing education and school (primary and secondary) educational tool kits, educational videos and U-tube videos.

8. Conduct a risk assessment (scoping level, level 2, level 3 comprehensive risk assessment) increasingly more in depth and quantitative to delineated area of impact and risk and provide groundwork for risk management interventions, including risk communication in an iterative manner.

Monitoring and Surveillance - Updating of Risk Communication on the Status of Risk Management, Performance Effectiveness Needs Directives and Legal Implications

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It is important to review the available evidence and new information as it becomes available, including the analyses of case studies on water-related impacts on health and update those that are ongoing and have adopted, adapted and created interventions for reducing risk and mitigating impacts, as appropriate to the contaminant, health effects (acute and chronic) and the exposure period latency of effects and frequency in the population and area of impacts and risk.

Being knowledgeable of pertinent water-related health guidelines and guidance materials developed by the World Health Organization would be beneficial for the development of integrated water and health monitoring and surveillance systems for tracking and reporting of water-related infectious disease and acute and chronic illness.

References on risk assessment risk management and risk communication are provided in the Resources folder for this course.

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NEEDS ASSESSMENT - Providing Context for Risk Assessment and Risk Management Decisions

What is a needs assessment?

"Health is a complete state of mental, physical and social well-being, not only the absence of disease" (WHO).

Needs assessment for public health should provide relevant reliable context for informing risk assessment and risk management decisions for preventing and reducing water-related impacts on health outcomes.

Needs assessments for public health are conducted to identify i) critical issues, ii) susceptible and vulnerable populations in need, iii) program needs to provide relevant, adequate and reliable health protection and disease prevention services, iv) research needs and v) policy gaps.

The needs assessment provides a foundation and baseline for developing a strategic action plan for improving, sustaining, responding, reporting on performance measurement indicators

All of these are influenced by changing demographics and population statistics, globally and at the country, state and province, regional and local level. Government offices of statistics primarily gather and analyze demographical information across a wide range of subjects and sub-topics including those pertinent to health and public health. Information is acquired through legislated national census questionnaires distributed to individual households conducted on a cyclical basis. Population statistics on topics important to public health are also obtained through voluntary national randomized surveys of health, nutrition and socio-economics carried out on a cyclical basis.

It is an iterative process requiring relevant, adequate and reliable information from monitoring and surveillance data systems for identifying important gaps to be filled in existing practices policies governance and infrastructures and in applications of technologies and sciences for the protection of human health and the environment and the prevention of water-related impacts on health and well being.

Community Health Needs Assessment Guidelines , Manitoba Health

Rapid Needs Assessment - Emergencies

Household Water Treatment and Safe Storage Following Emergencies and Disasters , South Asia Earthquake and Tsunami. World Health Organisation (WHO) Water Sanitation and Health 2002

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Framing the Health Issue - Giving Context to Inform Risk Assessment and Risk Management Decisions

i) How has the issue developed? ii) When and in what form did it first become recognizable as a health concern or issue for investigation? iii) What are the preceding and related issues? iv) How has it been tackled by other epidemiologists and other researchers, based on the available information? v) What advancements in knowledge of the health issue (disease agent, transmission and exposure conditions) have been made, and have they been instrumental in the development of epidemiological approaches and methods, more widely used in the past and today? vi) What are the influences of prevailing social, political, economic, and ethical conditions and opinions of the time period? vii) What might be some of the consequences of social, political, ethical and economic pressures on the findings of epidemiological studies? viii) What can an historical perspective tell us about the present status and future evaluation of the health issue?

What? So what? Now what?

The above is a simple mantra applied by some public health practitioners when asked to provide pertinent context to a health issue from a past, present and future perspective.

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RISK COMMUNICATION - RISK MANAGEMENT

Deaths and Disabilities Related to Water Sanitation and Hygiene

See also Table 4.3: Summary statistics on deaths and disabilities (in DALYs: disability-adjusted life years) related to water, sanitation and hygiene in 2002. Source Puss-Usten et al 2008. Reproduced on Page 41 in document “Healthy wetlands, healthy people”

Evidence of Water-Related Disease ─World Wide Estimates And Key Messages for Risk Communication and Risk Management

One-tenth of the global burden of disease could be preventable by improving water supply, sanitation, hygiene and management of water resources.

Nearly, 900 million people are without improved sources of drinking water.

Over 2.6 million people not using improved sanitation facilities.

Developing countries and rural populations are more disadvantaged than urban populations and developed countries.

Women largely bear the burden of responsibility and physical hardship for collecting drinking water often at distances greater than 1 km.

4.0% of all deaths and 5.7% of DALYs (disability-adjusted life years) can be attributed to unsafe inadequate and insufficient water, sanitation, and hygiene.

Adding to the global burden of disease are impacts to water quality and safety from environmental pollution by toxic chemicals and hazardous substances.

1.4 million children die per year from preventable diarrhoeal diseases; 88% of diarrhoea cases are associated with unsafe water, inadequate sanitation, and insufficient hygiene.

Children, especially those under 5 years of age are overly affected by water-related diarrhoeal diseases, parasites and environmental exposures to toxic and hazardous substances in unsafe water.

In addition, an estimated 860,000 preventable child deaths occur per year from malnutrition, defined as having a weight that is two standard deviations below the population mean weight for the respective age and gender group.

Underweight and malnutrition in children under five years of age may account for 35% of all children’s deaths, 70,000 deaths per year, and 50% of which is found to

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be associated with repeated diarrhroea, intestinal parasites and unsafe water, inadequate sanitation and insufficient hygiene.

Exposure of pregnant women, in particular during maternal and delivery care, to unhygienic practices and poor infection prevention and control involving unsafe water, poor sanitation and poor management of medical waste has been shown to contribute to maternal infection and maternal deaths.

Hygiene promotion in primary schools is beneficial in the prevention of disease and encouraging continuing attendance by girls in schools.

A survey of global health care facilities (GLAAS 2012, page 66) found that:

25% lacked adequate hygiene and sanitation.

Unsafe water in remote and rural facilities.

13% lacked improved water supplies.

Only 44% uptake of international hand-hygiene program.

References:

Cheng et al 2012

GLAAS Report 2012

Pruss-Usten et al 2008

Pruss-Usten 2014

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WATER-RELATED CONTAMINANTS OF CONCERN TO HUMAN HEALTH

Examples of Water-Related Contaminants

Biological Chemical

Bacteria Salmonella Metals Mercury (MeHg, Hg+, Hg0)

Arsenic (AsIII,AsV,organoAs) Shigella Cadmium (Cd3+,Cd0)

Campylobacter Selenium (Se)

Fluoride (Fl) Cholera Lead

Clostridium botulinum Copper

Manganese Clostridium difficile Chromium (Cr II, Cr III, CrVI)

Listeria monocytogenes Uranium

Staphylococcus

Pesticides Persistent organochlorinated pesticides, fungicides, e.g., DDT (DDE), Dieldrin, MIREX, Chorophenols, organomercurial compounds,

Lead-arsenate compounds, Tributyl-tin compounds, Copper-chromate-arsenic compounds, pyrethroids

Viruses Hepatitis, polio Non-persistent, biodegradable pesticides e.g., organophosphates, 2,4- D, atrazine, glyphosate

Parasites Protozoa e.g., Natural Pesticides e.g., pyrethrins, Schistosmiasis, Giardia eugeniol

Helminthes e.g., Ascaris, Lumbricoides, liver flukes and flat worms

Animals -urine, Flies and other insects, Industrial Chemicals Industrial chemical, belonging to class faeces, saliva, (eggs, larvae, adult) of persistent organic pollutant (POPs) hair, and carrying e.g., Polychlorinated- chlorobiphenyls debris on feet and Rodents, bats and other (PCBs; coplanar PCBs, fur small mammals Hexacholorbenzenes; Polychlorinated aromatic hydrocarbons (PAHs), quaternary ammonium compounds, phenolics,

Animals for food Domestic goats, sheep, Ingredients in Human and veterinary drugs and (including Bush cattle, fowl, and Wild Pharmaceuticals, diagnostics, antibiotics, estradiol, Meat) Game and Birds, Reptiles, Cosmetics and Personal synthetic estrogens, NSAIDs, SSRIs, , Monkey, etc. carriers of Care Products antineoplastic compounds, caffeine, infectious bacterial, Triclosan and its metabolites, musks viruses, protozoans, and fragrances, sunscreens, cosmetic parasites, TSEs, existing ingredients and emerging diseases

Naturally occurring toxins Botulinum, microcystins, of bacterial, fungal (not staphylococcal-toxins, parahemolytical-

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commonly identified in toxin, dinoflagellate toxins in algae red- water) and algal origin tide

By-products of Chlorinated dioxins and chlorinated incomplete and low furans temperature combustion

By-products of Trihalomethanes, Haloacetic acids, disinfection chlorite, bromate

Petroleum hydrocarbon Benzene, toluene, ethylbenzene, xylene compounds (BTEX), VOCs, semi volatile compounds

Radionuclides

Biological Contaminants of Major Concern to Human Health

Table of Water-Related Disease

Source: Hunter PR, MacDonald AM, Carter RC (2010) Water Supply and Health. PLoS Med 7(11): e1000361. doi:10.1371/journal.pmed.1000361

http://www.plosmedicine.org/article/info:doi/10.1371/journal.pmed.1000361

Chemical Contaminants of Major Concern to Human Health and the Ecosystem

Are those used in large volumes and released into the environment in high amounts, capable of causing harmful effects at low level exposures (e.g., parts per billion concentrations and lower) and are resistant to breakdown into less harmful forms, such that they persistent in the aquatic environment accumulating in the water column sediments plants and animals, including blood brain bone and other major organs in humans, and those that are able to cross the protective blood-brain-barrier and the maternal placental-fetus barrier.

In some cases, large volume releases of nutrients into the aquatic environment may enhance conditions for microbial growth consuming dissolve oxygen destroying critical fish habitat and coral reefs, breeding pests and disease, and causing eutrophication of surface waters. Acidification of surface waters through the continually deposition of SOx, NOx and other acidifying compounds can mobilize toxic metals from sediments and release them into the water making them accessible for uptake by drinking water and in fish and shellfish and their consumers.

If the intake of nutrients and chemical compounds into the body occurs in amounts greater than elimination rates, depending on the timing and frequency of exposures (e.g., during pregnancy), physiological homeostasis may upset with potential for causing harmful health effects.

Health Effects of Chemical Water Pollution Significantly Contaminants Harmful Exposures

toxic metals e.g., Arsenic (As), Manganese

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(Mn), Fluoride ground water contamination from leaching of minerals and contaminants in soils and bedrock; groundwater (Fl); nitrates, contamination from seepage of land applications and run-off and spills pestcides, solvents (e.g., petroleum hydrocarbons, TCE).

lead (Pb); some solder water supply contamination from pipes and solder in distribution system and from storage containers, ceramic and glazes glazes may contain cadmium (Cd) acute effects and long-term cumulative effects on the brain toxic metals and nervous system, (e.g., Hg, Pb, birth malformations, Cr, Cd, As, contamination of surface water by direct discharge of untreated and incompletely treated wastewater municipal musculo-skeletal Mn, Cu, U) and industrial, mining , forestry; and contamination from runoff from agricultural fields, spills, and wet and dry effects, skin and precipitation of air pollutants; run-off from land applied wastes problems, circulatory pesticides, problems, black foot steroids, disease and cancers; industrial liver function and chemicals. CVD; cyanosis; methaemoglobinemia POPs (e.g., DDT-DDE, chlorinated dioxins and furans coplanar PCBs and like chemicals, chlorinated contaminated fish and seafood, waterbirds and eggs, and marine mammals from polluted ecosystems organic pesticides), methyl mercury, inorganic mercury, lead, arsenic, cadmium, and steroids.

Of Lessor Concern

Those residues that are generally regarded as safe (GRAS), have low toxicity, high water solubility and are readily completely mineralized or breakdown into non- harmful metabolites and rapidly eliminated from the body, and do not persist or accumulate to harmful levels.

Those contaminants that are used and released into the environment in very low amounts; contaminants that have low toxicity; contaminants that are biologically inert; contaminants that have low water solubility and low volatility, but break down and do not persist or accumulate to potentially harmful levels.

Large bulky molecules and polymers that tend to become adsorbed and complexed into the organic fractions of soils and sediments and dissolved organic materials, that are biologically inert and unavailable for uptake into tissues if ingested, but would be readily eliminated in the faeces.

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Monitoring and Surveillance for Biological Contaminants

Bacteria viruses protozoa fungi parasites and other biological contaminants are often found in surface water groundwater improperly treated drinking water, and in fish and shellfish depending on several factors including the following:

Location – point and non-point sources of pollution

Quality of Drinking Water and Potable Water

Location - wild fish or farmed fish using aquaculture techniques,

Freshness of food

Cleanliness and consistency of storage conditions (temperature) of drinking water and food items - from water collection, farm, fishery to market to consumer – residential and restaurant.

Hygiene and sanitation

Water - Drinking Water Surface Water and Ground Water

No international monitoring and surveillance and reporting program exists for biological contaminants in municipal drinking water and household drinking water and potable water supply.

The WHO has developed safe drinking water guidelines.

Waters are generally monitored by a number of different organizations such as, government bodies (state provincial, municipal, federal), local non-government organizations, universities, dischargers, and volunteers.

Examples of the types of water monitoring reports that can be generated from water quality databases include the following:

Monitoring assessment and reporting guidelines for microbial quality of drinking water Assessments of biological conditions of recreational waters and beach closures

Food- and Waterborne Diseases and Zoonoses

Pathogenic bacteria; viruses; parasites – are common in food

International monitoring and surveillance is conducted for 20 water and food borne zoonotic diseases by Centres for Disease Control in Europe and others.

The EDCD provides an electronic toolkit and guidance when assessing the need for coordinated international investigation of a disease outbreak.

Centres for Disease Control Monitoring and Surveillance of Food-and Waterborne Diseases and Zoonoses

Covers 20 diseases including:

Anthrax

Botulism

Brucellosis

Campylobacteriosis

Cholera

Cryptosporidiosis

Echinococcosis

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Giardiasis

Hepatitis A

Leptospirosis

Listeriosis

Salmonellosis

Shigellosis

Toxoplasmosis

Trichinellosis

Tularaemia

Typhoid/paratyphoid fever

variant Creutzfeldt-Jakob disease (TSE)

VTEC/STEC infection

Yersiniosis.

References

Bartram, J. and Rees, G. 2000. Monitoring Bathing Waters - A Practical Guide to the Design and Implementation of Assessments and Monitoring Programs © World Health Organisation 2000 ISBN 0-419-24390-1

IOM 2009 Global Environental Health Research Gaps and Barriers for Providing Sustainable Water Sanitation and Hygiene Services Copyright by the National Academise of Sciences, ISBN-13: 978-0-309-13179-7 and ISBN-10: 0-309-13179-0

OECD 2013 Guidance Document for Exposure Assessment Based on Environmental Monitoring. Series on Testing and Assessment No. 185. Environment Directorate OECD Paris 2013

WHO 2011. Guidelines for Drinking-water Quality 4th Edition

WHO Recommended Surveillance Standards. Second Edition WHO/CDS/CSR/ISR/99.2 WHO Department of Communicable Diseae Surveillance.

WHO (World Health Organization). Guidelines for safe recreational water environments. Volume 1, Coastal and fresh waters. 1.Bathing beaches—standards 2.Fresh water—microbiology 3.Water quality—analysis4.Water pollution—analysis 5.Environmental monitoring—methods 6.Wound and injuries—prevention and control 7.Drowning 8.Risk management 9.Reference values 10.Guidelines I.Title II.Title: Coastal and fresh waters. ISBN 92 4 154580 1 (NLM classification: WA 820) © World Health Organisation.

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Monitoring and Surveillance for Chemical Contaminants

Environmental Exposures - Environmental Monitoring Data

The Organization for Economic Cooperation and Development (OECD) has published guidance describing the basic methodology used to conduct an exposure assessment based on environmental monitoring data. The OECD document gives and example of how monitoring data could be used in an exposure assessment, and discusses the possible links between the use of monitoring data and an approach that uses modelling results.

Data quality assurance and quality control (QA/QC) are important for high quality monitoring data.

The key elements in assuring the quality of monitoring data are: (1) utilizing reference materials; (2) conducting inter-laboratory studies; and (3) reporting the QA procedures used in collecting the data (UNEP, 2004 and UNEP, 2007).

Effective QC, compilation of QA and QC information as property data elements, and the use of a properly accredited laboratory are all good practices for ensuring the collection of high-quality monitoring data.

Another good practice element is to use a standard format for collecting data that can be easily harmonised with other systems.

The OECD’s Harmonised Templates for Reporting Chemical Test Summaries (OHT) are standard data formats for reporting studies done on chemicals to determine their properties or effects on human health and the environment that may be useful for reporting environmental monitoring data for use in exposure assessments.

Analytical chemistry results of testing of environmental samples derived from different methods may not be comparable. The use of sufficiently sensitive analytical technique is essential to develop an effective exposure assessment based on monitoring data and should be informed by the exposure limits identified in the hazard assessment (e.g., the tolerable daily intake of contaminants, TDI, and the acceptable daily intake of residues, ADI, values that are measures of the quantity of a chemical contaminant or residue that, it is expected, can be ingested and consumed daily over a lifetime without a significant risk to health or harm). Analytical results below the required sensitivity for exposure calculations are generally unsatisfactory for the purposes of developing an exposure assessment. The accuracy of the data may decrease at levels close to the limits of detection (LOD) of the analytical method. data reported as non-detect values, non-linearity of concentrations in the lower concentration range, and quantifying data that are close to or below the LOD may contribute to uncertainties in estimating exposures.

How representative is the monitoring data? This takes into account the placement of the concentration in the distribution of the data and the scale of the spatial and temporal distributions of environmental concentrations and exposures. The data can be described using percentiles, median, maximum or minimum, or as the “realistic point estimate” of exposure. For a screening-level assessment, a conservative estimate based on the upper end of the distribution tends to be used. In other types of exposure assessment, the concentration at a specific location on the distribution is clearly stated. The concept of the realistic point estimate of exposure implies placement in the distribution in accordance with the goal of the assessment. Limited available data may mean the real data distribution in the environment is not known when using monitoring or modelling methodologies. The real placement in the data distribution in the environment can be more accurately described when extensive monitoring data are analyzed with proper statistical methodologies. The representativeness of monitoring data in at least the spatial and temporal distribution should be established. To be sufficiently confident in the representativeness of the sample, the density and/or number of sampling points should be considered and depend on the exposure assessment’s purpose. The actual density and/or number of sampling locations may be based on feasibility. Calculating the representative media concentration (RMC) is one of the primary targets of the exposure assessment. The RMC can be assigned from both location (central tendency or upper end of a data distribution) and dispersion information (data spread, variability or scale). The same applies to estimating intake rates of the population. The population distributions of the concentrations of chemical contaminants in environmental media are often assumed to follow some specific patterns, but the basis for this assumption is not always sound. Observed environmental and biological data are often skewed and arguments against fitting the data to a distribution are possible. Before conducting statistical analysis the data distribution should be viewed by preparing scatter plots, box plots and other methods. It may not be justified to exclude what statistically appear to be outliers. Parametric and non-parametric statistical tests may be used to analyse the data and the advantages and underlying assumptions and limitations should be included in the assessment. Resampling methods such as "bootstrap" and Monte Carlo sampling methods may be used in developing exposure assessments.

Examples of governmental environmental monitoring.

The data centres of the European Environment Agency (EEA) compile various environmental data, including monitoring data for air pollution, water and wastes; they are comprehensive compilations of various monitoring data collections, not necessarily relating to chemical contaminants. Source: European Environment Agency, Environmental Data Centre Website, www.eea.europa.eu/dataand-

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In Canada, monitoring occurs at the federal, provincial and municipal levels. The Canadian Environmental Protection Act, 1999 provides the federal government with the authority to request information from industry In Canada, monitoring occurs at the federal, provincial and municipal levels. The Canadian Environmental Protection Act, 1999 provides the federal government with the authority to request information from industry.

The US Environmental Protection Agency (US EPA) has developed Envirofacts, a data warehouse that provides access to several US EPA databases containing monitoring information on environmental activities that have been conducted for air, water and land anywhere in the United States. Envirofacts enables individuals to generate maps of environmental information for a specific location. Many databases developed by the US EPA, the US Geological Survey and other agencies include a geospatial component that allows users to display data geographically.

Risk Assessment and Risk Management Guidance

Health effects and toxicology profiles, risk assessment and risk management guidance documents are available from the WHO International Product and Chemical Safety (IPCS) programme.

Guidance documents are published by the OECD chemical safety and biosafety programme supporting a Globally Harmonised System (GHS) for the management of chemicals, including the OECD Environmental Risk Assessment Toolkits. http://www.oecd.org/env/ehs/risk-assessment/

The Organisation for Economic Co-operation and Development (OECD) is an intergovernmental organisation in which representatives of 34 industrialised countries in North and South America, Europe and the Asia and Pacific region, as well as the European Commission, meet to co-ordinate and harmonize policies, discuss issues of mutual concern, and work together to respond to international problems. Most of the OECD’s work is carried out by more than 200 specialized committees and working groups composed of member country delegates. Observers from several countries with special status at the OECD, and from interested international organizations, attend many of the OECD’s workshops and other meetings. Committees and working groups are served by the OECD Secretariat, located in Paris, France, which is organized into directorates and divisions. The Environment, Health and Safety Division publishes free-of-charge documents in ten different series: Testing and Assessment; Good Laboratory Practice and Compliance Monitoring; Pesticides and Biocides; Risk Management; Harmonization of Regulatory Oversight in Biotechnology; Safety of Novel Foods and Feeds; Chemical Accidents; Pollutant Release and Transfer Registers; Emission Scenario Documents; and Safety of Manufactured Nanomaterials. More information about the Environment, Health and Safety Programme and EHS publications is available on the OECD’s World Wide Web site (www.oecd.org/ehs/).

The Centers for Disease Control's Agency for Toxic Substances and Diseases Registry (ATSDR) publishes guidance documents on the toxicological profiles, and the Division of Community Health Investigations (DCHI) do public health assessments and health consultations for communities that are near a site proposed for or listed on the U.S. National Priorities List (NPL), when an individual community member petitions ATSDR for a public health assessment of a site or facility, and when local state federal or tribal governments ask ATSDR for help in evaluating releases of hazardous substances into the environment. For more information go to http://www.atsdr.cdc.gov/hac/pha/index.asp.

Human Biomonitoring

There are no international guidelines for human biomonitoring of environmental exposures and there is no international requirement for notification of acute and chronic chemical environmental exposures.

The U.S. Centre for Disease Control and Prevention (CDC) manages the National Health and Nutrition Examination Survey (NHANES), a survey designed to assess the health and nutritional status of adults and children in the United States. NHANES findings are used to determine the prevalence of major diseases and risk factors for diseases in the United States. The National Human Exposure Assessment Survey (NHEXAS) was implemented in the 1990s by the US EPA to provide critical information about the distribution of multi-pathway, multimedia population exposures to chemical classes.

The Canadian Health Measures Survey is a nationally representative survey carried out by Statistics Canada, in collaboration with Health Canada and the Public Health Agency of Canada, to collect information from Canadians about their health. The survey includes a biomonitoring component, which collects blood and urine samples that are analysed to provide information on exposure to selected environmental chemicals including arsenic, lead, mercury and other inorganic and organic contaminants. The surveys

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conducted over three cycles, the first cycle collected information from Canadians aged 6 to 79 years during the period 2007– 2009.83 The second cycle (2009–2011) includes children as young as 3 years of age. Cycle 3 covers the period from 2012–2013. The Maternal-Infant Research on Environmental Chemicals Study will generate maternal and foetus biomonitoring data for 10 sites across Canada sampled between 2008 to 2011. The Northern Contaminants Program includes biomonitoring, health effects and risk communication studies for Aboriginal populations in the Canadian Artic. The First Nations Biomonitoring Initiative is a five-year (2008–2012) cross-Canada health survey. Additional biomonitoring studies have been conducted of blood lead levels in Canadian children.

The Commission for Environmental Cooperation (CEC) has conducted a trinational biomonitoring study, to document exposure to environmental contaminants for women who are pregnant for the first time (primiparous) in Canada and Mexico, and women of childbearing age in the United States. The objectives of the study were to examine geographic differences in residue concentrations, as well as to develop comparable analytical chemistry research capacity across all three countries. The trinational report was published in October 2011.

Water - Drinking Water Surface Water and Ground Water

No international monitoring and surveillance and reporting program exists for chemical contaminants in municipal drinking water and household drinking water and potable water supply.

The WHO has developed safe drinking water guidelines.

Waters are generally monitored by a number of different organizations such as, government bodies (state provincial, municipal, federal), local non-government organizations, universities, dischargers, and volunteers.

Water quality data are primarily collected by dischargers and local, regional and federal levels of government. Water quality data and used to characterize waters, identify trends over time, identify emerging problems, determine whether pollution control programmes are working, help direct pollution control efforts to where they are most needed and respond to emergencies such as floods and spills. Monitoring is conducted to protect surface water, groundwater, surface water runoff and water used for drinking and to promote responsible water use and protection (water stewardship). Government departments of the environment in cooperation with departments of public health are typically mandated with the promotion education and enforcement of regulatory compliance with drinking water regulations and discharge permits. Monitoring data and survey information on groundwater, wastewater, watersheds, storm water, lakes, rivers and streams, oceans, coasts, estuaries and beaches and wetlands, and monitoring data from surveys of chemical contaminant concentrations in fish tissues and seafood from lakes, rivers and coastal areas should be collected and stored in accessible and searchable databases for risk assessment and risk management and findings should be communicated with the public and stakeholders.

Examples of the types of water monitoring reports that can be generated from water quality databases include the following:

Statistical surveys of water quality - locally, regionally and nationally. Mapping and displaying water quality information Patterns and trends in water quality conditions Monitoring assessment and reporting guidelines Assessments of biological conditions of waters Concentrations and loadings of selected chemical contaminants and water constituents in surface waters ground waters coastal waters and surface runoff Beach closures and water and sediment quality conditions and changes over time

Example - The Guidelines for Canadian Drinking Water Quality are published by Health Canada on behalf of the Federal- Provincial-Territorial Committee on Drinking Water. In Canada, municipal and provincial governments are mainly responsible for drinking water monitoring and setting and enforcing regulations. Examples of municipal drinking water monitoring programs are Toronto Water, City of Vancouver Water, City of Calgary Water Services, and provincial drinking water monitoring programs are Ontario's Drinking Water Surveillance Programme and Alberta's Surface Water Quality Data.

Sediments and Soils

Clean-up guidelines should be derived for contaminated sediments and contaminated soils that are identified through monitoring programmes, particularly those that impact water bodies and for which there are fish consumption advisories (e.g., The Great Lakes of Canada and the Unites States).

Fish Consumption Guidelines and Advisories and Closures

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Examples:

Health Canada has issued several fish consumption advisories for fish and shellfish impacted by chemical contaminants in sediments and effluents including chlorinated dioxins and chlorinated furans, co-planar PCBs, and methyl mercury.

The Ontario Ministry of the Environment and the Ministry of Natural Resources have published Guidelines for Eating Ontario Sport fish.

Pollutant Release and Transport Registers

The OECD countries have established guidance for monitoring and reporting of pollutant releases and transfers of high production volume and use (HPV) chemicals to air, water and land. The OECD publishes annual PRTR reports on HPV chemicals.

PRTR are key resources for identifying pollution prevention priorities, supporting the assessment and risk management of chemicals and air quality modelling, and the development of targeted regulations for the reduction of environmental releases of priority pollutants.

Canada's National Pollutant Release Inventory (NPRI) is an example of a legislated, publicly accessible inventory of pollutant releases to air, water and land and transfers for recycling.

Food

International monitoring and surveillance of chemical contamination of food is coordinated through the WHO FAO.

Some factors influencing the risks of contamination are as follows,

Location – point and non-point sources of pollution

Quality of drinking water and potable water used in preparation and processing of food, including meat, produce, fish and seafood

Location - wild fish or farmed fish using aquaculture techniques.

Freshness of food - type of food packaging and food preservation Cleanliness and consistency of storage conditions (temperature) - from water collection, farm, fishery to market to consumer – residential and restaurant.

Air

The WHO (2005) has developed international guidelines for the following selected air pollutants particulate matter (PM), ozone (O3), nitrogen dioxide (NO2) and sulfur dioxide (SO2), the guidelines are applicable across all WHO regions.

the AQGs give interim targets related to outdoor air pollution, for each air pollutant, aimed at promoting a gradual shift from high to lower concentrations. If these targets were to be achieved, significant reductions in risks for acute and chronic health effects from air pollution can be expected. Progress towards the guideline values, however, should be the ultimate objective.

Examples of governmental air quality monitoring programmes and databases:

The six criteria air pollutants that are monitored in the United States are carbon monoxide, lead, nitrogen dioxide, ozone, particulate matter and sulphur dioxide.

All States are required to conduct monitoring for the criteria air pollutants and to provide a summary of the results to the US EPA. Each year the US EPA examines trends in air pollution for the six criteria air pollutants and prepares a National Air Quality and Emissions Trends Report that summarizes changes in air pollution over time and the current air pollution status. Additionally, the U.S. EPA is required to manage 187 hazardous air pollutants (HAPs). Air monitoring data for the entire United States are available in the Air Data database and can be displayed geospatially. Data on the sources and emissions of the criteria and hazardous air pollutants are available via the National Emissions Inventory Database. More information on the US EPA air monitoring programmes and databases can be found at the U.S. EPA Air and Radiation website. http://www.epa.gov/air/

The National Air Pollution Surveillance (NAPS) database is a joint programme by federal, provincial, territorial and regional

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governments to monitor and assess the quality of ambient air in Canada. NAPS gathers measurements from 152 stations in 55 major urban and rural locations across the country for sulphur dioxide, carbon monoxide, nitrogen dioxide, ozone, particulate matter (all components of smog), volatile organic compounds, and selected polycyclic aromatic hydrocarbons. Across Canada, provincial monitoring programmes are also conducted including, BC Air Quality Health Index (AQHI), Ontario Air Quality Index (AQI), Alberta Ambient Air Monitoring, and Manitoba Air Quality.

Summary Table of Available OECD Tools for Risk Assessment

Source: http://www.oecd.org/env/ehs/risk-assessment/summarytableofavailabletoolsforriskassessment.htm

Categories Links to Available Materials Explanation

Hazard Gathering OECD Existing Chemicals OECD-wide agreed hazard assessments Assessmentexisting database elaborated in the OECD Co-operative information Chemicals Assessment Programme eChemPortal Global Portal to Information on Chemical Substances

Manual for the Assessment of A set of guidance documents for (initial) Chemicals (Chapter 2) risk assessment developed for the OECD Co-operative Chemicals Assessment Programme. See chapter 2 for gathering data

Evaluating Manual for the Assessment of See chapter 3.1 for determining the existing Chemicals (Chapter 3) quality of existing data information

Generating new Test guidelines Test methods for assessing (hazard) data properties of chemicals

The OECD (Q)SAR Project Guidance and tools for filling data gaps by non-testing methods.

Assessing the Manual for the Assessment of Chapter 4 provides guidance assessing hazards Chemicals (Chapter4) & the hazards of chemical substances to (Chapter 5) man and the environment

Chapter 5 provides guidance on elaborating a hazard assessment report.

Series on Testing and Guidance documents and reports related Assessment to assessment of several inherent effects

Exposure General Environmental Exposure An overview of the approaches on Assessmentguidance for Assessment Strategies for environmental exposure assessment exposure Existing Industrial Chemicals in used in the late 1990s by OECD member assessment Member Countries countries

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Manual for the Assessment of Guidance on reporting exposure Chemicals (Chapter 6) information (Section 6.2) and on initial exposure assessment. (Sections 6.3 and 6.4)

Measuring or Emission Scenario Documents Estimating emission of chemicals in estimating specific industry and use categories releases to the environment Global Portal to PRTR A gateway and databases of global Information (PRTR net) information on Pollutant Release and Transfer Registers (PRTRs)

Resource Centre for PRTR Release Estimation Techniques

Centre for PRTR Data

Environmental Test guidelines Test methods for assessing (hazard) fate and properties of chemicals pathways The OECD (Q)SAR Project Guidance and tools for filling data gaps by non-testing methods. Pov and LRTP Screening Tool A tool for screening overall persistence and long-range transport potential of chemicals

Guidance Document on the Guidance on the models estimating Pov Use of Multimedia Models for and LRTP Estimating Overall Environmental Persistence and Long-range Transport EPISuite™ The EPI (Estimation Programs Interface) Suite™ is a Windows®-based suite of physical/chemical property and environmental fate estimation programs developed by the USEPA’s Office of Pollution Prevention Toxics and Syracuse Research Corporation (SRC).

Measuring or Report on improving the use of The workshop report on the use of estimating monitoring data monitoring data in exposure assessment concentrations in the environment Available tools and models for exposure A list of tools and models developed and assessment used in OECD member countries for different tiers of exposure assessment.

Other Relevant Materials/ New Chemical Assessment Comparison of risk assessment of new Comparisons and Implications chemicals.

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Risk Assessment of Specific for Work Sharing Chemicals

Policy Dialogue on Exposure Comparison of approaches to exposure Assessment assessment in OECD member countries Pesticide Testing and Assessment Guidance documents etc. on hazard and Biocides exposure assessment of pesticides and biocides respectively.

Related Documents

The OECD Environmental Risk Assessment Toolkit: Tools for Environmental Risk Assessment and Management

The OECD Environmental Risk Assessment Toolkit: Steps in Environmental Risk Assessment and Available OECD Products

Manual for the Assessment of Chemicals

© OECD. All rights reserved Terms and Conditions Privacy Policy MyOECD Site Map

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Monitoring and Surveillance for Physical Contaminants

International monitoring and surveillance of radiation and other physical contaminants in food and the environment is coordinated through the WHO.

Some factors influencing the risks of radiation and other physical contamination are as follows,

Location and type of point and non-point sources of pollution (e.g.., radiation - nuclear reactors, spills and hazardous waste disposal including medical waste disposal; UVA and B radiation sun, UV light source; EMFs sources - power lines, transformers, electrical appliances, mobile base stations (cell phone towers), cell phones, medical imaging technology, radar, x-rays)

Quality of drinking water and potable water for domestic use, hygiene and in preparation and processing of food, including meat, produce, fish and seafood

Location - wild fish or farmed fish using aquaculture techniques.

Location where food is grown, including plants, vegetables, fruit, meat and fish

Cleanliness and consistency of storage conditions

No international monitoring and surveillance and reporting programs exist for physical contaminants in municipal drinking water and household drinking water and potable water supply.

No international requirement or guidelines exist for notification of acute and chronic radiation poisonings associated with environmental exposures, other than under emergency situations.

The WHO has developed safe drinking water guidelines, and health effects and health hazard guidance documents are available from the WHO IPCS and OECD.

The OECD countries have established guidance for reporting of inventories of national pollutant releases of priority pollutants to air, water and land, and publish reports on the state of pollutant releases to the environment.

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DEVELOPEMENT OF A MAP TOOL FOR RISK COMMUNICATION AND RISK MANAGEMENT PLANNING

Using data from monitoring and surveillance of water-related zoonotic diseases.

Zoonoses Hotspots

WHO map showing locations of zoonotic diseases and poverty Source: Map by ILRI, published in an ILRI report to DFID: Mapping of Poverty and Likely Zoonoses Hotspots, 2012.

Example - case study of Guinea worm.

CDC/WHO/UNICEF 2000. Case Containment Strategy for Eradication of Dracunculiasis in Africa.

CDC 2010. Neglected Tropical Diseases Program Fact Sheet

WHO. 2004. Expert Consensus Expert Meeting Group in the World Health Organization (WHO). Waterborne Zoonoses: Identification, Causes and Control. Edited by J.A. Cotruvo, A. Dufour, G. Rees, J. Bartram, R. Carr, D.O. Cliver, G.F. Craun, R. Fayer, and V.P.J. Gannon. Published by IWA Publishing, London, UK. ISBN: 1 84339 058 2.

Additonal References

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M070D015MandSzoonoseshotspots.htm[11/1/2014 10:23:05 AM] WLC Template

4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO. 2004. Expert Consensus Expert Meeting Group in the World Health Organization (WHO). Waterborne Zoonoses: Identification, Causes and Control. Edited by J.A. Cotruvo, A. Dufour, G. Rees, J. Bartram, R. Carr, D.O. Cliver, G.F. Craun, R. Fayer, and V.P.J. Gannon. Published by IWA Publishing, London, UK. ISBN: 1 84339 058 2.

World Health Organisation (WHO). 2004. Using climate to predict infectious disease outbreaks: a review. Communicable Disease Surveillance and Response Protection of the Human Environent Roll Back Malaria Geneva. 2004.

WHO 2000. Monitoring Bathing Waters - A Practical Guide to the Design and Implementation of Assessments and Monitoring Programmes, Edited by Bartram, J. and Rees, G. World Health Organisation. Geneva.

Additional References:

Emerson et al. 1999. Effect of fly control on trachoma and diarrhoea. The Lancet 353: 1401 - 1403

List of water related diseases

See WHO Fact Sheets in Resources folder.

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Food Contamination by Biological and Chemical Substances in Water Risk Assessment

Hazard Identification

Food is a major source of transmission of waterborne infectious disease

Food is source of exposure to toxic environmental contaminants and residues in animal and plant tissues.

Chemical Contaminants

Toxic metals

Pesticides and Persistent Organic Pollutants –bioaccumulative substances and their degradation products such as, DDT and Σ DDE, dieldrin, PCBs and co-planar PCBs, chlorinated dioxins and chlorinated furans, azo dyes, artificial colourants and flavourings.

Biological Contaminants

Biological contaminants are often found in fish and shellfish in various quantities depending on: the location and whether wild fish or domestic farmed by aquaculture techniques, freshness of food, cleanliness and temperature consistency of storage conditions from wild, farm, fishery to market to consumer in market and store, home and restaurant.

Pathogenic bacteria; viruses; parasites – common in food. International monitoring and surveillance is conducted for 20 water and food borne zoonotic diseases by Centres for Disease Control in Europe and others.

E.g., Salmonella is predominantly a food borne infection mediated by poor hygiene, sanitation and water quality.

Problem Formulation - Food safety issues for monitoring and surveillance of food-borne water-related and zoonotic diseases and assessing risks

Are there safeguards in place for food quality assurance and food quality control?

Do governmental and public health food inspection organizations conduct monitoring and surveillance of domestic and imported foods ?

Do food products meet the minimum international governmental regulatory requirements and health protection and disease control guidelines for contaminant residues?

Is there monitoring and surveillance data available? Data should be reported for indicators of the chemical and microbiological quality of food for sale.

Are coordinated and documented random sampling and targeted sampling and analytical testing conducted for contaminants, bacterial and chemical residues?

Are there regulations and guidelines followed for pesticide application and pesticide usage and are waiting periods respected for the clearance of unacceptable levels of pesticides in food items before going to market sale and for consumption?

Is there an electronic numeric tracking system for products and food items?

Unique identifier for product, package and date of packaging and best before date.

To facilitate identification and tracking of food products for recalls for the swift removal from point of sale and notification of consumers.

Unique identifier for each food producer (agricultural facility, farm, aquatic farming operations, fishery, fishing boat – company, animal and herd, fish and site of catch, etc).

Is there a shared mechanism in place for notification and exchange of pertinent information among health protection organizations, industry and food testing laboratories, and health laboratories and hospitals and medical clinics, and veterinary clinics for reporting

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and responding to outbreaks of infectious disease and illness in humans and animals?

Exposure Assessment

Microbial and chemical contamination of food can occur by several routes

1. Preparation of food on contaminated contact surfaces, counter tops, plates, utensils, and food handler hands, hair, mouth nose, and clothing.

2. Wash water may be contaminated at the source of water supply; after a storage; by accidental transfer of a small amount of faecal matter from in sufficiently washed hands. Contributing factors are lack of access to sanitation and lack of sufficient amount of water for adequate hand-washing and personal hygiene, as well as lack of awareness and training of food handler in their role in the transmission of infectious disease.

3. By a food handler who is sick and a carrier of infectious disease who has not sufficiently washed hands prior to the preparation of food, and serving of food. Applies to microbial contamination not chemical contamination.

4. Raw and improperly cooked and storage of refrigerated and reheated food that has been contaminated either by sick handler during food preparation or before purchasing.***may want to include food safety and public health protection guidelines on temperature for safe cooking, refrigeration and reheating of food, and general guidance for food safety *** these would apply to microbial contamination not chemical contamination.

5. By preparation of reconstituted beverages and dilution of beverages with water unsafe for drinking because of microbial and chemical contamination.

6. By use of water contaminated with pathogens and toxics during food processing and production of beverages for commercial sale. Such as described in # 6, 8, 7, 10, 11, 12, 13 and 14.

7. By irrigation of vegetables, fruits and grains during their production with water contaminated by inadequately treated sewage and waste waters, including effluents from abattoirs and contaminated by dead animal carcasses, water contaminated by pesticides and cleaning chemicals from cross contamination of wash water by back wash and changes in pressurized water distribution systems, and using water from a contaminated source.

8. By use of contaminated wash-water for spraying down of carcasses and work area of slaughter house and butcher shops, and for spraying down of fresh produce, work area and store and market shelving. In adequate cleaning of food processing and store and market stall areas.

9. By watering of livestock and animals for food with contaminated water containing zoonotic waterborne organisms and toxic substances.

10. By collecting water for food preparation and washing from the same waters where cattle and other livestock, pets, and children and adults wade, urinate and defecate and is used for washing clothing and bedding, soiled by faecal matter, urine and vomit.

11. By obtaining water for food preparation, cooking and processing and beverages from water wells and surface water supplies contaminated by surface runoff from cesspools and improperly constructed and maintained latrines situated a short distance away (less than ~30 m) and from wells and water holding tanks and pipes that are cracked and leaking or improperly installed.

12. By using untreated, unfiltered and disinfected, water of poor microbial and chemical quality for food preparation, cooking, food and beverage processing obtained from shallow wells, ditches, puddles, ponds, lakes and rivers that are frequented by wildlife, such as rodents, snails, cattle, and others that live, defecate and wash in the same water source, and that receives runoff visibly containing animal faeces and urine, and untreated polluted effluents from industry, agriculture and municipal sewage and wastes.

13. By storage of foods in areas with unsanitary conditions, such as in dishes and containers contaminated with faecal matter and vomit, in latrines, under soiled beds and soiled linens, and where there is no barrier from accidental flooding by contaminated sewage during flooding and extreme weather.

14. By use of dirty and reused fuel, solvent, pesticide and poison containers to store flour, sugar, water and food items for making and preparing food.

15. Use of water in the preparation, cooking and making of food that is obtained from rusty, corroded and leaky pipes.

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16. Improper chemical disinfection of water for use in food preparation, cooking and making of food.

Additional information and resources on food safety issues and risk assessment are produced by the CDC Food Protection, WHO Food Protection, ECDC, USDA and US FDA, and CFI and HC Food directorate.

Risk management practices should be evaluated on a regular basis as part of the monitoring & surveillance for food- borne hazards capable of causing human illness

Food safety Investigations may be triggered by the following situations:

Consumer complaints concerning a food, which may involve reports of illness. Food processing deviations identified during inspection activities. Laboratory reports indicating the presence of a hazardous contaminant (biological or chemical) in distributed food. Notification from industry (manufacturer, processor, distributor, importer, common carrier, etc.,) of a potential food safety problem. Information about a food safety problem from other external sources (e.g., foreign health officials, industry or public health associations, academia, veterinary inspection, outbreak of animal illness, etc.)

An identified food-borne hazard (in the absence of human illness) would not automatically trigger a coordinated investigation.

When a contaminated food has been identified which could pose a risk to the public, organizations responsible for food safety and health should launch an investigation. If control measures are taken to prevent further cases (e.g., public awareness and communication campaign, notification of industry and consumers to eliminate contaminated product and source of contamination), but additional cases are still occurring, a coordinated investigation is needed.

Consideration should be given to the peculiarities of the events compared, such as source, vector or vehicle of the infectious agent and the geographical location of the event. (source ECDC website and toolkit http://ecdc.europa.eu/en/healthtopics/food_and_waterborne_disease/toolkit/Pages/index.aspx accessed December 23rd, 2012)

Water-Related Contaminants and Food

Foodborne Exposures – Fish, Seafood and Shellfish, Vegetables, Fruits, Meat and Game (Bush meat)

Raw, Cooked, Prepared and Processed Foods, Food Service

Water-Related Contaminants (examples)

Biological * Chemical

Bacteria Salmonella Metals Mercury (MeHg, Hg+, Hg0)

Arsenic (AsIII, AsV, organoAs) Shigella Cadmium (Cd3+,Cd0)

Campylobacter Selenium (Se)

Fluoride (Fl) Cholera Lead

Clostridium botulinum Copper

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Chromium (CrII, CrIII, CrVI) and other metals Listeria monocytogenes

Staphylococcus

Pesticides Persistent organochlorinated pesticides, fungicides, e.g., DDT (DDE), Dieldrin, MIREX, Chorophenols, organomercurial compounds,

Lead-arsenate compounds, Tributyl-tin compounds, Copper-chromate-arsenic compounds, pyrethroids

Viruses Hepatitis, polio Non-persistent, biodegradable pesticides e.g., organophosphates, 2,4- D, atrazine, glyphosate

Parasites Protozoa e.g.,, Natural Pesticides e.g., pyrethrins, Schistosmiasis, Giardia eugeniol

Helminthes e.g.,, Ascaris, Lumbricoides, liver flukes and flat worms

Industrial Chemicals Industrial chemical, belonging to class of persistent organic pollutant (POPs) e.g., Polychlorinated- chlorobiphenyls (PCBs; coplanar PCBs,

Hexacholorbenzenes; Polychlorinated aromatic hydrocarbons (PAHs), quaternary ammonium compounds, phenolics,

Ingredients in Human and veterinary drugs and Pharmaceuticals, diagnostics, antibiotics, estradiol, Cosmetics and Personal synthetic estrogens, NSAIDs, SSRIs, , Care Products antineoplastic compounds, caffeine, Triclosan and its metabolites, musks and fragrances, sunscreens, cosmetic ingredients

Naturally occurring toxins Botulinum, microcystins, of bacterial, fungal (not staphylococcal-toxins, parahemolyitical- commonly identified in toxin, dinoflagellate toxins in algae red- water) and algal origin tide

By-products of Chlorinated dioxins and chlorinated incomplete and low furans temperature combustion

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By-products of Trihalomethanes, Haloacetic acids, disinfection chlorite, bromate

Petroleum hydrocarbon Benzene, toluene, ethylbenzene, xylene compounds (BTEX), VOCs, semi volatile compounds

Radionuclides

Centres for Disease Control conduct international monitoring and surveillance for 20 food-borne, water-borne and zoonotic diseases, see list attached, and the EDCD provides an electronic toolkit and guidance when assessing the need for coordinated international investigation of a disease outbreak.

Centres for Disease Control Monitoring and Surveillance of Food-and Waterborne Diseases and Zoonoses

Covers the following 20 diseases -

Anthrax

Botulism

Brucellosis

Campylobacteriosis

Cholera

Cryptosporidiosis

Echinococcosis

Giardiasis

Hepatitis A

Leptospirosis

Listeriosis

Salmonellosis

Shigellosis

Toxoplasmosis

Trichinellosis

Tularaemia

Typhoid/paratyphoid fever

variant Creutzfeldt-Jakob disease (TSE)

VTEC/STEC infection

Yersiniosis.

ECDC FWD coordinates surveillance of the above-mentioned diseases at the European level. In addition, it coordinates an Urgent Inquiry Network which aims for timely identification of circulating enteric pathogens with potential link to contaminated food products or any other common sources with international distribution (e.g. feed).

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EXPOSURE AND RISKS OF WATER RELATED CONTAMINANTS IN FOOD 1. POLLUTION OF THE AQUATIC ENVIRONMENT

HABITAT FOR FISHERIES, ANIMAL WATERING, WILDLIFE, AND SOURCE OF WATER SUPPLY

Receiving water of toxic metals, hazardous substances, nutrients and human and animal wastes and zoonotic pathogens.

Acidification of surface waters, shifts in nutrients (NPK) metals and redox potentials, and biological and microbial communities.

Eutrophication leading to depletion in dissolved oxygen concentrations, algal blooms and cyanobacteria growth, anaerobic sediments, and a stratified water column.

Release and distribution of toxics to water, sediments, suspended solids and dissolved organic carbon (DOC), binding to organic materials in sediments and accumulation of some metals and persistent organic pollutants (POPs) in sediments, release from sediments to pore-water and overlying water column through bioturbation, wave action and turbulence, and accumulation of toxics and some biologicals in fish and shellfish, and fish-eating fish, -birds and -mammals, including humans.

Incubation, Proliferation and Transport of Zoonotic, Pathogenic and non-pathogenic microorganisms in the aquatic environment, food items and humans and animals.

Pathways exist for disease transmission and exposure to toxics.

SOURCES OF POLLUTION TO RECEIVING WATERS - PROBLEM FORMULATION

A. Wastes, Wastewater Effluents and Waste Water Holding Ponds For -

Municipal sewage – direct discharge no treatment; ditches and open sewers connected to water bodies; primary treatment only, + secondary, +tertiary treatment facilities

Industrial Processes, Manufacturing, and Commercial

Mining, smelting, quarries, stone and masonry, forestry, pulp and paper, petroleum, oil and gas, oil sands operations.

Electricity and energy – hydroelectric, coal-fired, nuclear, solar, wind

Automobile and transportation industry (cars, trains, planes, ship building, sales and maintenance)

Textiles, plastics, chemical manufacturing, batteries manufacturing and recycling, electronics, printing and lithography, pharmaceuticals manufacturing, paints and surface coatings manufacturing, detergents

Waste disposal and recycling facilities

Agricultural wastes and wastewaters

Animal husbandry facilities – barns, feedlots, pasture

Slaughterhouses and abattoirs

Cash crops - Fertilizer and pesticide applications and overuse, involving aerial drift, spraying deposition soil saturation and seepage infiltration to groundwater, harvesting, and seasonal soil management processes.

Food and Beverage Industry and Processing and Packaging Plants

B. Surface Runoff and Soil Erosion (during rain, flooding and storm events) From -

Roads (paved and unpaved) – (natural riparian zone; catch basins?)

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Storm sewers and catch basin overflows

Agricultural fields

- Manure pile, barn cleanout, animal compounds

- Land applied municipal and industrial sewage sludge

- Land applied biosolids

- Fertilizers (wastes from ponds and lagoons – improper disposal of residuals and unused product)

- Pesticides (wastes from ponds and lagoons – improper disposal of residuals and unused product)

C. Spills and Industrial Accidents

release hazardous chemicals, fertilizers, nutrients, and fuels and industrial emissions directly to surface waters, and ground involving seepage –infiltration of hazardous substances through the vadose zone into shallow groundwater supplies and may ultimately reach deep aquifer, depending on physical chemical properties of contaminants governing the fate transport and persistence of contaminants, and coinciding contamination and environmental conditions.

D. Fire and Fire Suppressants

release of combustion by-products and fire retardant chemicals (e.g., BPDEs, Siloxanes) and surface runoff from fire damaged site; distribution of water carrying biological and contaminants to other locations during aerial water bombing.

2. WATER USAGE – EXPOSURE AND TRANSMISSION PATHWAYS - ASSESSING AND MANAGING RISKS

2a. Watering Livestock

Animals fed and watered using contaminated water supplies may be carriers of disease, shedding viruses, bacteria, parasites in faeces and urine contaminating water, soil, bedding and transfer it to other animals and people.

Animals succumbing to severe infections may continual to be a source of disease to human and animal population; if not adequately disposed and destroyed. Reports of decomposing animals in source waters, farms, slaughterhouses and food processing are a threat to human health and health of livestock.

Diseased living and dead livestock and animal-derived materials must not be used for human and animal food and food and therapeutic and medical products.

Bacteria, viruses, protozoan, and parasites in exposed animals can accumulate in animal tissues, be shed in faeces and urine into the environment and contaminate organ, blood, fat, muscle and bone of animals (domestic and wild) and be transmitted to humans ingesting meat and animal-derived products, especially if raw, inadequately cooked and dehydrated and powdered.

Ground bone and blood meal carries a high risk of contamination and should be used with caution to prevent inhalation, ingestion and contact exposures.

Residues of toxic substances may accumulate in organ meats, muscle, blood, fata and bone of watered livestock, depending on the type of substance and amount of exposure and its bioaccumulative properties.

2b. Fisheries – Fish and Shellfish: (Wild and Farmed)

Fish and shellfish caught and raised in polluted waters may be a source of disease, toxins and toxic exposures in humans and livestock.

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waters. Shellfish are filter-feeders capable of filtering large volume of water daily, extracting and accumulating nutrients, contaminants, metal and organics from the water column and sediments.

Use only live freshly caught fish and shellfish after it has been rinsed-well in clean safe water. Shellfish (e.g., oysters, clams, mussels) should be cleaned by scrubbing off external organic material and immersing in clean safe cold fresh water for several hours and allowing animals to self-purge in clean freshwater; depending on the number of animals and volume of rinse water it may be necessary to replace cold water several times.

Cleaned raw fish and raw shellfish should be kept cold, preferably on ice until cooked or eaten raw. Do not eat any shellfish that does not open easily after placing in freshwater to self-purge. Shellfish are typically cooked in boiling water, sautéd, grilled or fried. Cooked shellfish should be eaten hot fresh or first cooled and kept cold on ice until eating. Thaw frozen shellfish and fish in refrigerator, in ice cold water, or cook from frozen.

Consumption of raw fish and shellfish is an avoidable infectious disease health risk. Especially at risk are pregnant women and their babies, non-immunized children and adults, and persons with HIV and other immune suppression disorders, and those taking immune-suppressing medication (e.g. corticosteroids, prednisone, some types of anticancer medications).

Health protection organizations may post fish and shellfish consumption advisories and prohibit fishing in designated areas beacause of unsafe levels of contaminants (microbial, toxins, and toxics) based on test results of monitoring and surveillance studies.

Fish consumption advisories usually target women of child-bearing age, pregnant women and children, local fishermen and people who eat a lot of fish and shellfish, marine bird eggs and marine mammals from locally polluted habitats to inform them about possible health risks (acute and chronic).

Pregnant women, her developing fetus and children are especially at risk from exposures to unsafe levels of substances toxic the nervous system, development and behavior, and are teratogenic (able to cause birth defects) such as, methyl mercury, lead, PCBs, MIREX, dioxins and furans.

Fish is a major source of protein in the developing world and worldwide; control and treatment of effluents before discharging to the receiving aquatic environment is beneficial and necessary for disease prevention and the protection of fisheries and human health.

Examples of fish and shellfish advisories and fisheries closures -

Ontario Ministry of the Environment, Guide to Eating Ontario Sport Fish;

Health Canada Crab and Fish Consumption Advisories for Chlorinated Dioxins and Furans – Howe Sound

GIS maps are tools for risk management and risk communication showing uncontaminated areas of fish habitat and capture locations in the developing guides for consumers, and commercial fishing and sport fishing.

2c. Food-Processing

Monitoring and surveillance of the assessment of the quality of water used for:

o an ingredient in food and beverages;

o wash water in food and beverage processing

o wash water in food packaging plant and cleaning contact surfaces

Monitoring and surveillance of the assessment of the application of water treatment for food-processing water including maintenance of cleaning and disinfection process and results.

3. Food Handling and Food Service

Monitoring and surveillance Biological Chemical

Food Preparation

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Cleaning contact surfaces and Essential to removes dirt and Important step essential to wash washing food, and thorough debris from all food contact vegetables, fruit, fish and seafood washing of hands is essential by surfaces – including hands, thoroughly to remove toxic all food handlers. cutlery, utensils, dishes, cutting contaminants and debris. boards, counter tops, pots and pans; Risk - Possible introduction of toxics from contaminated water. Important step essential to wash vegetables, fruit, fish and seafood thoroughly to remove microbial contaminants and debris

Risk - Possible transfer of infectious disease agent if unsafe wash water is used and if wash water is reused.

Sanitizing Must clean items first before sanitizing. Only reduces microbial load

Disinfection Kills some microorganisms, reducing load by Xlog units

Pasteurization

Heat Sterilization Completely kills all microorganisms and spores

Storage and Disposal sealed containers and barriers to containment of cleaning and prevent dispersal of moulds and disinfectant products kept pathogens in food scraps, food separate from foods and food wastes, rotting meat and produce. storage and food prep areas. Cleaning and disinfectants are used and replaced regularly as required to maintain effectiveness and CT. Waste cleaners and disinfectants are disposed in accordance with EHS safe handling practices.

Risk management practices to control sources of and exposures to contaminants by proper safe handling and washing of food, use of potable water in cooking.

Food Safety disease prevention training and education, rules and inspections are carried out for cleaning and thoroughly cooking food for destruction and inhibition of vegetative microbial contamination and heat destruction of heat labile toxins.

Awareness application and inspection of safe strategies for eliminating and inactivating bacterial endospores that are not destroyed by cooking and thermotolerant microbial contamination and toxins that are not destroyed by cooking.

a. Storage, Packaging, and Refrigeration Risks – Food Safety requirements for inhibition of microbial growth and contamination must be met.

b. Re-heating Food Risks - possible incubation and growth of bacteria and viruses -Food Safety requirements must be met.

c. Food safety requirements for the proper disposal of food wastes and cleaning and disinfection products are carried out, file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M070D023foodrisks2.htm[11/1/2014 10:23:05 AM] WLC Template

monitored and enforced.

Adulteration of foods by toxics – involves the deliberate sabotage and accidental contamination in the food processing and packaging plant. Security protocols and equipment for the protection and containment of food to ensure food safety exist and are applied and monitored.

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CASE STUDY - EXPOSURE AND HEALTH OUTCOMES FROM DRINKING WELL WATER CONTAMINATED WITH ARSENIC

Published reports of studies of exposure to arsenic contaminated well water are included in the resources folder, and guidance documents on drinking water and risk assessment.

Some references are provided in the Resources folder

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CASE STUDY - EXPOSURE AND HEALTH OUTCOMES FROM DRINKING WELL WATER CONTAMINATED WITH FLUORIDE

Published reports of studies of exposure to fluoride contaminated well water are included in the resources folder, and guidance documents on drinking water and risk assessment.

To be developed using materials from course and additonal materials.

Some references are provided in the Resources folder

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Monitoring & Surveillance - Sources of Ground Water Nitrate

Table Nitrate in groundwater

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Source: Assessing Nitrate in California’s Drinking Water, UCDavis Report 2012. http://groundwaternitrate.ucdavis.edu/files/138956.pdf

A copy of the UCDavis 2012 report is in the resources folder.To be developed using materials from course and additonal materials.

Some references are provided in the Resources folder

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Risk Assessment of PPCPs in the Environment - Aquatic Ecosystem Impacts

The effects of PPCPs are different from conventional pollutants.

Drugs are purposefully designed to interact with cellular receptors at low concentrations and to elicit specific biological effects. Many human and veterinary drugs (painkillers, antidepressants, blood pressure medications, steroids, antibiotics) are water soluble and resistant to biological degradation; others require bio-activation by metabolism of the parent compound into the pharmacologically active form. Few of the active ingredients in PPCPs have been tested in juvenile animals and there is little information on toxicity in non-adults and non-target sites. Exposure risks for aquatic organisms to PPCPs in the environment are much larger than those for humans. Unintended adverse effects can occur from interaction with non-target receptors ─ especially in highly exposed aquatic invertebrates and fish.

Environmental toxicology focuses on acute effects of exposure rather than chronic effects.

Potential for Impacts from PPCPs on Aquatic Ecosystems

Effects on aquatic life are largely unknown.

There are limited aquatic/terrestrial toxicology data for PPCPs.

Exposure risks for aquatic organisms are much larger than those for humans.

Aquatic organisms have:

Continual exposures

Multi-generational exposures

Exposure to higher concentrations of PPCPs in untreated water

Possible low dose effects

Effects in aquatic organisms may be subtle because PPCPs in the environment occur at low concentrations.

Developing new toxicity tests for the detection of more subtle end-points. (e.g., neurobehavioral effects in exposed organisms and inhibition of efflux pumps).

Potential for cumulative impacts of subtle effects and their ability to persist may be of significance to individual and population health.

Based on the available information there is some concern that low doses of PPCPs may have cumulative effects on behaviour, fecundity, and endocrine signaling pathways similar to some insecticides.

For example, brief exposure of fish (salmon) to 1 part-per-billion (1 μg/L) of the insecticide diazinon is known to affect signaling pathways (via olfactory disruption), leading to alteration in homing behavior (with obvious implications for predation, feeding, and mating.

Conceptual model of origins and fate of PPCPs in the Environment (US EPA Office of Research and Development, National Exposure Research Laboratory - PDF is included in Resources folder).

References

Conceptual model of origins and fate of PPCPs in the Environment (US EPA Office of Research and Development, National Exposure Research Laboratory - PDF is included in Resources folder).

WHO 2012 Pharmaceuticals in drinking water 1.Water pollutants, Chemical. 2.Pharmaceutical preparations. 3.Water purification. file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M070D028PPCPsRisks.htm[11/1/2014 10:23:06 AM] WLC Template

4.Potable water. I.World Health Organization. ISBN 978 92 4 150208 5 (NLM classification: WA 30.5)

Addtional references on pharmaceuticals in wastewater and the treatment of wastewaters are provided in the Resources folder for Course 3 technical solutions for drinking water and waste water treatment

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Assessing Water Related Health Risks Using Integrated Health and Water-Related Indicators

Report cards on indicators of water-related impacts on health are prepared and used in risk communications.

The outline below is an example of a report card template for reporting on integrated water and health indicators. Example - Percentage of the Population served by Sewerage is provided in the Resources folder

Title of the Indicator: (for example) Environmental Health Indicators: Outbreaks of Foodborne/ Waterborne Illness in the General Population

Indicator type: Health outcome

Measurement: The number of outbreaks of illness in the general population attributed to contamination of water and food by bacteria, viruses, protozoa (pathogens) and other contaminants, and the evidence suggests a probable water source.

Indicator status and trends: e.g., plot number of outbreaks by year

Case Study: Walkerton, Ontario Canada, Time period May-June 2000. Canadian Communicable Disease Report, 2000.

Key observations:

Relevance:

Environment and health context:

Policy and legislative context:

Data underlying the indicator:

Data sources-

Data quality-

Improving the indicator-

Net Steps:

Improving our scientific understanding-

What can YOU do?

Additional Information:

References:

Schuster CJ, Ellis A, Robertson WJ, Aramini JJ, Charron DF, Marshall B, Medeiros, D. 2005. Drinking Water Related Infectious Disease Outbreaks in Canada, 1974-2001, Can J Public Health, 96(4).

Canadian Communicable Disease Report. 2000. Waterborne outbreak of gastroenteritis associated with contaminated municipal water supply, Walkerton, Ontario, May-June 2000. Vol26-20:170-172. http://www.phac-aspc.gc.ca/publicat/ccdr- rmtc/00vol26/dr2620eb.html.

WHO, 2007. Outbreaks of waterborne diseases. Fact Sheet No. 1.1. May 2007. Code RPG1_WatSan_E1. World health Organization. European Environment and Health Information System (ENHIS).

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Water Supply, Sanitation and Hygiene– A First Priority

Access to improved water supply and sanitation may be restricted by the following:

· low coverage

· long distance from dwellings and users and poor continuity of delivery

· insufficient quantity and poor quality

· high cost relative to the ability and willingness to pay.

Restrictions on access to improved water supply increases the rate of transmission of water-related acute and chronic illness and disease largely by impeding the practicing of personal hygiene and domestic cleanliness.

All of above accessibility issues for improved water supply, sanitation and hygiene must be dealt with in order to decrease the risk of water-related impacts on individual and population health in those affected.

See discussion of evidence of water-related impacts on maternal and child health compiled and analysed by Cheng et al., 2012; a copy of the published study is included in the resources folder for the Course.

See Water and Health Course 5 entilited Challenges for WaSH (Water, Sanitation and Hygiene) for more details and discussion.

References:

Cheng et al., 2012

GLAAS Report 2012

Hunter PR, MacDonald AM, Carter RC (2010) Water Supply and Health. PLoS Med 7(11): e1000361.

Kotlof et al 2013

Prüss-Üstün A, Bos R, Gore F, Bartram J. Safer water, better health: costs, benefits and sustainability of interventions to protect and promote health. World Health Organization, Geneva, 2008.

Prüss-Üstün et al 2014

UNICEF 2009 Diarrhoea: Why children are still dying and what can be done 1. Diarrhoea - mortality. 2. Diarrhoea - prevention and control. 3. Diarrhoea - diet therapy. 4. Rehydration solutions. 5. Child. I. World Health Organization.ISBN 978-92-806-4462-3 (UNICEF) ISBN 978-92-4- 159841-5 (NLM classification: WS 312) (WHO)

UNICEF 2012 . Progress on Drinking Water and Sanitation: 2012 Update 1. Water supply – standards. 2. Potable water – supply and distribution. 3. Sanitation 4. Millennium Development Goals. 5. Programme evaluation I. WHO/UNICEF Joint Monitoring Programme for Water Supply and Sanitation. ISBN: 978-92-806-4632-0 (NLM classification: WA 670) ISBN: 978-924-1503297

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RISK MANAGEMENT - PREVENTION OF CONTAMINATION After Drinking Water Collection and Drinking Water Disinfection and During Storage of Drinking Water

How Does Microbiological Contamination Occur?

Drinking water collected and stored in containers often becomes contaminated after collection, especially if water is stored for several hours and days at room temperature.

Contamination typically occurs by improper handling with insufficiently washed hands introducing faecal material and pathogens (bacteria, viruses, protozoa) and parasites.

These microorganisms live and multiple in drinking water supplies.

Contamination of drinking water may also occur by the seepage into the water distribution system of sewage containing fecal materials and microorganisms. This can happen through cracks in water pipes, ruptured water mains and overflow of sewage, especially during flooding, construction, severe weather and disasters (earthquakes)

How Does Chemical Contamination Occur?

Chemical contamination of drinking water may occur by the following,

seepage of sewage, metals and chemical residues into the water distribution system, from pipes and containers, especially where the distribution system is worn cracked and in need of repair.

dislodging and movement of contaminants in the distribution system into tap water during construction activities.

old, rusty, corroded and leaded pipes and from standing water in water service lines made of leaded pipe.

Strategies For Safe Collection and Storage of Drinking Water (and water for preparing food)

Collect and store safe drinking water in clean containers with a lid and a narrow opening at the top and a tap or spigot at the bottom, for dispensing water.

Use clean containers; containers should be intended only for use for drinking water and should be labelled for Drinking Water.

Do NOT use containers the have been previously used for fuel, solvent, pesticide, fertilizer and other substances.

Strategies for Reducing Exposure to Lead from Tap Water (from water in contact with pipes for several hours and temporary release of lead by disruption of pipes)

Every time tap water has not been used for several hours, tap water should be flushed thoroughly before using it for drinking water and cooking, for the following situations,

properties that have a leaded water service line, leaded pipe connection to the water main.

properties that have leaded plumbing, and those that have old and rusty pipes.

during construction activities and plumbing repairs and other disruptions to the water distribution system.

after partial or full water service line replacement to protect from temporary release of lead by disruption of pipes.

Until lead pipes are removed and during repairs and replacement, use bottled water for drinking and cooking that meets the WHO drinking water guidelines, or use tap water with a point-of-use water filter certified for the removal of lead by the National Sanitation Foundation and states "NSF-53 for lead removal/reduction" on the label to reduce possible exposure to lead, especially pregnant

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women and children. For more information on drinking water filters go to the NSF website www.nsf.org phone number 1-800-673- 8010. For information on WHO drinking water guidelines Fourth edition 2011, the PDF is included in the Resources folder for the course, and information is available on the World Health Organization website http://www.who.int/water_sanitation_health/publications/2011/dwq_chapters/en/index.html

Breastfeeding has been shown to reduce the risks of water-related diseases and many acute and chronic health effects in infants and children.

If you cannot breastfeed your baby consider using ready-to-feed formula or prepare infant formula with boiled bottled water; water and infant formula should meet the WHO guidelines for drinking water quality, fourth edition 2011.

The WHO drinking water guideline for lead (Pb) and arsenic (As) is 10 micrograms per litre (µg/l) for each contaminant.

Household treatment for safe drinking water is covered in Course 3 entitled Technical Solutions for Water and Wastewater Treatment.

References

WHO 2011. Guidelines for Drinking-water Quality 4th Edition

WHO 2005 Preventing Travellers Diarrhoea

Prüss-Üstün A, Bos R, Gore F, Bartram J. Safer water, better health: costs, benefits and sustainability of interventions to protect and promote health. World Health Organization, Geneva, 2008.

Prüss-Üstün et al 2014

UNICEF 2009 Diarrhoea: Why children are still dying and what can be done 1. Diarrhoea - mortality. 2. Diarrhoea - prevention and control. 3. Diarrhoea - diet therapy. 4. Rehydration solutions. 5. Child. I. World Health Organization.ISBN 978-92-806-4462-3 (UNICEF) ISBN 978-92-4- 159841-5 (NLM classification: WS 312) (WHO)

UNICEF 2012 . Progress on Drinking Water and Sanitation: 2012 Update 1. Water supply – standards. 2. Potable water – supply and distribution. 3. Sanitation 4. Millennium Development Goals. 5. Programme evaluation I. WHO/UNICEF Joint Monitoring Programme for Water Supply and Sanitation. ISBN: 978-92-806-4632-0 (NLM classification: WA 670) ISBN: 978-924-1503297

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Maternal and Child Health: Improved Drinking Water Source and Sanitation Facilities

Cheng et al (2012) analysed data for 193 countries based on data obtained from the WHO, World Bank and UNICEF global databases for the influence of improved access to water and sanitation on the outcomes of under-five years mortality rate, IMR and MMR. An “improved drinking water source” was defined as a source that by nature of its construction, adequately protects the water from outside contamination, in particular fecal matter (Cheng et al., 2012). Improved sanitation facilities hygienically separate human excreta from human contact (Cheng et al., 2012).

“improved drinking water source” “improved sanitation facilities”

· Piped household water connection · Sewer connections

· Public standpipe · Septic system connections

· Borehole · Pour-flush latrines

· Protected dug well · Ventilated improved pit latrines

· Protected spring · Pit latrines with slab or covered pit

· Rainwater collection · Shared sanitation facilities by two or more households.

· Shared facilities include public toilets (not considered improved).

[vs. open defecation]

The underlying assumption is that the water quality would be presumed “safe” compared to contaminated water sources. Assurance of actual water quality and quantity would involve confirmatory testing and surveillance for microbial and chemical contaminants and monitoring for changes in water levels over the period of usage.

Data for twelve health and water-related variables were extracted by the researchers (Cheng et al., 2012) from the global databases corresponding to six regions of the world, African Region, Europe, Eastern Mediterranean, Americas, Southeast Asia, and Western Pacific and summary statistics are presented in Table 1 of the paper and listed below. Data for all variables were not available for all 193 countries and were unevenly distributed across the six regions of the world.

Variable Minimum value to Maximum Missing Values value (range)

% access to improved water source 30 to 100 24

% access to improved sanitation 9 to 100 23

Under-five mortality rate (per 1000 live births) 2 to 257 0

% under-five mortality due to diarrhoeal disease 0 to 29 0

Infant Mortality Rate, IMR (per 1000 live births) 1 to 165 0

Maternal Mortality Rate, MMR (per 100,000 live 0 to 1600 24 births)

Gross National Income (2008 )(GNI) 140 to 87070 9 file:///F|/Dropbox/WaterHealthNew/Course2/discussion/WH20M070D055MCH.htm[11/1/2014 10:23:07 AM] WLC Template

Fertility per woman (2008) 1.20 to 7.10 1

Adult literacy rate (WHO world region 2000-2008) 26 to 100 57

Deaths due to diarrhoeal disease (1000s) (2002) 0 to 402200 7

% birth attended by skilled health professional 6 to 100 15 (2000-2008)

% using antenatal care (at least 1 visit during 16 to 100 62 pregnancy), as a percentage of live births in a given time period 2000-2009

The authors concluded that increased access to improved water sources was significantly associated with decreased under-five mortality rate, decreased odds of under-five mortality due to diarrhoea, decreased IMR and decreased odds of MMR. The authors also found that increasing access to improved sanitation was significantly associated with decreased under-five mortality rate, decreased odds of under-five mortality due to diarrhoea, decreased IMR, and decreased odds of MMR.

Discuss include additonal examples of water and health impacts on mothers and children.

Reference

Cheng, J.J., Schuster-Wallace, C. J., Watt, S., Newbold,, B. K., and Mente, A. 2012. An ecological quantification of the relationships between water sanitation and infant, child, and maternal mortality. Environmental Health (Open Access) 11(4): 1-8 http://www.ehjournal.net/content/11/1/4.

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RISK COMMUNICATION AND RISK MANAGMENT - CHALLENGES

Overview and Comparison of World Population Demographics

Ten most populated countries

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Pie chart of languages spoken

Discuss implications for risk assessment, risk communication and risk management.

Pie chart on illiteracy – literacy.

Discuss implications for risk assessment, risk communication and risk management.

Comparisons of demographics for the world, U.S and India for Population total; relevant to vulnerable populations of infant, children and mothers.***

World’s Population

The world’s population estimated at 6.79billion in 2009 has in 2012 surpassed 7 billion.

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(Source: Wolfram accessed November 28th 2012 and CIA the world fact book)

Recent World Population History

World Recent population history:

World Long-term population history

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World Long-term population history:

Comparison

United States population

309 million people, third largest population in the world (2010 estimate)

The U.S. population is equivalent to about 0.57 of the current population of North America (538.164 million) and is equivalent to about 0.79 of the current population of South America (393.211 million).

(source: Wolfram accessed November 28, 2012)

U.S. Recent population history

U.S. Long-term population history

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Comparison

India

Population of India is about 1.25 billion, the second largest population in the world (2010 projection). India’s population is equivalent to about 0.18 ( or 1/6th) of the world population (7.059 billion), about 0.92 of current population of China (1.354146 billion people), and about 1.2 of current population of Africa (1.03293 billion people).

(source: Wolfram accessed November 28, 2012)

India Recent Population History:

Long-term population history:

India Long-term population history

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A Comparison of World’s Demographics for Population to those for the United States and India

World United States India

Population size 6.79 billion 309 million 1.25 billion

(estimate 2009) (world rank 3rd) (world rank 2nd)

Passed 7 billion in 2012 (2010 estimate) (2012 estimate)

Population density 45.5 33.7 419

people per km2 (world rank 178th) (2010 estimate)

Population growth 1.14 0.969 1.312

% per year (2006 estimate) (world rank 138th) (2008 (world rank 89th) estimate) (2012 estimate)

1.096%

note: this rate results in about 145 net additions to the worldwide population every minute or 2.4 every second (2012 est. CIA )

Life expectancy 64.8 78.1 67.14

in years (2009 estimate) (world rank 50th) (world rank 161st)

(2009 estimate) (2012 estimate)

total population: 67.59

male: 65.59

female: 69.73 (2012 est.)

Median age 27.6 36.7 26.5

in years 28.4 (estimated in (world rank 56th) 2012) (2009 estimate)

Annual births 131 4.29 25750

million people per (world rank 7th) (estimated from 2012 year data) (2008 estimate)

Birth rate fraction 20.1 13.8 20.6

people per 1000 (2009 estimate) (world rank 155th) (world rank 86th)

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person per year (2009 estimate) (2012 est.)

19.14 (2012 estimate)

Annual deaths 56.5 2.5 7430

million people per (world rank 3rd) year ( 2008 estimate)

Death rate fraction 8.67 8.33 7.43

people per 1000 (2009 estimate) (world rank 100th) (world rank 116th) person per year 7.99 (2009 estimate) (July 2012 est.)

note: this rate results in about 107 worldwide deaths per minute or 1.8 deaths every second (July 2012 est.)

Preventable child 1.4 milliona,b deaths per year from diarrhoeal 88% of diarrhoeal cases disease are related to unsafe water, inadequate sanitation, or insufficient hygiene

Preventable child 860,000 deaths per year from malnutrition 50% of which is estimated to be associated with repeated diarrhea and intestinal nematode infections from unsafe water, inadequate sanitation and insufficient hygiene b

Net migration per -7.369 x 10-6 +0.003203 -4.899 x 10-4 capita (2010 estimate) (world rank 36th) (world rank 101st) People per person per year (2010 estimate) (2010 estimate)

Total fertility rate 2.59 2.05 2.5

Children per female (2009 estimate) (world rank 127th) (world rank 82nd)

(2009 estimate) (2012 estimate)

Maternal mortality ? 21 200 rate per 100,000 live births 15% of all maternal (world rank 136th ) (world rank 54th) death occur within 6 weeks after childbirth, (2010 estimate) (2010 estimate) many from unhygienic practices and

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inadequate infection prevention and control in labour and deliverye

Infant mortality rate total: 39.48 6 46.07 per 1000 live births male: 41.42 (world rank 173rd) (world rank 49th)

female: 37.4 (2012 estimate) (2012 estimate)

(2012 est.)

Child mortality rate <5 years of age per 1000 live births

Children under ? 1.3% 43.5% weight < 5 years of age 35% of all deaths or (world rank 118th) (world rank 1st) 70,000 deaths per year in children <5 years old (2002 estimate) (2006 estimate) bc

Children burden of 54% of 4.9 million illness from environmental (estimated) exposure to (some through chemicals contaminated water)d

Literacy (15 y + can total population: 83.7% 99% total pop. 61% total pop. read and write) male: 88.3% 99% male 73.4% male

female: 79.2% 99% female (estimate 47.8% female 2003)

Lack access to 884 millionfg safe drinking water

Lack basic 2.6 billionfg sanitation

aPruss et al., 2002; bUNICEF and WHO, 2009; cDe Onis et al., 2004; dPruss-Ustun et al., 2011; eGoodburn and Campbell, 2001; fFewtrell et al., 2005; gUNICEFandWHO, 2010

Distributions World United States India (CIA source) Water Related Disease and Illness (WHO source) %

child adult elderly all child adult elderly all Child Adult Elderly all Infant <5 Child adult years 0 to (15 (65+ ≤ 1 ≥5 14 y to 64 y) year to 19 y) years

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male 14.08 32.88 3.32 50.29 10.3 33.42 5.50 49.22 15.56 33.71 2.66 51.93

female 13.23 32.24 4.24 49.71 9.87 33.57 7.35 50.78 13.74 31.49 2.94 48.17

all 27.32 65.12 7.57 100 20.16 66.99 12.85 100 29.3 65.2 5.6 100 18% of (7.9) all (26.3) (65.9) child deaths;

35,000 child deaths per year

( ) world statistics estimated July 2012 (CIA the world fact book)

See and discuss the table of demographics and population statistics on water-related impacts on health in Pruss-Usten et al. 2008; document in resources folder

References

De Onis, M. Blossner, M., Borghi, E. Frongillo EA., Morris, R. 2004. Estimates of global prevalence of childhood underweight in 1990 and 2015. JAMA. 291:2600-2606.

GLAAS Report 2012.

Goodburn, E., and Campbell, O. 2001. Reducing maternal mortality in the developing world: sector-wide approaches may be the key. BMJ. 322: 917- 920.

Pruss, A., Kay, D., Fewtrell, L., and Bartram,J. 2002. Estimating the burden of disease from water, sanitation, and hygiene at a global level. Environ Health Perspect. 110: 537-542.

Pruss-Uston, A., Vickers, C., Haefliger, P., Bertollini, R. 2011. Knowns and unknown on burden of disease due to chemicals: a systematic review. Enviorn Health. 10:9.

Rhee, V., Mullany, LC., Khatry SK., Katz, J. LeClerq, S.C. Darmstadt, GI., Tielsch, TM. 2008. Maternal and birth attendant hand washing and neonatal mortality in southern Nepal. Arch. Pediatr. Adolesc. Med. 162:603-608.

UNICEF and WHO: Diarrhea: Why Children are Still Dying and What Can be Done. New York and Geneva. UNICEF and WHO, 2009.

United Nations Population Fund: Giving Birth Should not be a Matter of life and Death. New York. United Nations. 2007.

United Nations World Water Assessment Programme: Water for the Millennium Development Goals – Why Managing Water resources Wisely is Key to Achieving the MDGs Paris, United Nations. 2010.

WHO 2012, Progress on Drinking Water and Sanitation.

WHO Collaborative Study Team on the Role of Breastfeeding on the Prevention of Infant Mortality. Effect of breastfeeding on infant and child mortality due to infectious diseases in less developed countries: a pooled analysis. Lancet. 2002. 355: 451-455.

WHOSIS: Probability of dying (per 1000) under age 5 years (under-5 mortality rate). [http://www.who.int/whosis/indicators/mortalityunder5/en/index.html].

WHOSIS: Causes of death among children aged less than 5 years (percentage of total). [http://www.who.int/whosis/indicators/mortcauseslessthan5years/en/index.html.].

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Epidemiology Application in an Outbreak Investigation - Public Health

Outbreaks are typically unexpected events. Outbreaks often receive media attention and public health concern and international trade. Multiple agencies may be involved, complicating matters of communication of consistent messages and coordination of respective roles of the various parties involved (e.g., federal government, provincial government and municipal government officials. Investigators work under pressure with demands on them to provide results and answers quickly. Field investigations require a systematic plan. (e.g., cholera outbreak; meat products contamination with Escherichia coli O157:H7; Listeria contamination of processed meats; meat plant closure and recall of 1000s of products; Walkerton, Ontario drinking water contamination with pathogenic bacteria, post outbreak investigation found possible surface runoff containing Escherichia coli O157:H7 contaminating shallow well situated downhill from a manure pile; avian flu, SARs).

Public health offices must determine within a relatively short window of time what extent of investigative effort is required to address an outbreak issue or exposure situation?

Reasons for undertaking a public health investigation of an outbreak are:

1. To learn enough about the situation to identify and implement appropriate control and preventative measures.

2. To advance knowledge about the disease, disease agent, risk factors, public health interventions and other scientific issues.

3. To respond concerns raised by the public, by policies, legal and regulatory requirements (e.g., national and international mandatory reporting of infectious and reportable diseases), and political parties.

4. To evaluate the performance of health programs for effectiveness and weaknesses.

5. To provide training to public health professionals, interns and junior staff.

Public Health Emergencies of International Concern (PHEIC)

All member states must notify the World Health Organization (WHO) of a Public Health Emergency of International Concern (PHEIC); a PHEIC is an extraordinary event that 1) constitutes a public health risk to other countries through international spread of disease, and 2) potentially requires a coordinated international response. The International Health Regulations are legally binding in 194 countries worldwide, including Member States of the WHO.

“In a globalized world, diseases can spread far and wide via international travel and trade. A health crisis in one country can impact livelihoods and economies in many parts of the world. Such crises can result from emerging infections like Severe Acute Respiratory Syndrome (SARS), or a new human influenza pandemic. The IHR can also apply to other public health emergencies such as chemical spills, leaks and dumping, or nuclear meltdowns.” (WHO http://www.who.int/features/qa/39/en/index.html , accessed December 2012).

The revised International Health Regulations came into effect in summer of 2007; the rules govern the roles of the World Health Organization and its member countries in identifying, responding to, and sharing information about Public Health Emergencies of International Concern (PHEIC). The IHR are designed to protect and prevent spread of disease while limiting potential impacts on world travel and trade; countries that have adopted the IHR rules have a broader responsibility to detect, respond to a report public health emergencies potentially requiring a coordinated international response. The revised IHR are a shift from a predefined list of diseases to a risk framework of responding and reporting to events on the basis of results of an assessment of public health criteria including – seriousness (severity), unexpectedness and implications on travel and trade. The IHR also require countries to strengthen their existing capacities for public health surveillance and reporting, as outlined in Annex 1 of the revised IHR 2005.

Four conditions always constitute a PHEIC:

1. Severe Acute Respiratory Syndrome (SARS)

2. Small Pox

3. Poliomyelitis caused by the wild-type poliovirus, and

4. Human influenza virus by any new subtype.

All other events require application of the framework risk decision algorithm (Annex 2 of revised IHR, 2005) to determine if it is a PHEIC.

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The occurrence of the following diseases must be reported to the WHO and should be assessed to determine potential for PHEIC:

Cholera

Pneumonic plague

Yellow fever

West Nile fever

Viral haemorrhagic fevers

Meningococcal disease.

The occurrence of other biological, chemical and radiological events must be reported to the WHO and might fit the algorithm for PHEIC.

Annex 2 IHR Algorithm for the Determination of a PHEIC (revised IHR 2005, came in to effect 2007)

If the answer is in the affirmative (YES) to any two of the following four questions, then a determination should be made that a potential PHEIC exists and the WHO should be notified:

1. Is the public health impact of the event serious?

2. Is the event unusual or unexpected?

3. Is there a significant risk of international spread?

4. Is there a significant risk of international travel or trade restrictions?

The International Health Regulations adopted in 1969 by the World Health Assembly covered six “quarantinable diseases”, which were amended in 1973 and 1981 to reduce the number of quarantinable diseases to three (yellow fever, plague and cholera) and to mark the global eradication of smallpox. Preceding the IHR were the International Sanitary Regulations adopted in 1951 by the Fourth World Health Assembly.

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References:

For more information on the International Health Regulations (IHR 2005) revised IHR Annex 2008 see:

http://www.who.int/ihr/en/

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Additional information on Laboratory Related Issues Pertaining to Epidemiological Investigations

The World Health Organization has published a training module entitled Laboratory Issues for Epidemiologists (2007) consisting of nine sections with lectures, case studies and background documents. The main objectives of the training module are:

· To facilitate communication and understanding between the two disciplines of epidemiology and laboratory (medicine) for disease surveillance and outbreak investigation;

· To provide the field epidemiologist with a better understanding of basic microbiology techniques and analysis and interpretation of results;

· To convey the laboratory perspective of public health investigations to field epidemiologists in order to improve collaboration between these two disciplines and to enhance.

The CD-rom version of this training program can be requested by sending e-mail to [email protected] [email protected]

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References Used in Developing Materials for Course 2 - Water-Related Impacts on Health - Principles, Methods and Applications

1978 Declaration of Alma-Ata

Avila, 2012

AWWA 2006. Waterborne Pathogens. Manual M 48. American Water Works Association, Denver, USA.

Bartram, J. and Cairncross, S. 2010. Hygiene, Sanitation, and Water: Forgotten Foundations of Health. PLOS Medicine 7 (11): 1-9 e1000367 www.plosmedicine.org

Bower, 2002

Boxall et al., 2009

Cairncross, S., Bartram, J., Cumming, O., and Brocklehurst, C. 2010. Hygiene, Sanitation, and Water: What Needs to Be Done? PLOS Medicine 7 (11): 1-7 e1000365 www.plosmedicine.org

Cardenas et al., 2006

De Loë et al. 2007

Dubrovsky, N. M., K. R. Burow, G. M. Clark, J. M. Gronberg, et al. 2010. The quality of our nation’s waters: Nutrients in the nation’s streams and groundwater, 1992–2004. U.S. Geological Survey Circular 1350. See http://water.usgs.gov/nawqa/nutrients/pubs/circ1350 (Internet Access required). cited in Harter et al., 2012.

Evans et al., 2012

Global Water Partnership 2000

Grey and Sadoff (2007)

Harter, T., J. R. Lund, J. Darby, G. E. Fogg, R. Howitt, K. K. Jessoe, G. S. Pettygrove, J. F. Quinn, J. H. Viers, D. B. Boyle, H. E. Canada, N. DeLaMora, K. N. Dzurella, A. Fryjoff-Hung, A. D. Hollander, K. L. Honeycutt, M. W. Jenkins, V. B. Jensen, A. M. King, G. Kourakos, D. Liptzin, E. M. Lopez, M. M. Mayzelle, A. McNally, J. Medellin-Azuara, and T. S. Rosenstock. 2012. Addressing Nitrate in California's Drinking Water with a Focus on Tulare Lake Basin and Salinas Valley Groundwater. Report for the State Water Resources Control Board Report to the Legislature. Center for Watershed Sciences, University of California, Davis. 78 p. http://groundwaternitrate.ucdavis.edu.

Hauer et al, 1997

Health Canada (http://www.hc-sc.gc.ca/ewh-semt/pubs/water-eau/enteric-enterovirus/health_effects-effets_sante-eng.php) (Internet Access required)

Herold S, Karch H, Schmidt H (2004). Shiga toxin-encoding bacteriophages - Genomes in motion. Int. J. Med. Microbiol. 294: 115- 121.

Hoskisson, P.A. and J. T. Trevors. 2010. Shifting trends in pathogens on a changing planet. Antonie van Leeuwenhoek Journal of Microbiology. 98(4):423-427.

Howard and Bartram, 2003. Domestic Water Quantity, Service Level and Health. World Health Organization, Geneva.

Hunter, P.R., MacDonald, A.M., and Carter, R.C. 2010. Water Supply and Health. PLOS Medicine. 7 (11): 1-9 e1000361 www.plosmedicine.org

IOM (Institute of Medicine), 2009. Global Environmental Health: Research Gaps and Barriers for Providing Sustainable Water, Sanitation, and Hygiene Services. Washington, DC: The National Academies Press.

IPCC, 2007

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Jury and Vaux, 2007

Kon, T., S. Weir, T. Howell, J. T. Trevors, H. Lee, J. Champagne, R. Brousseau and L. Masson. 2007. Microarry analysis of culturable Escherichia coli strains from interstitial beach water of Lake Huron, Canada. Appl. Environ. Microbiol. 73:7757-7758.

Kon, T, S. C. Weir, E. T. Howell, H. Lee and J. T. Trevors. 2009. Rep-PCR analysis of Escherichia coli isolates from recreational waters of South Eastern Lake Huron (Canada). Can. J. Microbiol. 55:269-276.

LeRoy Poff et al, 2002

MacDonald and Calow, 2009

Mara, D. and N. Horan (Eds.) 2003. Handbook of Water and Wastewater Microbiology. Academic Press, NY.

Mara, D., Lane, J., Scott, B., and Trouba, D. 2010. Sanitation and Health. PLOS Medicine. 7 (11): 1-7 e1000363 www.plosmedicine.org

Marques et al., 2010

McCoy and Bamford, 1998

Moore and Folt, 1993

Mercer, K., and J. T. Trevors. 2011. Remediation of oil spills in temperate and tropical coastal marine environments. The Environmentalist. 31: 338-347.

National Assessment of Water and Wastewater Systems in First Nations Communities. Summary Report. 2004. Indian and Northern Affairs Canada.

Ochman H, Jones IB (2000). Evolutionary dynamics of full genome content in Escherichia coli. EMBO Journal. 19: 6637-6643.

OECD. 2003. Assessing Microbial Safety of Drinking Water: Improving Approaches and Methods. IWA Publishing, London, UK, pp. 1-279.

Pangare and Idris, 2012

Pan American Health Organization (PAHO). December 2011 Health Indicators: Building Blocks for Health Situation Analysis. Epidemiological Bulletin 22 (4):1-16

Pruss, A. Kay, D., Fewtrell, L., and Batram, J. 2002. Estimating the Burden of Disease from Water, Sanitation, and Hygiene at a Global Level. Environmental Health Perspectives 110 (5):537-542

Prüss-Üstün A, Bos R, Gore F, Bartram J. 2008. Safer water, better health: costs, benefits and sustainability of interventions to protect and promote health. World Health Organization, Geneva.

Ritchie JM, Campbell GR, Shepherd J, Beaton Y, Jones D, Killham K et al (2003). A stable bioluminescent construct of Escherichia coli O157:H7 for hazard assessments of long-term survival in the environment. Appl. Environ. Microbiol. 69: 3359-3367.

Rouse et al, 1997

Royal Commission on Environmental Pollution, 2011

Safriel, 2011

Taylor CM (2008). Enterohaemorrhagic Escherichia coli and Shigella dysenteriae type 1-induced haemolytic uraemic syndrome. Pediatric Nephrology. 23: 1425-1431.

Teunis, P. F. M., G. J. Medema, L. Kruidenier and A. H. Havelaar. 1997. Assessment of the risk of infection by Cryptosporidium or Giardia in drinking water from a surface water sample. Water Research. 31: 1333-1346.

Tirado et al., 2010

van Elsas, J. D., A. V. Semenov, R. Costa and J. T. Trevors. 2010. Survival of Escherichia coli in the environment-fundamental and public health aspects. ISME: Multidisciplinary Journal of Microbial Ecology (Nature Publishing Group). (2010). 1-11.

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Vaux, 2012

WHO 1986 Ottawa Charter for Health Promotion

WHO, 2002. Guidelines for Drinking- Water Quality, 2nd Edition. WHO, Geneva. pp. 1-142.

WHO, 2004. Guidelines for Drinking- Water Quality, 3rd Edition. WHO, Geneva.

World Health Organisation (WHO). 2004. Using climate to predict infectious disease outbreaks: a review. Communicable Disease Surveillance and Response Protection of the Human Environent Roll Back Malaria Geneva. 2004.

World Health Organisation (WHO). 2011. Guidelines for drinking-water quality - 4th ed. 1.Potable water - standards. 2.Water - standards. 3.Water quality - standards. 4.Guidelines. I.World Health Organization. ISBN 978 92 4 154815 1

WHO. 2012. Water Safety Planning for Small Community Water Supplies. World Health Organization, Geneva, Switzerland. pp. 55.

World Health Organisation (WHO). 2014. Health Impact Assessment - Use of Evidence - The Determinants of Health http://www.who.int/hia/evidence/doh/en/ (Internet Access required)

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Additional References on Water

Some useful water links (Internet Access required for all)

1. World Health Organization (http://www.who.int/en/)

2. Centers for Disease Control (http://www.cdc.gov)

3. United Nations (http://www.un.org/en/)

4. The International Research Institute for Climate and Society (http://portal.iri.columbia.edu/portal/server.pt)

5. American Water Works Association (http://www.awwa.org/)

6. European Water Association (http://www.ewaonline.de/willkomm.htm)

7. Water Quality Association (http://www.wqa.org/)

8. International Water Association (http://www.iwahq.org/1nb/home.html)

9. Canadian Water Resources Association (http://www.cwra.org/)

10. National Groundwater Association (http://www.ngwa.org/About/Pages/about.aspx)

11. European Federation of National Associations of Water (http://eureau.org/)

12. The Water Project (http://thewaterproject.org/water_scarcity.asp? gclid=CK_35tPqh7ICFUjrKgodR3cAKw) 13. International Rural Water Association (http://www.intlruralwater.org/our-partners/rural-water- associations)

14. Indian Water Works Association (http://www.iwwa.info/Index.htm)

15. Japan Water Works Association (http://www.jwwa.or.jp/english/index.html)

16. African Water Association (http://www.afwa-hq.org/siteweb/en.html)

17. Eastern Africa Water Association (http://www.eawanet.org/)

18. Australian Water Association (http://www.awa.asn.au/)

19. Water UK (http://www.water.org.uk/)

20. German Association for Water, Waste Water and Waste (http://www.aquamedia.at/templates/index.cfm)

21. Waterlinks (http://www.waterlinks.org/partnership-database)

22. Chinese Waterworks (http://www1.chinaculture.org/created/2005-04/30/content_68359.htm)

23. Ecoworld (http://www.ecoworld.com/)

24. OECD Water and Agriculture (http://www.oecd.org/agriculture/wateruseinagriculture.htm)

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25. Water Encyclopedia (http://www.waterencyclopedia.com/A-Bi/Agriculture-and-Water.html)

26. Potable Water Storage Tanks (http://www.water-storage- containers.com/potablewaterstoragetank.html) 27. Hope International Development Agency (http://www.hope-international.com/projects-and- programs/clean-water-and-sanitation.html)

28. European Commission (http://ec.europa.eu/environment/water/water-drink/index_en.html)

29. Irrigation Association (http://www.irrigation.org/)

30. Water New Zealand (http://www.waternz.org.nz/)

31. Bangladesh Water Development Board (http://www.bwdb.gov.bd/)

32. Israeli Water Association (http://www.israelwater.org.il/english.htm)

33. Arab Healthy Water Association (http://www.mgwater.com/advisory.shtml)

34. International Water Technology Association (http://iwtc.info/)

35. Water Egypt (www.wateregypt.com)

36. Water Aid Nigeria (http://www.wateraid.org/nigeria/)

37. Norwegian Institute of Public Health (http://www.fhi.no/)

38. European Environment Agency (http://www.eea.europa.eu/)

39. Canadian Groundwater Association (http://www.cgwa.org/)

40. The International Association for the Properties of Water and Steam (http://www.iapws.org/)

41. Arab Countries Water Utilities Association (www.acwua.org)

42. National Environmental Engineering Institute (India) (http://www.neeri.res.in/)

43. Stockholm International Water Institute (www.siwi.org)

44. UNWATER (http://www.unwater.org/)

45. Water Environment Federation (http://www.wef.org/)

46. World Water Council (http://www.worldwatercouncil.org/)

47. Public Library of Science (PLOS) (http://www.plos.org/)

48. USGS Water Science School (http://ga.water.usgs.gov/edu/dictionary.html) and (http://ga.water.usgs.gov/edu/waterproperties.html)

49. Water Words Dictionary (http://water.nv.gov/programs/planning/dictionary/)

50. Water Dictionary (http://dictionary.nwc.gov.au/water_dictionary/index.cfm)

51. Canadian Water Network (http://www.cwn-rce.ca)

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52. Microbial Risk Assessment Guideline: Pathogenic Microorganisms With Focus on Food and Water (http://www.epa.gov/raf/microbial.htm)

53. National Institutes for water Resources (http://wrri.nmsu.edu/niwr/wrri.html)

54. Focus On Food & Water (July 2012) (http://www.epa.gov/raf/files/mra-guideline-final.pdf)

Some Textbooks on Water:

1. Water Safety Planning for Small Community Water Supplies. World Health Organization, 2012, Geneva, Switzerland. pp. 55.

2. Introduction to Water Resources and Environmental Issues. 2010. Karrie Lynn Pennington and V. Cech, Cambridge University Press, pp. 468.

3. Drinking Water Quality: Problems and Solutions, 2nd Edition, 2008. N. F. Gray, Cambridge University Press, pp. 536.

4. Water, Place and Equity, Ed, by J. M. Whitely, H. Ingram and R. W. Perry. 2008. MIT Press, pp. 318.

5. Dams and Disease, W. Jobin. 1999. E and FN Spon, London, UK. pp. 580.

6. Water, Race and Disease, W. Troesken, 2004. MIT Press, pp. 251.

7. Toxicants in the Aqueous Ecosystem. T. R. Crompton. 1997. Wiley, NY, pp. 382.

8. Water Contamination and Health, Ed. By R. G. M. Wang. 1994. Marcel Dekker, NY. Pp. 524.

9. Groundwater Science, C. R. Fitts. 2002. Academic Press, NY, pp.450.

10. Water Resources Engineering, L. Mays. 2001. Wiley, NY, pp. 761.

11. Organic Pollutants in the Water Cycle, Ed. T. Reemstsma and M. Jekel. Water Chemical Society, Wiley, NY, pp.350.

12. Running Out of Water, 2010. P. Rogers and S. Leal. Palgrave and MacMillian, NY, pp. 245.

13. Water in the Middle East and in North Africa. Eds. F. Zereini and W. Jaeschke. 2004. Springer, Berlin, pp. 369.

14. Environmental Soil and Water Chemistry. 1998. V. P. Evangelou, Wiley, NY, pp. 564.

15. Wastewater Treatment in Constructed Wetlands with Horizontal Sub-Surface Flow. J. Vymazal and L. Kröpfelova. Springer, Berlin, p. 566.

16. Biological Monitoring of Rivers. Eds. G. Ziglio, M. Siligardi and G. Flaim. 2006. Wiley, NY, pp. 469.

17. The Geochemistry of Natural Waters. 1988. J. L. Drever. Prentice Hall, NJ, pp. 417.

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Course 3 - Water and Health - Water and Wastewater Treatment

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Treatment Technologies for Water and Wastewater Treatment Methods - Understanding the Basics

The fundamental aspects of treatment methods and technologies for drinking water are similar to those used for wastewater.

Major differences are generally in how the technology is applied in the treatment of either drinking water or wastewater.

Treatment Categories Fundamental treatment methodologies can be grouped into either:

Physical treatment Chemical treatment Microbial Advanced

The methodologies within each of these four categories can range from simple to complex.

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Water and Wastewater Physical Treatment Heat Boiling –Disinfection –coagulation Distillation –Removal of contaminants (inorganic and organic) –Desalination (vacuum distillation, cogeneration) –Solar distillation Passive solar distillation kits are available

E.g., the WaterPod see: http://www.thesourcesit.com/english/the-waterpod/ (Internet Access required)

Water pod

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Water and Wastewater Physical Treatment Filtration Physical exclusion of particles. Particles excluded depend on pore size of filter. Filters can have large pore size and are intended to remove only large debris or they can be designed to exclude particles in the micron to nanometre size. Types of filtration technologies can vary from point-of-use technologies (e.g., ceramic pot filters), community filters (e.g, skyhydrant, or more elaborate micro, ultra or nano-filtration devices). Also includes membrane-filtration technologies [microfiltration (MF), ultrafiltration (UF), nanofiltration (NF), reverse osmosis (RO)].

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The Disinfection Process Disinfection of drinking water involves:

Removal of pathogens through chemically assisted filtration or equivalent. Inactivation through a chemical or physical treatment process.

Microorganisms

Chart of different particle sizes of contaminants and different pore sizes of different types of filters

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Disinfection - Counting Logs Disinfection is measured in the amount of removal and inactivation of microbes. The effectiveness of disinfection is expressed in tens of times (logs) or percentage of removal and inactivation of microorganisms Removal is dependent on the specific disinfection treatment and type of microorganisms (e.g., viruses, vegetative bacteria, mycobacteria, spore-forming microorganisms, protozoa, parasites, and fungi). –1 Log = 90 % inactivation = 10% alive –2 Log = 99% inactivation = 1% alive –3 Log = 99.9% inactivation = 0.1% alive –4 Log = 99.99% inactivation = 0.01% alive

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Disinfection - Minimum Treatment Requirements Groundwater: A 2 log (99%) removal and inactivation of viruses Surface Water or GUDI: Chemically-assisted filtration (or equivalent), AND

a 2 log (99%) removal and inactivation of Cryptosporidium;

a 3-log (99.9%) removal and inactivation of Giardia;

a 4-log (99.99%) removal and inactivation of viruses.

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Disinfection Factors Affecting Disinfection

Dosage and type of chemical Injection point and mixing Contact time Turbidity Reducing Agents pH Temperature Organic and Inorganic Material Microorganisms

Cryptosporidium

CT Concept Used to determine the appropriate dosage of chemical disinfectants in order to provide effective pathogen inactivation to the required level. Involves operating conditions such as flow, temperature, pH and contact time. Calculated by multiplying the disinfectant residual concentration (in mg/L) by the disinfectant contact time (in minutes). CT = Concentration (mg/L) x Time (minutes)

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Disinfection By-Products (DBPs)

Disinfection Disinfection By-Products Agent

Trihalomethanes, THMs Free Chlorine Haloacetic Acids, HAAs Inorganic By-Products

Organic Acids Aldehydes Ozone Assimilable organic carbon Bromate

Inorganic by-products Chlorine Chlorite Dioxide Chlorate

Chloramines ?

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Filtration Pressure vs Particle Size

Increasingly greater applied pressure is required as the filter pore size decreases for the physical removal of particles, including microrgansims, of increasingly smaller sizes.

Applied Pressure: Filtration< Microfitration < Ultrafiltration< Nanofiltration< Reverse Osmosis. Particle Size Removal: Filtration> Microfiltration>Ultrafiltration>Nanofiltration> Reverse Osmosis.

Adapted from Meier et al., 2006

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Water Treatment - Microfiltration (MF) MF pore size is generally between 10 µm to 0.1 µm. MF does not always need pressure to operate, but some filters can operate under pressure. MF can remove parasitic Giardia lamblia cysts and Cryptosporidium oocyts and bacteria if the filter pore size rating is at least 0.2 µm or smaller. Generally, MF requires backwashing to remove filter cake that can cause fouling of the filteration unit.

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Water Treatment - Ultrafiltration (UF) UF pore size is generally 0.1 µm to 0.001 µm. UF will filter out:

Microorganisms High molecular weight substances Natural organic matter (NOM) Dissolved organic matter (DOC) Colloidal matter Organic and inorganic polymeric molecules Some disinfection by-products

UF will not filter out low molecular weight organics and freely dissolved ions such as, sodium, calcium, magnesium chloride and sulfate.

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Water Treatment - Ultrafiltration (UF) Pathogen removal: UF membranes generally provide good removal rates for many pathogens, in particular Giarida lamblia cysts and Cryptosporidium oocysts and various bacteria. The retention of viruses on low-pressure membranes depends on the molecular weight cutoff (MWCO) and other characteristics of the membrane, module design and the mode of operation

Studies have shown that virus retention can not be predicted by normal pore size alone or by the MWCO. Natural organic matter (NOM) is a major factor causing fouling on UF membranes. UF membranes require cleaning. UF membranes must be cleaned or replaced to ensure adequate performance.

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Water Treatment - Nanofiltration (NF)

NF is a relatively new addition to the family of membrane filters. NF pore size is approximately 1 nm (typically rated by molecular weight cut-off “MWCO” which is typically < 1000 atomic mass units (daltons)). NF is used primarily to filter waters with a low total dissolved solids content. NF primary purpose is to remove monovalent ions to soften water. NF is commonly used for desalination. NF requires pressure. NF operates on the principle of cross-flow filtration technology.

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Water Treatment - Reverse Osmosis (RO) Osmosis is the process where a solute moves from a high concentration across a semi- permeable membrane to an area of low concentration. Reverse osmosis (RO) is when an external pressure is exerted to reverse the direction of flow (i.e., solute moves from a low concentration to a high concentration). RO is often used for desalination. Poor water yield and high manufacturing and operational costs have been a major hindrance to the expansion of RO technology which restricts RO use to primarily developed countries.

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Water Treatment - Ultraviolet (UV) UV rays can inactivate many bacteria and viruses. The effectiveness of UV treatment to inactivate microorganisms and to disinfect water supplies is limited by: Water quality properties such as, turbidity, water hardness, iron and manganese concentrations, organic compounds, colloidal OM and DOM. Duration of UV exposure. The absorbed UV wavelength. The resistance of specific microorganisms to UV irradiation.

UV disinfection by-products can be formed by chemical phototransformation of organic compounds in the water, and residual microbial contamination may occur from incomplete UV inactivation of microorganisms, as well as microbial mutations caused by UV irradiation. A commercial UV water treatment unit consists of a UV light source enclosed in a sleeve made of quartz. Water passes through a flow chamber; UV rays are emitted and absorbed into the stream of water.

Image: UVB on DNA. Source: http://earthobservatory.nasa.gov/Library/UVB/ (Internet Access Required)

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UV spectrum

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Water Treatment - Aeration

Primarily used to off-gas volatile organic compounds.

Used to enhance microbial action.

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Water Treatment - Coagulation The purpose of coagulation is to primarily reduce turbidity, with the added benefit of removing other pollutants and microorganisms attached to the suspended matter and the removal of dissolved organic matter and inorganic matter. Coagulation can also be used to remove colloidal material when other membrane technologies are used or when the removal of these this material is important for other technologies such as UV irradiation or ozonation. The removal of this colloidal material will often extend the life and enhance the performance of the membrane devices, particularly for ultrafiltration, nanofiltration and reverse osmosis units. Any remaining colloidal or dissolved matter can be further removed by membrane devices. Ferric chloride is a coagulant that is particularly effective in the removal of natural organic matter (NOM).

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Chemical Treatment Methods This category includes: Chlorine and chlorine based products Iodine Silver Copper Ion exchange Activated carbon adsorption Activated alumina Ozonation

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Removal and Inactivation of Pathogens The removal and inactivation of pathogenic microorganisms from water (i.e., waterborne pathogens) is a major treatment objective for both drinking water and wastewater. The selection of the appropriate inactivation process for drinking water is dependent on raw water characteristics. The choice should consider and balance the need to inactivate pathogens while minimizing the production of disinfection-by-products. The approach often utilizes both chemical and physical options.

Treatment method and log removal of pathogens

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Types of Disinfectants

Chemical Disinfection: Physical Disinfection:

Ultraviolet (UV) Chlorine: Sodium Hypochlorite; Filtration Calcium Hypochlorite; Chlorine gas Heat (boiling water)

Chlorine Dioxide Physical methods are not acceptable for secondary disinfection Chloramines because physical methods do not provide a persistent residual disinfection. Ozone

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Chlorination Purpose of Chlorination

1. The primary purpose of chlorination is for disinfection of water by inactivation of microbial contaminants such as, the killing of pathogenic bacteria and viruses

2. Secondary purposes of chlorination include its use as an oxidant to remove or assist in the removal or conversion of undesired chemicals such as,

in the chemical breakdown of easily oxidized pesticides (e.g., aldicarb) and in the oxidation of dissolved metal ions like manganese (II) to form insoluble products that can be more easily removed by physical treatment.

Chlorination Process Chlorination can be accomplished with the use of the following:

Liquefied Chlorine gas; Sodium Hypochlorite solution Calcium Hypochlorite granules On-site Chlorine generator

Chlorine Residuals - Hypochlorous Acid (HOCl) and Hypochlorite Ion (OCl-) All forms of chlorine dissolve in water, reacting with the H+ ions and the OH- ions of water, producing hypochlorous acid (HOCl) and hypochlorite ion (OCl-).

The free chlorine residuals, HOCl and OCl- formed when chlorine reacts with water are two active disinfecting agents of chlorination.

HOCl is a more effective disinfectant than OCl- because it diffuses faster through the bacterial cell wall, and therefore destroys organisms much quicker.

The ratio of HOCl to OCl- produced in chlorine treated water is dependent on the temperature and the pH of the water,

The lower the pH, the more HOCl produced, and in general, the more effective is the chlorination-disinfection process.

Water temperature is important because the free chlorine residual required for adequate disinfection is more easily maintained in cold water.

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% free chlorine residuals vs pH

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Chlorinated Products Used in Water Treatment Sodium Hypochlorite A manufactured solution of sodium hypochlorite is released into the water using a metering pump.

The sodium hypochlorite solution is available as 12% or 5% available Cl2.

The solution is corrosive; must keep the chlorine solution away from equipment that can be damaged by corrosion. The addition of sodium hypochlorite solution to water will increase the pH of the water. The chlorine concentration in the solution will degrade over time. It is important to protect the solution from exposure to light and heat during storage in order to minimize degradation and to ensure adequate chlorine concentration necessary for disinfection.

Calcium Hypochlorite A solution is prepared before use by mixing powdered or granulated calcium hypochlorite with water.

The prepared chlorine solution is then added to water.

Used by some municipal systems, but more commonly for post construction disinfection (new water mains) and for swimming pools.

Chlorine tablets; chlorine pucks container

Other Chlorinated Products Chloramines are produced when ammonia is added to chlorine. The three basic forms of chloramines that can be produced are: monochloramine, dichloramine, trichloramine. Monochlorame is the most common and plentiful form.

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Monochloramine is often a desired product for secondary disinfection.

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Principles of Chlorination Chlorine Demand Each water source treated will have its own chlorine demand. This refers to the amount of chlorine that is consumed in the oxidation and interaction of constituents found within the water. For example, those waters high in NOM will have a much higher chlorine demand than those waters with a lower NOM content. In order for the chlorine to be an effective disinfectant, the amount added must ensure that there is free (unbounded, un-reacted) chlorine that remains in solution after all other chemical reactions with other water constituents (such as NOM) have occurred. The amount of chlorine left in a free state is often termed “residual chlorine”. Many factors influence the consumption of chlorine and the presence of residual chlorine.

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Reaction of Chlorine with Water

Chlorine added to raw water

Chlorine demand of raw water

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Chlorine reaction with water

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Chlorination Methods Different techniques of chlorination A. Breakpoint Chlorination The dose of chlorine used is sufficient to rapidly oxidize all ammonia nitrogen and to leave a residual concentration of free chlorine to protect against re-infection.

The process of adding chlorine to water until the chlorine demand has been satisfied. Further additions of chlorine after breakpoint result in an increase in the free chlorine residual. The process occurs in the following four steps:

1. The small amount of chlorine added, reacts with organic matter and inorganic materials (ammonia, iron, manganese, etc.); disinfection does not occur and no chlorine residual is formed. 2. More chlorine is added, reacts with organics and ammonia to form chlororganics and chloramines. Produces a combined chlorine residual. 3. More chlorine is added (chlorine demand is satisfied – breakpoint chlorination is reached). Chloramines and some chlororganics are destroyed. 4. After breakpoint, the addition of chlorine will produce free residual chlorine (best residual for disinfection).

B. Superchlorination / dechlorination The addition of large dose of chlorine to achieve rapid disinfection; followed by the removal of all excess free chlorine.

C. Marginal Chlorination Used in high quality water for the purpose of ensuring a sufficient concentration of residual chlorine is achieved.

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Breakpoint Chlorination

figure - breakpoint chlorination

Chlorine residual

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Chlorine Residuals Free chlorine residual: Chlorine reacts with water to form hypochlorous acid (HOCl) and hypochlorite ion (OCl-)

Combined chlorine residual: Chlorine also readily with ammonia (NH3-N) to form, monochloramine (NH2Cl), dichloramine (NHCl2), trichloramine (NCl3)

Combined chlorine residual= total chlorine residual - free chlorine residual Total chlorine residual = free chlorine residual + combined chlorine residual

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Free Chlorine Residuals Water MUST have a minimum Free Residual of 0.2 mg/L when leaving a water treatment plant. Water MUST have a minimum Free Residual of 0.05 mg/L at ALL points in the distribution system. The maximum chlorine residual at any time and/or location should not exceed 4 mg/L. Depending on the size of the distribution systems, re-chlorination stations may be required.

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Degradation of Chlorine Solutions

Decay rate sodium hypochlorite

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Water Treatment Using Disinfectants (Biocides) Other than Chlorine Iodine Iodine is a biocide that has a long history of biocidal use in medicine and is used for short-term disinfectant applications (e.g., point of use technologies). Iodine is typically used as an emergency disinfectant of drinking water in the field, but is not intended for long term use. The maximum concentration of iodine in drinking water should not exceed 18 µg/L (0.018 mg/L). Toxicity: Exposure to 16-130 mg of total iodine per kg of body weight can be fatal.

Silver Silver has been long known for its biocidal properties and has a long history of biocidal use in medicine, but some bacteria are resistance to silver. The silver ion (Ag+) binds to proteins in the bacterial cell membrane causing damage to cell structure and function and inhibition of bacterial cell growth. The most common use of silver in water treatment is in point of use products such as, ceramic filters coated with silver particles and fabric treated with nanosized silver. In these products, the silver inhibits microbial growth to prevent clogging of the filter and does not directly disinfect the filtered water.

Copper-Silver Ionization Recent attention has been given to the combined use of copper and silver as a biocide for the treatment of bacteria and control of bacterial biofilms. The ionization of copper and silver ions has been demonstrated as an effective technique for bacterial pathogens in hospitals such as Legionella sp. An electrical charge from an electrode is needed in the process. The procedure appears to be a relatively new treatment and as such regulatory agencies are still trying to determine what human health effects could arise and what safeguards are needed in terms of copper and silver ion exposure.

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Water Treatment - Other Methods Ion Exchange This process in its simplest form is when an unwanted ion is removed from solution and is replaced by an ion with a weaker attraction for the solid matrix through a dissociation reaction; hence the name ion exchange. The most widely used applications involve passing water (i.e., solution) through an ion exchange resin (i.e., solid matrix) that removes unwanted ions from the water (e.g., heavy metals, ionic pesticides) by more strongly adsorbing them than less harmful ions weakly adsorbed to the resin material (i.e., solid matrix).

Ion exchange resins are manufactured to be selective for the type of unwanted ion intended to be removed.

The selectivity of the resin material is achieved by choosing the appropriate functional group and pre-charging it with a more weakly adsorbing ion that has less harmful properties than the targeted unwanted ion (e.g., heavy metals, pesticides).

Activated Carbon Adsorption Activated carbon is an adsorptive filter. Carbon is activated when exposed to steam and high temperatures (2300°F) without oxygen. Activation produces many tiny pores and thus increases the overall surface area of the particle. Can be used to remove some solvents, pesticides, chlorine, chloramines and compounds producing unwanted taste and odour. Activated Alumina Activated alumina is an adsorptive filter.

Manufactured from aluminium hydroxide to produce aluminium oxide (Al2O3) which is quite porous and can have a surface area > 200 m2/g. Often used to remove fluoride, arsenic, selenium and phosphorus.

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Water Treatment - Ozonation

Ozone (O3) is a powerful oxidant.

Ozone can be used as a primary disinfectant, but is often used as an oxidizing agent for the removal of pesticides and other chemical contaminants. Performance is related to achieving a desired concentration and duration of contact time.

The residual concentration of O3 remaining in the water is short lived (virtually none); this is because ozone is rapidly consumed by natural organics within the water and is quickly volatilized to the atmosphere.

The typical dosing range is 2 – 5 mg of ozone/L to produce a remaining residual concentration of approx 0.5 mg/L water after a contact time of up to 20 minutes (i.e., a loss of the applied ozone dose of approximately 10-fold occurs within 20 minutes).

Low levels of chlorine may be added to water treated by ozonation in order to provide a low residual concentration of chlorine to prevent re-contamination by microbial growth in the O3 treated water.

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Microbial Treatment of Wastewaters The breakdown of organic molecules by microorganisms is often referred to as microbial degradation or biodegradation, and is exploited in the treatment of wastewaters, particularly treatment of domestic wastewaters. The solubilisation and in some cases the mineralization of a wide range of organic and inorganic compounds is carried out by microorganisms. Wastewater treatment plants utilize micoorganisms (e.g., facultative bacteria) to digest many different types of organic compounds and overall reduce the original volume of solids in the wastewater. Microorganisms are also important in key processes such as ammonification, nitrification and denitrification.

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Water Treatment - Advanced Treatment Processes Many advances have been made in the last one to two decades in the treatment of raw drinking water and wastewater. Much of this interest has been focussed on developing new technologies for the removal of emerging contaminants of concern (COCs), primarily pharmaceuticals and personal care products. Public concern has fueled interest in determining more effective ways at removing these types of compounds, primarily from drinking water supplies, but also from treated effluents released to the environment.

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Drinking Water - The Protection of Raw Drinking Water Supplies (Source Water Protection).

Provision of Safe Drinking Water A multi-barrier approach is often used by regulatory agencies to ensure the safety of drinking water supplies. The focus of this approach is to develop multiple points of control. The intent is redundancy to ensure that multiple safe guards are in place to ensure continuity of protection should one level (point of control) fail. These levels of control often include: i) protection of the source, ii) water treatment, iii) distribution network, iv) monitoring and surveillance of treated water.

Source Water Protection (SWP) SWP refers to a methodology or an approach that is implemented to protect the raw (untreated) drinking water supply in terms of both quality and quantity. SWP is the first barrier in a multi-barrier approach. In practical terms, SWP is a management tool to ensure that harmful pathogens and chemicals do not contaminant raw water supplies and to ensure that raw water resources are not unnecessarily depleted.

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Source Water Protection (SWP) SWP refers to a methodology or an approach that is implemented to protect the raw (untreated) drinking water supply in terms of both quality and quantity. SWP is the first barrier in a multi-barrier approach. In practical terms, SWP is a management tool to ensure that harmful pathogens and chemicals do not contaminant raw water supplies and to ensure that raw water resources are not unnecessarily depleted. The Goals of a Source Water Protection are to… 1. Keep Drinking Water Supplies Clean and Plentiful Preventing contaminants (pathogens, chemicals) from getting into the source water supplies (e.g., lakes, rivers, ground water wells, reservoirs and cisterns from which drinking water is obtained) Conserving water supplies and taking safe guards for the prevention of needless depletion of water quality and volume of water resources. 2. Develop Mitigation plans Identify problems and threats and develop plans to mitigate them. 3. Develop Contingency Plans Preparing a plan of action in the case of an emergency. How to protect existing source waters and decrease the risks that threaten it? (what can be done)

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Components of the SWP Approach 1. Characterizing the water source. 2. Identifying major problems and threats (risks). 3. Evaluate the risks. 4. Determine how to manage the risks. 5. Identify key needs within the community. 6. Development and implementation of a source water protection plan.

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Characterizing the Source Water Source waters are best managed on a watershed basis. Understanding where your water originates and the path it takes is key to protection. Some important aspects for characterization include:

Topography, climate, soil and bedrock types.

Volume of drinking water supplies (both ground and surface).

Human development and use.

Water needs, potential conflicts and risks.

Diagram of source waters.

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Inventory (characterize) the Watershed Physical Attributes

Surface water resources and groundwater

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Inventory (characterize) the Watershed

Climatic Attributes

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Characterizing the Watershed Characterisation will identify vulnerable areas which need protection. Groundwater: Significant groundwater recharge areas. Highly vulnerable aquifers (un-protective overburden). Wellhead Protection Areas (WHPAs). Future municipal supplies. Surface Water: Headwaters. Drinking water intake sites (site specific, historical).

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Identifying Major Risks to Source Waters SWP plans determine the boundaries of a protective zone around the source water. Within the protective zone all activities that could degrade the quality or quantity of the source water are identified and where possible mitigated or eliminated. Information regarding the flow path and flow velocities are often used when determining the boundary of the protective zone. The size of the protective zone depends on the level of protection desired. Protective zones for surface waters are often larger than those for ground water since the time required for water to travel from a contamination source to the location where the drinking water is drawn can be much shorter than the travel times for ground water resources. Risk is an evaluation of the problem (hazard and threat) combined with the level of harm it could cause and the probability (chance) of it happening.

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Delineation of Protection Zones around Drinking Water Supplies Communities can provide protection of groundwater and surface water resources through the establishment of source water protection zones. Delineated zones that protect groundwater are called Wellhead Protection Areas (WHPAs), those that protect surface waters are called Intake Protection Zones (IPZs)

Important Concept: Jurisdictional authority of communities is limited (often can not protect everything within a watershed)

Delineation identifies those sites that are most important in terms of providing supplies in the near future (e.g, days-surface water to decade-groundwater) Delineated zones are used to identify a physical location to be: i) Inventoried for existing and potential problems (hazards and threats) ii) Managed to mitigate impacts and risks of identified hazards and threats.

The delineation of protection zones are primarily based on two key factors: 1. Direction of water flow. 2. Speed of travel (also known as "Time-of-Travel").

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Two guiding principles

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Protection of Ground Water Supplies Groundwater Protection Zones The principles of 1) direction and 2) time-of-travel still operate for groundwater resources. Groundwater movement and the size of the aquifer are more difficult to define than that for surface waters such as, rivers and lakes.

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How is Time of Travel Estimated

Data Requirements: Topography

surface and subsurface geology and lithology

surface water and groundwater conditions,

hydrodynamic parameters of the subsurface formations

climate data, etc.,

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Intake Protection Zones: Simple Set-back Method

Intake Protection

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Time of Travel Method Assumptions: Time zones provide assessment of dispersion rate or spread of a spill or discharge (vulnerability of water intakes in case of contamination event) (>time to reach the water intake = less vulnerable). Time zones give plant operators the time (warning) needed to shut off the tap. Spills and other hazards and threats will be detected quickly.

Time of travel method

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Watershed Delineation and Zoning By-Laws Delineation used to develop zoning by-laws.

Red Zone: most restrictive to the types of activities that are allowed. Yellow Zone: least restrictive. Anything beyond yellow zone not under bylaw restrictions.

Watershed delineation and zoning

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Wellhead Protection Areas Wellhead Protection Areas: Arbitrary fixed radius method for delineation is based on distance from the wellhead.

Wellhead protection areas

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WHPA: Calculated Fixed Radius Delineation

Diagram of well and volume calculation

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WHPA: Calculated Fixed Radius Delineation (3 years)

WHPA

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WHPA: Calculated Fixed Radius Delineation (Six Years)

WHPA six years

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Calculated Fixed Radius Delineation

Calculated Fixed Radius Delineation expressed as time.

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Analytical Methods for Delineation Analytical methods for delineation involved the development and application of computer models to estimate groundwater flow patterns and delineation of areas for protection zones.

Digital photo groundwater flow and well

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Comparison of Delineation Approaches Comparison of the calculated fixed radius delineation approach versus analytical methods and applied computer models utilizing actual measurements of ground water movement.

Delineated zone comparisons

Delineated zone is based on actual ground water measurements and monitoring data.

Implications for stakeholders within identified zones.

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Selecting a Delineation Method for Defining Source Water Protection Zones What criteria should be applied in selecting a delineation method?

The followng criteria should be included and possibly others in the selection of a delineation method for defining ground water protection zones and their implications for source protection plans for safe drinking water. 1. What are the goals and objectives of the Source Water Protection Plan (SWPP)? 2. What are the identified hazards from past present and planned future sources of contaminants (both naturally occurring and from human activities)? And where are point and non-point sources of contaminants (biological, chemical and physical) located in relationship to the water intake, upstream or downstream, up gradient or down gradient)? 3. What are the source water capacity requirements for the present and future community and area? Taking into account the long term planning and development objectives in the community in terms of its demographics growth and needs for drinking water and potable water supplies and single and multiple water intake points. 4. What are the existing and emerging short-term and long-term problems and risks of impacts to the quality and quantity of the source water for drinking water in the community, and also to the watershed including changes in loadings of contaminants, changes in flow rates, changes in volume, evaporation rates, and changes in ground water directional flow and gradients and recharge rates? 5. What financial and other resources are available and how much money is the community willing to spend? The delineation method for defining source water protection zones should be consistent with the Source Water Protection Plan goals and objectives of the community and the requirements for precision and accuracy and timing of the monitoring and surveillance data. It is important to allow a realistic spatial and temporal scale by applying a level-of-concern approach for risk assessment, such that there should be a sufficient warning system for operationalizing risk communication and risk management actions, as necessary and appropriate to the situation, if spills and other situations occur that impact the quality and supply of safe drinking water. In this series of courses on Water and Health, the Course entitled "Water-related Impacts on Health - Principles Methods and Applications provides a comprehensive discussion of risk assessment risk management and risk communication, including information on key terms frameworks and resources used in risk assessment management and communications, including examples relevant to safe drinking water.

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Source Water Protection And Risk Assessment Precautionary Principle The precautionary principle should be applied in the development of source water protection zones and the assessment and management of risks to safe drinking water. The precautionary principle is defined as an approach to risk management that can be applied in circumstances of scientific uncertainty, reflecting a perceived need to take action in the face of a potentially serious risk without waiting for definitive results of scientific research. (Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344). A glossary of risk assessment and toxicology terminology is included in the Resources folder of Course 2 in this series on Water and Health.

Note: The 1992 Rio Declaration on Environment and Development says: “In order to protect the environment, the precautionary approach shall be widely applied by states according to their capabilities. Where there are threats of serious or irreversible damage, lack of full scientific certainty shall not be used as a reason for postponing cost-effective measures to prevent environmental degradation.”

Development of a Source Water Protection Plan for Minimizing Risks to Drinking Water The development of a Source Water Protection Plan involves the application of the principles of risk assessment and risk management. The findings of a risk assessment (RA) of the comunity's source water for its drinking water supply should document the identification of major and minor hazards and key factors contributing to risks of harmful effects. The information in the RA should provide pertinent and essential background information for risk management decisions on mitigating possible harmful impacts to the safety of the community's drinking water supply, including the development of risk communications materials and an implementation strategy.

Note: The previous course (Course 2) in this series on Water and Health entitled "Water Related Impacts on Health - Principles Methods and Applications" provides a comprehensive overview of environmental and human health risk assessment, risk management, and risk communication links to resources and examples of their applications. A brief review of the framework for risk assessment and key terms are provided below.

Questions that might be asked in framing the development of a source water protection plan could include the following, 1. What are the identified hazards, including sources and contaminants (past, present and planned in future)? (Identification and inventory of existing and emerging problems) 2. How likely is harmful exposure event to occur? 3. What is the probability that the source water supply could be impacted by the identified hazards? 3. What is the expected frequency magnitude and severity of impacts on the performance of the drinking water treatment and of harmful effects in the exposed population and the ecosystem? 4. What are the contributing factors to risk of those harmful effects and their comparative level of concern and importance?

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Summary

Source water protection involves: i) Knowledge about your water resources. ii) Developing zones of protection. iii) Identifying exisiting and emerging problems from known hazards and threats within the protection zones. iv) Developing plans to reduce or eliminate those hazards and threats and to protect the source water supplies and drinking water from significant risks of harmful impacts on water quality and quantity.

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PoU - Heat and UV Disinfection (boiling, SODIS + 2 products)

Boiling for Disinfection

Solar Disinfection Treatment Boiling for Disinfection AquaPak – solar disinfection Naiade (SODIS)

Solar disinfection is a simple way of disinfecting water from pathogenic this unit contains two bag bacteria and viruses. AquaPak is a low cost filters (25 µm and 10 µm) It involves the filling of old polyethylene bag intended for and a 100 L storage tank water bottles with raw solar disinfection for the filtered water which water, if possible filtered contains a UV lamp for boiling water is one of the oldest water, and leaving them in modifications to the bag such added disinfection and most commonly practiced a sunny area to expose as a bubble pack layer help to disinfection methods power to the unit is provided the water to the sunlight's increase the temperature up to by photovoltaic panels and UV radiation in an effort to 65°C where pasteurization water should be boiled in a clean excess power is stored in a reduce the number of takes place container for at least a minimum of batter for 24 hour service pathogens. 5 minutes, depending on elevation a replaceable glass vial filled Description longer boiling times may be the unit can filter up to Bottles should be made of with orange wax is inserted and needed. 3.500 L per day with a flow PET (polyethylene into the bag. The wax melts Features and changes colour once 65°C rate of 5 L per minute major drawback is its dependency terephtalate) or glass that is reached and pasteurization on fuels which can be costly and is transparent and the estimated lifespan of the starts in scarce supply colourless. Bottle should unit is 10 years with UV not be larger than 3 L. AquaPak can treat up to 5 L bulb replacement after it is estimated that 1 kg of wood or per day 10000 hours of use 0.1-0.2 kWh is needed to boil 1 L Water temperature in bottle should reach 40°C and be of water education and training appear it is easily installed with little left in the sunlight for a technical expertise needed minimum of 6 h on a to be needed to improve peoples willingness to use sunny day or 2 consecutive It is highly effective in days if the sky has more removing pathogens with than 50% cloud cover. additional turbidity removal Bottles should be replaced every 4 to 6 months.

boiling is generally 100% effective Sunlight treatment for 6 Disinfection against bacteria, viruses, protozoa hours at 40°C can remove and and helminths when water boiled it has been found to reduce up to 99.999% bacteria, Contaminant for the required minimum time. bacterial pathogens by 99.9 – 99.99% viruses, but Removal Exceptions are bacterial 99.999% it is less effective for Efficiency endospores, other heat resistant protozoa. forms of pathogens.

example

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Unit unit treatment price is 17.85 Euro 0.87 Euro per cubic metre 3.13 Euro per cubic metre 0.59 Euro per cubic metre Treatment per cubic metre water filtered water filtered water filtered water filtered Price

Overall 7.8 (good) 7.0 (good) 6.4 (good) 5.8 (medium) evaluation

www.medapnaiade.com www.sodis.ch www.who.int More www.solarsolutions.info www.akvo.org information www.cawst.org www.akvo.org www.cleanwaternow.nl

(Internet Access (Internet Access (Internet Access (Internet Access Required) Required) Required) Required)

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PoU - Chemical Disinfection Treatment (Chlorine + 5 products)

Boiling for Disinfection

AquaEst Plation® Floats - Treatment Chlorine - Disinfection NaDCC for disinfection PUR Purifier of Water™ WATA – chlorine generator Disinfection WaterPurifier

this product is composed of this is a self-contained, ready specialized ceramic balls that have to use water purification unit a coating of a high quality colloidal this technology relies on placing Chlorine has been used as a silver NaDCC are a form of chlorine disinfection a specially developed probe that water is first filtered with disinfectant since the early this product is both a tablets containing sodium when placed in salt water will ceramic Ultrafiltration 1900’s. once in the water natural flocculant (ferric sulphate) dichloroisocyanurate also referred to as generate active chlorine through membranes (40 nm pore processes ionize the silver to and a disinfectant (calcium sodium troclosene electrolysis size). Solar-powered Sodium hyperchloride can also release silver ions in to the water hypochlorite) electrolysis generates be used and it can be to inactivate pathogenic bacterial NaDCC tablets have historically been 25 g of salt per L of water are hypochlorous acid which manufactured in most locations used to treat water emergencies, but are it is now sold world wide, but placed into a bottle to generate a disinfects the water in the through brine electrolysis. the main purpose of this product is now starting to become more available to cost can still be restrictive to chlorine solution that can be used storage reservoir to prevent bacterial growth in the general public some to disinfect water Each chlorine disinfection treated water during long term indicator strips provide check product should have its own storage they come in different sizes (3.5 mg to 10 one sachet treats 10 L of raw disinfection is accomplished by on water quality (presence of Description instructions that will need to be g) to treat water volumes between 1 to water adding a known volume of this residual chlorine) and consulted to achieve the correct it appears the floats can be used 3000 L chlorine solution to the raw Features dosage for destruction of to treat raw drinking water, once added, the water is drinking water and allowing it to estimated lifespan up to 20 pathogens and prevention of however, the contact time may the required dose and contact time vary stirred and allowed to settle stand for 30 minutes years, membranes and harmful health effects. need to be extended – presumable with water quality. Ideal conditions for use for 5 minutes. After this the electrodes likely last only 5 for days are low turbidity and pH within 5.5-9.0 solids are filtered through a electrodes need cleaning of years A minimum contact time of 30 cotton cloth filter into a calcareous deposits (generally minutes is required and may be they are easy to use and do not tablets have a shelf life of 5 years if second container where the after every 150 h of use) maintenance consist of longer depending on water require electricity or maintenance protected from high temperatures and high water is allowed to stand for backwashing by hand the quality. humidity an additional 20 minutes to the lifespan of the device is filters with hand powered air anticipated life expectancy is give time for disinfection approx 20000 hours or 4.5 years Residual chlorine in the water approx 2 years in stored water, but pump can provide some protection if used in chlorinated water the shelf life is 3 years requires electricity for operation, can be equipped with against recontamination. effectiveness by be reduced to less can be connected to solar panels additional carbon filters to than 2 years remove chemical contaminants

PUR removes >99.99% Chlorine is effective against bacteria, up to 99.99% Disinfection bacteria and viruses and can viruses and 99.9% protozoa and tablets are highly effective against bacteria effectively removes bacteria, achieve upwards of a 2 to 8 log Contaminant and viruses but not effective against PUR will remove high viruses, protozoa, helminths removal, but it is not as Removal protozoa turbidity, heavy metals such and turbidity effective against protozoa and Efficiency as arsenic and some helminths. dissolved chemical contaminants

example

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Unit 0.24 Euro per cubic metre 0.75 Euro per cubic metre water 7.14 Euro per cubic metre 0.02 Euro per cubic metre water 1.21 Euro per cubic metre Treatment 3.25 Euro per cubic metre water filtered water filtered. filtered water filtered filtered water filtered Price

Overall 7.0 (good). 6.6 (good) 6.5 (good) 6.5 (good) 4.9 (medium) 5.4 (medium) evaluation

www.cawst.org www.cawst.org www.csdw.org

www.cdc.gov www.cdc.gov www.purpurifierofwater.com More www.aquaesteurope.com www.antenna.ch www.mobilewatermaker.nl information www.psi.org www.aquatabs.com www.pghsi.com

www.jolivert.org www.who.int www.who.int

(Internet Access Required) (Internet Access Required) (Internet Access Required) (Internet Access Required) (Internet Access Required) (Internet Access Required)

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Point of Use Disinfection and Small-Scale Drinking Water Treatment

Access to “improved” water supplies does not always a guarantee that supplies are safe and reliable. This is especially true in developing countries and elsewhere, when contamination particularly microbial and also chemical occurs because of inadequate treatment and recontamination during transport and storage. Point of use (PoU) and small-scale treatment is a strategy to improve access to safe drinking water, particularly where municipal water treatment systems are not available and the safety of water available for drinking is unknown. Recent studies have shown PoU can reduce diarrhea morbidity for children under the age of 5 by 29% .

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Disinfection - Point of Use and Small-Scale Treatment of Drinking Water

Disinfection of drinking water to destroy and decrease the amount of bacteria, viruses, protozoa and parasites can be accomplished by:

Physical destruction (heat/boiling; Ultra Violet light)

Physical filtering: membranes, ceramic filters, slow sand filters, coagulation / precipitation + sedimentation, bank infiltration

Biological destruction (e.g. Schmutzdeck layer in slow sand filtration)

Chemical destruction and prevention of multiplication (chlorine, chlorine dioxide, monochloramine, iodine, ozone, hydrogen peroxide, silver or copper)

Baseline log removal by different treatment methods

Source: WHO Guidelines, table 7.6a; adapted from Smart Disinfection Solutions 201

Logunits: 1=10% remaining or 90% removal; 2=1% remaining or 99% removal; 3=0.1% remaining or 99.9% removal; 4=0.01% remaining or 99.99% removal; 5=10-5 remaining; 6=10-6 remaining; 7=10-7 remaining

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Pre-Treatment for Disinfection of Drinking Water Pre-treatment factors to consider include the following: i) When possible it is always best to acquire your water from the cleanest sources possible such as,

Spring water, or groundwater from depths > 5 m. High mountain streams with little turbidity.

ii) Pre-treatment might be required to remove turbidity (e.g., sedimentation, coagulation and filtration). iii) Chlorination may not be very effective in turbid waters and the final filters used for treatment may easily clog if not pre-filtered first.

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Point of Use - Evaluation of Drinking Water Treatment Methods A total of 21 PoU methods have been evaluated based on performance, ease of use, and impact to the environment. The 21 PoU technologies can be categorized into four major groupings based on common modes of action. The four main categories include:

Filtration Units (6 PoU products)

Disinfection (8 PoU products / techniques)

Filter + Disinfection (6 PoU products)

Other (1 PoU product)

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PoU – Filter (6 products)

Product Jal-TARA Water Filter Ceramic Water Purifier Biosand Filter Water 4Life Filter Tulip Siphon Filter Kanchan Arsenic Filter Name (SSF)

There are many variations of biosand filters.

• outer container can be made the upper portion of the this is a gravity slow of concrete, plastic or any container is equipped with 1 sand filter that treats with other waterproof, rustproof or 2 ceramic candle filters. a candle-type filter that uses a biofilm (schmutzdecke) There are many variations of and non-toxic material The filtered water is stored siphon pressure to force water and through physical ceramic pot filters. in lower portion through a high-quality ceramic (straining) methods to • filled with sieved and washed filter element filter designed to remove arsenic by provide water quality • the one illustrated below is sand and gravel • the outer layer of the incorporating a layer of rusty nails comparable to the natural from Potters for candle filter is made with • the ceramic filter is impregnated in the diffuser basin to which the percolation of water peace www.pottersforpeace.org • a layer of water should clay and has a fine pore with silver and also contains a core arsenic adsorbs through soil always cover the top of the structure capable of filtering of activated carbon • typically designed for a sand in order to create a bio- out bacteria larger than 0.5 • pathogen removal is through both • tank size is typically capacity of 20 to 30 L with a layer often called the µm. The second layer is • flow rate is 4 to 6 L/hour. a biological (bio-layer) and physical around 1 m3 and can Description flow rate of 0.5 to 2.5 L per “schmutzdecke” which impregnated with colloidal (straining) provide 2-3 m3 of treated and Features hour contributes to pathogen silver to inactivate bacteria. • when filter becomes plugged, flow water per day rate can be re-established by removal. The third layer is filled with • typical dimensions are 90x90x30 • the estimated life span is up backwashing using the bulb activated carbon to absorb cm and flow rates are approx 15 to • the SSF has to be to five year • daily production depends on iron, chlorine, ordour and 20 L/hour. operated under use but is often between 24 to colour. • the filter element has been found to continuous flow to sustain • in many cases they can be last between 6 months to 2 years 72 L per day with a flow rate concern for proper disposal of the biofilm locally made and could produce about 7000 L of of approx 0.3 to 0.6 L/min. • average flow rate is limited arsenic impregnated nails. to approx 1 to 2 L per hour filtered water. • the system is designed • it also provides safe storage • when flow rate drops it can to require little for filtered water be rejuvenated by a simple • particles captured by the • the plastic parts have a life maintenance swirl and dump maintenance clay layer can be carefully expectancy of approx 5 years. of upper layer scraped off to improve rate • a typical lifespan is of filtration. approx 15 years • some filters are still performing satisfactory after 10+ years

Disinfection field experience and clinical lab tests show >98.5% lab tests show bacteria removal up removal efficiencies for and tests have shown filter to removal of bacteria, 70-99% to 96.5%, viruses 70-99%, protozoa suspended solids is up to treatment provides 99.9 to Contaminant eliminate approx 99.88% of viruses, >99.9 protozoa, up to >99%, helminths up to 100%, iron 99.99%, pathogenic 99.99 bacterial removal Removal most waterborne disease 100% helminths and 95% of and turbidity 90-99% and arsenic bacteria up to 99.99% Efficiency agents turbidity to < 1 NTU 85-95% and viruses range between 91-99.99%

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example

water4life filter

figure - jal tara filter

ceramic pot purifier biosand filter

Unit 0.57 Euro per cubic metre 0.11 Euro per cubic metre 0.42 Euro per cubic metre 0.51 Euro per cubic metre water 0.11 Euro per cubic Treatment 0.22 Euro per cubic water filtered water filtered water filtered filtered metre water filtered Price metre water filtered

Overall 7.9 (good) 6.4 (good) 6.25 (good) 6.1 (good) 6.1 (good) 5.2 (medium) evaluation

www.basicwaterneeds.com www.akvo.org www.akvo.org www.hydraid.org www.arrakis.nl More www.waret4life.eu www.cleanindia.org information www.jalmandir.com www.cawst.org www.cawst.org www.nulpuntenergie.net www.cawst.org www.akvo.org

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PoU - Heat and UV Disinfection (boiling, SODIS + 2 products)

Boiling for Disinfection

Treatment Boiling for Disinfection Solar Disinfection (SODIS) AquaPak – solar disinfection Naiade

Solar disinfection is a simple way of disinfecting water from pathogenic bacteria and this unit contains two bag filters viruses. (25 µm and 10 µm) and a 100 L It involves the filling of old storage tank for the filtered water water bottles with raw water, if which contains a UV lamp for AquaPak is a low cost polyethylene bag boiling water is one of the oldest possible filtered water, and added disinfection intended for solar disinfection and most commonly practiced leaving them in a sunny area power to the unit is provided by disinfection methods to expose the water to the modifications to the bag such as a bubble photovoltaic panels and excess sunlight's UV radiation in an pack layer help to increase the temperature power is stored in a batter for 24 water should be boiled in a clean effort to reduce the number of up to 65°C where pasteurization takes hour service container for at least a minimum of pathogens. place 5 minutes, depending on elevation the unit can filter up to 3.500 L Description longer boiling times may be Bottles should be made of a replaceable glass vial filled with orange per day with a flow rate of 5 L and needed. PET (polyethylene wax is inserted into the bag. The wax melts per minute terephtalate) or glass that is Features and changes colour once 65°C is reached major drawback is its dependency transparent and colourless. and pasteurization starts the estimated lifespan of the unit on fuels which can be costly and Bottle should not be larger is 10 years with UV bulb in scarce supply than 3 L. AquaPak can treat up to 5 L per day replacement after 10000 hours of use it is estimated that 1 kg of wood or Water temperature in bottle education and training appear to be needed 0.1-0.2 kWh is needed to boil 1 L should reach 40°C and be left to improve peoples willingness to use it is easily installed with little of water in the sunlight for a minimum technical expertise needed of 6 h on a sunny day or 2 consecutive days if the sky It is highly effective in removing has more than 50% cloud pathogens with additional turbidity cover. removal Bottles should be replaced every 4 to 6 months.

boiling is generally 100% effective Disinfection against bacteria, viruses, protozoa Sunlight treatment for 6 hours and and helminths when water boiled at 40°C can remove up to it has been found to reduce bacterial Contaminant for the required minimum time. 99.999% bacteria, 99.9 – pathogens by 99.999% Removal Exceptions are bacterial 99.99% viruses, but it is less Efficiency endospores, other heat resistant effective for protozoa. forms of pathogens.

example

Unit unit treatment price is 17.85 Euro 0.87 Euro per cubic metre 0.59 Euro per cubic metre water Treatment 3.13 Euro per cubic metre water filtered per cubic metre water filtered water filtered filtered Price

Overall 7.8 (good) 7.0 (good) 6.4 (good) 5.8 (medium) evaluation

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www.sodis.ch www.medapnaiade.com www.who.int More www.solarsolutions.info www.akvo.org information ww.cawst.org www.akvo.org www.cleanwaternow.nl

(Internet Access required)

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PoU - Chemical Disinfection Treatment (Chlorine + 5 products)

Boiling for Disinfection

AquaEst Plation® Floats - WaterPerifier ***check Treatment Chlorine - Disinfection NaDCC for disinfection PUR Purifier of Water™ WATA – chlorine generator Disinfection spelling***

this is a self-contained, this product is composed of ready to use water specialized ceramic balls that this technology relies on placing purification unit have a coating of a high quality a specially developed probe that colloidal silver NaDCC are a form of chlorine disinfection when placed in salt water will water is first filtered with generate active chlorine through Chlorine has been used as a tablets containing sodium ceramic Ultrafiltration once in the water natural electrolysis disinfectant since the early 1900’s. dichloroisocyanurate also referred to as membranes (40 nm pore processes ionize the silver to sodium troclosene size). Solar-powered release silver ions in to the water 25 g of salt per L of water are Sodium hyperchloride can also be this product is both a flocculant (ferric sulphate) electrolysis generates to inactivate pathogenic bacterial NaDCC tablets have historically been placed into a bottle to generate used and it can be manufactured in and a disinfectant (calcium hypochlorite) hypochlorous acid which used to treat water emergencies, but are a chlorine solution that can be most locations through brine disinfects the water in the the main purpose of this product used to disinfect water electrolysis. now starting to become more available to it is now sold world wide, but cost can still be is to prevent bacterial growth in storage reservoir the general public restrictive to some treated water during long term disinfection is accomplished by Each chlorine disinfection product indicator strips provide storage they come in different sizes (3.5 mg to 10 adding a known volume of this should have its own instructions that one sachet treats 10 L of raw water check on water quality Description g) to treat water volumes between 1 to chlorine solution to the raw will need to be consulted to achieve (presence of residual and it appears the floats can be used 3000 L drinking water and allowing it to the correct dosage for destruction of once added, the water is stirred and allowed to chlorine) Features to treat raw drinking water, stand for 30 minutes pathogens and prevention of harmful settle for 5 minutes. After this the solids are however, the contact time may the required dose and contact time vary health effects. filtered through a cotton cloth filter into a second estimated lifespan up to need to be extended – with water quality. Ideal conditions for use electrodes need cleaning of container where the water is allowed to stand for 20 years, membranes and presumable for days are low turbidity and pH within 5.5-9.0 calcareous deposits (generally A minimum contact time of 30 an additional 20 minutes to give time for electrodes likely last only after every 150 h of use) minutes is required and may be disinfection they are easy to use and do not tablets have a shelf life of 5 years if 5 years longer depending on water quality. require electricity or maintenance protected from high temperatures and high the lifespan of the device is shelf life is 3 years maintenance consist of humidity approx 20000 hours or 4.5 Residual chlorine in the water can backwashing by hand the anticipated life expectancy is years provide some protection against approx 2 years in stored water, filters with hand powered recontamination. but if used in chlorinated water requires electricity for operation, air pump the effectiveness by be reduced can be connected to solar can be equipped with to less than 2 years panels additional carbon filters to remove chemical contaminants

PUR removes >99.99% bacteria, up to 99.99% Disinfection Chlorine is effective against bacteria viruses and 99.9% protozoa effectively removes and and viruses and can achieve upwards tablets are highly effective against bacteria bacteria, viruses, Contaminant of a 2 to 8 log removal, but it is not and viruses but not effective against PUR will remove high turbidity, heavy metals such protozoa, helminths and Removal as effective against protozoa and protozoa as arsenic and some dissolved chemical turbidity helminths. Efficiency contaminants

example

Unit 0.24 Euro per cubic metre water 0.75 Euro per cubic metre water 0.02 Euro per cubic metre water 1.21 Euro per cubic metre Treatment 3.25 Euro per cubic metre water filtered 7.14 Euro per cubic metre water filtered filtered. filtered filtered water filtered file:///F|/Dropbox/WaterHealthNewFinal/Course3/concepts/WH30M030C018chemical.htm[11/3/2014 7:38:09 PM] WLC Template Price

Overall 7.0 (good). 6.6 (good) 6.5 (good) 6.5 (good) 4.9 (medium) 5.4 (medium) evaluation

www.cawst.org www.cdc.gov www.cawst.org www.cdc.gov www.csdw.org www.purpurifierofwater.com More www.aquaesteurope.com www.antenna.ch www.mobilewatermaker.nl information www.psi.org www.jolivert.org www.aquatabs.com www.who.int www.pghsi.com www.who.int

(Internet Access required)

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PoU - Combined Chemical and Physical Treatment (4 products)

Treatment LifeStraw® Personal LifeStraw® - Family Perfector-E Pureit

this is a compact drinking water treatment unit

water poured into the top a simple hand held personal reservoir is first screened water filter this is a point of use instant microbial with a mico-fiber mesh to water purifier designed for a household this is a self-contained portable water remove course particles. contains a halogenated resin (different than the LifeStraw designed for treatment system designed for water The filtered water drains (iodine) that kills bacterial and personal use) emergencies out of the reservoir through viruses on contact a compact carbon trap the 27 µm filter basket removes course it consists of two Norit X-Flow which removes additional granular activated carbon (silver- turbidity while a halogen chamber at ultrafiltration (UF) membranes and UV dirt, parasites and some impregnated) absorbs residual bottom of bucket releases minimal chlorine disinfection pesticide impurities. iodine and thereby improves to prevent membrane fouling from taste development of biofilm it has a capacity of 2000 L/h and can the carbon filtered water draw from surface waters 25 m away enters a battery operated a micro-filter removes all the purification cartridge (ultrafiltration, pore Description with a submersible pump Germkill processor which particles down to 15 microns size 20 nm) is gravity fed. It removes and uses a “sustained release bacteria, viruses, parasites and fine power requirements are 230 Volts/3.1 Features can filter up to 700 L of water – chlorine technology” to kill particles kW or a 5kW power generator an approx 1 year lifespan based bacterial and viruses on consumption of 2 L/d flow rate is 8 to 10 L per hour. Course pre- membranes need cleaning once every lastly the water passes filter needs to be cleaned every 30 h, while 3 months and lifespan of membranes is shelf life is 2 years at 25°C or 1 through the Polisher which cartridge requires cleaning every 11 hours approx 3-5 years year at 30°C remove odour and improves by squeezing on red bulb to backwash. water clarity capital cost for purchase is high and people with thyroid problems or filters a minimum of 18000 L and has an around 30,000 Euro however, it may be allergic to iodine must seek a battery indicator tells you expected lifespan of 3 years. Complete possible to rent from manufacture medical advice. when the Germkill battery kit system requires replacement once is working

Not suitable for children who can cartridge is exhausted not produce suction needed to the unit is designed to filter draw water through straw. 1.500 L of water . Shelf life of battery is approx 2 years.

removes 99.99% of waterborne Disinfection bacteria, and more than 98% highly effective at removal of total and highly effective against viruses. Not effective in It removes bacteria, viruses, parasites and suspended solids, bacteria, protozoa, Contaminant bacteria and viruses but not removing parasites (e.g., fine particles. helminths and viruses, but not Removal effective against parasites. Giardia), high turbidity and applicable for chemical contaminants Efficiency chemicals. unless modified

example

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figure- perfector

figure - pureit

figure lifestraw family

2 figures- lifestraw

Unit 4.08 Euro per cubic metre water 0.69 Euro per cubic metre water 4.35 Euro per cubic metre Treatment 0.79 Euro per cubic metre water filtered filtered filtered water filtered Price

Overall 6.4 (good) 5.3 (medium) 6.2 (good) 5.1 (medium) evaluation

More www.vestergaard- www.vestergaard-frandsen.com www.vestergaard-frandsen.com www.noritmt.ml www.atatwork.org information frandsen.com

(Internet Access required)

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Multi-Stage Rainwater Treatment Purification System

AquaEst RainPC®

AquaEst RainPC

This is a multi-stage rainwater purification system. The primary components include a course screen to filter out larger debris from the roof top collected rainwater. The filtered rainwater is temporarily collected into short term storage tanks. Water from the short term storage tanks is passed through a series of 3 filters.

The first is a 80 µm pre-filter. The second is a 10 µm filter. And finally through the third which is an activated carbon filter impregnated with silver coated balls and copper for inactivation of pathogens.

Treated rainwater is then collected into long term storage tanks containing AquaEst Plation Floats (silver coated ceramic balls) to prevent the growth of bacteria. The maximum flow rate through the filters is approx 8 L per minute. The unit treatment price is 2.00 Euro per cubic metre water filtered The overall evaluation is 5.4 (medium)

More information is available at www.aquaesteurope.com . (Internet Access required)

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Conventional Treatment Technologies - Drinking Water

Surface Water Treatment

Typical conventional treatment consists of 4 stages of treatment before storage testing and distribution of treated drinking water.

The purpose of conventional treatment is to remove solids, organics, and other chemical characteristics that may be present in the raw water.

CWT process

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Water Characterization

Microbiological Factors Physical Characteristics –Pathogenic organisms –Turbidity and particles –Nuisance organisms –Colour –Algae –Temperature –Iron bacteria –Taste & Odour Radiological Factors Chemical Characteristics –Radioactive materials in drinking water –Organic and inorganic –pH

–Iron and manganese –Hardness, alkalinity

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Physical Characteristics What is the difference between suspended solids, particulates and colloidal matter?

Suspended solids and particulates are organic and mineral particles such as clay, silt, organisms.

Colloidal matter are very small particles, less than 10 micrometers (does not settle).

Turbidity

‘Cloudiness’ caused by the presence of suspended matter. Measured by the scattering and absorption of light.

Why is turbidity important?

Pathogens may adhere to particles. Particles may shield pathogens from disinfection. Turbidity may create a high chlorine demand. Turbidity level gives feedback for process control. Regulated limits.

Turbidity water samples and turbidity testing

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Physical Characteristics Taste – sweet sour bitter or salty Odour – the presence of a noticable smell Why is taste and odour important?

Taste and odour (and colour) are indicators of the purity of water. Safe drinking water does not smell and taste like sewage.

Taste and odour may indicate treatment effectiveness. Taste and odour are aesthetic properties of water and influence customer satisfaction.

Temperature The degree of hotness or coldness measured on a definitive scale.

Why is the temperature of drinking water important? The temperature of drinking water affects the disinfection process. Warm water temperatures favour the growth of waterborne pathogens and other biological contaminants. The temperature of drinking water also affects the aesthetic properties of taste and odour. Cold water has higher oxygen content. Warm water can be anaerobic (having little to no oxygen).

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Chemical Characteristics

Water Hardness Water hardness is caused principally by calcium and magnesium ions in water. Water hardness is a measure of the capacity of water to react with soap.

Why is water hardness important?

Water hardness can an interfere with chemical reactions. Hard water can form scale (e.g., a precipitate on the inside of pipes).

Soft water may be corrosive.

Alkalinity

Alkalinity is the concentration of the bicarbonates (HCO3-), carbonates (CO3-), and hydroxyl ions (OH-) dossolved in water. Why is alkalinity of water important?

Alkalinity is a measure of the ‘buffering capacity’ of water, the ability to withstand change in water pH (e.g., to withstand acidification of water and decrease in water pH). Alkalinity is needed for coagulation. Low alkalinity water may require added alkali for effective treatment. Alkalinity is a measure of corrosivity.

Iron (Fe) and Manganese (Mn) These naturally occurring minerals are commonly found in groundwater. Iron and manganese usually occur in groundwater in reduced soluble forms (dissolved). Soluble forms of iron and manganese oxidize into particulate forms by addition of chlorine to water and in the presence of air. Iron reacts quickly forming iron oxides that have a red in colour; manganese reacts much more slowly forming manganese oxides that have a black colour. Why are iron and manganese important?

“Dirty” coloured water caused by iron and managanese is often the reason for complaints about staining of toilet bowls and wash basins and laundry. The occurrence of iron and manganese in water causes increases in turbidity. Bacteria often also occur.

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Possibility of harmful health effects, depending on concentrations and exposures.

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Pre-Treatment Pre-treatment consists of screening of the raw water to remove larger debris and pre-oxidation to control algae and bacteria, and the arresting of biological growth.

Pretreatment of raw water

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Photo of pretreatment filter

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Coagulation - Flocculation

Ferric chloride and aluminum sulphate are common coagulants used to flocculate out organic matter.

Coagulation flocculation treatment

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Removal of Flocculated Material

Flocculated material is allowed to settle out of solution. Additional filtration is often added to ensure a high clarity of the water prior to disinfection.

Removal of flocculated material

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Disinfection

Chlorine has historically been the disinfectant of choice, but other methods such as ozone, UV irradiation and membrane filtration are used in an attempt to avoid the generation of Chlorine disinfection byproducts (DBPs).

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Storage Testing and Distribution

Storage testing and distribution

Pumping and Storage of Treated Water

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Treated water is pumped to large storage tanks.

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Testing

Testing laboratory and instrumentation

Water is diligently tested to ensure high quality before consumption.

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Where to Sample - Water Treatment Process and Storage and Distribution

Where to sample in the water treatmetn process

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What to Measure - Sampling and Monitoring - Water Treatment Process, Storage and Distribution

Sampling and monitoring of water treatment process

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Household Water Treatment - Introduction

Diarrheal diseases (such as cholera) kill more children than AIDS, malaria, and measles combined, making it the second leading cause of death among children under five Access to safe water and improved hygiene and sanitation has the potential to prevent at least 9.1% of the global disease burden and 6.3% of all deaths access to safe water and improved hygiene and sanitation has the potential to prevent at least 9.1% of the global disease burden and 6.3% of all deaths Household water treatment has the potential to significantly decrease this global disease burden

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Household Water Treatment - Overview

Two good examples of organizations addressing the issues of household water treatment in a very organized and systematic way are the Center for Disease Control (CDC) in the USA and the World Health Organization (WHO)

o The CDC and the Pan American Health Organization (PAHO) developed the Safe Water System (SWS), which protects communities from contaminated water by promoting behavior change and providing affordable and sustainable solutions

o The WHO developed the concept of “Household water treatment and safe storage (HWTS) interventions”

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Household Water Treatment - Options

Water Treatment Options Household water treatment (treatment that happens at the point of water collection or use, rather than at a large, centralized location) improves water quality and reduces diarrheal disease in developing countries . Five proven treatment options –

chlorination1. flocculant/disinfectant2. powder (P&G™) solar3. disinfection ceramic4. filtration slow5. sand filtration

– are widely implemented in many developing countries. A more complete classification of simple low-cost technologies for water treatment is that of Skinner, B and Shaw, R "Household Water Treatment 1 & 2, technical briefs #58 & #59", Waterlines, October 1998 and January 1999. It includes methods for removing inorganic chemicals, odour and taste from water as well as methods to remove pathogenic microorganisms.

Aeration Coagulation and flocculation Desalination Disinfection Disinfection by boiling Chemical disinfection Solar disinfection Filtration Storage and settlement Straining

Selecting the most appropriate treatment method for a community’s specific circumstances is often a difficult decision. The most appropriate option for a community depends on existing water and sanitation conditions, water quality, cultural acceptability, implementation feasibility, availability of technology, and other local conditions. Household water treatment and safe storage interventions can lead to dramatic improvements in drinking water quality and reductions in diarrhoeal disease—making an immediate difference to the lives of those who rely on water from polluted rivers, lakes and, in some cases, unsafe wells or piped water supplies.

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Household Water Treatment - Aeration

1. Aeration

Aeration can be accomplished by vigorous shaking in a vessel part full of water or allowing water to trickle down through one or more perforated trays containing small stones. It can remove inorganic materials and some taste and odour.

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Household Water Treatment - PUR

2. Coagulation and flocculation

The Procter & Gamble Company developed the PUR Purifier of Water™ .The sachets are now centrally produced in Pakistan. The product is a small sachet containing powdered ferric sulfate (a flocculant) and calcium hypochlorite (a disinfectant) and was designed to reverse-engineer a water treatment plant

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Household Water Treatment - Desalination

3. Desalination

Desalination, or desalting, is the separation of fresh water from salt water or brackish water. There are two basic types of larger-scale desalting techniques: thermal processes and membrane processes. Both types consume considerable amounts of energy.

For household use, simpler and cheaper systems are required; typical examples use a black solar panel that distills saline water and deposits the vapor on a surface where it is collected.

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Household Water Treatment - Disinfection

4. Disinfection

4a. Disinfection by Boiling

Boiling is a very simple method of water disinfection. Heating water to a high temperature, 100°C, kills most of the pathogenic organisms, particularly viruses and bacteria causing waterborne diseases.

4b. Chemical disinfection

This treatment method is point-of-use chlorination by consumers with a locally-manufactured dilute sodium hypochlorite (chlorine bleach) solution.

4c. Solar disinfection

Solar disinfection (SODIS) was developed in the 1980s to inexpensively disinfect water used for oral rehydration solutions. Users of SODIS fill 0.3-2.0 liter plastic soda bottles with low- turbidity water, shake them to oxygenate, and place the bottles on a roof or rack for 6 hours (if sunny) or 2 days (if cloudy). The combined effects of UV-induced DNA alteration, thermal inactivation, and photo-oxidative destruction inactivate disease-causing organisms.

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Household Water Treatment - Filtration and Storage

5. Filtration 5a. Ceramic Filtration Locally manufactured ceramic filters have traditionally been used throughout the world to treat household water. Currently, the most widely implemented ceramic filter is the Potters for Peace design. The filter is flowerpot shaped, holds about 8-10 liters of water, and sits inside a plastic or ceramic receptacle.

5b. Slow Sand Filtration A slow sand filter is a sand filter adapted for household use. Please note that although commonly referred to as the BioSand Filter, the BioSand Filter terminology is trademarked to one particular design, and this fact sheet encompasses all slow sand filters. The version most widely implemented consists of layers of sand and gravel in a concrete or plastic container approximately 0.9 meters tall and 0.3 meters square.

6. 6. Straining

Pouring water through a clean cotton cloth will remove a certain amount of the suspended solids or turbidity. Special monofila- ment filter cloths have been developed for use in areas where Guinea- worm disease is prevalent. The cloths filter out the copepods which are intermediate hosts for the Guinea-worm larvae

7. 7. Storage and Settlement

It is preferable, especially when using treatment options that do not leave residual protection, to store treated water in plastic, ceramic, or metal containers.

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Household Water Treatment - Summary of Methods

Summary and Analysis of Household Water Treatment and Safe Storage methods

Household water treatment systems can be evaluated based on their performance in removing pathogenic organisms, their advantages and their limitations.Together with a microbiological water quality analysis, an analysis of local environmental and economic factors together with a monitoring and evaluation program, the choice of technology and process becomes easier. Note that most of these household water treatment systems do not remove chemical contaminants from drinking water.

The World Health Organization has developed a Toolkit for Monitoring and Evaluating Household Water Treatment (WHO/UNICEF, 2012) that gives details on how to carry out such analyses and it includes a decision tree for selecting good indicators to use in given environments. It is available on the CD

The most widely used household treatment systems

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Household Water Treatment - Summary

The various methods available for the treatment of water to improve its quality and/or remove pathogenic microorganisms are quite varied, ranging from simple boiling of the water to household level solar distillation units. The choice of which to use in a given situation can become quite complex and has to take into account many factors - not just the efficacy of the particular method.

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Advanced Treatment Technologies - Drinking Water

Overview Conventional treatment technologies for raw drinking water have historically been focussed on: i) Removal of suspended material. ii) Disinfection of waterborne pathogens The underlying rationale is that coventional filtration and disinfection methods will provide adequate protection against exposures to harmful particulates, especially metals and pathogens. Since the end of the second world war, the expansion of industry, manufacturing, service industry, meat and food production & processing, and health care has increased releases of waste waters into the environment, including releases of organic pesticides, pharmaceuticals, personal care products, radiolabelled compounds, nanomaterials, and animal and human blood and biotechnology products. There is a growing awareness that a wide variety of compounds occur in raw water supplies used for drinking water. The human health and ecological implications for many of these compounds remains unknown, of particular environmental concern is the confirmation of detectable quantities of pesticides, flame retardents, pharmaceuticals and personal care products and nanomaterials in water and sediments sampled from lakes rivers and oceans and in tissues of fish other aquatic organisms and marine life, including mammals and seabirds, and in some human tissues. Some of those contaminants are persistent organic compounds of comparatively low water solubilities, whereas others dissolve more easily in water and can be biologically active in even small exposures, raising concerns whether conventional water treatment processes are capable of removing all potentially harmful contaminants. Environmental testing methods involving analytical chemistry techniques and modified enivironmental monitoring protocols are currently not available for many emerging biological chemical and physical contaminants of concern (e.g., antiviral drugs, immunosuppressants, biotechnology products, nanomaterials, viruses and parasites).

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New Treatment Options to Remove Emerging Contaminants of Concern Improved analytical techniques together with a greater understanding have now shown that undesirable by-products can be generated from some of the most common treatment options such as chlorine. Research over the last two decades has devoted much focus into developing new treatment options aimed at improving the treatment and hence the quality of drinking water through enhanced removal of emerging chemicals of concern, the reduction of undesirable disinfection byproducts and better methods for the removal or inactivation of chlorine resistant pathogens. The efforts directed at improving water treatment are underscored by a greater global awareness that high quality raw drinking water supplies are diminishing either through unsustainable withdrawals, degradation from contaminants or changes in climatic patterns that threaten the natural recharge mechanisms for these resources, as presented in Course 1 on Water and Health.

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Advanced Technologies

Advanced treatment technologies have focussed primarily on the use of: Ozone Peroxide UV irradiation Advanced oxidative processes Electron beam Cavitation Membrane filtration

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Ozone (O3)

Ozonation is used most often in the treatment of municipal drinking water supplies The most common applications of ozone are for decreasing problems of: odour; trihalomethane disinfection by-products; colour; cryptosporidium oocysts; Mn and Fe.

Additional applications for ozone Ozone is a strong biocide against biofilms. Ozone can remove exopolysaccharides in the biofilm matrix. The survival rate for biofilm bacteria has been shown to be reduced to < 1% when exposed to 1 mg O3 /L for a duration of 5 min.

Ozone can also slow down the fouling of membranes. Ozone has also been used to reduce the concentrations of natural organic matter (precursors of THMs) and therefore decrease the overall potential for the production of DBPs. Ozone can also increase the assailable organic compounds produced by ozonation of NOM and enhance the biological activity in a subsequent activated carbon filtration step. Ozone has been found to be a powerful oxidant capable of degrading and inactivating: various pesticides; PPCPs; endocrine disrupting compounds (EDCs).

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Ozone in Combination with Other Treatments

Ozone has been coupled with other treatment options to improve the overall effectiveness of the process. For example,

O3 + UV (decreased the potential formation of brominated DBPs)

O3 + cavitation (increased disinfection)

O3 + chlorine (increased disinfection)

O3 + Peroxide + UV (increased oxidation of TrOCs)

Supplemental Reading The supplemental reading authored by Balch and Metcalfe (2006) provides additional information regarding the use of ozonation and reverse osmosis treatment for the removal of micro-contaminants from domestic wastewater for the purpose of water recycling. The reading materials are discussed in more depth later on in this course under ozone & membranes. Many of the operational principles for these techniques are similar whether applied to drinking water or wastewater.

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Decentralized Treatment - On-Site and Decentralized Wastewater Treatment

Definition Decentralized wastewater treatment (DWWT) systems are different from conventional centralized systems in the following ways:

1. Wastewater is treated either on-site or near the site of its generation.

2. DWWT systems are designed to service smaller localized household, typically less than 20 dwellings.

3. A common feature is the disposal of treated effluent to soil absorption fields rather than to surface waters.

With decentralized treatment, wastewater is treated either i) on-site or ii) through a cluster system. On-site treatment generally refers to the treatment of the waste generated on an individual property and the disposal of the treated effluent on-site. Cluster systems collect and treat the wastewater generated from generally between 2 to 10 household properties.

Centralized Decentralized

Centratlized treatment and distribution Decetralized tratement and distribution

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On-Site Systems The choice of which on-site technology to use can vary greatly and is often influenced by the following:

1. The public’s familiarity and perception.

2. Financial resources

3. Existing municipal infrastructure

4. Regulatory requirements

5. Public policy

6. Logistical challenges

7. Others

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On-Site Systems - Eco-san Technologies Three fundamental Principals: 1. To prevent pollution rather than attempting to control it after pollution has occurred 2. Sanitize the urine and faeces 3. Develop safe products for agriculture from the treated excreta

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On-Site Systems - Eco-san Technologies Urine Contains relatively few disease causing organisms in comparison to faeces. Storage of undiluted urine for approximately one month will render it safe for use in agriculture. The undiluted urine produces a harsh environment in which most pathogens can not survive.

Swedish storage guidelines

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On-Site Systems - Eco-san Technologies Faeces Faeces contain the greatest and most harmful pathogens from human excreta. Ecosan treatment provides barriers between faeces, flies, fields and fluids. This is generally done in two stages, the first stage to provide some preliminary treatment to make it more easily handled for more through secondary treatment. Primary Processing The purpose is to reduce weight in order to facilitate storage, transport and further (secondary) treatment. Primary processing takes place in the chambers below the toilet.

Secondary Processing The purpose is to make the faeces safe enough to return to the soil. Secondary processing can take place on-site or off-site. It generally includes further treatment by high temperature composting or pH increase by addition of urea, lime as well as longer storage. If complete sterilization is desired, then this could be accomplished by carbonization or incineration.

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On-Site Systems - Eco-san Technologies There are 3 main eco-san systems that basically accomplish the same results 1.Dehydrating systems 2.Composting systems 3.Soil Composting systems

Dehydrating System Urine is collected separately to keep faeces dry and the volume small. Faeces are isolated and held in this chamber for 6 to 12 months. Ash, lime or urea is added after each defecation to lower moisture content and increase pH to 9 or higher. The primarily processed matter is then removed and undergoes one of the four secondary processes.

Composting System Human faeces and in some cases urine are added to the storage chamber along with organic household and garden refuse and bulking agents (straw, peat moss, wood shavings, etc.). A variety of organisms break down the material into humus. Temperature, airflow, carbon content are all important factors controlling the composting. After 6-8 months the material is removed and undergoes high temperature composting as the secondary process.

Soil Composting System Faeces, and in some cases faeces + urine are added to the chamber with a liberal amount of soil. Soil is added after each defecation along with wood ash. Most pathogenic bacteria are destroyed in 3-4 months. Composted material is then removed to undergo one of the four secondary processes

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On-Site Systems - Eco-san Technologies Common features of an Eco-san system

There are a variety of organisations developing and promoting eco-san systems; for more information a list of references has been provided.

Additonal information is provided in PDFs on eco-san systems, guidance for Eco-San and case studies in the Resources folder for this course.

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On-site and Cluster Systems - Flush Away Approach

a) On-site systems

Septic tank and drain field

and b) Cluster systems

Photo of homes connected to cluster system

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On-Site Systems The most commonly known on-site system is the typical septic system designed for single residences. Septic systems consist of a septic tank designed to provide primary treatment through the removal of settleable and floating constituents. The primary treated effluent is released into a subsurface tiled drain bed. Typical septic tank and drainfield

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Cluster Systems Cluster systems are generally used to collect wastewater from a small cluster of homes. Waste is transported to the site of treatment via alternative sewers. The transported wastewater is treated at either a conventional treatment system or receives pre- treatment prior to soil absorption of the pretreated effluent.

There can be many reasons to install a cluster systems. Cluster systems are most often installed because the land size of individual properties is not large enough to accommodate an on-site system, and because construction of a conventional treatment plant is not feasible given the associated financial costs.

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Alternative Sewer Systems Systems that typically have small diameter plastic collection pipes (2-4 in diameter). Three typical forms of alternative sewers systems in use are described below.

a) Small-diameter gravity (SDG) systems Household waste is first deposited to a septic (interceptor) tank on site.The septic tank removes settleable and floatable solids before wastewater enters the small diameter collection pipe. This will reduces the potential for sewer clogging and minimizes the need for high flow velocities to keep solids suspended

b) Vacuum sewers A vacuum is created by a centralized vacuum source. Sewage is first deposited into a small holding tank at the home. Once the holding tank is full, a sensor opens a pneumatic valve and wastewater is sucked into the line and deposited at a common collection point. Generally there is no need to use a vacuum toilet.

c) Pressure sewers Line pressure is created by pumping wastewater from the small holding tank at the house into the collection line. There are generally two styles of pumping systems associated that could be used: i) Grinder pump: to ensure all solids are ground into smaller components ii) Septic pump that pumps effluents out of septic tank while solids are retained in the tank

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Alternative Sewer Lines Connecting Individual Dwellings to a Decentralized Cluster System

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Pre-treatment Options Pre-treatment can occur before the wastewater from the initial holding tank is transferred to the sewer pipes. Additional treatment often occurs in a cluster system between the point of common collection and disposal to soil. This additional treatment step is often added in order to improve the quality of the wastewater in order to limit the impact to the environment and to decrease the size of the absorption field. The additional treatment is particularly important in areas where either the water table is high or there is a significant risk of contamination to groundwater or surface waters.

Pre-treatment before release to soil for absorption A variety of pre-treatment options exist for improving the quality of the wastewater prior to disposal to soil. The choice depends on the soil conditions and the level of pre-treatment desired. Options for pre-treatment include the following:

Sand filters (open, buried, recirculating)

Lagoons (facultative, aerated, anaerobic)

Constructed wetlands

Trickling filters

Membrane technologies

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Final Disposal Options Decentralized systems typically dispose of the primary treated wastewater to soil absorption systems rather than release it to surface waters. There are several options for disposal of primary treated wasye water to soils, including the following:

Sandfilters (open, buried, recirculating)

Spray and drip irrigation

Mounded systems

Evaporation systems

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Constructed Wetlands - Wastewater Treatment What are Treatment Wetlands? Treatment wetlands come in many sizes and shapes. Some of the more common designs include the following:

Free Surface Water (FSW) Cells

Horizontal Subsurface Flow (HSSF) Cells

Vertical Subsurface Flow (VSSF) Cells

Floating Islands

Hybrid Systems

Natural Treatment Wetlands

What are the primary purposes of treatment wetlands? The primary purpose is for the treatment of domestic sewage involving removal of the following,

waterborne pathogens ammonia and other nitrogen products phosphorus turbidity and associated compounds biological oxygen demand chemical oxygen demand odour

Treatment wetlands can be used to treat a variety of other unwanted constituents related to agriculture, industry and mining.

Wetlands as an Alternative Treatment Technology Wetlands were once considered to be primarily in the domain of decentralized wastewater treatment systems. In many cases, wetlands are still used for decentralized systems, however, there is a trend to recognize that larger wetland systems can now be used to treat the waste of larger communities than once historically thought.

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Waste Water Treatment Strategies Where do wetlands fit into treatment strategies? Constructed wetlands can be used as stand alone units or in combination with other treatment options. For example, it is common to pre-treat domestic sewage prior to discharge into a wetland and often wetland effluents can be further treated by discharge to a drain field.

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Constructed Wetlands for Wastewater Treatment Risk assessment and environmental monitoring of potential impacts from contaminants (biological chemical and physical) in wastewaters on:

ground water supply human health water quality air quality soil quality ecosystem health - including wildlife, animals, birds, fish, insects, and plants, f

These should be addressed in the design, operational and post-operational phases of a constructed wetland.

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How do Wetlands Work Treatment wetlands utilize physical, chemical and biological processes naturally found in the environment. Treatment wetlands are often designed to enhance one or more of these natural processes. The greater the complexity of the wastewater constituents, the greater the need for hybrid wetland systems.

Key operational parameters that govern the performance of any constructed wetland include: a) Wetland size measured in both surface area and depth b) Flow volumes and flow rates entering the wetland c) Loading rates of effluent entering the wetland

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WASTEWATER CONSTITUENT REMOVAL MECHANISM Key processes that contribute to pollution removal include the following, • Microbial mediated processes • Physical processes (filtration, volatilization, sorption / sedimentation / vertical diffusion in soils& sed / accretion, photodegradation) • Plant uptake / transpiration flux • Seasonal cycles • Chemical network processes

WASTEWATER CONSTITUENT REMOVAL MECHANISM

• sedimentation Suspended Solids • filtration

• aerobic microbial degradation Soluble Organics • anaerobic microbial degradation

• ammonification followed by microbial nitrification Soluble Organics Nitrogen • denitrification

• plant uptake

• matrix absorption • ammonia volatilization

• matrix sorption Phosphorus • plant uptake

• adsorption and cation exhange

Metals • complexation • precipitation • plant uptake • microbial oxidation / reductionPathogens

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• sedimentation

• filtration

• natural die-off

• predation

• UV irradiation

• exertion of antibiotics from roots of macrophytes

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Biological Processes Within a Wetland Many of the biological processes within a wetland are mediated by micoorganisms, primarily bacteria. Bacterial are instrumental in key processes such as the degradation and solubilisation of organic matter, ammonification, nitrification, denitrification, precipitation of ionic compounds, and others. Wetland plants also play a role, but to a lesser extent. Uptake into plants, including symbiotic support for microbial populations.

Major Microbial Groupings participating in the cycling and removal of nutrients trace metals and other elements and in the breakdown of organic compounds in constructed wetlands include the following, Bacteria Fungi Actinomycetes Protozoa

Microbial Mediated Processes involved in the cycling transformation of trace metals and elements and breakdown of organic compounds.

nitrate reductions – denitrification (Nitrospira)

ammonia oxidations (Nitrosomonas)

sulfate reducers (Desulfovibrio)

iron reducers (Geobacter)

degrade resistant substrates (Streptomyces)

falcultative aerobes (Bacillus)

methanogenesis (Methanobacteria)

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Physical Processes A number of physical processes are responsible for the removal of unwanted wastewater constituents. Some of the more common processes include the following:

Filtration and sedimentation

Adsorption, absorption

Accretion

Volatilization

Photo-degradation (UV irradiation)

Volatilization Wetlands breath Gas exchange occurs at the interfaces of soil, water, air. Plant interactions are particularly important to HSSF wetland.

Major gases include:

Carbon dioxide (CO2)*

Nitrous oxide (N2O)* – an stable intermediate in denitrification

Methane (CH4)*

Ammonia (NH3)

Hydrogen Sulfide (H2S)

* indicates a Greenhouse gas.

Photodegradation Sunlight can degrade or convert many waterborne substances. Many microorganisms, including pathogenic bacteria, and viruses can be killed by ultraviolet radiation in sufficent intensity and duration of exposure. The process of photodegradation often involves photooxidation which results from the development of free radical molecules.

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Plant uptake - Evapotranspiration fluxes Uptake rates by plants depend on plant species, time of year (e.g., growth phase), compound being absorbed. Some metals are absorbed and translocated – location depends on metal and plant species. Some organic molecules are also translocated, but once again depends on compound and plant species. Typically, plant uptake does not count for a significant portion of metal or nutrient removal.

Seasonal Cycles Seasonal changes are major influencers on biological and physical removal processes.

Temperature (affects metabolism) Plant growth phase (growing or senescing) precipitation (dilution of wastewater, increased flows, lower hydraulic residency times)

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Environmental Fate and Transport - Chemical Transformation and Degradation (Breakdown) of Waste Water Constituents Several wetland removal processes involve more than one reaction and more than one chemical species. For example,

Organic N ---> ammonia N ---> Oxidized N ---> gaseous N2

Trichloroethylene ----> dichloroethylene ----> vinyl chloride -----> CO2 + - H2O + Cl

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Environmental Fate and Transport - Carbon

Carbon cycle in wetlands. Source: Kadlec & Wallace 2009

DC = dissolved carbon

PC = particulate carbon

DIC = dissolved inorganic carbon

DOC = dissolved organic carbon

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Process Networks Nitrogen Interactions

Nitrogen cycle. Source: Kadlec & Wallace 2009

Fixation: atmospheric Nitrogen into plant or animal tissues

Ammonificaton: conversion of organic nitrogen to ammonia by decomposers

Nitrification: oxidation of ammonia to nitrate or nitrite (addition of oxygen)

Denitrification: reduction of nitrate to nitrogen gas (removal of oxygen)

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Kadlec & Wallace 2009

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Process Networks Phosphorus Interactions

PP = particulate phosphorus

PO4-P = orthophosphate

PH3 = phosphine

DPO = dissolved organic phosphorus

Image:- phosphorous cycle. Source: Kadlec & Wallace 2009

Forms of Phosphorus in the Wetland Environment Total Phosphorus (TP): all forms of phosphorus Dissolved Phosphorus (filtered 0.45 µm)

Orthophosphate (PO4-P)

condensed phosphates (pyro-phosphate, meta-phosphate, poly-phosphates)

other forms of phosphorus that are convertible to PO4-P upon oxidative digestion such as dissolved organic phosphate (DOP)

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Phosphorus is contained in the structure of soil and suspended particles or biomass such as,

adsorbed to inorganic minerals or contained in biomass.

usually needs some form of digestion or acid extraction to remove and analyse P.

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Process Networks Sulfur Interactions Importance of Sulfur in the Wetland Environment • sulfur in the form of sulfide (e.g., sulfate reduction processes) is of special importance for its influence on wetland performance and in particular its ability of sediments to immobilize trace elements • anaerobic bioreactors is a developing science in the use of wetland technologies for the treatment of mining wastes Examples:

2- + S + 2Cu ---> Cu2S (insoluble precipitate)

S2- + Cd2+ ---> CdS (insoluble precipitate)

Reference: Kadlec & Wallace 2009

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Oxidation – Reduction Potential (REDOX)

A chemical reaction in which electrons are transferred from a donor compound to an acceptor compound.

For example, Donor compound: looses electrons and increases its oxidative state (becoming oxidized)

Acceptor compound: receives electrons (reduces its oxidative state) (becoming reduced)

Fe3+ + e-1 = Fe2+ (Fe3+ is reduced to Fe2+) Oxygen is one of the dominant oxidizers (can accept electrons) in wetland systems

3- 2- However, once oxygen is depleted, then NO , MnO2, FeOOH, SO4 and CO2 can serve as electron acceptors (becoming reduced)

Oxidation / Reduction Potential (ORP or the Redox potential)

An environment with a redox potential of -400 mV is strongly reduced (typically anaerobic conditions would prevail); whereas an environment with a redox potential of +700 mV is well oxidized.

Oxygen Transfer and Plant Interactions

Oxygen transfer by Phragmites (Brix & Schierup 1990, Pergamon Press; Armstrong & Armstrong 1990, Pergamon Press; Brix 1986, IWA Publishing)

Plants affect the redox potential around the roots and thus influence Nitrogen dynamics (Kadlec & Redox conditions in wetlands (Kadlec & Wallace 2008) Wallace 2009)

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Redox conditions around plant roots and aerobic/anaerobic zomes

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Acidity and Alkalinity in Wetlands Healthy aquatic systems function within only a narrow pH range near neutrality (6.5 to 7.5); the pH is a measurement of the hydrogen ion concentration (H+) and of acidity.

+ The pH influences many chemical reactions (e.g., the ammonium ion NH4 converts to ammonia NH3 (gas) at pH >7). The pH will affect the solubility of many metals and metalloids (has application for sequestering of metals from mining wastes). The simplistic definition of alkalinity is the opposite of acidity in a lake system. Alkalinity is a measurement of the hydroxyl ion concentration and of the ability to neutralize inputs of an acid (buffering capacity).

- 2- - The greatest buffering capacity in aquatic systems comes from HCO3 , CO3 , OH , (bicarbonate, carbonate and hydroxyl ions)

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Sorption, Sedimentation, Accretion

Conservative elements (e.g., P, metals, metalloids) do not volatilize to atmosphere

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Accretion Kadlec & Wallace 2009

In the aquatic environment there are many different sorption or uptake sites for conservative elements. Iron & aluminum sorption sites are common in sediment and calcium & magnesium sites are plentiful in plant tissues (Fe, Al, Mn are oxide formers). Influential factors on adsorption and absorption processes involve equilibrium dynamics, redox, temp, microbial, and others.

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Constructed Wetlands - Different Forms Constructed wetlands can come in many different forms. Each form is often designed for specific treatment attributes. Some of the more common forms of wetland (variants) are presented as follows.

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Free Water Surface Wetland (FWS)

FWS diagram

Sunlight (UV irradiation): influences microorganisms, photolytic compounds Limited microbial and chemical reactions occurs. Volatilization of some compounds (e.g., ammonia) occurs.

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Floating Island

Floating island

Biofilm forms on roots (e.g., microbial degradation, entrapment of particles).

Limited removal of nutrients and metals and soluble organics (e.g., lower cBOD) occurs.

Removal rates are influenced by the mass of root mats and water flow rates.

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Horizontal Subsurface Flow (HSSF)

HSSF diagram

Sediments are poorly oxygenated making it not good at nitrification, but good for denitrification. It can be good at filtration and entrapment of particles.

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Vertical Subsurface Flow

VSSF

Ammonification is microbially mediated (heterotrophs) and can occur both aerobically or anaerobically, but nitrification requires oxygen. VSSF are good for nitrification, but poor for denitrification.

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Forced Bed Aeration

Water input is at top of wetland with a bottom draw off. The air hose lies on bottom of the wetland and air is bubbled up to the surface, so that the wetland is well oxygenated. Advantage: possibly the best wetland type for removal of cBOD, but also very good for nitrification. Disadvantage: requires pumps and electricity = extra cost and maintenance.

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Horizontal Subsurface Flow with steel slag

Diagram HSSF with slag

Wetland media replacement with compounds that are good at removing targeted compounds. For example, steel slag is high in oxides (like Al2O3, MnO, SiO2) that act as binding sites for phosphorus. Other materials like aluminum oxide could also be used. Disadvantages: unwanted problems can occur such as, high pH, release of undesirable and harmful metals – Vanadium and others.

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Successive alkalinity-producing systems (SAPS)

SAPS

The organic layer can act as filter to remove some precipitated metals. It can also be used to change Fe3+ (colloidal form) to Fe2+ soluble ionic form. Limestone removes acidity and with some metals like Aluminum, a higher pH means the metals precipitate out of solution. Other metals like soluble ionic iron (Fe2+) require treatment with an oxidation pond at outflow of SAPS.

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Biochemical Reactor (BCR)

The BCRs facilitate micobially mediated processes, usually involving sulfur reducing bacteria The presence of organic matter fuels sulfate reduction.

2- + e.g., SO4 + 2CH2O + 2H ---> H2S + 2H2O + 2CO2

2- - + - and SO4 + 2CH2O ---> HS + H + 2HCO3

When Fe2+ combines with HS- it produces FeS (very insoluble).

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Hybridized Wetland Systems

Researchers and wetland designers and operators are now starting to look more to the use of hybridized systems.

Treatment efficiencies may be improved greatly and can be customized to meet specific treatment objectives for complex or varied waste water types.

The following figures show how some hybridized systems may be assembled.

VSSF + HSSF Hybrid

Nitrification (VSSF) + denitrification (HSSF)

VSSF + HSSF + Steel Slag Hybrid

nitrification + denitrification + phosphorus removal

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SAPS + BCR Hybrid

SAPS + BCR

Removal of acidic waters plus removal of iron in form of insoluble FeS.

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Case Studies Case studies provide information about real world wetland installations. 1. Municipal wastewater (hybrid system) 2. Landfill lechate (hybrid system) 3. Airport (forced bed aeration) 4. Storm water (free water surface wetland)

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Municipal wastewater (hybrid system)

CONSTRUCTED WETLANDS TREATMENT PLANT FOR THE TREATMENT OF DICOMANO (FLORENCE PROVINCE) MUNICIPAL WASTEWATER

Total Area = 6080 m2 (0.61 ha) HSSF + VSSF + HSSF + FWS Person Equivalents = 3500

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Landfill Leachate (hybrid system)

MULTI-STAGE CONSTRUCTED WETLANDS SYSTEM FOR LANDIFILL LEACHATE TREATMENT: THE “TAGLIETTO” LANDIFILLS PROJECT

leachate line

Each line consists of:

1. SFS-v (e.g.,VSSF) stage with a superficial peat layer to ensure odor remove, leachate pre-oxidation and metals precipitation. 2. Two stage SFS-v in series for nitrification (add O2) and organic load removal (e.g., BOD). 3. Two stage SFS-h (e.g., HSSF) in series for denitrification (remove O2) and removal of persistent organic compounds. 4. A stage FWS to complete the denitrification and the organic compounds removal and to enhance the evapotranspiration. 5. A final detention pond to accumulate the effluent and enhance the evapotranspiration. The system is designed to ensure high removal rates (>90-95% COD and NH3), and a good reduction of the effluent due to evapotranspiration.

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Airport (forced bed aeration)

Buffalo Niagara International Airport

Higgins et al. 2010 (design and installation) Wallace & Liner 2011 (evaluation)

Case Study: Treatment of glycol contaminated aircraft deicing fluids (ADFs)

Challenge

Complexity of runoff: Treatment volume = 4600 m3/d • ethylene glycol (200,000 mg/L BOD) • Propylene glycol (320,000 mg/L BOD) • snow and melt water (20,000 mg/L BOD) • many other constituents: • fuel and lubricant residuals • oils and greases • sewage leaks • washing products

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• fertilizers & decaying vegetation

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Airport (forced bed aeration) Approach: Forced Bed Aeration

figure - diagram and photo of FBA

A forced bed aeration treatment system generally would occupy 1/10 the size of an equivalent CW. **define CW** The treatment is generally 5-30x more efficient and typically uses 1/10 the energy of mechanical WWTPs. A FBA system can handle much greater flow volumes than CW (up to thousands m3/d). The anticipated life of the FBA system is 50 to 100 years.

Solution: Construction of 4 cells (FBA) with a cell size of 51 X 91 m. The areal coverage is 1.9 ha.

The treatment capacity is 4600 m3/d, and a BOD removal rate of approximately 4500 kg/d. The BOD removal is estimated to be equivalent to a city of 50000 people.

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3 photos of FBA at Buffalo Airport

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Airport (forced bed aeration) Evaluation (Wallace & Liner, 2011) By 2009 - 2010 full scale operation had been achieved. Problems observed included the following,

nutrient-limited conditions had developed; the bacterial community was in poor health. foaming associated with the formation of polysaccharide slimes.

In 2010 / 2011 a nutrient addition scheme was implemented. The following observations were made:

BOD5 removal > 20,000 kg/d

BOD5 5X greater than original design

avg BOD5 removal rates 98.3%

BOD5 of effluent remained constant despite high inputs.

BOD5 removal was 5X greater than design specifications.

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Storm Water Treatment (free water surface wetland) Shepard Wetland in Calgary, Alberta is the largest constructed wetland in Canada.

The areal size is 1 square mile (260 ha) when full and 0.6 square miles when at normal level. The purpose of the constructed wetland is twofold: i) short-term storm water storage; and ii) treatment wetland. The storage capacity is 6.24 million cubic metres.

The maximum inflow rate is 44 m3/s and the maximum discharge rate is 6.5 m3/s.

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Storm Water Treatment (free water surface wetland) Shepard Wetland, Calgary, AB Goal: To treat stormwater before it enters the Bow River. Calgary wanted to expand on east side of river (approx 24 km2), but existing stormwater discharges emptied into the Western Irrigation Ditch used to irrigate crop land. City did not want to degrade water quality of either the ditch or the river. The first two cells are for sediment retention, last five cells are for treatment.

Shepard Wetland, Calgary, AB

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Dagram Shepard wetland

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Conventional Treatment Technologies - Wastewater

Treatment Stages within Conventional Wastewater Treatment

Conventional water treatment

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Activated Sludge Treatment Process

An overview of the treatment processes that utilize an activated sludge treatment process.

Diagram Activated Sludge Treatment Process

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Activated Sludge Wastewater Treatment Plant Providing Secondary Treatment.

A schematic of a typical Activated Sludge Wastewater Treatment Plant providing Secondary treatment.

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Trickle Filters • most WWTPs utilize an activated sludge process • some utilize a trickle filter process where primary effluent is sprayed over crushed stone where the biofilm provides biological treatment of the effluent

Trickle filters photo and diagram

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Pre-Treatment Waste Water Pre-Treatment of Raw Sewage • The raw sewage entering the waste treatment facility will often contain large pieces of debris that could damage or plug the facilities infrastructure. • Screens separate the larger material out of the waste stream. • Grit chambers also remove inert grit and stones. • Comminutor shred the solids into smaller sizes in preparation for treatment. • Flow equalization tanks balance out the flow of waste which is often uneven.

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Primary Treatment The primary clarifier removes remaining light organic material by allowing the solids to settle to the bottom to form sludge. The sludge is removed from the primary treatment tank with mechanical scrapers and pumps. Grease, oil, and other floating substances rise to the top, where they are removed by surface skimming equipment. The remaining effluent is transferred to the aeration tank for secondary treatment via biological, chemical and physical processes.

Photo of a primary clarifier.

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Secondary Treatment: Aeration Tank Primary effluent contains bacteria, colloidal solids and solubilised organic compounds. The primary effluent is vigorously aerated to facilitate microbial growth and digestion of organic constituents. The mass of the microbial population grows and there is a constant cycle of new bacteria and dead and dying bacteria that add to this mass. Bacteria and undigested organic matter begin to clump together into larger particle sizes that will be allowed to settle out of solution in the secondary clarifier.

Aeration tank – notice the vigorous aeration occurring in the tank closes to the top of this photo.

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Secondary Treatment: Secondary Clarifier The effluent, or mixed liquor from the aeration tank contains a mixture of bacteria (living and dead), carrier water and organic compounds (solubilised and particulate). The lack of flow or turbulence in the clarifier allows the particulates and effluent (liquor) to separate. The settled material is called activated sludge since it contains living bacteria. A portion of the activated sludge is returned to the aeration tank to “spike” the incoming primary effluent with the bacteria. The clarified secondary effluent is often disinfected at this point.

Diagram secondary treatment

This diagram illustrates the inflow of primary effluent into the aeration tank and the removal of activated sludge (returned or wasted) from the secondary clarifier.

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Tertiary Treatment Secondary treatment has the potential to remove over 85% of the BOD, suspended solids and nearly all pathogens. However, regulatory requirements may require additional treatment. Phosphorous and nitrogen compounds have often been common wastewater constituents for which additional treatment is desired due to the negative impacts they can have on the receiving environments.

Tertiary Treatment: Filtration Secondary effluent exiting the secondary clarifier can still contain suspended material even after the settling period and removal of the activated sludge. Effluents are often filtered before release to the environment, or before their transfer to tertiary treatment processes. Filtration is often accomplished via sand filters, however, there are a variety of filter designs that could be used. The intent is to produce a low turbidity effluent that is now more stable since the majority of the biological organisms have been removed.

Tertiary Treatment: Carbon Adsorption Biological treatment of municipal wastes targets easily digested organic materials. Not all wastewater constituents are easily digested microbally. Some refractory compounds remaining in secondary effluents can be removed by adsorption onto activated carbon. Tertiary Treatment: Phosphorus Removal Phosphorus is considered an essential nutrient for plant growth an often the nutrient that is in limited supply within natural waters. Addition of phosphorus to natural waters from wastewater effluents can cause eutrophication and degradation of the ecosystem. Phosphorus removal in most conventional treatment plants is accomplished through the addition of metal salts such as ferric chloride or alum. Phosphorus will react with these additives to create a precipitate that falls out of solution via gravitational forces once the effluent is moved to a clarifier. Tertiary Treatment: Nitrogen Removal Nitrogen can be removed from the system through either biological or chemical processes. Microorganisms are involved in the conversion of organic nitrogen into nitrogen dioxide gas

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through the processes of ammonification, nitrification and denitrification. Chemical processes involve raising the pH to convert the ammonium ion into the more volatile ammonia which can be stripped with aeration.

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Sludge Digestion Sludge is further digested in a separate process. This digestion can take place in the lack of oxygen (anaerobic) or with oxygen (aerobic). Anaerobic digestion is the most common method used by WWTPs since it creates considerably less biomass than what is produced via aerobic digestion.

Three Goals of Anaerobic Sludge Digestion 1. To reduce the volume of biosolids. 2. To stabilize the remaining biosolids. 3. To capture and utilize methane (biogas).

Anaerobic Sludge Digestion Sludge is moved to large digesting tanks. The environment is kept anaerobic and is heated to approx 37°C to encourage the growth of anaerobic bacteria. Different groups of bacteria are present, with each group feeding on a different substrate (e.g., food). The anaerobic process includes the following four basic steps: 1. Hydrolysis: large polymers are degraded by enzymes 2. Fermentation: acetate is the main end product from acidogenic fermentation. Volatile fatty acids are produced along with CO2 and hydrogen 3. Acetogenesis: volatile acids are metabolized to acetate and hydrogen 4. Methanogenesis: formaldehyde, acetate, CO2 and hydrogen are converted to methane and H2O

Aerobic Sludge Digestion More commonly used in small communities. Sludge is aerated in an open tank. The same processes are operative in aerobic sludge digesters as in aeration tanks used for effluent treatment. Approximately 30% reduction of suspended solids can be expected over a 20 day treatment period. Power consumption from aeration is an added expense that must be considered.

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Resulting biosolids can be suitable for agricultural applications.

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Cost-Risk-Benefit Analysis of Primary Secondary and Tertiary Waste Water Treatment

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Waste Water - Advanced Treatment Technologies

Conventional treatment Conventional treatment technologies for wastewater have historically been focussed on:

Primary treatment: Removal of large course material & grit.

Secondary treatment: Reduction of BOD and settable solids + disinfection.

Tertiary treatment: Reduction of other unwanted constituents (P, N).

Tertiary treatment is often designed to provide additional removal of phosphorus, nitrogen, BOD/COD

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Need for Advanced Treatment Since the end of the second world war, there has been a rapid development in a variety of synthetic chemicals used in industry, manufacturing, service industries, food production & processing and health care There is a growing awareness that many of these compounds may not be adequately treated with conventional wastewater treatment designs. It is known that some of the compounds more resistant to conventional treatment methods may be released to the environment during the discharge of treated effluent. The human health implications for many of these compounds remains unknown, especially pharmaceuticals and personal care products which have been engineered to be biologically active at very low exposure levels.

How are advanced treatment processes different from conventional treatment? Advanced treatment process are designed to either degrade or remove selected recalcitrant compounds of interest that are not degraded or removed with conventional processes. Degradation of the recalcitrant compounds does not necessary mean mineralization. Advanced treatment processes often include the use of different combinations of treatment processes at different stages in the treatment train. Advance treatment processes are generally custom designed to address the complexities of specific waste streams and regulatory requirements.

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Advanced Treatment Options Advanced treatment options can be grouped into four basic areas: 1.Degradation of the compound Oxidation 2.Membrane separation Ultra-, nano-filtration, reverse osmosis 3.Clean-up method pH adjustment, use of GAC, etc. 4. Soil-Aquifer Treatment A mixture of microbial, ion exchange, adsorption, etc.

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Oxidation - AOPs Oxidation is often accomplished by either ozone, peroxide, or UV irradiation. Advanced Oxidative Processes (AOP) involves the use of two or more oxidants at one time. In many cases (not all) the combined use of two or more of the above oxidants will enhance oxidation more than can be achieved when using only one oxidant. In some cases a catalyst such as titanium dioxide coated on aluminum (TiO2 and Al2O3) is used to enhance the formation of the hydroxyl radical.

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Comparison of UV, O3, H2O2

Breakdown of organic chemical contaminants

\Comparison of UV ozone peroxide graphs

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Membrane Separation

Solute parameters: Molecular weight (W) Molecular size (length and width) Acid disassociation constant (pKa) Hydrophobicity / hydrophilicity (log Kow) Diffusion coefficient (Dp)

Membrane properties: Molecular weight cut-off Pore size Surface charge (measured as zeta potential) Hydrophobicity / hydrophilicity (measured as contact angle) Surface morphology (measured as roughness)

Feed water composition: pH Ionic strength Hardness Presence of organic matter

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Sequencing of Treatment Processes The sequencing of advanced treatments depends on the objectives of the advanced treatment. Oxidation procedures can be added to either pre-treat the primary effluent to enhance microbial digestion or later in the train to oxidize TrOCs. Likewise, membrane filtration can be added at different stages in the process, either to remove TrOCs of secondary effluents or to enhance subsequent treatment methods such as UV irradiation or ozonation.

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Ozone Treatment of Secondary Effluents (Oneby et al. 2010)

Wastewater treatment ozone

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Example of Advance Wastewater Treatment

El Paso, TX, USA: Fred Hervey Water Reclamation Plant (c.f. Loeb et al. 2012) Secondary effluent from conventional treatment plant is further treated by:

Lime treatment

Recarbonation

Tertiary filtration

Granular activated carbon adsorption

Ozonation

Gwinnet County, GA, USA (c.f. Loeb et al. 2012) Secondary effluent from conventional treatment plant is further treated by: The tertiary treatment train of this plant includes:

Chemical clarification

Granular medium filtration

Pre-ozonation

Granular Activated Carbon

Post ozonation

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Membrane Filtration and Ozonation Clark County Water Reclamation District, Nevada, USA (c.f. Loeb et al., 2012) Used ozonation as a treatment option following membrane filtration of wastewater effluent for the following purposes: i) Enhanced phosphorus removal. ii) Improved removal of pathogenic bacteria and viruses. iii) Removal of PPCPs, EDCs and other micro-contaminants.

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Water Reclamation and Reuse

There is a growing awareness that high quality raw drinking water supplies are diminishing either through unsustainable withdrawals, degradation from contaminants or changes in climatic patterns that threaten the natural recharge mechanisms for these resources.

Polishing of Reclaimed Water The level of polishing or conditioning of reclaimed water depends on the intended use. Water reclaimed from wastewater effluent is used for a variety of wide ranging purposes. These purposes can range from the irrigation of non-agricultural lands, to use in cooling towers to high quality drinking water.

Many of the operational principles for these techniques are similar whether applied to drinking water or wastewater.

References: additional information regarding the use of ozonation and reverse osmosis treatment for the removal of micro-contaminants from domestic wastewater for the purpose of water recycling

Rahman et al 2010

Jasim et al 2006

Balch and Metcalfe

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References and Links on Drinking Water Treatment and Wastewater Treatment: Additional papers are provided in the Resources folder to this course and some have been included as hyperlinks in some Discussion slides.

A toolkit for monituide: A Participatory Approach for the Control of Diarrhoeal Disease. PHAST - SIDA-UNDP- WHP, 2000

oring and evaluating household water treatment and safe storage programmes - World Health Organization (On CD)

SAFE WATER FOR THE COMMUNITY A Guide for Establishing a Community-Based Safe Water System Program CDC 2006 (On CD)

CDC Booklet on Safe Water - Ceramic Filters

CDC Booklet on Safe Water - Chlorination

CDC Booklet on Safe Water - Sand Filters

CDC Booklet on Safe Water - Solar

CDC Booklet on Safe Water - Flocculation

CDC Handbook on Safe Water - Implementation

Scaling Up Household Water Treatment Among Low-Income Populations - World Health Organization 2008 (On CD)

Smart Disinfection Solutions, Netherland Water Partners

Soap Toilets and Taps, A Foundation for Healthy Children. How UNICEF supports water supply sanitation and hygiene. UNICEF (2009)

Community Approaches to Total Sanitation UNICEF (2009).

Sick Water? The Central Role of Wastewater Management in Sustainable Development UNEP UNHabitat (2010)

PHAST Step-by-Step G

Water Treatment and Pathogen Control. Process Efficiency in Achieving Safe Drinking Water. LeChevallier, M.W. and Kwok-Kueng, A. (2004).

Clearing the Waters. A focus on water quality solutions. Meena Palaniappan, Peter H. Gleick, Lucy Allen, Michael J. Cohen, Juliet Christian-Smith Courtney Smith, Editor: Nancy Ross. Copyright © 2010, United Nations Environment Programme

Guidance for the safe use of urine and faeces in Ecological Sanitation. Caroline Schönning and Thor Axel Stenström Swedish Institute for Infectious Disease Control (SMI) SEI 2004

Bibliography of Safe Water, Small Scale and Household Water Treatment (Microsoft Word Document)

Bibliography of Safe Water, Small Scale and Household Water Treatment (HTML Page)

Safe Use of Wastewater, Excreta and Greywater. Volume II. WHO 2006

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v. 1. Policy and regulatory aspects v. 2. Wastewater use in agriculture v. 3. Wastewater and excreta use in aquaculture — v. 4. Excreta and greywater use in agriculture. 1. Water supply. 2. Water supply - legislation. 3. Agriculture. 4. Aquaculture. 5. Sewage. 6. Wastewater treatment plants. 7. Guidelines. I. World Health Organization. II. Title: Safe use of wastewater, excreta and greywater. III. Title: Policy and regulatory aspects. IV. Title: Wastewater use in agriculture. V. Title: Wastewater and excreta use in aquaculture. VI. Title: Excreta and greywater use in agriculture

WHO Guidelines for Drinking Water Quality 4th Edition WHO 2011

Additional Resources and Links

Concerned Municipal Strategies (CMS) a program coordinated by the Municipal Development Partnership (MDP) and programme Solidarite (pS-Eau). there is a total of six guidance documents in this series.

Women in Europe for a Common Future (WECF) http://www.wecf.eu/english/water-sanitation/ (Internet Access Required)

Water and Sanitation in Developing Countries Training Tool EAWG http://www.eawag.ch/forschung/sandec/elearning/trainingtool/index_EN (Internet Access Required) UNESCO Institute for Water Education Ecological Sanitation - online course http://www.unesco-ihe.org/online- courses (Internet Access Required)

http://www.health.gov.bc.ca/protect/pdf/cs2ta-mod7.pdf (Internet Access Required)

Additional papers are provided in the Resources folder to this course and have been included as hyperlinks in some Discussion slides.

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Course 3 - Water and Wastewater Treatment

The intent of this modular series is to provide water professionals information regarding the solutions available for the protection of water resources as they relate to human health.

The information is focussed on the protection and treatment of raw drinking water supplies and the treatment of domestic wastewater to ensure that drinking water supplies do not become contaminated.

In this course the basic principles of water and wastewater treatment are presented, including household water treatment and water treatment and distribution for several dwellings, such as in a small community and municipal water and waster water systems. An introduction to the basics of source waer protection are also covered in this course. Also in this course aspects of education at both the level of the individual and community, along with treatment options ranging from simplistic to advanced will be discussed.

The topics addressed include:

An overview of treatment methods for drinking water and wastewater

Source water protection

Point of Use technology

Conventional drinking water treatment

Household Water Treatment

Advanced drinking water treatment

Decentralized wastewater treatment

Wetland technologies for wastewater treatment

Conventional wastewater treatment

Advanced wastewater treatment

Water and wastewater solutions are needed on multiple levels; solutions are needed at the level of the individual, the family, neighbour (small community), urban (periurban), local (Regional ) government, and national government. The acceptance and successful implementation of water and wastewater solutions needs support in terms of education, provision of appropriate options, and financial and technical support.

In addition to technical treatments, water security also requires solutions that increase knowledge and awareness, that supply the technical and financial resources needed, and governmental input to establish and monitor water quality standards.

These aspects of provision of safe drinking water and wastewater treatment are touched on in Course entitled an Introduction to Water and Health, and are addressed in greater detail in courses such as Water-Related Impacts on Health: Principles, Methods and Applications and the Social Perspectives on Water and Health.

Outcomes:

Upon completion of the course materials the student should have a basic understanding of and be able to explain:

the different types of disinfectants, both chemical and physical. the different types of water treatment and methods available for household water treatment, the components of a water treatment system at the multiple dwelling level file:///F|/Dropbox/WaterHealthNewFinal/Course3/discussion/WH30M010D000WTintroduction.html[11/3/2014 7:39:09 PM] Course 3 - Water and Health

the general principles practical methods of and their application for water quality disinfection and monitoring for the safe treatment, storage and delivery of drinking water and water for cooking and cleaning (i.e., potable water). basic principles and elements of source water protection and wellhead protection basic principles and approraches to Point of Use protection of drinking water the general principles and practical methods and application of wastewater disinfection treatment before release to the receiving environment and be familiar with the WHO Toolkit for Monitoring and Evaluating Water Treatment and Safe Storage for guidance on the determination of appropriate household water treatment and safe storage systems in different environments.

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Treatment Technologies for Water and Wastewater Treatment Methods - Understanding the Basics

Many of the same technologies used to treat drinking water supplies are also used to treat wastewaters. Although the end use of drinking waters is different from the goals of wastewater treatment, most of the technologies used are applied to achieve common treatment objectives.

For example, flocculation and filtration are two technologies that are used in both drinking water and wastewater. In drinking water supplies, samples are often flocculated and filtered to remove suspended or colloidal mater with the underlying assumption that their removal will also aid in the removal of pathogens and other contaminants that are bound to the matter. Thus a removal of the matter results in a removal of a significant portion of potentially harmful compounds and enhances the efficiency of additional treatment steps. Likewise flocculation and filtration of wastewater is intended to basically achieve the same objectives. The only difference is in the end user and the level of treatment (decontamination and disinfection) required. The level of treatment desired to meet drinking water standards are generally high in order to protect human health; while the treatment level objectives for the release of treated wastewater into the environment are generally not as stringent since dilution of treated wastewaters should occur in the receiving environment with and possible additional removal of contaminants, and unlike drinking water direct human exposures to treated wastewaters should not occur.

There are many ways to categorize the various treatment technologies commonly used to treat both raw drinking water and wastewater. Commonly used technologies have been categorized into four general areas.

Physical treatments - refer to those technologies that alter the physical nature of the waters either by filtering out constituents or by applying a physical treatment such as heat in order to achieve the desired treatment objectives.

Chemical treatments - are those technologies that generally employ a chemical agent to achieve the treatment objective, such as the addition of chlorine as a oxidizing agent to disinfect the water from potential waterborne pathogens or the use of ultra violet irradiation to either disinfect or for the removal of other constituents such as natural organic matter (NOM), and combined chemical treatments to improve the overall effectiveness of other treatment options such as ozonation.

Microbial treatments - basically utilize different groups of bacteria to aid in the degradation of wastewater constituents (e.g., solubilization and mineralization of organics and metals, and the nitrification of ammonia as in wetland treatment) and in the complexation of trace elements (e.g. sulfur reducing bacteria utilized in biochemical reactors).

Advance treatments - refer to those treatments that are relatively “new” to the treatment train or are ones that are dedicated to dealing with emerging chemicals of concern such as pharmaceuticals and personal care products. Natural treatment technologies deal with what are generally considered to be provided through ecological services such as the disposal of treated wastewater to aquifers for further polishing of wastewater, a technique commonly referred to as soil-aquifer treatment (SAT), as well as constructed wetland treatment.

For the most part, all treatment categories whether they are applied to the treatment of raw drinking water supplies or to wastewaters have common treatment objectives. Those objectives can generally be summarized into the following:

1. Removal of suspended and colloidal material, 2. Disinfection of waterborne pathogens, and 3. Removal of contaminants that degrade water quality.

There is often an overlap of the same type of contaminants found in drinking water with those found in wastewaters (e.g., NOM, nutrients, trace elements, and organic contaminants). The main difference is often in the concentration of these contaminants (e.g., higher in wastewaters) and the desired level of treatment to remove contaminants (e.g., more stringent limits for a higher quality of water is required for drinking water use which requires a greater removal and inactivation of contaminants).

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Heat

Heat- was the first water treatment technology applied by man for the improvement of drinking water.

Although the first and simplest of all technologies, heat is still the most effective treatment for the complete sterilization of waters. Boiling in water for 15 minutes, at a rapid rolling boil, will kill most vegetative bacteria and inactivate viruses; however, boiling water is ineffective for destroying many bacterial and fungal spores, and prions.

Heat is used in the process of distillation which has the ability to remove unwanted contaminants such as, sea salts. The source of heat for distillation can arise from many different sources, including the sun for solar distillation processes. The addition of other technologies such as the application of vacuums which reduce vapour pressures allow distillation to occur at lower temperatures.

Additional information is provided about the WaterPod. See supplemental readings 2-5s-WaterPod.pdf

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Filtration

Filtration - generally refers to the physical exclusion and separation of particles from solution (water). This is often accomplished by developing a filtration unit with a pore size smaller than the size of the particles you wish to filter out of solution (water). Many different configurations of filters utilizing a wide range of materials exist. Some of the simplest filters are sand filters. The efficiency of sand filters often depends on the thickness of the filter and the quality and particle size of the sand used. Other filters can be made of fabric or highly specialized polymers.

All filters will require periodic cleaning or replacement as the pores become plugged.

Filters were originally designed to filter out particulate material from the water, including organic matter and microbial organisms such as, bacterial pathogens. Some filters used to remove waterborne pathogens are also impregnated with particulate silver which helps to inactivate and inhibit regrowth of the bacteria retained on the filter.

Filter technology has advanced to the point where membrane filters (e.g., nanofiltration, reverse osmosis) are capable of filtering out dissolved compounds such as, certain pharmaceuticals and personal care products, and monovalent ions (e.g., sodium and chlorine). In these advanced membrane filtration technologies the mechanisms of action also involve ionic exclusion and exchange properties rather than simple physical size.

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Disinfection

The electron micrograph image displays the protozoa Giardia inactivation by chlorine

This chart shows the different pathogens that can be expected to be filtered out of drinking water supplies by the corresponding different filtration technologies, on the basis of the size of the microorganism and the pore size of the applied filtration technology.

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Counting Log Removals

How log removals work and how they are calculated.

Each log unit represents a ten times difference in the number of microorganisms:

Removal or inactivation of one log unit means that 90% of the microbes are inactivated.

Removal or inactivation of two log units means that an additional 90% of the remaining microbes (10%) will be inactivated (e.g., 99%).

Removal or inactivation of three log units means that an additional 90% of the remaining microbes (1%) will be inactivated (e.g. 99.9%).

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Minimum Water Treatment Requirements

The minimum water treatment requirements depends on the source of the water and the intended use and user of the treated water.

Possible sources of water are:

Groundwater - well water from dug and drilled wells Surface water - water from streams, rivers, freshwater lakes, ephemeral streams, lakes and puddles, seawater Rainwater - collected in cisterns

GUDI: refers to "Groundwaters Under Direct Influence" of surface waters. These are groundwaters that have a high potential for contamination by surface waters.

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Disinfection

DOSAGE = amount of disinfectant used

MIXING = need to mix to allow contact

CT = allow enough contact time and disinfectant to meet desired log inactivation

TURBIDITY & REDUCING AGENTS = need to remove before disinfection because it reacts with chlorine

MICROORGANISMS = the higher the number the demand increases

The image shown is of the protozoan, Cryptosporidium sp. which is resistant to chlorine

Contact Time Concept

CT or what is sometimes referred to as C*T is a value that indicates a target level for disinfection. It is a function of both the type and concentration of the disinfectant and the contact time (exposure time). The type and residual concentration of disinfectant and the amount of contact time both influence disinfection.

Example:

To determine if a specified CT of 75 has been achieved, the chemical residual concentration remaining in solution is multiplied by the exposure time in minutes to estimate the actual CT, corresponding to the equation

CT = Chemical residual concentration X exposure time in minutes

If the chlorine residual is 1.0 and the exposure time is 60 min, then the CT would be 60

60 = 1.0 x 60 minutes

In the above example, however a CT of 75 was specified and it would not have been achieved.

To obtain the level of disinfection corresponding to the specified CT, one must either increase the amount of chlorine residual or increase the duration of exposure time in contact with the disinfectant residual. This is done by,

increasing the chlorine residual to 1.3 mg/L to equal a CT of 78; or

if possible, increasing the contact time to 75 min to equal a CT of 75.

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Disinfection By-Products

There are four common trihalomethanes (THMs) that occur as disinfection by-products of chlorination

Trichloromethane

Chloroform

Dibromochloromethane

Dichlorobromethane

Haloacetic Acids (HAAs) are formed when Chlorine mixes with humic and fulvic acids.

There is some concern about the toxicity of persistence of chloramine residuals in drinking water and there is little information on the disinfection by-products of chloramination.

Chloramine is a much less effective microbiocide than either free Chlorine (HOCl and OCl- ), Ozone, and Chlorine Dioxide.

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Filtration Pressure vs. Particle Size

Increasingly greater applied pressure is required as the filter pore size decreases for the physical removal of particles, including microorganisms, of increasingly smaller sizes.

Applied Pressure: Filtration< Microfiltration < Ultrafiltration< Nanofiltration< Reverse Osmosis.

Particle Size Removal: Filtration> Microfiltration > Ultrafiltration>Nanofiltration> Reverse Osmosis.

See chart adapted from Meier et al., 2006

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Microfiltration

Microfiltration is often used to remove particles larger than 0.1 µm in size. In terms of microbial pathogens, microfiltration can generally remove the larger protozoan pathogens and some of the larger bacterial species, however, it if often infective for many bacterial organisms and viruses.

Some of the materials used in micro and ultra membrane filters are illustrated on the concept page.

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Ultrafiltration

In most cases, the decreased pore size of ultrafiltration units will be an effective method for the removal of waterborne pathogens and other colloidal matter and some larger molecular weight compounds.

More information on ultrafiltration can be found at in a technical document provided by TECHNEAU (an integrated project funded by the European Commission under the Sixth Framework Programme, Sustainable Development, Global Change and Ecosystems Thematic Priority Area (contract number 018320).

Meier, P., Salehi, F., Kazner, C., Wintgens, T. and Melin, T. 2006. Ultrafiltration with pre-coagulation in drinking water production in drinking water production: literature review. TECHNEAU. 84 pages. (On CD - as PDF)

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Ultrafiltration

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Water Treatment - Ultrafiltration (UF)

The material from which membranes are typically made of is either polyethersulfone or acrylonitrile copolymers.

Acrylonitrile membranes perform better for the removal of bacteria and protozoa and are more resistant to free chlorine which is important when water conditions are conducive to biofouling and require chemical cleaning.

UF membranes generally provide good removal rates for many pathogens, in particular Giarida lamblia cysts and Cryptosporidium oocysts and various bacteria.

The retention of viruses on low-pressure membranes depends on the molecular weight cutoff (MWCO) and other characteristics of the membrane, module design and the mode of operation

Viruses are typically in the size of 10 to 400 nm; a UF membrane with a MWCO of 10 to 100 kDa might theoretically be expected to retain most viruses, but studies have shown that virus retention can not be predicted by normal pore size alone or by the MWCO.

Natural organic matter (NOM) is a major factor causing fouling on UF membranes.

These substances are negatively charged in neutral pH waters.

The molecular weight distribution of the NOM, water pH, ionic strength and MWCO are the most important factors influencing NOM removal in UF membranes.

UF membranes require cleaning. UF membranes must be cleaned or replaced to ensure adequate performance.

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Nanofiltration

Nanofiltration devices are similar in concept and operation to reverse osmosis. The primary difference is in the efficiency of monovalent ion removal. Reverse osmosis typically removes 98 -99 % of monovalent ions, while nanofiltration removes 50 – 90% and depends on the filter material and how it was manufactured. It should be noted that each NF type is designed and suited for specific applications.

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Nanofiltration vs Reverse Osmosis

Nanofiltration devices are similar in concept and operation to reverse osmosis. The primary difference is in the efficiency of monovalent ion removal. Reverse osmosis typically removes 98 -99 % of monovalent ions, while nanofiltration removes 50 – 90% and depends on the filter material and how it was manufactured. It should be noted that each NF type is designed and suited for specific applications.

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Osmosis and Reverse Osmosis

Osmosis

Reverse osmosis

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Ultraviolet Irradiation (UV)

Ultraviolet irradiation is used to disinfect drinking waters and treated wastewater effluent prior to it release to the environment.

UV irradiation can be an effective method of disinfection, however, the efficiency is influenced by the presence of suspended matter, turbidity, opacity and colour, and clumping of bacteria which can absorb and deflect UV energy and ultimately hide or protect the microoganisms from the damaging UV rays.

UV irradiation causes oxidation of the material it hits. UV irradiation causes damage to the integral structure of cells, biologically important molecules, and the DNA, primarily by blocking DNA replication and protein synthesis. However, since most of the UV damage to DNA is repairable by microorganisms (in sunlight and in the dark), inactivation and killings of microorganisms by UV irradiation will only occur if the extent of damage is more than can be repaired. Bacterial and fungal spores, many viruses and cyst forms of parasites, and many types of algae are resistant to UV irradiation.

Bacteria can be killed by UV irradiation at wavelengths around 330 nm or shorter and killing microorganisms rapidly increases in effectiveness at shorter wavelengths. The average maximum UV absorption for DNA and RNA is at at 260 nm and the average maximum UV absorption for proteins occurs at 280 nm. Germicidal lamps produce shorter-wavelength UV (260nm) and are used for killing microorganisms.

The disinfecting properties of sunlight is mostly attributed to its longer UV light at wavelengths between 300 to 400 nm, but most of the UV radiation from the sun, and all UV irradition below 290 nm, does not reach the earth's surface because it is cannot pass through the stratosphere's ozone layer surrounding the earth in the outer regions of the atmosphere. The disinfecting property of the sun's UV radiation has been reported to be most effective for cell killing around 340 nm; the maximum sunlight UV radiation occurs at mid-day when solar radiation is at its peak. The sun's UV radiation is greatest on clear dry days. The SODIS treatment for drinking water disinfection uses sunlight as a source of UV irradiation for the inactivation of microorganisms.

The effectiveness of UV irradiation for sterilization and disinfection of water is comparatively low to chemical treatments like chlorination and ozonation and ultrafiltration, and typically requires a coagulation and filtration pre-treatment before disinfection by UV irradiation.

UV irradiation can also be used to oxidize organic matter such as natural organic matter or dissolved organic carbon and some unwanted contaminants such as, pharmaceutical products and personal care products (PPCPs) in low concentrations in wastewaters.

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Aeration

The use of aeration in the forms of bubblers or diffusers is often used in the treatment of wastewaters and drinking waters.

In wastewaters the application of air is often used to enhance aerobic microbial degradation of unwanted carbon and nitrogen based contaminants.

Aeration can also be used to off gas volatile organic compounds that present an environmental or health hazard or an undesired taste or odour or other undesired dissolved gases.

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Coagulation

The purpose of coagulation is to primarily reduce turbidity, with the added benefit of removing other pollutants and microorganisms attached to the suspended matter and the removal of dissolved organic matter and inorganic matter.

The separation of particles generally occurs by sedimentation, filtration or floatation. Colloidal particles are removed by causing them to aggregate into larger flocs by a pre-coagulation step, followed by sedimentation and or filtration for removal.

Commonly used coagulants are salts from trivalent iron and aluminium ion, along with pre-hydrolysed products such as polyaluminium chloride (PACL).

The use of these common coagulants can reduce the fouling on filter membranes,making it easier to apply subsequent treatments to ensure high quality water.

Ultrafiltration (UF) can be used to remove remaining colloidal and suspended matter, dissolved organic matter and inorganic trace metals and phosphate.

Aluminium-based coagulants include: Aluminium sulphate [Al2(SO4)3]; Polyaluminium chloride; Sodium aluminate [NaAlO2]. A more efficient retention and removal of viruses and other microorganisms by UF can be achieved when a coagulation pre- treatment is employed. Pre-coagulation improves the overall UF removal efficiencies of natural organic matter (NOM). This is discussed in more detail in UF review 2006.

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Common Chemical Technologies Used in the Treatment of Raw Drinking Water and Wastewater Effluents

Some of the common chemical technologies that are used in the treatment of raw drinking water supplies and in the treatment of wastewater effluents are listed.

Included in this list could have been a listing of membrane technologies, however, this was covered earlier under the topic of filtration.

Advanced oxidative processes are covered later under “Advanced Techniques”.

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Pathogen Inactivation

A major intent for the use of chemical agents (technologies) in the treatment of both drinking water and wastewater effluent is the inactivation (disinfection) of waterborne pathogens.

Common disinfecting chemical compounds are chlorine based products, iodine, silver (nanoparticles), and copper.

Ozone, peroxide and UV irradiation are also used for disinfection and the oxidation of other water constituents such as NOM, DOC, and PPCPs.

Depending on their use and where they are introduced into the treatment stream, some of these chemical agents like chlorine, and ozone can either cause disinfection by-products or be used to reduce the risk of disinfection by-product formation.

Much of how they are used depends upon site specific conditions and the desired treatment objectives.

For example:

High levels of chlorination together with the presence of a high concentration or natural organic material can lead to the development of trihalomethanes (THMs) disinfection by-products which have been linked to human health concerns.

Pretreatment with ozone has the potential to reduce the levels of NOM not only making chlorination more effective at lower concentrations, but also reducing the potential for the formation of THMs.

The oocytes of Cryptosporidium are one of the most chlorine resistant waterborne pathogens which are best inactivated from exposure to ozone. However, high concentrations of ozone can react with bromide in areas where it is naturally abundant and cause the formation of bromate (BrO3-). Therefore in situations such as this it is necessary to uses some form of membrane filtration prior to ozonation to remove NOM, including removal of Cryptosporidium cysts, to allow lower concentrations of ozone and thus reduce the risk of bromate formation, and is often followed by chlorination to maintain a residual disinfection to prevent regrowth of pathogens in treated water in the distribution system.

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Types of Disinfection - Chemical versus Physical

One of the main differences between a chemical approach and a physical approach to disinfection is that the physical methods do not persist and therefore cannot act as a secondary disinfection technique.

Chlorine is often the choice of disinfection since it not only kills many (not all) waterborne pathogens, but it is also persistent and therefore remains in solution at lower concentrations sufficient to prevent regrowth of the pathogens within the drinking water distribution lines.

Physical disinfectants and ozone do not persist and therefore do not provide any secondary disinfection potential.

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Chlorination

Chlorination is a powerful oxidant that is capable of destroying or inactivating many waterborne pathogens.

Some pathogens however like the Cryptosporidium oocytes and Giardia cysts are resistant to chlorine and therefore much more difficult to treat.

Protozoa such as these are often filtered out of drinking water supplies or inactivated with other techniques such as ozone.

The chlorination levels typically used for disinfection of drinking waters can also have the added benefit of decomposing other unwanted easily oxidized compounds such as those responsible for causing unwanted taste and odour.

Many of these taste and odour issues arise from the metabolites of algae and other microorganisms.

Chlorine can be applied to drinking water and wastewater in a variety of forms ranging from a gas to a liquid to a solid. Chlorine is also easily generated on site through the electrolysis of brine (salt water).

Chlorine residuals

All forms of chlorine however, dissolve in water to form hypochlorous acid and the hypochlorite ion.If microorganisms are present, HOCl and OCl- penetrate the microbe cells and react with cell enzymes and disrupt the organisms’ metabolism and kills them.

Chlorine has long been a preferred choice of disinfection products because of its relatively inexpensive cost, ease of application, effectiveness, and it abundant supply.

Chlorine is however very corrosive and therefore is hard on water and wastewater infrastructure. It also causes the precipitation of iron which often requires subsequent filtration to remove. There is also the potential for the formation of unwanted disinfection by- products (DBPs) such as trihalomethanes (THMs) and Haloacetic acids (HAAs) resulting from the chlorination of natural organic matter present in the water. The potential for the production of DBPs arises when high levels of chlorine are used to overcome the reduced effectiveness of chlorination resulting from the presence of a high concentration of organic matter. However, high rates of chlorination in the presence of high concentrations of organic matter can lead to unwanted formation of DBPs.

Common THMs

• Chloroform (CHCl3) • Bromoform (CHBr3) • Bromodichloromethane (CHBrCl2) • Dibromochloromethane (CHBr2Cl) Collectively these are known as total THMs. The US EPA sets the limit for THMs at 80 ppb. These compounds are suspected carcinogens (bladder cancer) and other are linked to liver, kidney, central nervous system and reproductive effects and anemia. Some THMs are quite volatile and therefore there is concern that humans can inhale these compounds during activities such as showering, however the level of exposure through inhalation is significantly less than what would be expected to occur through the consumption of drinking water contaminated with THMs. It appears that the carcinogenicity potency of THMs at concentrations expected in drinking water supplies is quite low in comparison to the exposure of many other carcinogens connected with lifestyle choices such as smoking. Chloroform is the most likely THMs generated from the chlorination process. Brominated compounds would be more associated with the natural presence of bromide within localized regions where bromide is more naturally abundant.

Common HAAs

• monochloroacetic acid (MCA) ClCH2COOH • dichloroacetic acid (DCA) Cl2CHCOOH • trichloroacetic acid (TCA) Cl3CCOOH

• monobromoacetic acid (MBA) BrCH2COOH • dibromoacetic acid (DBA) Br2CHCOOH • HAAs are also suspected carcinogens. Once again, only the chlorinated compounds would be expected to arise from chlorination.

More information about disinfection byproducts can be found at the following website for the World Health Organization

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http://www.who.int/water_sanitation_health/dwq/S04.pdf (accessed November 2012)

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Chlorine Products

Sodium hypochlorite: is a liquid form of chlorine used for disinfection.

It is a strong irritant to skin and mucus membranes and improper handling can cause the worker to become sensitized to this product, therefore caution must be used when working with this product and personal safety gear must be worn.

The product has a half life of approximately 90 days (3 to 4 months) but will degrade and loose its strength more rapidly through exposure to heat and light.

Calcium hypochlorite: is the solid (granular) form of chlorine used for disinfection. It too is a strong oxidizer and it can react with organic compounds to create oxygen which can fuel a fire and make it difficult to extinguish.

Personal care must be taken when using this product.

Chloroamines: include monochloramine, dichloramine & trichloramine or nitrogen trichloride. Monochloramine is the only useful form.

Many municipalities use monochloramine as a secondary disinfectant in the storage and distribution of treated drinking water supplies.

The disinfectant properties of monochloramine are not as strong as chlorine and they generally take longer to exert their disinfection potential. They are often a preferred choice for providing secondary disinfection since they are much more persistent than chlorine and therefore they have a longer lasting disinfection ability. They are particularly useful in the containers and pipes used for the storage and distribution of chlorinated drinking waters. As the chlorine dissipates, monochloramines provide secondary protection, particularly against the build up of biofilms which can cause: i) the release of coliform bacteria back into the treated water, ii) an increase in the disinfection demand, iii) cause unwanted taste and odor issues, and iv) cause pipe corrosion or nitrification reactions and the release of contaminants such as nitrite, nitrate and lead from the corroded pipes. Monochloramines may be more effective than chlorine in the killing of potentially harmful microorganisms found in biofilms, such as those likely to cause Legionnaire’s disease.

Monochloramine itself is not carcinogenic however, its use can lead to the formation of other regulated disinfection byproducts when in the presence of high concentrations of NOM. Although the potent number of DBPs and their associated concentrations are lower than those associated with the use of chlorine.

Much of this information was obtained from the US EPA website for chloramines and the reader is directed to this site for more information.

http://www.epa.gov/ogwdw/disinfection/chloramine/pdfs/all29_q.pdf (accessed November, 2012)

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Chlorine Demand

Each water source treated will have its own chlorine demand. This refers to the amount of chlorine that is consumed in the oxidation and interaction of constituents found within the water.

For example, those waters high in NOM will have a much higher chlorine demand than those waters with a lower NOM content.

In order for the chlorine to be an effective disinfectant, the amount added must ensure that there is free (unbounded, un-reacted) chlorine that remains in solution after all other chemical reactions with other water constituents (such as NOM) have occurred.

The amount of chlorine left in a free state is often termed “residual chlorine”.

Many factors influence the consumption of chlorine and the presence of residual chlorine.

Chlorine Demand

Refers to:

1. The amount of chlorine that is used up by reacting with materials in the water.

2. The amount of chlorine no longer in a form able to inactivate microbial contaminants in water (i.e., the amount of chlorine that is used up by materials in water making it ineffective, not able to kill nor prevent the growth of microorganisms in the water).

3. Need of more chlorine to disinfect the water (i.e., in excess of the amount of the chlorine demand).

Chlorine Residual

Refers to:

1. The amount of chlorine remaining in the water after the chlorine demand has been met, and remaining in a form that is able to inactivate the microbial contaminants present in the water (i.e., the amount of chlorine in the form that is able to kill and to prevent the growth of the microorganisms in the water).

2. Total chlorine, combined or free.

3. The type of chlorine residual is dependent on pH, temperature or ammonia left in water.

Chlorine Dosage

Refers to:

1. Total amount of chlorine added to the water.

2. Chlorine Dosage = Chlorine Demand + Chlorine Residual.

3. Each water system is different, and the amount of chlorine dosage needed will change from day to day depending on conditions.

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Reaction of Chlorine with Water

When chlorine is first added to water containing some impurities, the chlorine immediately reacts with the dissolved inorganic and/or organic substances and is then unavailable for disinfection.

The amount of chlorine consumed in this initial reaction is called the chlorine demand of the water.

Thus we can say that chlorine demand is chlorine dosage minus chlorine residual.

If dissolved ammonia, NH3, is present in (or added to) the water, the chlorine reacts with it to form compounds called chloramines.

Only after the chlorine demand is satisfied and the reaction with all the dissolved ammonia is complete is the chlorine available in the form of HOCl and OCl-.

These two forms of chlorine are called free available chlorine; chloramines are referred to as combined chlorine.

Free chlorine is often the preferred form for drinking water disinfection as it does not cause objectionable taste and odour issues and works faster than combined chlorine.

Combined chlorine, however, lasts longer and can maintain some sanitary protection throughout the water distribution system.

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Chlorination Methods

There are three basic approaches that can be applied when disinfecting with chlorine.

The first point, breakpoint chlorination is the most common approach.

Superchlorination and dechlorination are other approaches that can be taken by municipalities, however, it is likely more common with on-site treatment drinking water treatment systems.

Marginal chlorination is an approach taken to ensure a certain level of residual chlorine is present for secondary disinfection.

In the disinfection of drinking water, the residual chlorine concentration may be raised to as high as 3 to 5 ppm, much greater than the typical levels found in municipal drinking water which are more often between 0.1 to 0.5 ppm.

The intent of superchlorination is to produce a high disinfection environment. Residual chlorine at the 3 to 5 ppm level has unwanted taste and odor and therefore the residual chlorine is removed before consumption, most often through the use of activated carbon filters.

Marginal chlorination is best performed when the quality of the water supply is high and the chlorine demand is low, such that it is a simple matter of chlorine dosing to acquire the desired level of residual chlorine.

In some cases a breakpoint may not even occur. (NOTE: the breakpoint is the concentration required to satisfy the chlorine demand, thus any concentration above the breakpoint will generate free available chlorine residual).

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Breakpoint Chlorination

The process of adding chlorine to water until the chlorine demand has been satisfied

Further additions of chlorine after breakpoint result in an increase in the free chlorine residual

Process occurs in four steps

Use this graph to demonstrate the explanations of the reactions that take place when chlorine is added to water.

It can also be used to demonstrate the mathematic equations that are involved when these reactions occur.

Cl2 dosage = Cl2 demand + total Cl2 residual

Total Cl2 residual = combined Cl2 residual + free Cl2 residual

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Chlorine Residuals

The process of chlorination in the presence of ammonia can generate chloramines.

As discussed in earlier slides, monochloramine is the dominant form produced.

The other two forms are not as abundant in terms of concentration.

Monochloramine is often intentionally produced and used as a secondary disinfectant for treated water that is stored and distributed.

The addition of more chlorine will eventually oxidize and destroy the chloramines.

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Free Chlorine Residuals

Water MUST have a minimum Free Residual of 0.2 mg/L when leaving a water treatment plant.

Water MUST have a minimum Free Residual of 0.05 mg/L at ALL points in the distribution system.

The maximum chlorine residual at any time and/or location should not exceed 4 mg/L.

Depending on the size of the distribution systems, re-chlorination stations may be required.

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Decay Rate

Note decay rate at various strengths. This must be taken into account when calculating the amount of residual chlorine present at differernt times.

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Water Treatment Using Disinfectants (Biocides) Other than Chlorine

Iodine is relatively short lived and therefore useful only as a primary disinfectant and not a secondary disinfectant.

Iodine is acutely toxic. A drinking water guideline value for iodine has not been established at this time (WHO 2004).

The mean concentration of total iodine in drinking-water in the USA is 4 μg/litre, and the maximum concentration is 18 μg/litre (National Academy of Sciences. Drinking water and health. Vol. 3. Washington, DC, National Academy Press, 1980 cited in Guidelines for drinking water 2nd ed. Vol 2. Health criteria and other supporting information World Health Organization, Geneva, 1996).

The maximum concentration of iodine in drinking water should not exceed 18 µg/L (0.018 mg/L) ***(Reference ?)***

Toxicity: Exposure to 16-130 mg of total iodine per kg of body weight can be fatal.

"Iodine occurs naturally in water in the form of iodide. Traces of iodine are produced by oxidation of iodide during water treatment. Iodine is occasionally used for water disinfection in the field or in emergency situations...... In 1988, JECFA set a PMTDI for iodine of 1mg/day (17mg/kg of body weight per day) from all sources, based primarily on data on the effects of iodide. Available data therefore suggest that derivation of a guideline value for iodine on the basis of information on the effects of iodide is inappropriate, and there are few relevant data on the effects of iodine. Because iodine is not recommended for long-term disinfection, lifetime exposure to iodine concentrations such as might occur from water disinfection is unlikely. For these reasons, a guideline value for iodine has not been established at this time. There is, however, a need for guidance concerning the use of iodine as a disinfectant in emergency situations and for travellers.....The WHO risk assessment was originally conducted in 1993." Source: WHO Guidelines for drinking-water quality. 2004. 12.73 Iodine).

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Ion Exchange - Adsorption

Activated Carbon

Carbon can be produced from a variety of products, but is generally produced from petroleum coke, bituminous coal, lignite, wood products, coconut and peanut shells.

The carbon is generally ground to produce a small particle size to increase surface area. This surface area and pore space can be increased during the process of activation (steam, high heat, no oxygen).

Adsorption is modulated by the water flow and contact time. Activated carbon is generally good at removing a variety of pesticides and solvents such as benzene, chlorobenzenes, trichloroethylene, carbon tetrachloride, methylene chloride, and vinyl chloride.

Activated carbon is often used to polish treated drinking water to remove excess chlorine (e.g., superchlorination) and disinfection byproducts.

The efficiency of the carbon is influenced by the characteristics of the carbon (e.g., particle size, pore size, surface area, density and hardness) and the characteristics of the contaminant such as its hydrophobicity and attraction to the carbon.

Not all carbons have the same characteristics and therefore knowing the source material for the carbon production, how it was activated and other characteristics will be helpful to ensure that choice of activated carbon suites the treatment objectives.

Overall, activated carbon is not good for the removal of bacteria, viruses, calcium & magnesium (hard water minerals), fluoride, nitrate, nitrite and many other compounds.

Activated Alumina

Activated alumina is an effective adsorbent for a variety of water contaminants. It can be used to acquire better phosphorus removal from treated wastewaters.

This product is expensive and because of the high cost its use is limited.

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Ozonation

Ozone is a powerful oxidant and is used for many different applications in the treatment of both drinking water and wastewater.

Natural organic matter (NOM) contributes significantly to the ozone demand that must be satisfied before it can be effectively used as a disinfectant. It is one of the best disinfectants for Cryptosporidium and Giardia, both of which are resistant to the effects of chlorine.

Ozonation of raw drinking waters can produce a variety of disinfection byproducts including: formaldehyde & other aldehydes, carboxylic acids, hydrogen peroxide, bromate, bromomethanes, brominated acetic acids, brominated acetonitriles & ketones.

Regulations exist for formaldehyde and bromate. The Drinking Water Quality Guidelines developed by the World Health Organization consider these compounds.

Bromate appears to be the major concern with regards to human exposure and related health effects (suspected carcinogen). The potential to produce bromate as a by-product of ozonation is greatest only in areas where source waters are naturally rich in the bromide ion. (Br- + O3 → BrO3-)

Ozonation is expensive and requires expertise to apply and as such it has historically been limited in its use. Some large municipalities are using ozonation for a variety of purposes in the treatment of both raw drinking water supplies and in the treatment of wastewaters.

For example, it is an effective disinfectant for chlorine resistant waterborne pathogens. It has also been used to pre-treat waters prior to the application of other treatment processes.

Ozonation can be used to reduce the NOM content of waters prior to chlorination in order to reduce the potential for the development of chlorinated disinfection byproducts.

It has also been used to reduce the NOM content prior to the use of UV irradiation and to help prevent the premature clogging of membrane filtration devices.

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Microbial Treatment

Microorganisms play a key role in the treatment of both raw drinking water and wastewater. We most often think of the role microbes play in the treatment of domestic sewage, however they can also provide significant treatment for raw drinking water supplies.

For example, the biofilm or schmutzdecke that develops on the top of sand filters helps to remove many of the harmful microorganisms from raw drinking water supplies. This varied community of microorganisms thus provides a valuable treatment options. Likewise a rich community of microorganisms (mostly facultative) are utilized at several steps in the treatment of domestic sewages (e.g., facultative sewage lagoons, aeration tanks, clarifiers, sand filters, etc.) where they are responsible for a variety of treatment processes such as degradation and solubilisation of carbon based compounds, ammonification / nitrification / denitrification of nitrogen based compounds and the conversion of many of carbon based compounds into biogas (e.g., methanogenesis).

These processes can occur in a variety of settings from constructed wetlands to sequencing batch reactors, to fixed bed reactors, to rotating disk filters.

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Advanced Treatment Processes

Municipal and industrial wastewaters are complex mixtures of contaminants, including pharmaceutical products and personal care products and new chemical compounds, in addition to metals, salts, fertilizers, and food human and animal wastes. Various pharmaceuticals and personal care products (PPCPs) and pesticides have been found in measurable concentrations in raw water supplies, particularly surface waters contaminated by wastewater discharges, raising questions about the potential implications of these findings for human health, fish and aquatic organisms, wildlife, and water quality. As well as the development of ways to more effectively remove these compounds from drinking water supplies and wastewaters.

Challenges include an increasing global demand for water use, for drinking water and other purposes, that coincides with a diminishing availability of high quality source waters and of quantity, surface water and groundwater, associated with pollution, over-use, erosion and surface-runoff from anthropogenic activities and climate change. (See other course modules and resource materials for further discussion of water and health challenges).

In an attempt to address these challenges most research efforts appear to be towards improving wastewater and drinking water treatment involving the use of membrane technologies (e.g., nanofiltration, reverse osmosis), ozonation, UV irradiation and advance oxidative processes (such as the combination of ozonation with other strong oxidizers like peroxide). Others are looking at the recharge of dwindling groundwater aquifers through soil absorption of grey-water and highly polished wastewater as a means of future treatment, storage and replenishment of high quality source waters. Others, such as Singapore have adopted a toilet-to-tap approach, as a means to conserve water resources. All of this is heavily dependent on advanced treatment processes for effectively and efficiently removing undesirable contaminants in wastewater and drinking water.

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Drinking Water - The Protection of Raw Drinking Water Supplies (Source Water Protection)

The topic of the protection of raw drinking water supplies is commonly referred to as “source water protection”.

The basic intent of source water protection is to ensure the safety of raw drinking water supplies.

The focus is on the protection of both the quantity of drinking water supplies as well as the protection of water quality.

The provision of safe drinking water supplies involves protection and surveillance on many different levels.

Combined, these actions are referred to as a “multi-barrier” approach. The multi-barrier approach encompasses the protection of raw drinking water supplies in terms of both quantity and quality of the supply.

It also includes the treatment of the raw water to ensure adequate disinfection of water borne pathogens, but may also include treatment to improve taste, remove odour and other constituents such as turbidity, algae that can degrade the quality of the raw water for drinking purposes.

The multi-barrier approach also insures that the treated water remains free from water borne pathogens or other contaminants during its travel from the place of treatment to the consumer.

Monitoring and surveillance programs follow standard procedures in a quantifiable manner to assess the quality of the treated water in comparison to established safe drinking water quality guidelines.

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Source Water Protection (SWP)

The foundational concept undergirding SWP is to develop a protection plan intended to keep raw drinking water supplies safe from future contamination or activities that could deplete the supply of these waters in an none sustainable manner.

This is the first barrier in a multi-barrier approach. In concept, if the quality and quantity of raw drinking water supplies is maintained, then treatment is redundant.

Redundancy is a goal of the multi-barrier approach since it is recognized that not all pathogens, nor all contaminants can be successfully treated 100% of the time.

Therefore a more reliable and safer practice is to ensure that raw drinking water supplies are protected, treated, distributed safely and monitored to verify that drinking water quality objectives are being met and the public is provided adequate protection.

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Components of the SWP Approach

The goals of SWP plans should include the following,

i) to keep the present and future drinking water supplies clean and plentiful,

and

ii) to identify potential threats to the supply and by developing plans to reduce or eliminate those threats,

and

iii) to develop contingency plans should the source water become contaminated or depleted.

A key component is to identify land use activities that pose a significant threat to the drinking water supplies.

For example, threats to the drinking water supplies could be items such as the storage of gasoline or diesel supplies next to a community well.

Once a threat has been identified, mitigation plans should be developed to reduce or lessen the threat such as in the example relocating the diesel supplies away from the community well and implementing procedures to prevent the potential for spillage of the fuel.

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Characterizing the Source Water

Source waters are best managed on a watershed basis.

It is important to understand what surface water and groundwater resources exist within the watershed.

Likewise it is equally important to understand all aspects of the watershed that could potentially influence water quality and quantities.

These include not only human activities such as agriculture and land development, but also natural features such as wetlands that could potentially filter the waters and improve quality.

Sources of emissions to air and wet and dry deposition of air pollutants to surface waters and to land are often overlooked, but can be significant.

A watershed is that area of land that captures the water in one region and then funnels it into one river or lake, or groundwater aquifer. This sketch illustrates that most watersheds can be divided into smaller sub watersheds.

One of the main concepts is that land use activities in the watershed often influence the quality and quantity of water and that upstream activities can impact downstream quality and quantity.

These land use activities can at times impact the source water in a cumulative manner; meaning that small impacts can cumulatively have a much larger negative impact on quality and quantity.

Knowing where your water originates, what landscape features it travels through and the current quality and quantity are all important aspects that must be understood in order to manage this resource well.

For both surface waters and groundwaters it is important to know the “Direction of Flow”, and the “Time of Travel”.

It is important to understand the direction that the water flows in your watershed, and how long it take to travel towards either a community well, or surface water intake for the community.

In surface water systems it is a relatively easy procedure to calculate flow volumes and flow rates and as such determine the length of time is may take for a contaminant spill on surface water to reach the point where water is withdrawn for consumption and the dilution that may take place along the way.

Understanding groundwater flow directions and flow rates are not as easily discerned and direction and flow rates of groundwaters may not necessarily follow surface topography due to the complex layering of aquifers and aquacludes.

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Inventory (characterize) the Watershed

Some of the physical attributes that influence the quality and quantity of water supplies include the following features:

The topography effects where water will drain too, and influences how much water will be allowed to infiltrate.

Vegetation can impact how much water reaches the surface, and influence the infiltration process. Vegetation also extracts water from the soil through evapotranspiration processes which can have a dramatic influence on water quantities.

Surface Water resources can be beneficial in showing where are the water bodies in your watershed.

Floodplains and other geomorphic features can significantly influence how water flows through the watershed.

The soil and bedrock types. Different soils and rock types can have dramatically different properties in terms of how water flows through the ground.

Groundwater and hydrogeology of the location; it is important not only to know where the aquifers exist, but also the volume and quality of the groundwater resource should be characterized.

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Inventory (characterize) the Watershed

Seasonal variations can have a dramatic effect on the hydrology of the watershed.

Climate can also have a dramatic impact on water resources in the watershed.

During the winter or in higher elevations, water can accumulate in the form of snow and in this state there may season where water is stored only to be released in a different season.

During the spring there may be a massive release of all the water stored as snow. There is a potential that the melt water may also carries with it any pollutants that may have built up in the snow pack over the winter. If the soils are still frozen, or if the water table rises up near the surface a significant portion of this melt water will runoff over the surface. Surface waters are often impacted by surface runoff during periods of snow melt and during rainy seasons when contaminants on the land may be washed into the source drinking water supplies.

In the summer water tables begin to drop, as excess water is removed during the spring, higher energy inputs from the sun drive increases in evaporation, and vegetative demand for water from the soil is at its highest.

During the early fall your water table likely reaches it lowest point for the season, and slowly begins to increase as the vegetation needs less water as it is again becoming dormant.

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Characterizing the Watershed

The watershed characterization process should identify vulnerable areas which need protection. These vulnerabilities will vary depending on whether your supply is in groundwater or surface water. Typical areas that are vulnerable and need protection are listed below.

Groundwater:

Significant groundwater recharge areas. Land use activities that harden the surface and thus prevent water infiltration should be discouraged from these sites. In addition any activities that could produce spills (e.g., diesel spill or spillage of heating or motor oil) should not be allowed to occur within these areas for fear that surface spills may percolate into the groundwater and cause contamination of this drinking water supply.

Highly vulnerable aquifers (un-protective overburden). These are aquifers where the overburden is shallow and or is very porous. Thus any contaminants spills in the surface could potentially percolate quickly into the drinking water supply.

Wellhead Protection Areas (WHPAs). WHPAs are a zone of protection around the well where land use activities are limited to ensure that contamination to the well does not occur. This could be as simple as placing a fence around the well to ensure that livestock is not allow near the well where they may defecate and potentially cause waterborne pathogens to enter the drinking water supply.

Future municipal supplies. It is also important to be providing protection to those source water resources that may not be needed now, but will be needed for future generations.

Surface Water:

Headwaters. It is important to protect the upper reaches of rivers and lakes. The downstream water that is used for drinking water is often only as good as the water upstream.

Drinking water intake sites. It is important to protect the area immediately around the location where the community draws their drinking water supply. It may situations, a community may extend a drinking water collection pipe into the lake or river were water is being drawn from. The area around this intake pipe should be protected from activities that could disrupt bottom sediments or cause waters in this area to become contaminated.

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Identifying Major Risks to Source Waters

Source water protection plans inventory existing raw water supplies (surface and ground) and characterise water flow paths and flow velocities. The characterization of flow paths and velocities for surface waters is generally more easily accomplished than the characterization for ground water supplies. Characterization of ground water supplies can be challenging and often requires a hydrological survey.

By knowing flow paths and velocities the investigator can determine the time it will take for the water (surface or ground) to travel a specified distance which is often referred to as the “time of travel”. Source water protection plans often use the “time of travel” to determine protective boundaries around the source water. The intent of the boundary is to provide a protective zone in which hazards and threats are identified and eliminated or reduced. The size of these protective zones will depend on the level of protection deemed appropriate for that region.

Hazards and threats refer to contaminants (chemical, biological and physical) or activities that are and have the potential to significantly degrade water quality or reduce the sustainability of the source water supply.

Water quality can be degraded through the contamination of drinking water supplies by microbial pathogens, chemicals and trace elements, radiological compounds, and by human activities that affects the water temperature, turbidity, nutrient status, algal populations, pH or any other modification that impacts the quality of the raw drinking water.

Water quantity can be impacted by human activities that either withdraws water resources in an unsustainable manner or those activities that impact the recharge of source waters such as the diversion of surface waters in a manner that impedes the recharge of ground water resources.

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Delineation of Protection Zones around Drinking Supplies

Communities can provide protection to groundwater and surface water resources through the establishment of source water protection zones.

Delineated zones that protect groundwater are called Wellhead Protection Areas (WHPAs), those that protect surface waters are called Intake Protection Zones (IPZs).

Important Concept:

Many times it is neither feasible nor practical to protect all areas from potential threats. The intent is to identify what water resources have the greatest need for protection.

Generally these relate to key areas of water intake (e.g., from surface waters or ground waters) and key areas of replenishment (e.g., groundwater recharge areas or surface water headwater areas).

Once these areas are identified, the intent is to identify a protection zone around these areas. For example, in terms of a ground water well.

It is important to know the boundaries of the aquifer that the well is drawing water from.

It is also important to know how fast the water in that aquifer is travelling.

Groundwater generally travels very slowly; therefore the protective zone around the wellhead may not be that large.

It is often impractical, unrealistic and unnecessary to expect to manage all threats within a watershed (surface water or groundwater), particularly if the watershed is large and overlaps several jurisdictional boundaries.

It is more practical to identify and manage the potential for adverse impacts to source waters on a priority basis, depending on the level-of-concern by focusing on the immediacy of threats to quality and quantity (i.e., applying a risk management approach for short-term and long-term impacts).

The underlying premise is that waters further away have a good chance of non-persistent organic chemical contaminants being cleared away by naturally occurring breakdown processes in the environment and other environmental factors decrease the survival of non-persistent pathogens.

It therefore becomes important to understand where water is coming from (direction) and how long it will take to reach the water intake point (time of travel).

By knowing the direction of water movement (particularly important for groundwater) and knowing how long it takes water to reach the location of the water intake will help to identify the immediate zone (area) that needs protection from certain activities and sources that could potentially pollute the water.

A level-of-concern approach to risk assessment and risk management is presented in the previous course in this series on Water & Health entitled, Water-Related Impacts on Health - Principles Methods and Applications. The delineation of the size of the protection zone around the intake point of the source water supply could have significant implications in situations of continuing impacts on water supply quality and quantity and sustainability. A rationale focusing on the potential for long-term threats to water quality and quantity within the watershed and community health and development would be warranted in situations involving,

containing releases of persistent contaminants, such as metals (e.g., geological source) pesticides, spore forming pathogens, viable but not culturable bacteria, and cyst forms of parasites (aquifer contamination), large spill and subsurface releases of solvents and petroleum hydrocarbons;

potential for cumulative impacts on users from chronic exposures over a lifetime (e.g., metal toxicity)

potential for cumulative impacts from multiple users and dischargers (e.g., multiple wastewater outfalls upstream of community drinking water source intake).

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Groundwater

The principles of 1) direction and 2) time-of-travel still operate for groundwater resources.

Groundwater movement and size of aquifer are more difficult to define than those for surface waters.

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How is Time of Travel Estimated

Input parameters such as: topography, surface and subsurface geology and lithology, surface water and groundwater conditions, hydrodynamic parameters of the subsurface formations (which control the accumulation and movement of groundwater in the subsurface), climate data, etc., should be collected, assembled, verified and filtered for accuracy.

This involves collecting as much data as possible from wells that exist in the area, but in most cases in the communities if this type of analysis is required it will be necessary to collect primary data.

This may involves installing ground water monitoring wells and piezometers in the area surrounding to fill gaps in the data and to enhance and complement the present knowledge.

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How is Time of Travel Estimated

Input parameters such as: topography, surface and subsurface geology and lithology, surface water and groundwater conditions, hydrodynamic parameters of the subsurface formations (which control the accumulation and movement of groundwater in the subsurface), climate data, etc., should be collected, assembled, verified and filtered for accuracy.

This involves collecting as much data as possible from wells that exist in the area, but in most cases in the communities if this type of analysis is required it will be necessary to collect primary data.

This may involves installing ground water monitoring wells and piezometers in the area surrounding to fill gaps in the data and to enhance and complement the present knowledge.

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The Delineation of Protection Zones

The delineation of protection zones are based on a time-of-travel principle.

IPZ1 represents the zone where the time of travel is very short (too short for people to react to clean the spill or to alert users of a problem). For example, if a fuel spill were to occur in this zone, there might not be enough time to warn people of the hazards (this may not always be the case in small communities), however, the principle is the same; no time to react or to take corrective action.

IPZ2 represents a zone where the travel time is somewhat longer. Some jurisdictions have delineated this zone so it represents a 2h time of travel for surface waters. The underlying assumption is that this area needs to be protected from possible risks or threats since the time available for warning people would be less than 2h. The immediacy of the threats would not be as great as in IPZ1 and hence it might not need to be as stringently protected.

The intent of the protection zones is to identify the areas where threats and risks should be inventoried and where possible, dealt with to ensure the quality (and quantity) of drinking water is protected.

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Time of Travel Method

Assumptions:

• time zones provide assessment of vulnerability (>time = less vulnerable).

• time zones give plant operators the time (warning) needed to shut off the tap.

• spills and other threats will be detected quickly.

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Example Delineation of Protection Zones

This is an example taken from a source water protection plan for a small village in North America.

This area has two public water supplies located on the shores of the lake.

Because this is a relatively small lake, the rate of mixing is expected to be relatively fast and complete. Therefore, the entire shoreline is protected (area inside red line).

The orange line represents the next protective zone – once again a time of travel factor was involved in the identification of this line.

The final yellow line represents a zone where water can still reach the lake in a relatively short period of time, however, it is the furthest away and therefore water from this zone would take longer to reach the lake than it would from the other two zones.

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Wellhead Protection (groundwater)

The least complicated method for determining a source water protection area is a calculated fixed-radius consisting of a circle drawn around a well to delineate a specified time-of-travel.

The radius of the circle can simply be arbitrary, but may also be defined by things like the pumping rate or permeability of the aquifer.

This method is relatively easy to perform with limited information, but it often results in a larger wellhead management area than other methods.

Therefore the advantage of this method is that the zone of protection is generally larger than needed and thus affords a high level of protection.

The disadvantage is that the zone of protection is generally larger than needed and therefore restive policies governing land use activities may influence a larger number of people than needed.

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Calculated Fixed Radius Delineation Approach

The calculated fixed radius delineation looks very similar in form to the arbitrary fixed radius method.

The approach produces concentric circles radiating out from the well head, but the idea is that some more information is used to determine the size of these circles (protective zones).

This slide shows an example where the variables taken into account include the porosity of the aquifer and the screen length resulting in concentric circles that contain the volume of water that the well pumps in a given number of years (1 year, in this example).

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WHPA: Calculated Fixed Radius Delineation (3 years)

The calculated fixed radius delineation looks very similar in form to the arbitrary fixed radius method.

The approach produces concentric circles radiating out from the well head, but the idea is that some more information is used to determine the size of these circles (protective zones).

This slide shows an example where the variables taken into account include the porosity of the aquifer and the screen length resulting in concentric circles that contain the volume of water that the well pumps in a given number of years ( 3 and 1 in this example).

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WHPA: Calculated Fixed Radius Delineation (6 years)

The calculated fixed radius delineation looks very similar in form to the arbitrary fixed radius method.

The approach produces concentric circles radiating out from the well head, but the idea is that some more information is used to determine the size of these circles (protective zones).

This slide shows an example where the variables taken into account include the porosity of the aquifer and the screen length resulting in concentric circles that contain the volume of water that the well pumps in a given number of years (6, 3 and 1 in this example).

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Calculated Fixed Radius Delineation

This is what that same example looks like on the ground. Almost identical to the arbitrary fixed radius method, but may have more confidence in the values picked.

The different zones are based on the estimated time it would take ground water to travel a known distance. For example a spill that contaminated the ground water within the first circle (zone) would reach the well head in less than a year. If all activities were restricted with the 6 year zone, then a spill out side of that zone should take approximately six years before the contamination reached the well head, providing time to obtain a temporary alternative water supply during the time involved to relocate the community well to a non-contaminated aquifer.

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Delineation of Protection Zones with the Aid of Computer Models

An even greater refinement to the delineation of protection zones can be made with computerized models. An example of the type of output that could be expected is provided in the figure.

To delineate these lines there would have been many complex factors considered, and almost certainly GIS would have been used.

Computer models typically require large inputs of data describing the dimensions and hydrogeological properties of the aquifer materials in order to simulate the aquifer’s behavior.

Information is also needed about well construction, pumping rates, river conductance (how much water flows through the base of the river channel), recharge and evapotranspiration rates.

Water flow paths are determined in the model by placing "tracer-particles" at the wells and instructing the computer to trace their routes backward for the specified Time of Travel. In this example, the outer zone has a time of travel of ten years. The area bounded by the flow paths then becomes the source water protection area.

This approach includes extensive compiling of existing information and a preliminary characterization of the hydrogeological system. Information sources may include water well records, aquifer test reports, hydrogeological studies from local sites of environmental contamination, water-use records, geologic maps, topographic maps, stream flow data, rainfall data, and other available hydrologic information. Fieldwork is then directed at addressing inconsistencies in the available information or providing more detailed information in areas where the available information is limited. The fieldwork may include geologic borings, installation of observation or monitoring wells, determination of SWL elevations, aquifer tests, geophysical tests and isotope analysis. The combined set of existing information and newly acquired data is used to develop a conceptual model of the groundwater system that is reproduced mathematically as a groundwater flow model.

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Comparison of Delineation Approaches

The protection zones that are developed using the fixed radius method (yellow lines) and the more sophisticated computerized model approach (red lines) are shown in this comparison.

The computerized method for delineation of the protection zones takes into account the direction the groundwater flows along with the velocity of the flow (e.g., time of travel).

The advantage of the computer model is that it more closely identifies the area to be protected, and at the same time relaxes restrictions in areas identified by the fixed ratio methods which do not necessarily need the same type of land use restrictions.

In the photo there are 3 wells. The shape of the protection zones reflect the fact that these zones were developed using a computer model even more sophisticated that the one shown in the previous slide. Thus the more complex the computer model and the greater availability of hydrological data for input to the model, and then the more detailed the protection zones can be delineated.

The red arrow indicates the general flow direction of the groundwater.

The blue lines are time zones. Notice that each time zone is based on the number of days of time for travel (not hours as in surface waters)

The first blue line (inner circle) indicates the area around each separate well that is the most sensitive – the time here is 200 days – this would give the community time to locate and drill a new well should there happen to be a spill outside this line

Important points:

Generally groundwater moves much slower than surface water and therefore, it may take much longer to recognize a problem from a fuel spill to show up in the well. It will also take much longer to fix (mitigate) the problem once it occurs.

For example, if a fuel spill occurs in the upstream portion of a river, it may take only a few days of time for the spill to travel to the next downstream community and it will likely take only a few days before it is flushed away downstream past the water intake and fresh water has returned. With a spill into the groundwater, it may take several months to years before it reaches the well, and may also take several months to years or decades before the well water is once again drinkable.

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Selecting a Delineation Method for Defining Source Water Protection Zones

The level of protections developed and implemented for either surface water intakes or groundwater wells depends the level-of- concern based on the available information characterizing the location of the water supply intake and the surrounding watershed.

Some level of protection can be applied relatively inexpensively through the application of protection zones based on separation distance and estimated time to travel from the point of contamination to the water supply intake.

These initial protection zones can always be refined when more resources become available.

Likewise, the survey of point and non-points sources and identification of specific contaminants (chemical, biological, physical) can range from relatively simple visual observations or voluntary information provided by citizens, to more official surveys (i.e., scoping and problem formulation and hazard identification steps of risk assessment)

Information gathered during the initial risk assessment stage (scoping, problem formulation and hazard identification) should be used in the development of zoning by-laws applicable to residential parkland commercial and industrial land uses and in the evaluation of activities and emissions of current land uses.

The available information gathered in the hazard identification step may be beneficial in screening of possible sources if contaminants are found in drinking water post-treatment and in ruling-out risks of possible contamination during storage distribution and handling of treated drinking water.

The development of a source water protection plan and its implementation must be done in an open, transparent and fair approach; the rationale and supporting information including monitoring and surveillance data used in developing and implementing a source water protection plan for the community drinking water supply should be accessible to all stakeholders including members of the community and the public.

In this series of courses on Water and Health, the Course entitled "Water-related Impacts on Health - Principles Methods and Applications provides a comprehensive discussion of risk assessment risk management and risk communication, including information on key terms frameworks and resources used in risk assessment management and communications, including examples relevant to safe drinking water and guidance for conducting a Level-of-Concern approach.

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Source Water Protection And Risk Assessment

The survey of land use activities within the protection zones must identify all point and non-point sources past present and planned for future and the corresponding biological chemical and physical contaminants and rates of releases from the available information that are and could significantly compromise the quality and volume of the source water supply.

The role of the source water protection survey (i.e., the scoping and problem formulation stage of risk assessment) should be to identify hazards and existing and emerging problems and develop risk management options for reducing risks of possible harmful exposures.

Among the goals of the source water protection plan would be to find practical and reliable ways to minimize risks to the source water supply.

For example, cleaning-up and containment of spills, controlling emissions from sources of pollution, implementing protective buffer zones around the source water intake and operationalizing drinking water treatments and carrying out monitoring and surveillance for indicators of the safety of the treated drinking water (i.e., safe drinking water guidelines are met for selected pathogens parasites metals and other chemical contaminants, including other inorganic and organic compounds and radionuclides).

Guidelines for safe drinking water quality and performance of drinking water treatment systems have been developed by the WHO and should be applied to assess the effectiveness of the treatment process and equipment (membrane filters, settling basins, chlorine disinfection, polishing and others) and the safety of the treated drinking water..

Some examples of common hazards and existing and emerging problems for source water protection are: releases of human sewage and animal wastes into surface waters that serve also as source waters for drinking water; the occurrence of blooms of cyanobacteria in surface waters that are source waters for drinking water; cooling water intakes and outfalls of energy generating facilities using the same surface waters as source waters for drinking water; the refueling (petrol) stations with surface fuel spills and storage tanks leaking benzene toluene ethylbenzene and xylene into the soil and downwards to the aquifer that also serves as the source of community well water; installation of septic beds within less than the recommended separation distance to a drinking water well (and vice versa).

The development of a source water protection plan and its implementation must be done in an open, transparent and fair approach; the rationale and supporting information including monitoring and surveillance data used in developing and implementing a source water protection plan for the community drinking water supply should be accessible to all stakeholders including members of the community and the public.

In this series of courses on Water and Health, the Course entitled "Water-related Impacts on Health - Principles Methods and Applications provides a comprehensive discussion of risk assessment risk management and risk communication, including information on key terms frameworks and resources used in risk assessment management and communications, including examples relevant to safe drinking water and guidance for conducting a Level-of-Concern approach. A brief overview is provided below; the student is encourage to read and review the materials in the previous Course dealing with risk assessment risk management and risk communication.

What is Risk Assessment?

Risk assessment is a term for the whole five stages process from hazard identification through risk characterization to risk management.

1. Scoping and Problem Formulation

2. Hazard Identification - the determination of substances of concern, their adverse effects, target populations, and conditions of exposure, taking into account toxicity data and knowledge of effects on human health, other organisms, and their environment.

3. Hazard Assessment - the determination of factors controlling the likely effects of a hazard such as the dose–effect and dose– response relationships, variations in target susceptibility, and mechanism of toxicity. for pathogens it would include the incubation period knowledge of the chain if transmission, vectors and fomites, sensitivity and resistance to disinfectants (e.g., chlorination, UV, ozonation, other).

4. Exposure Assessment - the process of measuring or estimating concentration (or intensity), duration, and frequency of exposures to an agent present in the environment or, if estimating hypothetical exposures, that might arise from

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the release of a substance, or radionuclide, into the environment.

5. Risk Characterization, including Uncertainty Analysis and Sensitivity Analysis, to identify important factors contributing to risk of harmful effects. Risk characterization is defined as the integration of the hazard assessment and exposure assessment. It is the outcome of hazard identification and risk estimation applied to a specific use of a substance or occurrence of an environmental health hazard (i.e., the probability of harmful impacts on the source water and the quality of the treated drinking water). Risk characterization requires quantitative data on the exposure of organisms or people at risk in the specific situation.

figure - risk assessment framework

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figure - host pathogen environmental conditions disease

What is Risk?

figure - risk paradigm

Risk is defined as the following,

1. The probability of harmful effects caused under specified circumstances by a contaminant and their mixtures in an organism, a population, or an ecological system. 2. The probability of a hazard causing an harmful effect. 3. The expected frequency of occurrence of a harmful event arising from such an exposure.

Risk is generally expressed as the product of exposure and hazard.

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Negligible risk is defined as the following (Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344).

1. Probability of adverse effects occurring that can reasonably be described as trivial. 2. Probability of adverse effects occurring that is so low that it cannot be reduced appreciably by increased regulation or investment of resources.

What is exposure?

Exposure involves contact with water by direct contact through ingestion, skin contact, and inhalation (and injection) exposure routes, and indirect contact such as through consumption of prepared foods, garden produce, fish and other products and water uses. Estimation of exposure involves the environmental conditions and situational circumstances influencing exposure including susceptibilities and vulnerabilities of the population and individuals. Environmental concentrations are governed by fate and transport and physical chemical properties including half-lives and growth rates of contaminants chemical biological and radioactive, influences of the characteristics and properties of the watershed and hydrology of surface waters and the hydrogeology of groundwater systems, and cumulative stressors such as multiple users and climate change, and the structure and performance of the water treatment system, accessibility to alternative drinking water sources, and various socio-economic aspects influencing exposures and impacts.

Exposure is defined as the following (Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344).

1. Concentration, amount, or intensity of a particular physical or chemical agent or environmental agent [biological contaminant] that reaches the target population, organism, organ, tissue, or cell, usually expressed in numerical terms of concentration, duration, and frequency (for chemical agents and microorganisms) or intensity (for physical agents).

2. Process by which a substance becomes available for absorption by the target population, organism, organ, tissue, or cell, by any route.

3. For X- or gamma radiation in air, the sum of the electrical charges of all the ions of one sign produced when all electrons liberated by photons in a suitably small element of volume of air completely stopped, divided by the mass of the air in the volume element.

What is hazard?

Hazard is defined as a set of inherent properties of a substance, mixture of substances, or a process involving substances that, under production, usage, or disposal conditions, make it capable of causing harmful effects to organisms or the environment, depending on the degree of exposure; in other words, it is a source of danger. Harm (harmful effect) is defined as damage or adverse effect to a population, species, individual organism, organ, tissue, or cell. See also risk. (Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344).

What is monitoring?

Continuous or repeated observation, measurement, and evaluation of health and (or) environmental or technical data for defined purposes, according to prearranged schedules in space and time, using comparable methods for sensing and data collection. Note: Evaluation requires comparison with appropriate reference values based on knowledge of the probable relationship between ambient exposure and adverse effects.(Duffus et al., 2007. Glossary of Terms file:///F|/Dropbox/WaterHealthNewFinal/Course3/discussion/WH30M020D023SWPR.htm[11/3/2014 7:39:18 PM] WLC Template

Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344).

What is susceptibility?

Susceptibility is defined as the condition of lacking the power to resist a particular disease or infection; thus, in susceptible people, “normal expected” results occur, but with a lower exposure (or dose) than in the rest of the population. (Duffus et al., 2007. Glossary of Terms Used in Toxicology IUPAC Pure and Applied Chemistry 79:1153-1344).

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Summary

In summary, source water protection is an action plan that is developed to ensure the long term safety quality and quantity of drinking water supplies whether they are surface waters or ground waters.

This generally starts with characterizing the water resources to determine where the water originates, the flow paths it takes, the rate of time it takes to travel known distances and an understanding of how much water is available.

Once these types of aspects are understood, then a plan can be set in place to delineate zones of protection around these supplies. This is generally done by protecting the areas of greatest importance. For example the surface water intakes or the wellheads. The size of the protection zone is generally based on a time of travel principle. The concept is to provide a protection zone large enough to provide the community sufficient time to take corrective action should the drinking water become compromised from a contaminant spill or some other event. In surface water intakes, the time lines are generally within hours and for ground waters that move much slower, the time lines are generally based on years. Once the protection zones are established, then a survey should be undertaken to identify and evaluate all hazards and threats. A risk management plan should then be developed that mitigates the hazards and threats to enhance the overall level of protection.

Source water protection plans should also develop contingency plans that will help to ensure the continuation of safe drinking water supplies should the current water supplies become compromised. This may include aspects such as identifying where a new well could be located and securing the funds to construct the new well.

Source water protection is the first line of defense in a multi-barrier approach. The concept is to keep the source drinking water supplies clean and in good supply. Additional barriers such as the treatment of drinking water supplies, its protection during distribution and surveillance to guarantee its quality and quantity proved additional assurances for the delivery of the water supply.

Are there special considerations? Would a larger zone be necessary for protecting source waters from cumulative impacts and threats, such as those from long-term and repeating emissions of persistent contaminants to both the airshed and watershed?

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Point of Use Disinfection and Small-Scale Drinking Water Treatment

A variety of options area available for the treatment of drinking water at the “point-of-use” and for small scale treatment.

Point-of-use treatment refers to those technologies that treat water at the site of collection or the site of water use and consumption,in other words at the tap, water jug or water container.

The scale of treatment is small with the volume treated generally related to the needs of an individual or family grouping and in some occasions providing enough drinking water for a small cluster of homes or small community.

The intent is rapid treatment with little to no infrastructure in terms of buildings or treatment equipment. Most technologies are self contained requiring little to no additional chemicals or electrical power.

The intent of point-of-use technologies is to provide a relatively accessible drinking water treatment solution, especially to those who do not have reliable access to safe state or community operated drinking water supplies and those without resources for ensuring access to safe drinking water.

Many jurisdictions around the world struggle with providing reliable and safe drinking water supplies to their citizens.

Factors such as limited financial resources, the lack of qualified staff, the unreliability of electrical power are just some of the factors that can disrupt the constant supply of clean drinking water.

Many times these factors are most evident for the economically disadvantaged. This can be especially true for smaller rural communities and within settlement areas surrounding large urban centres where municipal infrastructures may be lacking.

Recent studies have shown that Point of Use technologies to be more effective in reducing diarrhea morbidity than other options for treating drinking water, including treated source water piped onto premises and improved public water supply (van Verssen, 2010).

The material presented in this section of the course on PoU technologies was adapted from the Water Smart Solutions series commissioned in partnership by the Netherlands Water Partnership, Aqua for All and Wittevenn+Bos.

The title of this publication is “Smart Disinfection Solutions: Examples of small-scale disinfection products for safe drinking water” which was prepared as a contribution to the International Water Agency (IWA) conference on Sustainable Solutions for Small Water and Wastewater Treatment Systems (S2Small2010) which was held in Girona, Spain, April 2010.

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Disinfection - Point of Use and Small-Scale Treatment of Drinking Water

Not all of the methods listed are applicable to rural areas of developing countries. Some of these methods like membrane filtration (microfiltration, ultrafiltration, nanofiltration) require dependable electricity and skilled staff.

Chlorination of water in urban settings and the boiling of water at the home are the most common methods of disinfection.

Chlorination of drinking water

Chlorine in concentrated amounts is hazardous and is highly corrosive and a strong oxidizer and label instructions must be followed for safe use and proper disinfection of drinking water. Chlorination can have an impact on taste which is often associated with the formation of undesirable chlorination disinfection by-products from the reaction of organic matter with chlorine through improper use.

For further discussion see section on household watre treatment and WHO Toolkit for Monitoring and Evaluating Water Treatment and Safe Storage Systems included in the resources for this course.

Boiling drinking water

The boiling of water requires a large investment of energy (wood, charcoal, gas or electricity) which can be in scare supply and costly to the user.

For further discussion see section on household watre treatment and WHO Toolkit for Monitoring and Evaluating Water Treatment and Safe Storage Systems included in the resources for this course.

Baseline Log Removal of Pathogens

The chart showing the baseline log removal by different treatment methods was copied from the booklet “Smart Disinfection Solutions” (see previous slide for full citation) that summarizes various PoU technologies in terms of their effectiveness at reducing microbial pathogens.

Few of the PoU technologies meet WHO performance targets, but they do provide increased protection which may otherwise not be available.

World Health Organisation (2011) performance targets for the reduction of pathogens in raw drinking water are*** the removal of? ***:

i) Cryptosporidium = 5.89 log10 units

ii) Campylobacter = 5.98 log10 units

iii) Rotavirus = 5.96 log10 units

WHO. 2011. Guidelines for drinking-water quality, 4th ed. WHO Press, Switzerland. 541 p. ISBN 978 924 1548151. The WHO 2011 guidance document is included in the resources folder for the course.

A collection of point of use and small-scale treatment of drinking water technologies are promoted by the Netherlands Water Partnership, Aqua for All and Witteveen+Bos and are presented in the following part of the course.

Not all PoU technologies meet WHO disinfection performance targets, but to be beneficial should provide an increased measure of protection when other more advanced treatment technologies are not available.

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Pre-Treatment for Disinfection of Drinking Water

It is generally preferable to pre-treat raw drinking water supplies prior to the use of PoU technologies.

This is particularly important in highly turbid waters. Pre-treatment should be done to reduce turbidity.

This may be as simple as allowing the suspended particles in the water to settle out of solution or it may involve some sort of coagulation or pre-filtration step.

The primary purpose of pre-treatment is to remove suspended and settable solids from the water.

Removal of these particles will often:

i) reduce the concentration of particle – associated pathogens.

ii) improve subsequent disinfection techniques such as chlorination, ozonation or UV irradiation.

and iii) extend the effective life of the PoU technology (e.g.,, prevent premature clogging of filters).

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Point of Use Categories and Evaluation of 21 PoU Drinking Water Treatment Methods

The 21 PoU technologies reviewed for the IWA 2010 Conference on Sustainable Solutions for Small Water and Wastewater Treatment Systems can be divided into four major groupings based on common modes of action.

The four main categories include the following:

•Filtration Units (6 PoU products)

•Disinfection (8 PoU products / techniques)

•Filter + Disinfection (6 PoU products)

•Other (1 PoU product)

A comparative evaluation of 21 PoU methods is published in the "Smart Disinfection Solutions" booklet and is intended to provide only a rough guide for comparative purposes.

The comparative evaluation was based on specifications provided by the manufacturers and an overall assessment by the authors of the level of appropriateness for rural areas of developing countries.

The evaluation criteria used in the comparative evaluation included the following:

Performance

1. Continuity of water quality and quantity (high weight)

2. Adaptability to part time operations (high weight)

3. High potential of local production (high weight)

4. Robustness (medium weight)

5. User safety during operation (medium weight)

6. Possibility of water quality checking by user (medium weight)

7. Amount of experience in technology application (low weight)

People

8. Operated and maintained at local level (high weight)

9. Accessible spare parts (medium weight)

10. Social benefits to user (medium weight)

11. Acceptable intensity and frequency of operation and maintenance (low weight)

Planet

12. Low dependency on fuels and chemicals (high weight)

13. Isolation or reuse of waste products (low weight)

Reference Used: “Smart Disinfection Solutions: Examples of small-scale disinfection products for safe drinking water” which was prepared as a contribution to the International Water Agency (IWA) conference on Sustainable Solutions for Small Water and Wastewater Treatment Systems (S2Small2010) which was held in Girona, Spain, April 2010.

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PoU – Filter (6 products)

The six Point of Use products summarized in this table all rely on the basic principle of filtration as the primary mechanism of disinfection treatment of water.

The primary focus of these products is the removal of waterborne pathogens, however, some like the Kanchan Arsenic filter and the biosand filter do provide some removal of arsenic (and other potentially harmful chemical contaminants).

Ceramic Water Purifier - There are many versions to this basic concept. The one presented here has been developed and supported through Potters for Peace (www.pottersforpeace.org). The filter elements can be made locally with local clay mixed with a combustible material such as sawdust, rice husks or coffee husks. Cleaning can be accomplished easily with a sturdy brush and flush with clean water.

Clay as a filter for the removal of bacteria and other contaminants was exploited dating back to BC, ancient Greece and early Mesopotamia and other ancient civilizations; clay was used for aqueducts and drinking water delivery systems and drinking water storage and refer student to elsewhere in the series of courses on Water and Health that discuss this.

Biosand Filter - The biosand filters are very easy to operate, however in a new filter, the bio-layer typically takes at least three weeks to mature. For optimum performance, the filter should be used every day, preferably with a consistent water source. It is recommended to add a final disinfection step (chlorine, solar disinfection or boiling) in order to ensure a higher level of disinfection.

Water 4Life Filter - This system contains an upper portion where the raw drinking water is added. Water flows via gravity through the candled (layered) filter cartridges into the lower unit which acts as a storage reservoir for the treated drinking water. Candled filters can be replaced, however, the first five litres of water passing through a new filter should be discarded. One candled filter should normally be able to produce 7,000 litres of treated drinking water. One of the drawbacks is a lack of a reliable method to check the water quality in terms of determining when the filter element is exhausted and no longer functioning properly

Tulip Siphon Filter - The system is equipped with a fleece pre-filter to help increase the lifetime of the candle filter. The candle filter can also be backwashed by squeezing the bulb to reverse the flow of clean filtered water through the candle filter, thus an additional step to help increase the life of the filter and improve flow through filtration rates once clogging has slowed the flow.

Kanchan Arsenic Filter - This device was developed by researchers at the Massachusetts Institute of Technology, ENPHO (Environment and Public Health Organization of Nepal), and Rural Water Supply and Sanitation Support Programme of Nepal. It has been designed to remove arsenic from drinking water along with other contaminants.

Jal-TARA Water Filter (SSF) - This gravity fed slow sand filter must be operated under continuous flow to sustain the biofilm. The system is designed to operate with relatively little maintenance, however, it does require periodic cleaning depending on the turbidity and bacterial contamination of the source water. Maintenance generally involves the cleaning of the fabric filter twice a year when turbidly of the input water is 1015 NTUs. This is typically accomplished by backwashing, however, it generally takes several days before the disinfection performance is restored, therefore water from the filtration unit should not be consumed during this period.

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PoU - Heat and UV Disinfection (boiling + 3 products)

Boiling for Disinfection - Boiling of water is one of the oldest and most effective methods of disinfection. Disadvantages: The main disadvantages are that it takes time and precious fuel for heating and depending on the type of contaminants present, it may or may not be an effective treatment for their effective removal (e.g., heat resistant bacterial endospores, prions, arsenic and inorganic and low volatile organic chemical contaminants).

Refer to previous sections on heat inactivation of pathogens and drinking water disinfection and risk management of an outbreak and boil water advisories discussed in Course 2 Water related Impacts on Health : Principles, Methods and Applications.

Solar Disinfection (SODIS) - This method involves placing raw drinking water into discarded clear plastic water bottles and letting them stand in the hot sun for an extended period of time. Advantages: The advantage is that it is relatively inexpensive. Disadvantages: Turbidly of the raw water can impede treatment performance. As it is for other physical treatment methods, because there is no residual disinfection microbial re-growth in the bottled water can occur if not used immediately such as, during storage, in the night and during cloudy periods. Not all bottles can be effectively used for SODIS; it works for certain types of clear glass and clear hard plastic water bottles made of polycarbonate material. SODIS takes at least 6 h of direct exposure to sunlight to achieve a minimal low disinfection and may not be achieved if the days are cloudy and no disinfection occurs in the night.

refer to previous sections of the series of courses dealing with solar UV inactivation of bacteria, viruses, protozoa and parasites. See also section on Hosuehold Treatment.

Wilson and Andrews (2011) provides additional information on SODIS.

Wilson, S.A., and S.A. Andrews. 2011. Impact of a natural coagulant pre-treatment for colour removal on solar water disinfection (SODIS). J. Water, Sanitation and Hygiene for Development 1(1):57-67.

• total coliform and heterotrophic bacterial re-growth was observed during overnight storage of the treated water although no E. coli re-growth was observed.

• effectiveness of SODIS is dependent on numerous factors including: the type and availability of plastic water bottle, must be clear polycarbonate, appropriate weather conditions and the source water quality.

• poor source water quality (high turbidity or coloured water) can render solar disinfection ineffective as a treatment process (Joyce et al. 1996)

• adding the coagulant prepared from a seed emulsion of Moringa oleifera was an attempt to improve UV penetration by removing TS, colloidal material and DOM and DOC. The coagulant reduced the colour by more than two-thirds and achieved a 1 log bacterial removal (90%) but did not shorten the time for disinfection.

AquaPak – solar disinfection - This product is basically an enhanced solar disinfection technique that relies on both solar heat and UV irradiation. Advantages: The bag is modified with a bubble layer to enhance heat retention and the overall storage of heat. A replaceable indicator is used to signal when water temperatures reach 65°C and pasteurization begins. If cloudy days persist, then chlorine tablets can be used to ensure disinfection. Disadvantages: This method is vulnerable to other factors that could inhibit effectiveness such as high turbidity and colouration of water, cleaning during repeated use and unless chlorine tablets are used there is no residual disinfection.

Naiade - This product basically consists of a filter and UV disinfection of the filtered water. Advantages: This larger capacity unit is suitable for the provision of treated drinking water on a community scale. The self contained unit appears easy to install and operate and requires only minimal maintenance. It is solar powered and therefore does not need an electrical power supply making it applicable for remote rural areas. Disadvantages: There is no residual disinfection. Requires storage of solar power for cloudy and rainy periods and in the nighttime.

See previous sections on solar and UV inactivation of bacteria viruses protozoa and parasites and the followinf section on Household Water Treatment. More detailed informaiton on pathogens is provided in Course 2 Water-Related Impacts on Health:

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Principles, Methods and Applications.

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PoU - Chemical Disinfection Treatment (Chlorine + 5 products)

Chlorine - Disinfection - Care should be taken to follow the specific instructions for each chlorine based product which can vary from one product to another. There are a variety of commercial products on the market ranging from powders to tablets to liquids.

AquaEst Plation® Floats - Disinfection - These ceramic balls were originally designed to be used as a residual disinfection product for the storage of treated (e.g., chlorinated) water (such as in harvested rainwater stored in cisterns).

Advantages: They can be used to provide residual disinfection to stored water and also can be used to treat raw drinking water supplies. disadvantages: The contact time required for proper treatment takes days rather than hours.

NaDCC for disinfection - Historically, this product was developed for emergency use, but is now becoming more popular as a PoU treatment option. Disadvantages: They are expensive in comparison to other PoU technologies when used routinely as a primary treatment option. Also most users have difficulty determining the proper dosage required for treatment even when instructions are provided. Education of the user is necessary for their proper use. A proper and established supply chain and market availability is required to maintain access to the product. These tablets can not generally be manufactured locally.

PUR Purifier of Water™ - The mechanism of action here is both the removal of turbidity followed by exposure to a disinfectant (oxidant). Advantages: The concept is that removal of turbidity in itself will help to reduce the pathogen burden and will also enhance the performance of the disinfectant. The PUR can also remove to a limited extent some trace elements like arsenic and other dissolved chemical contaminants. Disadvantages: A major drawback is the relatively high cost of the product and it is necessary to provide training in its use for proper application.

WATA – chlorine generator - Antenna Technologies has developed a line of WATA® devices for the local production of chlorine intended for water disinfection purposes. The raw water used to both generate the chlorine solution and the raw water intended for disinfection by the chlorine solution should be relatively clear with low turbidity to ensure maximum performance and disinfection. Advantages: It appears that each device is equipped with a kit to measure the chlorine content of the generated solution. It also appears that this solution can then be stored to be later used to disinfect raw drinking water supplies. Disadvantages: The WATA require electricity to operate, however some models exist which can operate from solar generated electricity, thus expanding the use of this technology into rural areas where electrical services are not provided, but would not be operational during cloudy and rainy periods and nighttime unless storage for solar power is available.

WaterPurifier - This self contained, ready to use water purification unit. Advantages: It both filters raw drinking water and disinfects by generating its own supply of chlorine from salt water. This is a high capacity unit and it more typically applied to community water needs. Disadvantages: The unit requires electricity to operate. The unit is solar powered, with the option of plugging into an electrical supply should the amount of sunlight not be sufficient to generate the required solar power.

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PoU - Combined Chemical and Physical Treatment (4 products)

LifeStraw® Personal - This is a personal use product. Advantages: It provides disinfection through both filtration and iodine as a disinfectant and granular activated carbon to remove the iodine. Some models are supplied with silver-impregnated granular activated carbon as an additional disinfectant. Disadvantages: The amount of iodine released to the user is generally not sufficient to cause health concerns except for those individuals with thyroid problems or who are allergic to iodine. Individuals who suspect these conditions should consult medical advice before using this product.

LifeStraw® - Family - This unit is designed to meet the needs of an individual household. Advatages: Some of the main features include a pre-filter to remove courser turbidity. Water passes through a halogen chamber which releases minimal chlorine to prevent membrane fouling. Pre-treated water flows through the ultrafiltration cartridge to remove bacteria viruses, parasites and fine particles. Disadvantages: A drawback is the relatively small (2L) reservoir for the raw drinking water which requires frequent filling. The filter is not sold as individual unit making replacement costs higher.

Perfector-E - This was designed as a self-contained portable water treatment system intended for emergency aid purposes. It has however, generated interest by some in the use as a permanent, decentralized, stand-alone water supply unit. Advantages: It operates on the use of ultrafiltration for the removal of pathogens and certain contaminants with the added provision of UV disinfection. Disadvantages: Because of the cost to purchase the unit and its large scale capacity for the generation of high quality drinking water, it is intended more for use at a community based level.

Pureit - This table top unit is suitable for use at the household level. It contains a micro-fiber filter to remove visible dirt. Water then passes through a carbon trap that provides a additional filtration to remove residual dirt, parasites and some organic contaminants. The filtered water then travels through the “germkill” processor which basically releases a sustained concentration of chlorine. A final polishing filter removes odour and improves water clarity. Advantages: Filtration for the removal of suspended solids and a residual disinfection. It is highly efficient against bacteria and viruses, but not as efficient for parasites (e.g., protozoan cysts). Disadvantages: When the germkill battery kit is exhausted, all three parts of the kit must be replaced. Concerns have been expressed about the relatively short lifespan and the supply chains.

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Multi-Stage Rainwater Treatment Purification System

AquaEst RainPC® - This is a rainwater harvesting system. Advantages: The multistage system uses filtration followed by long term storage system containing silver coated ceramic balls that help to disinfect the water from pathogens and to prevent re-growth of bacteria.

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Conventional Treatment Technologies - Drinking Water

This section of the course provides a basic overview of the treatment processes commonly found within conventional treatment plants operated for the generation of municipal drinking water supplies reflects the processes found in many if not most drinking water facilities. It should be understood that the technologies used to treat raw drinking waters are advancing in response to concerns over recalcitrant micro-contaminants within raw water and treated water. New treatment technologies are now emerging that effectively deal with many of these micro-contaminants. Existing drinking water facilities in general are being modified to accommodate these new technologies. The implementation of these upgrades can be expensive and limited to those regions with the financial resources needed.

The distinction between conventional treatment and advance treatment is some what arbitrary and is only intended to provide a general distinction between conventional treatment technologies and “newer” technologies implemented to treat contaminants of emerging concern. Discussion of the more recent advancements in the treatment of drinking water supplies is provided in the following section.

The first figure outlines the sequence of events that most conventional drinking water treatment plants follow for the production of high quality drinking water.

The following series of figures are intended to summarize the various process steps involved in conventional water treatment.

Greater detail regarding each of the treatment technologies (e.g., chlorination) is provided in the previous section on treatment methods.

Understanding the physical and chemical parameters for characterizing the raw water source (before treatment) is important since many of these parameters can influence treatment outcomes.

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Water Characterization

All raw source waters should be routinely monitored in order to characterize the parameters that both need treating and those that can influence the treatment process.

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Physical Characteristics

Turbidity of the source water is a function of both the concentration of suspended solids and colloidal matter.

Turbidity

Turbidity is cloudiness in water caused by the presence of suspended matter.

Turbidity is measured by the scattering and absorption of light.

Why is it important to remove turbidity for safe drinking water?

It is important to remove turbidity from drinking water for the following reasons:

Pathogens may adhere to particles.

Particles may shield pathogens from disinfection.

Turbidity may create a high chlorine demand.

A measurement of the turbidity level gives feedback for process control

Safe drinking water is clear (not turbid).

See the WHO drinking water guidelines for turbidity limits; the turbidity of treated drinking water is regulated.

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Taste and Odour

Taste and odour issues can arise from natural processes such as algae and bacteria and from treatment, such as the addition of chlorine.

Some may not like the smell or taste of chlorinated waters if the chlorine content is higher than needed for proper use for disinfection.

It is important to control the treatment processes to prevent taste and odour problems from the improper use of too much chlorine and not to discourage chlorine disinfection of drinking water because of uncontrolled taste and odour issues.

Temperature

The temperature of drinking water affects the disinfection process.

Warm water temperature favours the growth of waterborne pathogens and other biological contaminants.

The temperature of drinking water also affects the aesthetic properties of taste and odour.

Cold water has higher oxygen content. Warm water can be anaerobic (having little to no oxygen).

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Chemical Characteristics

Water Hardness Alkalinity and Iron and Manganese

These are naturally occurring properties of surface water and groundwater attributed to the mineral content and underlying geological and bedrock materials of the water body.

These properties of the raw water can also be modified in the treatment process to added or remove minerals to adjust water hardness, alkalinity in order to control water corrosiveness and acidity (i.e., pH).

As well as in the control of colour (staining) taste and odour characteristics of drinking water and potable water.

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Pre-Treatment

The location of the intake for the drinking water facility can significantly influence the quality of the source water.

Shallow nearshore intakes are often more vulnerable to land based activities that can add sediments and pathogens to the source water.

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Coagulation - Flocculation

The overall goal of the coagulation and flocculation process is to remove suspended material from the water column, much of which may be colloidal in nature. The assumption is that the removal of this material will also remove other unwanted constituents that may be associated or bound to this suspended material such as, water borne pathogens and inorganic and organic contaminants. Additional chemical such as potassium permanganate may also be added to oxidize iron and manganese which can cause unwanted taste and odor issues.

Chemicals are added to cause coagulation and flocculation of material suspended in the water column. Coagulation and flocculation are two different processes. Much of the suspended material can be colloidal in nature. Colloidal particles are extremely small and usually have an electrical charge (often negative) which causes individual particles to repel one another and in doing so, there is little chance for these negatively charged particles to collide and agglomerate into particles large enough to settle out of solution.

The addition of a coagulant, such as ferric chloride will neutralize the charge on the colloidal particle. Care must be taken to ensure the correct dose is added with rapid mixing. Once done, the colloidal particles have the change to agglomerate (clump).

Floccing agents then added to aid in forming larger particles originating from the clumped colloidal material. Flocculants are usually polymers which form bridges between the clumped colloidal particles. The overall effect is to produce even larger agglomerations which are now large enough to settle out of solution via gravitational forces. Once again, flocculants are added with mixing. Care must be taken to ensure the correct rate of mixing. If mixing is too vigorous then the bridges between the colloidal clumps breaks and the effect of the floccing agent is diminished.

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Removal of Flocculated Material

The clarification and filtration stage is designed to remove the flocculated solids from the water column. This is typically accomplished by moving the water from the flocculation tank into a clarifier where the flocculated solids are allowed to settle out and fall to the bottom where they are collected and transferred to an onsite processing area.

In many facilities the flocculated solids are thus removed via gravitational forces (e.g., sedimentation), however, some facilities use a process called dissolved air floatation. In this process an air saturator is used to supersaturate the flocculated water with compressed air. The tiny air bubbles float the clumps of organic matter to the surface of the water where a series of skimmers remove the floating clumps. These clumps are collected and transferred to an onsite processing area.

In most facilities, regardless of whether the flocculate material is removed via sedimentation or dissolved air floatation, a final filtration step is undertaken to ensure high quality water devoid of suspended material. The type of filter used can vary, but often it is a carbon based filter to remove trace organic contaminants that may contribute to unwanted taste, odor or colour and unwanted dissolved inorganic contaminants. In some cases the carbon filter is a biologically activated carbon filter that utilizes microbial action for the consumption of trace organic contaminants.

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Disinfection

The waters that reach the disinfection stage in the treatment train should be comparatively free of suspended matter, in contrast to the raw water and that of the previous physical treatment steps.

The presence and concentration of water borne pathogens and trace organic contaminants depends on the original quality of the raw water and the technology used in the process stages of the water treatment train.

For example, the type of filtration can greatly influence the removal efficiency for microorganisms and trace organics. Conventional physical filters (e.g., sand filters) may not sufficiently remove all of these compounds, particularly for some of the smaller bacterial and viral pathogens. Likewise most trace organic compounds require (ultrafiltration) nanofiltration for removal.

Chlorine has historically been the choice for disinfection. Chlorine containing products are effective for killing many microorganisms and decreasing levels of human pathogens in chlorinated waters. Some pathogens are chlorine resistant such as, Cryptosporidium oocytes, Giardia cysts and certain types of bacteria such as Legionella; chlorine does not provide adequate disinfection for these pathogens and similar types of organisms.

Improper pretreatment and chlorination can lead to the formation of undesirable disinfection byproducts such as THMs, especially when raw waters are rich in natural organic matter.

There is a trend in some regions look for alternative disinfection technologies and to develop water treatment processes that require less chlorine use to disinfect. Examples include the use of alternative oxidants such as ozone, peroxide and UV irradiation, but chlorine or chloramines are still the preferred disinfection agents because they provide secondary disinfection of the stored water and distributed water. Other disinfectants such as ozone, peroxide, UV irradiation and iodine are also effective in providing primary disinfection, but because of their relatively short time of persistence, they are generally considered not suitable as secondary disinfectants as they do not provide adequate disinfection against recontamination during storage and distribution.

Membrane separation technologies can also be use for the removal of microorganisms and trace organic contaminants. More information regarding the use of disinfection agents can be found in the previous section dealing with water treatment methods and the following section on advance treatment methods for drinking water.

There are a variety of configurations that can be used to accomplish disinfection.

Some treatment facilities ozonate the clarified water (e.g., after removal of flocculated solids). The ozone at this stage is intended to: i) inactivate water borne pathogens (including those that are chlorine resistant) and ii) to oxidize remaining natural organic matter (NOM) precursors for THMs and trace organic contaminants (TrOCs). Following ozonation, the water is passes through biologically activated carbon (BAC) where microbial action metabolizes the NOM breakdown products produced by ozonation and any remaining TrOCs. Following BAC filtration the water is then chlorinated and the pH is adjusted to near neutral with the use of sodium hydroxide and the treated water then enters a clearwell where any precipitates have a chance to settle out. Note, that the ozone oxidation of NOM followed by BAC filtration should remove precursors of chlorinated disinfection byproducts thus reducing the potential for their development when the BAC filtered water is chlorinated. The clarified water then undergoes a final disinfection stage with UV irradiation to ensure a high level of pathogen removal.

Summary:

i) Coagulation / flocculation

ii) Ozonation

iii) BAC filtration

iv) Chlorination

v) pH adjustment

vi) Clearwell (sedimentation)

vii) UV irradiation

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Storage Testing and Distribution

The last stage of treatment includes the storage, testing and distribution of the treated water.

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Testing of Water During Treatment Storage and Distribution

Testing should occur at all stages including: i) source water, ii) at various stages in the treatment process, ii) during storage and iv) during distribution.

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Where to Sample - Water Treatment Process and Storage and Distribution

This figure of the water treatment process, including storage and distribution, identifies sampling locations for collection of water for testing.

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What to Measure - Sampling and Monitoring - Water Treatment Process, Storage and Distribution

This slide identifies the various parameters to measure at each of the sampling locations.

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Household Water Treatment - Introduction

Diarrheal diseases (such as cholera) kill more children than AIDS, malaria, and measles combined, making it the second leading cause of death among children under five.

The pathogens that cause diarrhea are commonly spread by food or water that has been contaminated with human or animal feces. This contamination can occur in the environment as a result of inadequate sanitation and inadequate protection of drinking water sources and food products, or in the home through unsafe water storage and inadequate hygiene.

Diarrhea is not the only disease spread through unsafe water and poor sanitation and hygiene practices. Neglected tropical diseases like schistosomiasis and Guinea worm disease can be reduced almost 80% with improved hygiene, sanitation, and safe water access. In fact, access to safe water and improved hygiene and sanitation has the potential to prevent at least 9.1% of the global disease burden and 6.3% of all deaths

Household water treatment and safe storage (HWTS) is one particular option within a broader WSP to make water safer to drink. HWTS is not a substitute for sustainable access to safe drinking-water but it does provide an interim measure for removing pathogens from drinkingwater, particularly where access to clean and safe water supplies is not available.

HWTS is a preventative health intervention and provides the greatest benefit to those groups that are most likely to suffer from diarrhoea (young children, individuals living with HIV, and malnourished populations, for example). HWTS may also be effective in emergency situations where drinking-water is compromised due to poor hygiene, necessity of storage and/or environmental conditions. Prüss-Üstün A, Bos, R, Gore F, Bartram J. 2008. Safer water, better health: costs, benefits and sustainability of interventions to protect and promote health [PDF - 60 pages]. World Health Organization, Geneva. From: http://www.cdc.gov/safewater/disease.html (Internet Access Required)

WHO has produced an excellent summary of the issues involved in evaluating household water treatment and safe storage systems in differernt environment. This toolkit is available on the CD and on the WHO website.

A Toolkit for Monitoring and Evaluating Water Treatment and Safe Storage Systems - Full PDF Document on CD

and from the WHO website (PDF) (Internet Access Required)

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Household Water Treatment - Overview

The Center for Disease Control – USA. Safe Water System (SWS) CDC and the Pan American Health Organization (PAHO) developed the Safe Water System (SWS), which protects communities from contaminated water by promoting behavior change and providing affordable and sustainable solutions. The SWS increases access to safe water by helping individuals to sustainably treat and safely store water in homes, health facilities, and schools.

The SWS encompasses three steps:

1. Household water treatment 2. Safe storage of the treated water 3. Behavior change communications to improve hygiene, sanitation, and water and food handling practices.

WHO Household Water Treatment and Safe Storage (HWTS)

The World Health Organization came to similar conclusions to CDC in a discussion paper "Considerations for Policy Development and Scaling-Up Household Water Treatment and Safe Storage with Communicable Disease Prevention Efforts"

The overall consensus from the group was that existing meta-analyses, individual research reports, and WHO Guidelines provide sufficient support for scaling-up HWTS. Participants thought more can and should be done to integrate HWTS into HIV, child and maternal health, dengue and vector control, and other targeted efforts.

The three specific conclusions were:

1. Correct and consistent use of proven household water treatment technologies and safe storage results in health gains

2. Optimal selection of household water treatment and safe storage should consider several contextual and performance factors

3. Integration of HWTS with health efforts offers “quick wins” for reducing diarrhoea and co-morbidity, providing incentives to seek health services, and makes efficient use of health resources.

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Household Water Treatment - Options

1. Aeration 2. Coagulation and flocculation 3. Desalination 4. Disinfection

4a Disinfection by boiling 4b Chemical disinfection 4c Solar disinfection

5. Filtration 6. Storage and settlement 7. Straining

1. Aeration can be accomplished by vigorous shaking in a vessel part full of water or allowing water to trickle down through one or more perforated trays containing small stones. Aeration increases the air content of the water, removes volatile substances such as hydrogen sulfide, which affect odor and taste, and oxidizes iron or manganese so that they form precipitates which can be removed by settlement or filtration.

2. Coagulation and flocculation. If water contains fine suspended solids, coagulation and flocculation can be used for removal of much of the material. In coagulation, a substance is added to the water to change the behavior of the suspended particles. It causes the particles, which previously tended to repel each other, to be attracted towards each other, or towards the added material. Coagulation takes place during a rapid mixing or stirring process that immediately follows the addition of the coagulant. The flocculation process, which follows coagulation, usually consists of slow gentle stirring. During flocculation, as the particles come into contact with each other, they cling together to form larger particles which can be removed by settlement or filtration. Alum (aluminum sulfate) is a coagulant used both at the household level and in water treatment plants.

Natural coagulants include powdered seeds of the Moringa olifeira tree and types of clay such as bentonite.

3. Desalination. Excessive chemical salts in water make it unpalatable. Desalination by distillation produces water without chemical salts and various methods can be used at household level, for example to treat seawater. Desalination is also effective in removing other chemicals like fluoride, arsenic and iron.

4. Disinfection is a way of ensuring that drinking water is free from pathogens. The effectiveness of chemical and solar disinfection, and to a lesser extent boiling, is reduced by the presence of organic matter and suspended solids.

4a. Disinfection by boiling. A typical recommendation for disinfecting water by boiling is to bring the water to a rolling boil for 10-12 minutes. In fact, one minute at 100ºC. will kill most pathogens including cholera and many are killed at 70ºC. The main disadvan- tages of boiling water are that it uses up fuel and it is time- consuming.

4b. Chemical disinfection. Chlorination is the most widely used method for disinfecting drinking water. The source of chlorine can be sodium hypochlorite (such as household bleach or electrolyti- cally generated from a solution of salt and water), chlorinated lime, or high test hypochlorite (chlorine tablets). Iodine is another excel- lent chemical disinfectant that is sometimes used. Iodine should not be used for extended periods (longer than a few weeks). Both chlorine and iodine must be added in sufficient quantities to destroy all pathogens but not so much that taste is adversely affected. Deciding on the right amount can be difficult because substances in the water will react with the disinfectant, and the strength of the disinfectant may decline with time depending on how it is stored.

4c. Solar disinfection uses solar radiation to inactivate and destroy pathogens present in water. Treatment consists of filling transparent containers with water and exposing them to full sunlight for about five hours (or two consecutive days under 100 file:///F|/Dropbox/WaterHealthNewFinal/Course3/discussion/WH30M045D008HHWTOptions.htm[11/3/2014 7:39:21 PM] WLC Template

percent cloudy sky). Disinfection occurs by a combination of radiation and thermal treatment (the temperature of the water does not need to rise much above 50ºC). Solar disinfection requires relatively clear water (turbidity less than 30NTU). More information on solar disinfection is available on the website www.sodis.ch.

5. Filtration includes mechanical straining, absorption and adsorption, and, particularly in slow sand filters, biochemical processes. Depending on the size, type and depth of filter media, and the flow rate and physi- cal characteristics of the raw water, filters can remove suspended solids, pathogens, and certain chemicals, tastes and odors. Straining and settlement are treatment methods that usefully precede filtration to reduce the amount of suspended solids that enter the filtration stage. This increases the period for which a filter can operate before it needs cleaning or replacing. Coagulation and flocculation are also useful treatments to precede settlement and improve still further the removal of solids before filtration.

6. Storage and settlement. Storing water in safe conditions for one day can result in the die-off of more than 50 percent of most bacteria. Longer periods of storage will lead to further reductions. During storage the suspended solids and some of the pathogens will settle to the bottom of the container. Water removed from the top of the container will be relatively clear (unless the solids are very small such as clay particles) and contain fewer pathogens. The three-pot treatment system where raw water is added to the first pot, decanted into the second pot after 24 hours and into the third pot after a further 24 hours, exploits the benefits of storage and settlement.

7. Straining. Pouring water through a clean cotton cloth will remove a certain amount of the suspended solids or turbidity. Special monofila- ment filter cloths have been developed for use in areas where Guinea- worm disease is prevalent. The cloths filter out the copepods which are intermediate hosts for the Guinea-worm larvae

As mentioned previously, five proven treatment options –

chlorination,1.

flocculant/disinfectant2. powder (PUR - P&G™)

solar3. disinfection

ceramic4. filtration

slow5. sand filtration

– are widely implemented in many developing countries.

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Household Water Treatment - Aeration

1. Aeration

Aeration can be accomplished by vigorous shaking in a vessel part full of water or allowing water to trickle down through one or more perforated trays containing small stones. Aeration increases the air content of the water, removes volatile substances such as hydrogen sulfide, which affect odor and taste, and oxidizes iron or manganese so that they form precipitates which can be removed by settlement or filtration. It has little effect on most microbial pathogens.

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Household Water Treatment - PUR

2. Coagulation and flocculation

The Procter & Gamble Company developed PUR Purifier of Water™ in conjunction with the Centers for Disease Control and Prevention. PUR sachets are now centrally produced in Pakistan, and sold to nongovernmental organizations (NGOs) worldwide at a cost of 3.5 US cents per sachet. The PUR product is a small sachet containing powdered ferric sulfate (a flocculant) and calcium hypochlorite (a disinfectant). PUR was designed to reverse-engineer a water treatment plant, incorporating the multiple barrier processes of removal of particles and disinfection. To treat water with PUR, users open the sachet, add the contents to an open bucket containing 10 liters of water, stir for 5 minutes, let the solids settle to the bottom of the bucket, strain the water through a cotton cloth into a second container, and wait 20 minutes for the hypochlorite to inactivate the microorganisms.

Image: PUR use and PUR packets

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Household Water Treatment - Desalination

3. Desalination

Desalination, or desalting, is the separation of fresh water from salt water or brackish water. Major advances in desalination technology have taken place since the 1950s, as the need for supplies of fresh water has grown in arid and densely populated areas of the world. Desalted water is the main source of municipal supply in areas of the Caribbean, the Middle East, and North Africa, and its use is increasing in the southeastern United States. Although it is relatively expensive to produce, desalted water can be more economical than the alternative of transporting large quantities of fresh water over long distances.

There are two basic types of desalting techniques: thermal processes and membrane processes. Both types consume considerable amounts of energy. Thermal methods involve heat transfer and a phase change of the water from liquid into vapour or ice. Membrane methods use very thin sheets of special plastic that act as selective barriers, allowing pure water to be separated from the salt.

For household use, simpler and cheaper systems are required; typical examples use a black solar panel that distills saline water and deposits the vapor on a surface where it is collected.

One example is the Carocell system. To quote the manufacturer - "The system receives impure water through pump or gravity feed and disperses it evenly. Solar energy heats the water, it vaporizes and then condenses on the inside of the composite plastic panel enclosure. Droplets of distilled water run down into a pure water outlet at the bottom of the unit. Low cost, robust, modular solar panels can be ground or roof mounted. The design enables multiple panels to be connected together to produce larger quantities of distilled water from a single source. The panels can be supplied individually or in bulk. Single panels are ideal for family use, a series of panels will provide for a village or the panels can be set up as a large scale water farm. The unique design of carocell enables rainfall to be captured and harvested as well. "

From: http://www.fcubed.com.au/aspx/carocell-panels.aspx

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Household Water Treatment - Disinfection

4. Disinfection

4a. Disinfection by Boiling

Boiling is a very simple method of water disinfection. Heating water to a high temperature, 100°C, kills most of the pathogenic organisms, particularly viruses and bacteria causing waterborne diseases. In order for boiling to be most effective, the water must boil for at least 20 minutes. At high elevations, the temperature at boiling will not reach 100C and longer times may be required. Since boiling requires a source of heat, rudimentary or non-conventional methods of heat generation may be needed in areas where electricity or fossil fuels are not available.

4b. Chemical disinfection

The Safe Water System (SWS) was developed in the 1990’s in response to epidemic cholera in South America by the Centers for Disease Control and Prevention (CDC) and the Pan American Health Organization (PAHO). The treatment method for the SWS is point-of-use chlorination by consumers with a locally-manufactured dilute sodium hypochlorite (chlorine bleach) solution. The SWS also incorporates emphasis on safe storage of treated water and behavior change communications to improve water and food handling, sanitation, and hygiene practices in the home and in the community. To use the chlorination method, families add one full bottle cap of the sodium hypochlorite solution to clear water (or 2 caps to turbid water) in a standard sized container, agitate, and wait 30 minutes before drinking.

4c. Solar disinfection

Solar disinfection (SODIS) was developed in the 1980s to inexpensively disinfect water used for oral rehydration solutions. In 1991, the Swiss Federal Institute for Environmental Science and Technology began to investigate and implement SODIS as an household water treatment option to prevent diarrhea in developing countries. Users of SODIS fill 0.3-2.0 liter plastic soda bottles with low- turbidity water, shake them to oxygenate, and place the bottles on a roof or rack for 6 hours (if sunny) or 2 days (if cloudy). The combined effects of UV-induced DNA alteration, thermal inactivation, and photo-oxidative destruction inactivate disease-causing organisms.

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Household Water Treatment - Filtration and Storage

5. Filtration

5a. Ceramic Filtration Locally manufactured ceramic filters have traditionally been used throughout the world to treat household water. Currently, the most widely implemented ceramic filter is the Potters for Peace design. The filter is flowerpot shaped, holds about 8-10 liters of water, and sits inside a plastic or ceramic receptacle. To use the ceramic filters, families fill the top receptacle or the ceramic filter itself with water, which flows through the ceramic filter or filters into a storage receptacle. The treated water is then accessed via a spigot embedded within the water storage receptacle. The filters are produced locally at ceramics facilities, and then impregnated with colloidal silver to ensure complete removal of bacteria in treated water and to prevent growth of bacteria within the filter itself. Numerous other locally-made and commercial ceramic filters are widely available in developed and developing countries.

The Potters for Peace filter locally produced in Nicaragua D. Lantagne, CD

5b. Slow Sand Filtration A slow sand filter is a sand filter adapted for household use. Please note that although commonly referred to as the BioSand Filter, the BioSand Filter terminology is trademarked to one particular design, and this fact sheet encompasses all slow sand filters. The version most widely implemented consists of layers of sand and gravel in a concrete or plastic container approximately 0.9 meters tall and 0.3 meters square. The water level is maintained to 5-6 cm above the sand layer by setting the height of the outlet pipe. This shallow water layer allows a bioactive layer to grow on top of the sand, which contributes to the reduction of disease-causing organisms. A diffuser plate is used to prevent disruption of the biolayer when water is added. To use the filter, users simply pour water into the top, and collect finished water out of the outlet pipe into a bucket. Over time, especially if source water is turbid, the flow rate can decrease. Users can maintain flow rate by cleaning the filter through agitating the top level of sand, or by pre-treating turbid water before filtration

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6. 6. Straining

Pouring water through a clean cotton cloth will remove a certain amount of the suspended solids or turbidity. Special monofila- ment filter cloths have been developed for use in areas where Guinea- worm disease is prevalent. The cloths filter out the copepods which are intermediate hosts for the Guinea-worm larvae

7. 7. Storage and Settlement

It is preferable, especially when using treatment options that do not leave residual protection, to store treated water in plastic, ceramic, or metal containers with the following characteristics, which serve as physical barriers to recontamination:

1. A small opening with a lid or cover that discourages users from placing potentially contaminated items such as hands, cups, or ladles into the stored water; 2. A spigot or small opening to allow easy and safe access to the water without requiring the insertion of hands or objects into the container; and, 3. A size appropriate for the household water treatment method, with permanently attached instructions for using the treatment method and for cleaning the container.

If containers with these characteristics are not available, efforts should be made to educate household water treatment users to access the water by pouring from the containers rather than dipping into it with a possibly contaminated object. Evidence also suggests that safe storage containers (in the absence of household water treatment) are effective at preventing contamination of potable water during transport and storage.

Safe storage options fall into three general categories: 1) existing water storage containers in the home; 2) water storage containers used in the community and modified by an intervention program; or, 3) commercial safe storage containers purchased by the program and distributed to users. To determine the appropriate safe storage container for a program, first identify containers currently used for water collection, transport, and storage in the community, as these existing containers might already be safe, or could easily be modified to be safe storage containers. Programs are also encouraged to review the options for safe water storage containers presented herein to determine which ones may be most appropriate. For more information, contact [email protected]. Care should be taken to avoid using any container previously used for transport of toxic materials (such as pesticides or petroleum products) as a drinking water storage container. Lastly, locally-appropriate cleaning mechanisms – such as use of soap and brushes, or chlorine solution, or an abrasive – should be developed and recommended to clean the container on a regular basis.

Examples:

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1. The Oxfam Bucket The 14-liter Oxfam Bucket was designed to provide a safe storage option to organizations working on water safety in the home or refugee camps. It is manufactured in England, and sold unassembled to NGOs for use in program implementation. The lids snap on to prevent entry of the hands or objects into the container. The Oxfam Bucket costs about US$4, excluding transport from England to the program site. A minimum order of 200 is required. Contact [email protected] to order.

2. The CDC Container In the initial Safe Water System programs, CDC designed 20-liter modified jerry cans and provided them to users. This jerry can is now produced in Uganda, Afghanistan, Kenya, and the United States. Each jerry can costs approximately $5, excluding transport. Contact [email protected].

5.

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Household Water Treatment - Summary of Methods

Summary and Analysis of Household Water Treatment and Safe Storage methods

Removal Performance Method Advantages Limitations (LOG Removal) Filtration (Ceramic) Bacteria: 2–6 • Simple to use Lack of residual protection presents potential for recontamination (although products increasingly address this through attached safe storage containers) Protozoa: 4–6 • Visual improvement in treated water • Variability in quality of locally produced filters Viruses: 1–4 • Possibility of local production benefits economy • Filter breakage requires reliable supply chain • One-time capital cost • Need to regularly clean filters and receptacles • Low flow rate of 1–3 litres per hour (slower in turbid waters) • Potential user taste objections

Filtration (slow sand Bacteria: 1–3 • High flow rate (~20 litres per hour) • Lack of residual protection presents potential for recontamination filtration, i.e. biosand) Protozoa: 2–4 • Simple to use • Difficulty in producing and transporting heavy concrete and plastic (45–160 kg) filter housing and sand Viruses: 0.5–2 • Visual improvement in treated water • Need for periodic cleaning and difficulty in assessing when cleaning is needed • Production from locally available materials • Longer life • One-time capital cost

Filtration Bacteria: • Visual improvement in treated water • Lack of residual protection presents potential for recontamination (although methods increasingly address this through attached safe storage containers) (microfiltration [MF], 2 MF; 3 UF, NF or • Potential longer life if spare parts are accessible • Need for multiple steps to use the product, requires additional user support ultrafiltration [UF], RO – 4 MF; 6 UF, NF or RO • One-time capital cost • Requires reliable supply chain for spare parts nanofiltration [NF], Protozoa: reverse osmosis [RO]) 2 MF; 3 UF, NF or RO – 6 MF, UF, NF or RO Viruses: 0 MF; 3 UF, NF or RO – 4 MF; 6 UF, NF or RO

Combined flocculant/ Bacteria: 7–9 • Reduction of some heavy metals (e.g. arsenic) and pesticides • Need for multiple steps to use the product, requires additional user disinfectant powders Protozoa: 3–5 • Residual protection against recontamination support Viruses: 4.5–6 • Visual improvement in treated water • Requires reliable supply chain • Small sachets are easily transported due to size, non-hazardous classification, • Most appropriate in areas with high turbidity long shelf life • Higher relative cost per litre treated

Thermal (boiling and Bacteria: 6–9+ • Existing presence in many households of materials needed to boil water • Lack of residual protection presents potential for recontamination pasteurization) Protozoa: 6–9+ • Sociocultural acceptance of boiling for water treatment in many cultures • Potential for burn injuries and increased risk of respiratory infections from Viruses: 6–9+ indoor stoves or fires • Potentially high cost of carbon-based fuel source (with concurrent deforestation risk) and the opportunity cost of collecting fuel • Potential user taste objections

Solar disinfection Bacteria: 3–5+ • Simple to use • Need for pretreatment (filtration or flocculation) of waters of higher turbidity (solar disinfection + Protozoa: 2–4+ • No cost to the user after obtaining the plastic bottles • Volume to treat dependent on availability of clean, intact plastic bottles thermal effect) Viruses: 2–4+ • Minimal change in taste of the water • Lack of visual improvement in water aesthetics to reinforce benefits of treatment • Minimal likelihood of recontamination because of safe storage • Relatively longer time to treat water and variability depending on sun intensity (12–48 hours)

Chlorination Bacteria: 3–6 • Residual protection against recontamination • Lower removals in turbid waters Protozoa: 3–5 (non- • Simple to use • Potential user taste and odour objections Cryptosporidium) • Possibility of local production benefits economy • Requires reliable supply chain Protozoa: 0–1 • Low cost • Necessity of ensuring quality control of product (Cryptosporidium) • Misunderstanding about the effects of chlorination by-products Viruses: 3–6 The range of removals represents baseline (i.e. in the field by a relatively unskilled operator) to maximum documented removals. Removal may also be expressed in terms of per cent reduction: 90% = 1 log, 99% = 2 log, 99.9% = 3 log, 99.99% = 4 log, 99.999% = 5 log, 99.9999% = 6 log, etc. Adapted from Lantagne & Clasen (2009) Lantagne D, Clasen T (2009). Point of use water treatment in emergency response. London, England, London School of Hygiene and Tropical Medicine (http://www.ehproject.org/PDF/ehkm/ lantagne-pou_emergencies2009.pdf).

Methods - Reference List (Internet Access Required)

1. Centers for Disease Control and Prevention. Best practice recommendations for local manufacturing of ceramic pot filters for household water treatment. Atlanta, GA, USA, CDC, The Ceramics Manufacturing Working Group, 2011.http://waterinstitute.unc.edu/media/Best%20Practice%20 Recommendations%20for%20Manufacturing%20Ceramic%20Pot%20Filters%20June2011.pdf 2. Centers for Disease Control and Prevention. Fact sheets on HWTS methods. http://www.cdc.gov/safewater/household-water.html 3. Centers for Disease Control and Prevention. Safe water for the community: a guide for establishing a community-based Safe Water System program [manual for chlorination projects]. Atlanta, GA, USA, CDC, 2008.http://www.cdc.gov/safewater/publications_pages/Safe_Water_for_the_Community.pdf 4. Centre for Affordable Water and Sanitation Technology. Fact sheets on HWTS methods. http://www.cawst.org/en/resources/pubs 5. Swiss Federal Institute of Environmental Science and Technology, Department of Water and Sanitation in Developing Countries. Solar water disinfection. A guide for the application of SODIS. Dübendorf, Switzerland, EAWAG and SANDEC, 2002.http://www.sodis.ch/methode/anwendung/ausbildungsmaterial/dokumente_material/manual_e.pdf 6. United States Agency for International Development. Environmental health topics: Household water treatment. http://www.ehproject.org/eh/eh_topics.html

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Household Water Treatment - Summary

The various methods available for the treatment of water to improve its quality and/or remove pathogenic microorganisms are quite varied, ranging from simple boiling of the water to household level solar distillation units.

The choice of which to use in a given situation can become quite complex and has to take into account many factors - not just the efficacy of the particular method.

Initial Sanitary Risk Assessment

Specific diagnostic information for assessment:

1. Is rainwater collected in an open container? Y / N 2. Are there visible signs of contamination on the roof catchment? Y / N 3. Is guttering that collects water dirty or blocked? Y / N 4. Is the top or walls of the tank cracked or damaged? Y / N 5. Is water collected directly from the tank (no tap on the tank)? Y / N 6. Is there a bucket in use, and is this left where it can become contaminated? Y / N 7. Is the tap leaking or damaged? Y / N 8. Is the concrete floor under the tap defective or dirty? Y / N 9. Is there any source of pollution around the tank or water collection area? Y / N 10. Is the tank dirty inside? Y / N

The total number of all the "Yes" answers gives the Sanitary Inspection Risk Score.

The diagram below can then be used to assess the present risk and action priority using the abundance of E. coli (in CFUs or Colony Forming Units) and the Sanitary Risk Score.

To inform the choice of technology or method, other factors must be considered:

environmental/climate conditions

economic conditions

user preferences

community and household hygiene and sanitation

occurrence and concentrations of pathogens of concern

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government and/or NGO and/or donor agency support

Monitoring and Evaluation of any implementaion of Household Water Treatment should be rigorous to ensure that the systems are working correctly and producing the desired results.

One way to do this is to follow the Activities/inputs => Outputs, Outcomes and Impacts model diagrammed below.

Complete details of these processes are given in:

A toolkit for monitoring and evaluating household water treatment and safe storage programmes - World Health Organization (On CD)

SAFE WATER FOR THE COMMUNITY A Guide for Establishing a Community-Based Safe Water System Program CDC 2006 (On CD)

Scaling Up Household Water Treatment Among Low-Income Populations - World Health Organization 2008 (On CD)

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Advanced Treatment Technologies - Drinking Water

Overview

The wide scale treatment of municipal drinking waters began in the early 1900s when it is found that the outbreak of disease such as cholera and typhoid could be significantly reduced through the disinfection of raw drinking water supplies. Chlorine was found to be a relatively inexpensive and easy to use disinfection treatment that significantly reduced the outbreak of many water related diseases.

Later it was determined that filtration of the water prior to treatment often improve the effectiveness of chlorination. It was determined that many waterborne pathogens can be attached and thus sheltered (protected) from the effects of chlorine. Further investigations also revealed that other unwanted contaminants such as trace elements (commonly referred to as heavy metal) or objectionable tastes, odors and colour were also often associated with suspended matter (e.g., natural organic matter, algae) within the raw drinking water and thus a removal of these elements could improve the overall quality of the finished water.

Since the end of the Second World War there has been a tremendous increase in the development and commercialisation of many different synthetic chemicals. Most of these compounds have been used in manufacturing and industry for the generation of new plastics, cleaners, lubricants, medicines and many others.

The widespread use of these compounds has also lead to the widespread release of these materials into the environment. Surface waters are the most vulnerable since many of these compounds can be released into surface waters from a variety of land use activities such as: agricultural practices, resource extraction, and the release from wastewater treatment plants. Although at less risk, groundwater resources can also be at risk from landfill leachate, agriculture, decentralized wastewater treatment practices and others.

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New Treatment Options to Remove Organic Chemical Contaminants of Concern

The emerging chemicals of interest in recent years have been primarily those that are mutagenic / carcinogenic / teratogenic, those that disrupt normal endocrine function and thus have the potential to cause a wide range of reproductive and developmental health effects and pharmaceuticals which have been engineered to be biologically active at very low doses. Collectively, many of these compounds have been termed pharmaceuticals and personal care products – PPCPs. It should be noted that not all PPCPs are harmful and just because we now have the analytical instrumentation needed to detect them within drinking water supplies, it does not mean they will ultimately cause harm.

For most PPCPs we have a limited understanding of how prescribed doses affect patient health over short periods of time. But we do not know are the health risks associated with the exposures to extremely small doses over the course of a lifetime, particularly during early periods of development (e.g., fetus, early adolescence). Our understanding becomes even more limited when we consider the combined effect that may occur from being exposed to a cocktail (mixture) of compounds. Environmental investigations have demonstrated some disturbing effects on wildlife, particularly fish living near the wastewater outflow (discharge) of large municipalities. In these studies, fish have exhibited a condition called intersex. This is a condition where male fish appear to have been feminized and contain oocytes (immature eggs) embedded with the normal testicular tissue of the male fish.

Technological advances in the treatment of raw drinking water are now starting to provide viable options for the removal of many of these compounds. This research has focused on the use of ozone, peroxide, UV irradiation, cavitation, electron beam and membrane filtration as key method for the destruction / removal of many PPCPs, disinfection by products, waterborne pathogens and taste and odour issues.

However, the costs related to infrastructure, power consumption and technical staff are high and most often found only in developing countries that have the resources needed for implementation and operation.

Dwindling water supplies have focused research towards identifying new options to enhance the security of future drinking water supplies. This approach has basically been directed to ways to reuse water.

Some have termed this approach as toilet-to-tap technologies where wastewater is cleaned to prepare drinking water. Singapore has been one country that has been leading the way.

Examples from other areas, are in the southwestern USA where efforts have been directed to either i) treating grey water to make it suitable for other non-consumptive uses, such as for irrigation.

and ii) the treatment of secondary wastewater effluent prior to discharge to the soil for eventual absorption into shallow ground water aquifers.

More about these techniques will be addressed in later in the course under the title of "Advanced treatment technologies for wastewater treatment."

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Advanced Technologies

It is difficult to categorize which treatment technologies should be considered as advanced techniques. Some of these technologies such as ozonation and UV irradiation have been used in some locations for decades and yet, all of these are still undergoing research, development and refinement in order better understand the mechanisms of actions, the types of compounds they are effective for and how they may be applied in a synergistic manner to achieve even greater results.

These technologies have been categorized as advanced techniques within this material since they represent advances to the more conventional methods of disinfection (e.g., chlorine, chloramines) and filtration (e.g., coagulation / flocculation / sedimentation / filtration).

Each of these technologies (except for AOP) can be applied individually; however, the greatest effects appear to be when they are applied as part of a hybridized treatment system.

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Ozonation

Ozonation appears to be used more in the treatment of raw drinking water supplies and in the treatment of wastewater. The most common reasons for use are for the treatment of unwanted odours (often metabolites released from algal and other microorganisms), as a method for the reduction of THM disinfection by-products associated with the use of chlorine, the removal of colour (most likely dissolved organic carbon), the inactivation of chlorine resistant waterborne pathogens such as Cryptosporidium oocytes, Giardia cysts, enteric viruses and Legionella, and the oxidation of Mn and Fe and subsequent removal of precipitates.

Investigations of ozonation are now starting to show that ozone can provide other benefits.

1. Biofilms

Biofilms can be difficult to treat and remove. The polysaccharide matrix provides a measure of protection from other biocide agents such as chlorine.

Without proper treatment of the biofilm, bacterial regrowth can be rapid.

For more information, see:

Tachikawa, M., K., Yamauaka and K. Nakamuro. 2009. Studies on the disinfection and removal of biofilms by ozone water using an artificial microbial biofilm system. Ozone Science & Engineering 31:3-9.

2. Anti-fouling of membranes and oxidation of NOM

Van Geluwe et al 2011 have found that membrane fouling can be retarded by the use of ozone. The ozone causes the oxidation of hydrophobic aromatic ring structure of some natural organic matter molecules and in doing so can make the molecule both smaller and more hydrophilic, thus preventing fouling.

An added feature to the oxidation of NOM is that when NOM is reduced, so are the precursors to the production of THMs disinfection by-products developed during the process of chlorination. Thus pre-ozonation prior to chlorination can reduce the overall concentration of chlorinated DBPs.

Oxidation of NOM can degrade the organic matter into forms that are more easily digested by bacteria. Some treatment facilities employ a process called biological activated carbon (BAC) filtration to remove trace organic contaminants (TrOCs). This process utilizes microbial degradation of the TrOCs and the adsorptive potential of activate carbon. In BAC, the activated carbon has an active microbial population living on the carbon. When ozone degrades NOM, it produces a carbon source of smaller moieties that can be more easily assimilate by the microbial population, thus providing the microbes a form of food. The thought being that a healthier and more robust microbial population enhances the effectiveness of the BAC treatment (Loeb et al., 2012)

3. Removal of DBP precursors

Chu et al. 2012 – ozone + biological activated carbon for removal of DBP precursors

The combination of ozone and granular activated carbon is generally called biologically activated carbon. Ozone integrated with biological activated carbon (O3-BAC) has been increasingly used in water treatment plants to improve the removal of dissolved organic matter and ammonia prior to disinfection. The O3-BAC process can significantly reduce the precursors of regulated DBPs such as THMs and HAA. This study was undertaken to determine if this process also removed precursors of halogenated N-DBPs (specifically it was trying to determine if it removed dissolved organic nitrogen (DON)). Conventional treatment could not remove the precursors of trichloronitromethane (TCNM) and dichloroacetamide (DCAcAm). Ozonation could not substantially reduce the formation of DCAcAM and actually increased the formation of TCNM, however it did alter the molecular structure of the precursors and increased the bioavailability of N-containing organic compounds which enhanced the BACs ability to reduce these nitrogen DBPs. The BAC filtration reduced the formation of both TCNM and DCAcAm and thus highlighted the synergistic effect of O3 and BAC

Chin, A. and P.R. Berube. 2005. Removal of disinfection by-products precursors with ozone-UV advanced oxidative process. Water Research 39:2136-2144.

Chu, W., N., Gae, D., Yin, Y., Deng and M.R., Templeton. 2012. Ozone-biological activated carbon integration treatment for removal of precursors of halogenated nitrogenous disinfection by-products. Chemosphere 86:1087-1091.

Loeb, B.L., C.M., Thompson, J. Drago, H. Takahara and S. Baig. 2012. Worldwide ozone capacity for treatment of drinking water and wastewater: a review. Ozone Science 34: 64-77.

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Van Geluwe, S., C., Vinchier, L., Braeken and B., van der Bruggen. 2011. Ozone oxidation of nanofiltration concentrates alleviates membrane fouling in drinking water industry. J. Membrane Science 378: 128-137.

4. Breakdown of Organic Molecules, including Steroids and other EDCs, PPCPs, and Pesticides

Ozone is a powerful oxidant that will break chemical bonds in a variety of molecules. The cleavage of functional groups for the opening of aromatic ring structures are often enough to inactivate the original potential of many of the types of compounds listed in this slide. Ozone is proving to be an effective treatment process to eliminate many of these compounds from raw drinking water sources.

The following provides a few examples of the types of compounds that can be removed with ozonation.

Baig et al. 2008 – Ozone oxidation of oestrogenic substances (ECDs)

• Ozone oxidation has been demonstrated by others to be an effective solution to the degradation of

Beta-oestrodiol

Oestrone

Oestriol

17-alpha ethinyloestradiol

Mestranol

Daidzeine

Beta sitosterol

Bisphenol A

Norethisterone

4-tert-octylphenol

4-iso-nonylphenol

• The study looked at the effect of other constituents within drinking water and wastewater and how these influenced the effectiveness of the ozone oxidation process

• They found that the wastewater matrix greatly affects the kinetics of the ozone reaction but does not affect the overall related reactivity scale (eg just shifts up or down)

• The effective dose of ozone is often dependent on the presence of background pollutants within the COD and DOC fraction that compete for oxidation with the micropollutants of interest

• Found that in most cases an ozone dose of 12 mg/L was sufficient to ensure the a high degradation rate for all substances studied while 35% of COD was removed

• NOTE: ozone by itself is a powerful oxidant however, it may undergo self-decomposition into more powerful oxidants that are hydroxyl radicals, thus initiating an advance oxidative process, but this is dependent on the water matrix and application conditions

Brosesu et al 2009 – PPCPs and EDCs and Pesticides (Ozone oxidation)

• Studied the oxidation and removal of several (16) compounds (mentioned below)

• In general terms they found that ozonation:

• Is effective at removing trace organic contaminants from water with ozone doses typically applied in drinking water treatment

• Ozonation removed +80% of caffeine, pharmaceuticals and endocrine disruptors within the concentration – time (CT) value of about 2 mg per min per L

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• As expected pesticides were found to be the most recalcitrant compounds to oxidize

• Caffeine can be used as an indicator compound to gauge the efficacy of ozone treatment

• Looked at the following compounds

• Caffeine (stimulant)

• Trimethoprim (anti-infective)

• Carbamazepine (anticonvulsant)

• Naproxen (analgesic)

• Gemfibrozil (anti-cholesterol)

• Estrone (estrogen)

• Estradiol (estrogen)

• 17 α-ethinylestradiol (synthetic estrogen)

• Progesterone (progestrogen)

• Medroxyprogesterone (synthetic progestrogen)

• Norethindrone (synthetic progestrogen)

• Levonorgestrel (synthetic progestrogen)

• Cyanazine (herbicide)

• Deethylatrazine – DEA (metabolite of atrazine)

• Deisopropylatrazine – DIA (metabolite of atrazine)

• Authors provide a good summary of rate constants – see table 5 page 7 of article

• A variation in pH did not largely influence the rate constants for caffeine and progesterone

Hua et al. 2006 – PhACs, pesticides

• Looked at the depletion of 18 major PhACs (and metabolites) plus 7 s-triazines herbicides, however, only carbamazepine, caffeine, cotinine and atrazine were consistently detectable in the raw water intake

• Used a treatment plant that could split the treatment flow into 2 streams: 1) conventional and 2) conventional plus ozonation

• Found that the flocculation-coagulation and dual media filtration step without ozonation resulted in no decrease in analyte concentrations

• When ozone was part of the treatment process, a 66-100% decrease was achievable

• Findings demonstrate that ozone treatment is highly effective in depleting carbamazepine, caffeine, cotinine, and atrazine

• Ozone treatment occurred as pre-treatment before coagulation/flocculation/sedimentation and again before the final filtration step (see page 3) of manuscript

Baig, S., G. Hansmann, and B. Paolini. 2008. Ozone oxidation of oestogenic substances in wastewater and drinking water. Water Science & Technology 58(2):451-458.

Broseus, R., S. Vincent, K., Aboulfadl, A., Daneshvar, S., Sauve, B., Barbeau and M., Prevost. 2009. Ozone oxidation of pharmaceuticals, endocrine disruptors and pesticides during drinking water treatment. Water Research 43:4707-4717.

Hau, W., E.R. Bennett and R.L. Letcher. 2006. Ozone treatment and the depletion of detectable pharmaceuticals and atrazine file:///F|/Dropbox/WaterHealthNewFinal/Course3/discussion/WH30M050D004O3.htm[11/3/2014 7:39:23 PM] WLC Template

herbicide in drinking water sources from the upper Detroit River, Ontario, Canada. Water Research 40:2259-2266.

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Ozone in Combination with Other Treatments

Treatment Options

Ozone by itself is a powerful oxidant; however, it may undergo self-decomposition into hydroxyl radicals which are the strongest oxidants next to fluorine (Joti & Pandit 2004). The presence of the hydroxyl radicals can in some ways be considered a form of an advance oxidative process (AOP). However, the self-decomposition into hydroxyl radicals is dependent on the water matrix (Baig et al. 2008). An alternative method of achieving an AOP is to combine ozone with other oxidizing processes within the treatment train. There are a variety of ways this can be accomplished with ozone being applied simultaneously with other treatment processes such as UV irradiation or peroxide, or a serial manner that occurs before or after the complimentary treatment procedure (Chen & Wang 2012). The following text highlights some of the more common applications of ozone when used in the combination of other treatment methods.

Advanced Oxidative Process (AOP)

O3 and H2O2

Ozone is often combined with hydrogen peroxide (H2O2 ), a powerful oxidant in an attempt to increase the oxidative potential of the treatment. The primary intent for the addition of peroxide is to accelerate the decomposition rate for ozone into free hydroxyl radicals that ultimately increases the oxidation potential (USEPA 1999). A key issue with the use of peroxide accelerated ozone decomposition is that it is difficult to measure the concentration of the hydroxyl radical and thus difficult to measure a disinfectant residual unless some non decomposed ozone remains. Thus it is difficult to determine doses in terms of concentration * time (CT) values as is use when ozone is being used by itself. Various researchers have found the O3/H2O2 method to be an effective oxidizer for the breakdown of trace organic contaminants (TrOCs) within raw water supplies. For example Acero et al. (2000) found that the addition of peroxide enhances the removal of atrazine in comparison to ozone alone while Pisarenko et al. (2012) found that this process was an effective treatment to remove the N-nitrosoimethylamine (NDMA) from waters treated with monochloroamines that are used to stabilize chlorine residues in drinking waters. The carcinogenic potential of N-nitrozamines disinfection by-products are much more than chlorinated THMs (Pisarenko et al., 2012). Other examples where ozone has been used in combination with peroxide can be found in the results of Lee et al. 2011, Chen & Wang 2012, Gerrity et al. 2011, Cho & Yoon 2006 , van Geluwe et al., 2011, Koch et al 1992 for removal of odour (c.f. Collivignarellis & Sorlini 2004). A good review article has been provided by the US EPA (1999) on the combined use of ozone and peroxide.

Ozone and UV

Ozone and UV irradiation are often twined together as one treatment strategy. The combination of ozone and UV irradiation has several advantages over the use of ozone alone. Collivignarellis and Sorlini 2004 found that the combination of O3/UV was more effective at the removal of two odourous compounds (geosmin and 2-methylisoborneol) then could be treated by either UV or ozone alone. Likewise Kusakabe et al. 1990 and Siddiqui et al. 1996 a (c.f. Collivignarellis & Sorlini 2004) and Diddiqui et al. 1996b demonstrated that not only did the combination enhance treatment (pesticide removal) but also increased the reduction of dissolved carbon THM precursors and bromate along with other DBPs. Meunier et al. 2006 found that the combination of O3/UV was an effective biocide against Cryptosporidium oocysts at reduced ozone doses which kept the bromate formation below the DBP limit of 1 µg L-1 and allowed for the oxidation of micro-pollutants and the reduction of THM precursors thus effectively lower the potential for THM production during post chlorination. Liu et al. (2010) found that the pre-treatment of water containing microcystin toxins followed by a sequential treatment of ozone was capable of removing the toxin at ozone levels lower than what could be accomplished with ozone alone. Goncharuk et al. 2008 also found that O3/UV treatment mineralized a greater portion of the natural organic matter and organic impurities thus leading to a greater disinfection than could be achieved by O3 or UV separately. Chin & Berube (2005) found that neither ozone nor UV alone could significantly reduce the concentration of precursors leading to the formation of THMs and HAAs. However, in combination O3/UV was found to mineralize up to 50% of the natural organic matter, thus reducing the THMs by 80% and the HAAs by 70% when the ozone dose was 0.62±0.019 mg O3/mL (60 min exposure) and UV dose is 1.61 W s/cm2 (60 min exposure).

O3 and Chlorine Dioxide

The combined use of ozone with chlorine has been found to be superior to the disinfection of waterborne pathogens than what can be achieved by either methods alone (de Souza & Daniel 2011). One added advantage found by de Souza and Daniel (2011) was

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that the ozone decreased the precursors of chlorinated DBPs and thus lowered their overall concentration in the treated water.

O3 and Biological Activated Carbon

Ozone has been widely used to oxidize dissolved organic carbon that can often act as precursors of DBPs. Chu et al. (2012) investigated the use of ozone in combination with biological activated carbon (O3-BAC) and found that this was an effective method in the removal of nitrogen based precursors that can lead to the formation of thrichloronitromethane (TCNM) and dichloroacetamide (DCAcAm). Ozonation alone could not reduce the formation of DCAcAm) and actually increased the formation of TCNM. The BAC filtration reduced the formation of both TCNM and DCAcAm and thus demonstrated the utility of combining these processes.

O3 and Cavitation

Jyoti & Pandit 2004 investigated the efficacy of combining ozonation with hydrodynamic cavitation. They found that the combination of the two proved to be quite effective. Ozone concentrations required for disinfection were lowered by one third to one half of what was needed when ozone was used alone. This has implications for lowering the ozone dosages and in effect reducing the few but significant DBPs.

References:

Acero, J.L., K. Stemier, U. von Gunten. 2000. Degradation kinetics of atrazine and its degradation products with ozone and OH radicals: a predictive tool for drinking water treatment. Environmental Science & Technology 34(4):91-597.

Baig, S., G. Hansmann and B. Paolini. 2008. Ozone oxidation of oestrogenic active substances in wastewater and drinking water. Water Science and Technology 58(2):451-458.

Chen, K-C., and Y-H. Wang. 2012. Control of disinfection by-product formation using ozone-based advanced oxidation processes. Environmental Technology 33(4):487-495.

Chin, A. and P.R. Bérubé. 2005. Removal of disinfection by-product precursors with ozone-UV advanced oxidation process. Water Research 39:2136-2144.

Cho, M., J.H. Kim, J.Y. Yoon. 2006. Investigating synergism during sequential inactivation of Bacillus subtilis spores with several disinfectants. Water Res. 40:2911-2920.

Chu, W. N. Gao, D. Yin, Y. Deng and M.R. Templeton. 2012. Ozone-biological activated carbon integrated treatment for removal of precursors of halogenated nitrogenous disinfection by-products. Chemosphere 86:1087-1091.

Collivignarelli, C. and S. Sorlini. 2004. AOPs with ozone and UV radiation in drinking water: contaminants removal and effects o disinfection byproducts formation. Water Science and Technology 49(4):51-56.

de Souza, J.B. and L.A. Daniel. 2011. Synergism effects for Escherichia coli inactivation applying the combined ozone and chlorine disinfection method. Environmental Technology 32(12):1401-1408.

Gerrity, D., S. Gamage, J.C. Holady, D.B. Mawhinney, O. Quinones, R.A. Trenholm, and S.A. Snyder. 2011. Pilot-scale evaluation of ozone and biological activated carbon for trace organic contaminant mitigation and disinfection. Water Research 45:2155-2165.

Goncharuk, V.V., N.G. Potapchenko, V.F. Vakulenko, O.S. Savluk, V.N. Kosinova and A.N. Sova. 2008. Water disinfection by joint effects of ozone and UV radiation in a flow-through mode. Journal of Water Chemistry and Technology 30(1)51-58.

Jung, Y.J., B.S. Oh and J-W. Kang. 2008. Synergistic effects of sequential or combined use of ozone and UV radiation for the disinfection of Bacillus subtilis spores. Water Research 42:1613-1631.

Jyoti, K.K. and A.B. Pandit. 2004. Ozone and cavitation for water disinfection. Biochemical Engineering Journal 18:9-19.

Koch, B. J.T. Gramith, M.S. Dale, D.W. Ferguson. 1992. Control of 2-mthylisoborneaol and geosmin by ozone and peroxide: a pilot study. Water Science, Technology 25(2):291-298.

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Kusakabe, K., S. Aso, J.-I. Hayashi, K. Isomura and S. Morooka. 1990. Decomposition of humic acid and reduction of trihalomethane formation potential in water b ozone with UV irradiation. Water Research 24(6):781-785.

Lee, K-M, S. Yu and Y-H. Choi. 2012. Environmental assessment of sewage effluent disinfection system: electron beam, ultraviolet, and ozone using life cycle assessment. Int. J. Life Cycle Assess 17:565-579.

Liu, X., Z. Chen, N. Zhou, J. Shen and M. Ye. 2010. Degradation and detoxification of microcystin-LR in drinking water by sequential use of UV and ozone. Journal of Environmental Sciences 22(12):1897-1902.

Meunier, L., S. Canonica and van Gunten, V. 2006. Implications of sequential use of UV and ozone for drinking water quality. Water Research 40:1854-1876.

Pisarenko, A.N., B.D. Stanford, D. Yan, D. Gerrity and S.A. Snyder. 2012. Effects of ozone and ozone/peroxide on trace organic contaminants and NDMA in drinking water and water reuse applications. Water Research 46:316-326.

Siddiqui, M.S., G.L. Amy, W. Zhai and L.J. McCollum. 1996a. Removal of bromated after ozonation during drinking water treatment. In: Disinfection By-Products in Water Treatment, R.A. Minear and G.L. Amy (eds), 1st ed, Lewis Publisher CRC Press, Boca Raton, FL, USA, pp. 207-234. (c. f. Collivignarelli, C. and S. Sorlini. 2004. AOPs with ozone and UV radiation in drinking water: contaminants removal and effects o disinfection byproducts formation. Water Science and Technology 49(4):51-56.).

Siddiqui, M.S., G.L. Amy and L.J. McCollum. 1996b. Bromate destruction by UV irradiation and electrical discharge. Ozone Sci Eng. 18:271-290.

Van Geluwe, S., C. Vinckier, L. Braeken and B. Van der Burggen. 2011. Ozone oxidation of nanofiltration concentrates alleviates membrane fouling in drinking water industry. Journal of Membrane Science 378:128-137.

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Decentralized Treatment - On-Site and Decentralized Wastewater Treatment

Decentralized systems can range in complexity from simple composting toilets to on-site systems comprised of a septic tank and drain field to more elaborate cluster systems servicing several homes.

Typically cluster systems have serviced a small number of homes (e.g., 20 homes), however, there seems to be a trend to move to larger cluster systems servicing more locations.

The distinction between on-site treatment systems and cluster systems is that the waste generated on an individual parcel of land is treated on that same land parcel when on-site treatment systems are used.

Cluster systems collect the waste from several nearby locations and treat it at a location in close proximity to where the waste was generated, but not necessary on the same individual land parcel as is the case for on-site treatment.

Note the difference between centralized and decentralized treatment. In centralized treatment, the wastewater from all dwellings is diverted to on centralized location for treatment. In decentralized systems, there is a mixture of on-site treatment (single dwellings treating the wastewater on-site) and cluster systems (smaller grouping of dwellings where the wastewater is diverted and treated at small treatment sites).

It should be noted that treatment at centralized treatment facilities is generally more extensive and often includes primary, secondary and in many cases tertiary treatment. Where as the treatment provided at decentralized facilities (either on-site or cluster) is often limited to primary treatment followed often by disposal to land.

There are significant differences in how waste is treated by developed countries and developing countries. For example, in North America, most of the urban population is serviced by centralized treatment systems which are based on a flush, collect and treat approach. The same generalized approach of flushing, collecting and treating is applied even to decentralized systems typically servicing more rural areas of North America. This approach is basically based on the use of flush toilets which combines the urine and faeces with clean water to remove the excreta from the toilet to the place of treatment. Often the black water (human excreta + clean water) is diluted even further with grey water from house hold activities such as dishwashing, cloth washing, and bathing and often wastewater from industries and other municipal services.

On average each person produces 400-500 L of urine and 50 L of faeces per year. This volume is often flushed away with approx 15,000 L of clean drinking water. Water from bath, kitchen and laundry may add up to an additional 15,000 to 30,000 L per person per year. Most of the human pathogens come from the 50 L of faeces, but through this process that 50 L of faeces has contaminated a much larger volume of water that must now be treated.

Significant portions of the population in developing countries do not have access to flush toilets and must rely on other methods such as pit latrines (ventilated and non-ventilated), cistern (holding) tanks that require pumping, septic tanks that provide some pre- treatment before effluent is disposed, primarily through soil absorption to either soakaways or infiltration trenches or drain fields. Many of these treatment options can contaminant surface waters and groundwater drinking supplies with waterborne pathogens or spread disease through flies and other vectors if not properly installed and maintained.

Excreta from humans (and animals) must be properly handled and treated to reduce human acute illness and chronic disease. After properly treated to eliminate the amount of pathogens and parasites from excreta, treated solid waste may be a valuable soil amendment resource for soil nutrients and fertilizers. Treatment technologies that aim to exploit this potential of human excreta are often termed “Ecosan” technologies which stands for Ecological Sanitation. The underlying principle of Ecosan technology is to treat the human faecal wastes to produce a soil amendment product in an ecological friendly manner.

More information about Ecosan technologies will be presented later in the course.

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On-Site Systems

The choice of which on-site technology to utilize can be strongly influenced by a number of factors.

Choice is often dictated by the public’s familiarity and willingness to use a particular technology which can often be limited by a lack of knowledge regarding misconceptions to an unawareness of available options. Historically, the choice has been based on a either hiding human excreta in deep pits (e.g., drop-and-store) or flushing it away to be diluted in rivers, lakes or oceans (e.g., flush-and- discharge).

Problems arise in both cases when excreta is improperly handled and treated in ways that cause human exposure to pathogens and diseases, many of which are waterborne or transmitted by other vectors such as flies and rodents.

On-site technologies can vary from simple pit latrines to advanced treatment processes such as ozonation and membrane technologies.

The choice of on-site technologies within poorer regions of developing countries, particularly in settlement areas surrounding urban centres is limited. Many of these regions do not have the infrastructure and water resources to utilize flush away technologies and advanced wastewater treatment.

Recent efforts have been given to developing ecosan solutions that are affordable and appropriate for providing an adequate level of treatment to reduce possible exposure to human pathogens and parasites, but also to convert the human excreta into a soil amendment product.

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On-Site Systems - Eco-san Technologies

Eco-san technologies are underscored by three fundamental principles.

Firstly, by treating the excreta in a manner that minimizes the contamination of the environment, in particular freshwater and marine aquatic environment and related resources. Such as, by developing technologies that are not reliant on a flush away approach that utilizes clean water to transport the excreta to a distant place of treatment. Secondly, by developing technologies to contain and sanitize the excreta, reducing the risk of exposure to pathogens and parasites. Lastly, a goal of eco-san technologies is to capture and utilize the nutrients and organic content of the treated excreta, so that it can be used as a soil amendment and fertilizers, instead of purchasing chemical fertilizers.

This approach has been characterised as sanitize and recycle.

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On-Site Systems - Eco-san Technologies Urine

Ecosan technologies separate urine from faeces. Generally fewer disease causing pathogens occur in urine than in faeces. Because of the environmental conditions of the stored urine, most pathogens die off in approximately one month’s time (e.g.,, temperature, pH, alkalinity, nitrogen)

After a significant holding time stored urine may be applied to agricultural lands as a fertilizer. The storage time necessary for sanitation varies between 1 to 6 months at temperatures ranging from 4 to 20°C.

The reported holding times necessary for deactivation of most pathogens from urine were obtained from page 10 of the document “Ecological sanitation” by Winblad and Simpson-Hebert, 2004. The report provides information on the specified holding times and guidance on the agricultural use of eco-san technologies for urine.

Monitoring data on the log-removal of pathogens and parasites that are eliminated under these storage conditions would verify the effectiveness of these Eco-san technologies, and should include monitoring of cold and heat tolerant organisms including endospore formers, viruses, cysts forms of parasites and mesophiles.

Reference:

Winblad, U. and Simpson-Hebert, M. 2004. Ecological sanitation - revised and enlarged edition. Stockholm Environment Institute. ISBN 91 88714 98 5

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On-Site Systems - Eco-san Technologies Faeces

The intent of the ecosan systems is to separate the faeces from urine in a safe manner and while doing so to provide some initial treatment of the faeces to reduce the amount of pathogens and parasites in the primary treated faeces to allow a more complete sanitation during secondary treatment. The addition of a variety of substances and processes are used in the sanitation of faeces.

The environmental factors listed that kill pathogenic organisms within faeces was extracted from page 12 of the document “Ecological sanitation” (Winblad and Simpson-Hebert, 2004). More information regarding specific times and suitable crop applications is presented in their report.

During the holding period in these chambers below the toilet, the number of pathogens will be reduced as a result of storage (6 – 12 months). During this time the faeces will undergo decomposition, dehydration added with ventilation and the addition of dry matter, and a rise in pH from the addition of ash, lime and or urea. Pathogen die off will also result from the presents of other organisms and the completion for nutrients.

The combined storage (primary + secondary processing) time required to eliminate most bacterial pathogens (if treated faecal material is kept dry) and to substantially reduce viruses, protozoa and parasites is approximately 1.5 to 2 years, at ambient temperatures up to 20°C, but resistant bacterial endospores and parasite eggs can survive these conditions and may not be eliminated. Research is needed to determine log reductions of pathogens and parasites, including survival of fungal spores, parasites, and flies.

Increasing the temperature up to 35°C may shorten the total storage time to only 1 year. Shorter storage times can be achieved at higher composting temperatures of 50-60°C. Monitoring data would be beneficial for verifying if the log-removal of pathogens and parasites achieved is adequate for protection of human health, animal health and agricultural use.

Reference:

Winblad, U. and Simpson-Hebert, M. 2004. Ecological sanitation – revised and enlarged edition. Stockholm Environment Institute. ISBN 91 88714 98 5.

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On-Site Systems - Eco-san Technologies

Note that the term “system” refers to the eco-san treatment system that is responsible for the primary processing.

It is basically the toilet, but also includes the holding chamber below where the urine and faeces undergo primary processing. Also note the many of these, but not all, are urine diverting systems where urine is collected separate from the faeces. Thus urine will be processed separately and the faeces will be held in the chamber below the toilet.

The intent is to isolate the faeces from contact with humans and the environment in order to reduce the risk of acute illness and disease. Keeping the faeces dry helps in the decomposition process and in the elimination of odour and flies.

After a 6 to 12 month holding period the faeces are removed and undergo one of four secondary treatments: i) high temperature composting, ii) alkaline treatment, iii) further storage or iv) carbonization - incineration.

Additional and relevant information that should be obtained and monitored.

Questions:

What are the requirements for secondary treatments such as temperature, airflow, carbon content

What are the maximum and average temperatures reached and maintained on average in ecosan high temperature composting?

What is the purpose of adding soil and wood ash?

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On-Site Systems - Eco-san Technologies

There are many different styles of Eco-san systems; however, this slide illustrates the basic components.

• collection pit for faeces

• urine diversion and collection

Several organisation are developing and promoting the use of eco-san systems. Two examples are the following.

Women in Europe for a Common Future (WECF)

URL: http://www.wecf.eu (Internet Access Required)

This organisation has authored several technical notes on different eco-san systems, for example:

• Urine diverting toilets in climates with cold winters- technical considerations and the reuse of nutrients with a focus on legal and hygienic aspects. July 2007

• Sustainable and safe school sanitation – how to provide hygienic and affordable sanitation in areas without a functioning wastewater system. March 2010

• Introducing sustainable sanitation in Kyrgyzstan – an analysis of success factors and barriers. April 2009

Programme Solidarité Eau (pS-Eau)

This French organisation has developed a number of technical manuals collectively called “Concerted Municipal Strategies (CMS)", a program coordinated by the Municipal Development Partnership (MDP) and programme Solidarité Eau (pS-Eau). an online library is available at http://www.pseau.org/outils/biblio/ (Internet Access Required)

Some of their publications include:

• CMS Guide No. 1: How to develop a concerted municipal strategy for water and sanitation

• CMS guide No. 2: How to create a regional dynamic to improve local water supply and sanitation services in small towns in Africa (included in the resources folder for this course)

• CMS guide No. 4: How to select appropriate technical solutions for sanitation (included in the resources folder for this course)

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On-site and Cluster Systems - Flush Away Approach

In developed countries and particularly in water rich areas of North America wastewater treatment has historically revolved around a flush away approach.

In this approach clean water is used to flush away excreta whether that involves on-site treatment or collection through a cluster system.

Both examples shown, i) the on-site treatment and ii) the cluster systems, are considered decentralized treatment solutions.

The on-site treatment options in developed countries typically involve a septic tank with drain field but more recently may involve other treatment options such as a constructed wetland.

Cluster systems divert the wastewater from several dwellings to one centralized location for treatment. The wastewater is generally diverted to the centralized location via “alternative sewer systems” which typically are composed of smaller diameter, flexible lines in which sewage is pumped under pressure or via gravity. The collected wastewater undergoes pre-treatment prior to disposal to either land or surface waters. The pre-treatment can vary greatly and can include little more than the removal of settable solids and oils/fats and grease or it can involve other forms of treatment such as activated sludge processes, constructed wetlands or membrane technologies.

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On-Site Systems

The figure illustrates the typical layout of a septic tank and drainfield commonly used for on-site treatment of household wastewater.

The septic tank provides some pre-treatment of the wastewater. The size of the septic tank is dictated by the number of people occupying the house and the expected volume of wastewater generated.

The septic tank helps to remove solid and floatable fats, oils, grease and scum from the wastewater allowing only the liquids to drain into the leachfield and drainfield.

Wastewater in the septic tank undergoes some initial treatment, but it primarily involves ammonification (e.g., conversion of organic nitrogen into ammonia) while organic matter is microbally digested. Some pathogen reduction can also occur, but pathogen counts can still remain quite high with the effluent exiting the tank. Effluents exiting the septic tank are often still high in ammonia, microorganisms and exhibit a high biochemical oxygen demand (BOD) and chemical oxygen demand (COD). Solids in the form of sludge will build up in the septic tank over time. For these reasons it is a good practice to have the solids pumped out of the tank once every two to three years.

Effluents leaving the septic tank are disposed to the ground (subsurface) through a drainfield lined with tile drains. The size of the drainfield will depend on the anticipated volume of effluent leaving the septic tank. The leachfield is often prepared by the placement of fine grain sand underneath the tile drains. As the leachate percolates into the soil, the sand and other soil particles filter out microorganisms along with other suspended solids and any trace elements bound to these solids.

There are generally several restrictions controlling the placement of septic systems, especially requirements that septic tanks must be situated at a distance away from well heads and that septic beds must be elevated substantially above groundwater tables .

Guidance is available that specifies a minimal separation distances between well heads and septic beds.

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Cluster Systems

A flush away approach is still used to move excreta from the toilet to the underground holding tank. Once again, a main difference in this approach is that clean water is generally used to move the excreta and there is no attempt to separate urine, or greywater from the faeces.

Individual holding tanks for each of the households are generally much smaller than the septic tanks of on-site treatment systems. The reason for the smaller size is because no pre-treatment is desired and the tank is nothing more than a temporary holding chamber before the waste is moved into the sewer system of the cluster and transported to a centralized treatment area.

The sewage is passed to either a conventional treatment facility by having the alternative sewer line connect with a major municipal sewer trunk line or more often it is a pre-treatment area for the decentralized cluster system. More will be discussed in the next part of the course about the pre-treatment options.

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Alternative Sewer Systems

Flexible plastic hoses make installation much easier since the amount of excavation required is reduced and the flexibility of the pipe makes it easier to go around obstacles. These lines are often buried just below the frost line. If the alternative sewer system is pressurized, then less attention needs to be given to ensuring the correct grades are in place than typically needed for gravitational systems.

Small sewer lines can be used instead of the larger 6 to 12 inch lines used in most municipalities since the line is intended to move only liquids, not solids. This can be accomplished by collecting the wastewater from the dwelling into a baffled septic tank or by the use of a grinder pump when transferring the wastewater out of the holding tank into the alternative sewer line.

Three forms of alternative sewers are presented and discussed.

This illustration depicts the generalized layout of a cluster system connected to individual dwellings. Source: Jones, D., Bauer, J. Wise, R. and Dunn, A. 2001. Small community wastewater cluster systems. Purdue University, USA.

a) Small-diameter gravity (SDG) systems

Flow is operated by gravity, therefore layout of pipe system is important to get proper grades. Because this system is operated by gravity, the lines tend to need to be slightly larger and closer to 3 to 4 inches in diameter.

The collection tank receiving the wastewater from the dwelling is often a baffled septic tank to ensure that only the effluent from the tank enters the small diameter sewer line and all settleable solids and floating fats/oils/grease and scum remain inside the septic tank.

b) Vacuum sewers

Vacuum systems are typically the least used of the 3 systems. One of the prime reason is because these systems generally cannot lift greater than 20 feet.

The system is operated by suction in the sewer lines which is created by a centralized vacuum source. The suction moves the sewage from the dwelling’s holding tank to a centralized location for pre-treatment. Once the holding tank is full, a pneumatic value is opened allowing the vacuum within the alternative sewer line to suck out the wastewater. Once the tank is emptied, the value closes until the tank is filled again.

The wastewater exiting the dwelling is deposited into either a small holding tank or a septic tank. The initial force of the vacuum is usually enough to break up the solids in the wastewater so relatively small diameter sewer pipes (3-4 inches) can be used and connected to the larger 4 to 10 inch vacuum mains.

c) Pressure sewers

Pressure sewers are generally used in hilly areas or those areas that are extremely flat.

The holding tank at the dwelling is typically smaller than a septic tank. It is intended for only short term storage and not pre- treatment (e.g., no need to remove solids and or fats, oils, grease). It typically contain two pumps. One pump is for grinding all solids within the holding tank and one to pump the ground solids into the sewer line.

Pressure systems are divided into two styles, i) grinder pumps and ii) septic tank effluent pumping systems. In the first system, holding tanks are relatively small and a grinder pump is used to shed solids as they are pumped into the alternative sewer line and use to pressurize the line. The second system utilizes a baffled septic tank to remove solids prior to pumping effluents into the sewer line. Both systems have been used widely in North America, Europe and Asia.

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Pre-treatment Options

Some pre-treatment of the wastewater can occur in the septic tank at the dwelling prior to the wastewater entering the alternative sewer system. Pre-treatment in this case would be confined primarily to the removal of grit and solids, fats, oils and grease and any scum that had formed in the tank. Depending on the residence time in the tank, some ammonification could also be expected to occur (e.g. microbial conversion of organic nitrogen to ammonia), along with a solubilisation of easily digested carbon based solids as evident by declining BOD and COD levels of the wastewater. There may also be a reduction of particle associated microbial organisms and trace elements as solids are retained in the septic tank.

Additional treatment generally occurs at the centralized collection site for the cluster systems. The level of additional treatment can vary widely depending on site conditions and the regulatory requirements of the area. It appears for many cluster systems the additional treatment is kept minimal and in many cases the final disposal option chosen is for land absorption.

The treatment options listed are only a short representation of some of the more common technologies used. Any of the treatment options commonly used for secondary treatment could be applied. A summary of treatments could include the following:

Eco-technologies

• constructed wetlands

• sand filters or soil filters

• purification ponds (e.g., various styles of lagoons such as facultative, aerated or anaerobic)

Activated Sludge Technologies

• activated sludge process with sludge recirculation

• activated sludge process in sequencing batch reactor (SBR)

Biofilm Technologies

• trickling filters

• submerged trickling filters

• fixed bed reactors

• fluidized bed reactor

• rotating disk filter

Membrane Technologies

• reverse osmosis

• nanofiltration

• ultrafiltration

• microfiltration

Anaerobic Technologies

• upflow anaerobic sludge blanket (UASB)

• anaerobic fixed bed reactor

• anaerobic fluidized bed reactor

An overview of removal rates for various decentralized wastewater treatment technologies is presented in the paper by M.A. Massoud et al. 2009 Journal of Environmental Management 90: 652-659.

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Final Disposal Options

The final disposal of the treated effluent can be the release to surface waters or more commonly to soil adsorption.

The choice of the final disposal technique and location will often be determined by the site conditions and the environmental regulations for the area, both of which will depend upon the quality of the treated effluent.

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Constructed Wetlands - Wastewater Treatment

Introduction

Wetlands have been historically used and recognised for millennia for their ability to provide effective treatment of domestic sewage. In early years, wetland served as a convenient dumping ground for wastewater. These wetlands were natural topographical features of the landscape. During the last three to four decades more interest has been devoted to understanding the biological, chemical and physical mechanisms of action responsible for the treatment of wastewaters. Despite this long history, approximately 85% or more of all published wetland studies have been generated in the last 10 to 15 years. Most wetlands used for the treatment of wastewater are best considered as constructed wetlands. Constructed wetlands are man-made structures of fixed size, volume and media with regulated flow rates. Those constructed wetlands have been modified and enhanced to treat specific types of wastewater are often referred to as engineered wetlands, although the distinction between constructed wetlands and engineered wetlands is often arbitrary. In some locations, natural wetlands are still used for the treatment of domestic sewage, but are used less often than constructed wetlands where many of the treatment parameters are much more easily known and controlled.

Wetland treatment can for the most part still be considered primarily as a decentralized system providing treatment for individual or cluster sources of wastewater and could be viewed as decentralized wastewater treatment systems.

Constructed wetland systems range in complexity from simple open pond areas to highly modified biological reactor units and range in size from a surface area of 10 square metres to over 250 hectares (e.g., approx 1 square mile) in size.

Treatment wetlands can come in all sizes and shapes. Natural wetlands (non-man made) have at times been used for the treatment of wastewaters, but this practice is generally discouraged since it can be significantly detrimental to the natural ecosystem services and aesthetic values of wetlands and the environment.

In most cases, treatment wetlands are constructed wetlands which have been specifically designed and constructed to treat wastewater. There are a number of basic design categories that are available. Each category (type) of wetland is often better suited for specific treatment processes than others. For example, horizontal subsurface flow (HSSF) wetlands are a common variant of constructed wetland. In these wetlands, wastewaters flow just below the surface of the wetland and therefore there is no standing water. Oxygen levels tend to be generally low, but still sufficient for microbial decomposition of organic wastes and ammonification to occur and adsorption to organic carbon and solids. Vertical subsurface flow (VSSF) wetlands are typically pulsed dosed from the surface and as the effluent percolates through the media of the wetland; air is drawn into the pore spaces as the water travels to deeper horizons of the wetland. Because of this action, the oxygen levels within VSSF wetlands are generally higher and because of this nitrification rates are often higher in VSSF than they are in HSSF wetlands. Each type of wetland design typically has specific treatment processes that are intended and enable mechanical control over some conditions such as aerial size and volume, flow rates and aeration rates, and depth and mixing.

Constructed wetland treatment efficiencies can be improved by developing hybridized constructed wetland systems that utilize more than one or two types of wetland designs in the treatment train.

Historically, natural wetlands and of late constructed wetlands have been used primarily for the treatment of domestic sewage.

The treatment of domestic sewage has been primarily concerned with:

i) The mitigation of high oxygen demands associated with the decomposition of organic mater and the conversion of organic nitrogen through to nitrogen gas. Microbial degradation of organic matter is commonly referred to as the “biological oxygen demand – BOD” and the microbial conversion of organic nitrogen to ammonia and subsequent conversion of ammonia to nitrates and nitrites is referred to as the “nitrogen oxygen demand – NOD”. The oxidation of other compounds (both organic and inorganic) known as the “chemical oxygen demand – COD” can also contribute to oxygen consumption. The purpose of treatment is to reduce these oxygen demand prior to the release of the effluent to the environment, where if left untreated the effluent could consume oxygen in the receiving waters to the point where it harms the ecosystem.

ii) The removal of suspended solids and other constituents causing turbidity. The importance of removing turbidity is related to the fact that many waterborne pathogens and contaminants will be associated with the suspended material. Removal of the suspended material will often remove a significant portion of the contaminant and pathogen load within the wastewater.

iii) The removal of waterborne pathogens. Pathogen removal within wetlands can be accomplished through a variety of mechanisms. As mentioned above, sediment associated pathogens are removed through filtration processes. Other processes include sorption onto biofilms, UV irradiation (within open surface water wetlands) and destruction by other microbial agents (e.g., bacteriophages).

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iv) Phosphorus. Wetlands are not particularly good at the long term removal of phosphorus. Plants generally remove only a small portion of the available phosphorus and this removal is best during the active growing season. Once plants die, the phosphorus is released back into the wetland if the plant tissue is not harvested and physically removed from the wetland.

The impact of wetlands used to treat domestic waste waters (i.e., sewage) risks of municipal sewage contamination of drinking water and associated health impacts is an ongoing issue. Raw untreated municipal effluents typically contain a variety of biological and chemical contaminants originating from domestic household use (e.g., cleaning products, soaps, shampoos, toothpaste and lotions, pharmaceuticals, food wastes and human and animal wastes) including waste waters from hospitals, commercial facilities and a variety of industries. In recent years a concerted effort has investigated how constructed wetland can be designed to deal with complex waste waters and waste waters generated by specialized operations (e.g., medical wastewaters). In many cases, the complexity of these types of wastewaters is being treated through the development of hybridized wastewater treatment systems.

Examples of Constituents in Waste Waters and Effluent Types

Herbicides (Bois et al. 2011. J Soil Sediment 11:860-873)

Insecticides

Bacterial removal

Heavy metals

Piggery effluents (Lee et al. 2010. J Environ Sciences 22(6):940-945)

Dairy parlour waste

Antibiotics and other pharmaceuticals (Conkle et al 2012; Anderson et al 2013)

Heavy oil

Diesel

Benzene

PAHs

Emerging Pollutants (BPA)

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Waste Water Treatment Strategies

Constructed wetlands are more often than not used in conjunction with other treatment strategies. For example, it is a common practice to pre-treat domestic sewage first within some type of a holding tank or lagoon before discharge into a constructed wetland.

Likewise, treated effluents exiting the wetland are often released to either drain fields where the effluent is further treated as it percolates into the soil or to surface pond areas before it is eventually released to natural surface waters.

The pre-treatment of waste waters allows settable solid to fall out of solution and for some processes to be initiated and progress like ammonification. Without pre-treatment domestic sewage can have a high solids content which has the potential to cause blockage of subsurface flows through the wetland. Many, but not all configurations of constructed wetlands direct the waste water to flow under the surface of the wetland (subsurface flow) through a course media often composed of crushed stone, gravel or sand. Without pre-treatment, the high solids content of the waste water can block the pore space within the subsurface media, causing the flow through the wetland to either slow significantly or to emerge onto the surface of the wetland where treatment may be less efficient.

The final disposal of the treated effluent exiting the wetland often depends on the site in terms of regulatory restrictions, effluent quality, physical features, etc. For example, if constructed wetlands are used to treat domestic waste generated from a cluster of homes utilizing a decentralized treatment approach, then the effluent will likely be released to a drain field or some form of tile drainage for eventual disposal subsurface. However, depending on regulatory conditions effluent may be released to isolated surface pond areas for further polishing of the effluent or for a reduction in volume from evaporative processes prior to its eventual release to nearby natural surface waters.

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Constructed Wetlands for Wastewater Treatment

What are common groundwater issues and interventions for the prevention of detrimental impacts on ground water supply, human health, and the environment from contaminants biological chemical and physical in in constructed wetlands for wastewater treatment?

Are there issues pertaining to potential environmental exposures to contaminants in wildlife and enviornmental monitoring for potential impacts?

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How do Wetlands Work

Treatment wetlands are complex biological systems that replicate many of the same processes that occur within natural systems.

Constructed wetlands are designed to enhance a number of those processes for the purpose of wastewater treatment.

Many of the processes with constructed wetlands are integrated and therefore a change in wetland conditions such as temperature or flow rates can have ramifications in many different processes.

Overall however, most wetland systems are self-regulating ecosystems and are able to adjust relatively quickly from short-term perturbations.

Three properties important to the operation and treatment performance of all wetlands are the following,

a) Wetland Size:

The size of the wetland can be expressed as an aerial surface area size (m2) and as a pore volume (m3). The pore volume refers to the collective volume of the void space that exists between the particles of the substrate. Collectively, this is a measure of how much effluent the wetland could hold at one time. It is determined by knowing multiplying the surface area (m2) by the depth of the wetlands substrate (m) and the porosity of the wetland’s substrate. For example, a wetland with a surface area of 100 m2 and a depth of 0.24 m would have a volume of 24 cubic metres. However, if the porosity of the substrate is 30% (or 0.3) then the void volume (or the volume of liquid the wetland could hold) would be 7.2 m3.

b) Flow volumes and rates:

The volume of wastewater that the wetland can accommodate is dependent on the void (pore) volume of the wetland. In the example above, this was determined to be 7.2 m3. Another factor governing how much flow the wetland can handle is the hydraulic conductivity of the wetlands subsurface media. If the flow entering the wetland is greater than what rate at which the wetland drains (e.g., speed at which the water flows through the subsurface of the wetland (e.g. hydraulic conductivity) then the wastewater entering the wetland would begin to accumulate on the surface rather than travelling subsurface often resulting in poorer treatment. Another important aspect related to flow volumes and rates deals with the hydraulic retention time (HRT) required for adequate treatment. Many of the key treatment processes (e.g., biological, chemical, etc.) are influence by time. For example, a general rule of thumb is that most wetlands need a HRT of at least three days. In other words, a volume of wastewater needs to reside in the wetland for a three day period in order to provide enough contact time with the bacteria to ensure adequate treatment. In fact the HRT can vary widely amongst wetlands and if often dependent on the type of wastewater constituents that are being treated. If in the above example, the void volume of the wetland is 7.2 m3 and this volume of water must remain in the wetland for a period of three days, then the greatest volume entering the wetland on a daily basis could be no more than 7.2 m3/d divide by 3 days equals 2.4 m3/d. If the inflow of wastewater was constant over a 24h period then the flow rate would be 2.4 m3 per 24h or 0.1 m3/h or 100 L per hour.

c) Loading rates:

This refers to the strength of the wastewater. Quite often the strength is categorised as the mass of BOD per day per unit surface area of the wetland. However, the loading rate can be expressed in any wastewater constituent you wish such as COD, total phosphorus loadings, organic nitrogen, etc. The reason this is important is if the loading rate is too high (say in BOD) then the treatment processes (e.g.,, microbial) may be overwhelmed and not be able to effectively treat all of the material coming into the wetland, even if the flow rates and volumes are appropriate.

The above three properties must be managed and controlled, as appropriate to the mass and characteristics of the wastewater entering the wetland in terms of the quantity and quality, in order to achieve and not overwhelm the desired treatment processes within the constructed wetland.

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WASTEWATER CONSTITUENT REMOVAL MECHANISM

Suspended solids, soluble organics, nitrogen compounds, phosphorus, metals and waterborne pathogens are the main wastewater constituents of interest within domestic sewage.

The major removal mechanisms operative within wetland systems that are responsible for providing treatment to the wastewater constituents are listed and matched in the table.

It should be noted that aerobic microbial degradation of soluble organics and ammonification of organic nitrogen are microbial in action.

Many of the removal mechanisms have common processes of microbial action, filtration, sedimentation and so on.

The key processes that contribute to pollution removal are the following,

Microbial mediated processes

Physical processes - filtration, volatilization, sorption, sedimentation, vertical diffusion in soils and sediments, accretion, photodegradation

Plant uptake - transpiration flux

Seasonal cycles

Chemical transformation and chemical degradation (breakdown) processes.

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Biological Processes

Microbial activity is the primary biological process involved in the treatment of wastewater. Plants do play a role in treatment; however their overall contribution is substantially less than the microorganisms. Most of the biological treatment is related to the biofilm that develops on the substrate of the wetland and on the root system of the wetland plants. A symbiotic relationship can exist between the microorganisms and the plants where the root systems supply oxygen and root exudates to the microorganisms while the microorganisms help in the solubilising of nutrients for easier uptake by the plants.

Wetland plants can play a role in the treatment process through the removal of phosphorus, and some trace elements, however, the mass of compound removed is generally small in terms of the mass that is treated by other wetland processes such as ammonification, nitrification and denitrification. The removal of phosphorus and trace elements is generally poor within wetlands. Phosphorus is removed from the wastewater primarily via absorption processes with binding sites (primarily oxides) within the wetland. Once those binding sites are saturated with bound phosphorus, then the wetlands ability to remove phosphorus from the waste stream diminishes rapidly. Trace metals are often removed through sorption processes, filtration, complexation, precipitation and sedimentation. Often trace metals do not leave the wetland but accumulate in sediments and organic material over time.

The major microbial groupings participating in the cycling and removal of nutrients trace metals and other elements and in the breakdown of organic compounds in constructed wetlands include the following,

Bacteria:

Heterotrophic (gain energy from carbon sources)

Lithotrophic (energy from inorganic compounds like Iron – chemotrophs)

Autotrophic (produce their own energy – fixing CO2)

Fungi:

Saprophytic (energy from dead or dying material)

Yeasts (energy from hexose sugars)

Hyphomycetes (breakdown of organic matter)

Actinomycetes

Protozoa

Some of the more common microorganisms involved in common microbially mediated processes within a wetland are as follows,

Nitrospira and Nitrobacter are nitrifying bacteria able to oxidize nitrite to nitrate.

Nitrosomonas is a nitrifying bacteria able to oxidize ammonia into nitrite as a metabolic process.

Desulfovibrio is a genus of Gram negative anaerobic sulfate-reducing bacteria producing hydrogen sulfide.

Geobacter rely on anaerobic respiration and have the ability to oxidize organic compounds and metals, including iron, radioactive metals and petroleum compounds into carbon dioxide while using iron oxide or other available metals as electron acceptor.

Streptomyces is an actinomycetes which are bacteria that form branching filaments similar to the mycelium of fungi but much thinner. Over 500 species of Streptomyces bacteria have been described and are found predominantly in soil and decaying vegetation, most streptomycetes produce spores.

Bacillus is a genus of Gram-positive, rod-shaped bacteria. Bacillus species are obligate aerobes and produce endospores. Bacterial endospore is a specialized structure resistant to environmental stresses especially heat and dryness that is different structurally and functionally from the spores formed by actinomycetes).

Methanobacteria are a class of bacteria that grow only under anaerobic conditions producing methane from carbon dioxide.

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Physical Processes

A number of physical processes are responsible for the removal of unwanted wastewater constituents. Some of the more common processes include the following:

Filtration and sedimentation: The subsurface media of the wetland often acts as an effective filter to remove material suspended within the wastewater. Likewise sedimentation can also play a key role in the removal of suspended material in the wastewater within free surface water wetlands.

Adsorption - desorption: Sorption of wastewater constituents is an important part of wastewater treatment, various compounds such as phosphorus adsorb to oxides, metals and hydrophobic compounds adsorb to organic carbon and to microbial biofilms coating the surface of subsurface media.

Accretion:

Volatilization: Volatilization and the exchange of gases within a wetland are very important. This is a particularly important process in the treatment and eventual removal of nitrogen based compounds within the wastewater.

Photo-degradation (UV irradiation): Photodegradation is a important process in the treatment of wastewater. However, photodegradation is important only in wetlands that have exposed surface waters, such as a free water surface wetland. Photodegradation is generally limited to the upper layers of the water where light penetration is good. Turbidity and or algal growth or the growth of other aquatic plants can inhibit light penetration and thus the effectiveness of this process.

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Plant uptake - Evapotranspiration fluxes

Evapotranspiration can be a significant process for the loss of water from vegetated wetlands. The rate of evaportanspiration processes is highly dependent on the time of year, the plant species involved, the density of the plants and wind conditions.

The uptake and translocation of trace elements (metals), nutrients and some organic molecules is highly species dependent. Plant species vary greatly in their ability to accumulate and translocate these compounds within the plant. Some trace elements may be adsorbed to the outer layers of the root system, while others may be absorbed into the root or translocated to the vegetative shoot of the plant. Much of this is dependent on the physiological attributes of the plant and the redox potential surrounding the root system.

Seasonal Cycles

Seasonal changes can greatly influence treatment processes within the wetland which are often reflected in treatment performance. Temperature is a major determinant of microbial activity, evaportranspiration, plant growth, chemical interactions and others.

Biological and chemical processes generally slow with cooler temperatures and thus treatment performance may decline.

Wetlands can typically function during most winter conditions within temperate climates. Many constructed wetlands operate subsurface and the residual heat from microbial activity is often enough to keep these wetlands from freezing during the winter.

Precipitation events in terms of rainy seasons or snow melts can also influence the strength of wastewater effluents within the wetland and decrease hydraulic retention (HRT) times through increased flow rates.

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Environmental Fate and Transport - Chemical Transformation and Degradation (Breakdown) of Waste Water Constituents

The treatment of wastewater constituents in most cases involves a complex series of events in which the state of the waste water constituents change from one form to another that can be mediated via physical, biological and chemical processes and in many cases involve complex interactions of all of these processes. Collectively these processes are referred to as chemical transformation and degradation or breakdown of waste water constituents, and environmental fate and transport processes.

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Environmental Fate and Transport - Carbon

The figure depicts some of the interactions and fate of the organic carbon entering wetland systems. Carbon can be measured in many different compound forms and by different methods.

BOD

Measuring the biological oxygen demand is generally the most common method used to estimate the amount of readily usable concentration of organic matter (organic forms of carbon) in the effluent.

This consists of carbon based compounds that can be metabolized microbally. During microbial metabolism oxidation and breakdown of the organic material, the activity of the bacteria is measured indirectly by monitoring how much oxygen is consumed within a specified period of time (generally 5 days, hence the term BOD5).

Since bacteria can also consume oxygen during the metabolism of nitrogenous compounds, an inhibitor can be added to the wastewater sample that will inhibit the metabolism of nitrogen compounds; any oxygen consumed is related to the metabolism of carbon based compounds.

This specialized BOD is referred to as cBOD or carbonaceous biochemical oxygen demand.

COD

Another term often encountered is COD or chemical oxygen demand. Not all carbon based compounds are readily solubilised via microbial action. In the determination of COD, the all carbon based molecules are oxidized with a strong oxidant. Therefore cBOD is a subset of COD.

Reference

Kadlec, R.H. and S.D. Wallace. 2009. Treatment wetlands, 2nd edition. CRC Press, Taylor & Francis Group, Boca Raton, FL, USA. 1016 pages.

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Environmental Fate and Transport - Nitrogen

Nitrogen is generally fixed into plant tissue which is consumed by animals and eventually incorporated into animal proteins and tissues.

Municipal wastewaters are typically high in organic nitrogen from human excreta.

Within wetlands, ammonification converts organic nitrogen into ammonia and through nitrification, ammonia is oxidized to nitrate and nitrite compounds.

The process of nitrification requires high levels of oxygen to be present, and that is why some wetland variants such as vertical subsurface flow wetlands which are high in oxygen are more efficient in nitrification.

The nitrate and nitrite compounds are reduced (remove oxygen) during the process of denitrification to elemental nitrogen gas (N2) which is released to the atmosphere.

Kadlec, R.H. and S.D. Wallace. 2009. Treatment wetlands, 2nd edition. CRC Press, Taylor & Francis Group, Boca Raton, FL, USA. 1016 pages.

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Environmental Fate and Transport - Phosphorous

The figure illustrates the phosphorus interactions that can occur within a wetland. Typically, the major loss of phosphorus from the wastewater is through adsorption onto the surfaces of various wetland components.

Phosphorus retention within wetlands is typically good for a young wetland, but as the wetland ages and the availability of binding sites becomes limited, the wetlands ability to retain phosphorus diminishes significantly.

A limited and relatively small fraction of phosphorus may be taken up by plants during the active growth period, however, once plants die and decay, much of this stored phosphorus can be released back into the wetland unless the vegetative portions of the plants are harvested and removed prior to decay and release.

There is much research interest in identifying different types of media that can be installed within wetlands to better capture and retain phosphorus from wastewaters.

Some materials include the use of steel slag which is high in oxides or other aluminium oxides coated material. In either case, this material has a limited life and it would need to be removed from the wetland and replaced with new material in order to ensure a long term removal. The life of these products is still unknown, but they may, depending on the volume used, strength of the wastewater, etc., be measured in years or decades.

Kadlec, R.H. and S.D. Wallace. 2009. Treatment wetlands, 2nd edition. CRC Press, Taylor & Francis Group, Boca Raton, FL, USA. 1016 pages.

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Environmental Fate and Transport - Sulfur

Sulfur interactions are very important in the removal of dissolved forms of trace metals. Sulfide can through chemical and microbial processes complex with dissolve metal species and in doing so form new compounds which are not soluble and therefore precipitate out of solution. An example is provided below where the soluble ferrous iron (Fe2+) is complexed with sulfide to form insoluble ferrous sulfide.

Ferrous sulfide (FeS) is highly insoluble. Many metal sulfides are very insoluble including ZnS, CdS, NiS and others.

Kadlec, R.H. and S.D. Wallace. 2009. Treatment wetlands, 2nd edition. CRC Press, Taylor & Francis Group, Boca Raton, FL, USA. 1016 pages.

Engineered wetlands are typically considered a specialized branch of constructed wetlands.

Engineered wetlands are designed to treat specific types of wastewaters.

Interest in growing in the development of engineered wetlands and those engineered wetlands that incorporate a biological (generally microbial) treatment component are often referred to as bioreactors.

Sulfur reducing bacteria in an anaerobic environment are utilized in removal processes of trace elements such as copper, cadmium and arsenic from waste waters of mine tailings operations by complexing these soluble trace elements forming insoluble metal- sulfides immobilizing these trace elements and facilitating their removal from the waste water.

Kadlec, R.H. and S.D. Wallace. 2009. Treatment wetlands, 2nd edition. CRC Press, Taylor & Francis Group, Boca Raton, FL, USA. 1016 pages.

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Oxidation – Reduction Potential (REDOX)

Oxidation reduction potentials operative within wetland systems will often mediate a variety of chemical reactions that can change the speciation of trace elements and thus solubilise or immobilize trace elements.

Plants can oxygenate the boundary layer between the plant root and wetland substrate. This has the potential to influence a variety of chemical reactions as illustrated in the figure.

The roots of plant can play a key role in influencing the redox potential within the root zone of the wetland. In the example illustrated in this slide, the plant roots pump oxygen to the boundary soil layer which then creates an oxidative zone where nitrification can take place. Further beyond this zone is an anaerobic zone where nitrate can become reduced to nitrogen gas which can be absorbed by the root fibers and translocated to the vegetative shoot of the plant and released to the atmosphere.

Kadlec, R.H. and S.D. Wallace. 2009. Treatment wetlands, 2nd edition. CRC Press, Taylor & Francis Group, Boca Raton, FL, USA. 1016 pages.

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Acidity and Alkalinity in Wetlands

The pH of the wetland can significantly influence may different chemical reaction and in particular the speciation of many trace elements.

The balance between pH and alkalinity has a significant influence on chemical reactions. The strength of the wetland’s alkalinity will influence the wetland’s ability to buffer acidic wastewaters.

Kadlec, R.H. and S.D. Wallace. 2009. Treatment wetlands, 2nd edition. CRC Press, Taylor & Francis Group, Boca Raton, FL, USA. 1016 pages.

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Sorption Processes in Wetlands

There are several wetland “compartments” that can serve to store inert solutes, both nutrients and contaminants. Sorbed nutrients and contaminants in wetland sediments or media may reversibly sorb and become released from sediments into the water column where they may be available for environmental tranport, transformation and uptake in dissolved form, as well as in sorbed forms through processes such as scouring, turbulence and dredging of sediments, and natural bioturbation by sediment dwelling organisms and bottom feeders.

Kadlec, R.H. and S.D. Wallace. 2009. Treatment wetlands, 2nd edition. CRC Press, Taylor & Francis Group, Boca Raton, FL, USA. 1016 pages.

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Constructed Wetlands - Different Forms

Constructed wetlands can come in many different forms.

Each form is often designed for specific treatment attributes.

A summary of some of the more common forms of wetlands is presented and discussed.

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Free Water Surface Wetland (FWS)

The free water surface wetland will often be used to maximize the influence of UV irradiation to destroy microorganisms or degrade photolytic compounds or for the vitalization of wastewater constituents like ammonia.

Light penetration will depend upon turbidity and colour.

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Floating Island

Floating islands are often installed into storm water retention ponds as a treatment technology to remove low levels of nutrients, suspended matter and in some cases water borne pathogens.

Much of the treatment is modulated through the extensive root masses that can develop underneath the islands.

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Horizontal Subsurface Flow (HSSF)

Horizontal subsurface flow wetlands are one of the more commonly used wetland variants. Water levels within this type of wetland are kept at a static level just below the surface. The media generally consists of crushed limestone, but may contain gravel, sand or other media. The depth of the subsurface horizon is often kept to match the depth that plant roots will penetrate to which is often near 0.6 m, but may vary depending on plant species used. Once again, much of the treatment in terms of carbon and nitrogen loss is mediated microbially from the biofilms that develop around the root system and wetland media.

Oxygen levels are generally low and so this form of wetland is generally poor at nitrification.

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Vertical Subsurface Flow

Vertical subsurface flow wetlands are pulse dosed from the surface. As the pulse of wastewater percolates through the soil horizon, it draws in oxygen as it exits the capillary pore spaces between substrate particles. Therefore the zone of saturation is constantly fluctuating as the new doses of wastewater are applied. Wastewater exits the bottom of this wetland cell. Vertical subsurface flow wetlands can be used for a variety of purposes. The excerpts from a recently published manuscript are provided below. This excerpt summarizes how VSF wetlands can be used as an effective means for dewatering wastewaters with high solids content.

A 6-month, yard-scale experiment was conducted in Cameroon.

Wetland was planted with Cyperus papyrus or Echinochloa pyamidalis.

The solids loading rates (SLR) were 100, 200 and 300 kg TS m-2/year.

Observations made were the following:

1. SLR of 100 rarely clogged

2. SLR >200 the frequency of clogging was higher in C. papyrus beds than E. pyramidalis beds

3. Severe clogging most often occurred at SLR of 300 with water remaining on surface for more than a week, allowing the development of algae and fly larvae and sometimes odours

4. Pollutant removal rates were high for the solids remaining on the surface, but the quality of the percolate remained poor and needed further treating before being able to be released to the environment (this could be treated with a constructed wetland)

5. 100 lead to a sludge accumulation of 30-40 cm per year, 200 lead to 50-70 cm per year and 300 to 80-113 cm per year

6. Based on accumulation of sludge, at least 1.5 to 2 m of freeboard is needed for a 3 year period, afterwards the bed needs to be desludge, however, by this time much of the sludge has decomposed into useable compost.

Conclusions of the study authors:

1. An effective way to dewater faecal sludge. Most developing countries place Fecal Sludge into ponds with activated sludge, or waste stabilization ponds which suffer from the high solids concentrations leading to rapid overloading of the beds. This is a way to remove most of the solids prior to treating the percolate

Reference:

Kengne, I., M., E. S. Kengne, A. Akoa, N. Bemmo, P.-H. Dodane and D. Koné. 2011. Vertical-flow constructed wetlands as an emerging solution for faecal sludge dewatering in developing countries. J. of Water, Sanitation & Hygiene for Development 1(1):13- 19.

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Forced Bed Aeration

The forced bed aeration wetland is a variation of the previous wetland types shown. In this version the wastewater is applied to the surface of the wetland; the treated effluent is drawn from the bottom of the wetland in a manner that keeps the subsurface media saturated.

Another key difference is that the wetlands are aerated with the use of bubbler lines that lay on the bottom of the wetland underneath the subsurface media.

The intent is to maintain a well oxygenated saturation zone within the wetland. The high concentrations of oxygen help enhance those processes that require oxygen such as cBOD, COD, nitrogen oxygen demand, nitrification and others.

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Horizontal Subsurface Flow with steel slag

The figure illustrates a modification to a HSSF wetland in which the normal media used has been replaced with steel slag to increase phosphorus retention. In this example, steel slag was used which can create issues of producing high pH effluents and perhaps the release of some undesired trace metals and other elements. These undesired aspects are dependent on the source constituents and age of the slag.

There are other manufactured compounds (mainly aluminium oxide formulations) that might be used, but, many of these commercially manufactured products can be expensive.

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Successive alkalinity-producing systems (SAPS)

Successive alkalinity-producing systems are a specialized modification often used in the mining industry to deal with acid mine drainage.

These systems are designed to neutralize acidic waters and to change the metal speciation through changing the redox potential of the substrate.

The combined effect of pH adjustment and modulation of the redox potential can cause some metals to precipitate out of solution.

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Biochemical Reactor (BCR)

Biochemical reactors are engineered version of constructed wetlands that utilize a biological component (generally bacteria) to accomplish specific treatment goals.

In the example shown, an anoxic organic medium is utilized by sulfur-reducing bacteria to generate HS- which can combine with the soluble Fe2+ to produce FeS which is insoluble and in effect has caused the iron to precipitate out of the wastewater and thus be retained within the wetland.

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Hybridized Wetland Systems

The first example of a hybridized system illustrates how a VSSF cell could be placed upstream of a HSSF cell to increase the overall rate of nitrogen loss from the system.

The concept presented in the second example is that this hybridized system should not only be good at removing nitrogenous compounds but also phosphorus.

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SAPS + BCR Hybrid

For example, the SAPS could be used to neutralize acidic wastewater such as acid mine drainage which is often contaminated with high levels of iron.

Because of the reducing environment of the SAPS, most of the iron exiting the SAPS will be in the dissolved Fe2+ form.

Treating the waste stream high in Fe2+ with a biochemical reactor cell which utilizes sulfur-reducing bacteria, the iron can be effectively removed by complexing the Fe2+ with HS- to produce FeS which precipitates out of solution.

The overall effect is that the acidic wastewater originally high in iron is now neutralized and the iron is removed.

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Case Studies

Four case studies are presented in the next part of the course dealing with the following environmental situations and waste water sources.

1.Municipal wastewater (hybrid system)

2.Landfill leachate (hybrid system)

3.Airport (forced bed aeration)

4.Storm water (free water surface wetland)

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Municipal wastewater (hybrid system)

CONSTRUCTED WETLANDS TREATMENT PLANT FOR THE TREATMENT OF DICOMANO (FLORENCE PROVINCE) MUNICIPAL WASTEWATER

Additional information for this example of a constructed municipal wetland is available and is summarized on the Constructed Wetland Association website http://www.constructedwetland.co.uk/resources/case_Studies/ (Internet Access Required)

The case study is of a hybridized system in France that has been developed to treat municipal wastewater.

The system has an aerial footprint of 0.61 hectares and treats the wastewater equivalent to what would be produced from a population of 3500 people.

It uses a combination of horizontal subsurface flow wetland cells (identified in this example as SFS-h) followed by a series of vertical subsurface flow wetland cells (e.g.,, SFS-v), followed by another series of HSSF with ultimate release into a free water surface cell.

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Landfill Leachate (hybrid system)

MULTI-STAGE CONSTRUCTED WETLANDS SYSTEM FOR LANDIFILL LEACHATE TREATMENT: THE “TAGLIETTO” LANDIFILLS PROJECT

This example of a landfill leachate treatment system is summarized on the Constructed Wetland Association website http://www.constructedwetland.co.uk/resources/case_Studies/

In this example, a hybrid system was developed to treat landfill leachate. It consists of a series of VSSF followed by HSSF wetland cells with eventual treatment in a FWS cell.

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Airport (forced bed aeration)

The intent of this case study is to demonstrate the effectiveness of the forced bed aeration wetland and its ability to treat high BOD wastewaters which were equivalent to what would normally be produced from a population of 50,000 people.

The Buffalo airport in Buffalo, New York, USA generates high BOD wastewater which during the winter months can peak at on average 4600 m3 of per day.

The high BOD strength of the wastewater meant that treatment was necessary before the wastewater could be released to the surrounding environment.

Additional Information

Detailed summaries of this work can be found in,

Higgins, J., S. Wallace, K. Minkel, R. Wagner, M. Liner, and G. Meal. 2010. The design & operation of a very large vertical sub- surface flow engineered wetland to treat spent deicing fluids and glycol-contaminated stormwater at Buffalo Niagara International Airport. 12th International Conference on Wetland Systems for Water Pollution Control. Venice, Italy, Oct 4-9, 2010.

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Airport (forced bed aeration)

The wetland style chosen as a treatment option was the forced bed aeration. This was chosen since this style is known to be able to treat wastewaters high in BOD.

The BOD that was required for removal was equivalent to what would normally be produced by a small city of 50,000 people. The areal coverage of the wetland was approximately 2 hectares in size.

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Airport (forced bed aeration)

After construction and one year of operation the efficiency of the wetland was reviewed and evaluated by two of its original designers. They found that the wetland was performing poorly in its first year of operation. The main issue was determined to be poor health of the bacterial community. It was surmised that the poor health of the bacteria was related to the lack of nutrients in the glycol- rich wastewater. The following year a nutrient addition scheme was implemented to supplement the nutrient devoid wastewater with a cocktail of nutrients needed for proper microbial health.

Results from the following year demonstrated that the performance of the wetland exceeded what was originally anticipated by a factor of five-fold.

The figure depicts the seasonal trends of cBOD5 and total organic carbon of the wastewater and of the treated effluent exiting the wetland demonstrating a high level of treatment.

After nutrient addition to the bacterial community, the treatment performance of the wetland increased five-fold over what it was originally designed for.

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Storm Water Treatment (free water surface wetland)

This case study is from Calgary, Canada and it represents one of the largest constructed wetland projects ever undertaken.

The primary purpose of the constructed wetland is to provide temporary storage for stormwater runoff and to treat the runoff prior to its eventual release into the Bow River.

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Storm Water Treatment (free water surface wetland)

An aerial view of the flooded wetland. Most of the wetland functions as a shallow free water surface wetland.

The wetland collects storm water from an area approximately 24 km2 in size.

Questions:

Environmental Monitoring: what is being monitored, how, where, why, by whom and over what monitoring period.

Environmental issues to be addressed through monitoring and surveillance: sustainability of treatment system, groundwater protection, protection of drinking water supply, ecosystem and potential impacts and exposures in wildlife.

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Conventional Treatment Technologies - Wastewater

The following is a basic overview of the treatment processes commonly found within conventional wastewater treatment plants operated for the treatment of municipal sewage. The information presented reflects the processes found in many if not most wastewater facilities. It should be understood that the technologies used to treat municipal sewage are advancing as concerns arise over recalcitrant micro-contaminants within domestic sewage. New treatment technologies are now emerging that effectively deal with many of these micro-contaminants. As such wastewater facilities in general are being modified to accommodate these new technologies. The implementation of these upgrades can be expensive and limited to those regions with the financial resources needed.

Further discussion of the more recent advancements in the treatment of municipal sewage are presented later in the Course. However, the distinction between conventional treatment and advance treatment is arbitrary and only intended to provide a general distinction between conventional treatment technologies and “newer” technologies implemented to treat contaminants of emerging concern.

This figure depicts an overview of the treatment stages and main processes of conventional wastewater treatment and how they are linked to each other. Some details have been omitted for the sake of simplicity and some treatment plants may deviate slightly from this plan, but in general terms this is how most conventional activated sludge treatment plants operate.

The Pre-treatment is intended to remove large debris and grit from the raw wastewater. A comminutor shreds the solids in preparation for movement of the waste to primary treatment.

Primary treatment is intended to remove the settable solids and floatable materials from the effluent.

Secondary treatment biologically digests soluble organics and removes refractory solids as sludge to be further treated in a separate sludge digestion process. NOTE: some WWTPs provide only secondary treatment and once the secondary treatment if achieved the effluent is disinfected, dechlorinated and released to the environment (typically to a nearby surface water body). For those WWTPs offering tertiary treatment the secondary effluent is transferred to subsequent tertiary treatment processes.

Tertiary treatment removes additional unwanted constituents in order to meet the regulatory requirements of the jurisdiction. It is important to note that not all of the tertiary processes listed in this diagram are necessarily operative at each facility. Tertiary treatment is often customized to meet specific treatment objectives.

Undigested solids (sludge) are further digested in a different process. This is typically accomplished through anaerobic digestion with heat, but may also be done aerobically.

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Activated Sludge Treatment Process

The two most common treatment processes for municipal wastewater are:

1) Activated Sludge

2) Trickle Filter

The activated sludge process is typically the preferred method. The activated sludge utilizes microbial degradation for the digestion of soluble organic constituents within primarily treated effluent.

The trickle filter also utilizes microbial degradation for the same purposes. However, in this process the primarily treated effluent is sprayed onto a filter bed composed of course gravel or crushed stone. A bacterial community develops on the substrate to form a biofilm. These filters require general maintenance for they will plug as the biofilms thicken.

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Activated Sludge Wastewater Treatment Plant Providing Secondary Treatment

This figure provides more detail regarding the layout of a typical secondary wastewater treatment plant. Note that it is typical to have two primary clarifiers and two secondary clarifiers. Also note that two heated anaerobic digesters are used for the digestion of the sludge. This schematic also illustrates the transfer of returned activated sludge (from secondary clarifiers) to the aeration tank (in this diagram called the biological or chemical treatment tank) and wasted sludge (from secondary clarifiers) and the transfer of the filtrate (from the anaerobic digesters) back to the flow equalization tank.

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Trickle Filters

This is an example of what a trickle filter looks like. Most WWTPs do not use this process for biological treatment, but instead use the activated sludge process.

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Pre-Treatment Waste Water

The intent of the pre-treatment stage is to remove those materials that could either damage the facility. Shredding of the solids into smaller sizes helps in the separation of solids and effluents and later in the microbial digestion of this material.

The grit chambers remove smaller objects such as broken pieces of glass, sand, silt and pebble that could damage or plug the system. Another design that is sometimes used is an aerated grit chamber. In an aerated grit chamber, air bubbles are injected into a wastewater basin to force a spiral, or rolling, flow. The air bubbles are supposed to strip organic material off the surfaces of the inert grit as well as maintain the proper flow rate for the grit to settle to the bottom of the tank, usually with a clam bucket.

The flow volumes entering the wastewater treatment plant are typically uneven with mid morning periods having the greatest flows.

The equalization chamber helps to balance the flows to ensure a constant and even flow is delivered for treatment.

In this way the system processes are not disrupted.

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Primary Treatment

The primary clarifier is the settling tank that receives the pre-treated raw sewage. The primary clarifier can also be called the “settling tank” or the “sedimentation & floatation unit”.

Often the effluent will flow through two primary clarifiers to improve separation of solids, floatables and effluent. The clarifiers can be circular or rectangular in shape but both operate on the same principle of gravitational separation of the different phases.

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Secondary Treatment: Aeration Tank

When wastewater enters the aeration tanks, it is mixed with the activated sludge to form a mixture of sludge, carrier water, and influent solids (called mixed liquor). These solids come mainly from the discharges from homes, factories, and businesses. The activated sludge which is added contains many different types of helpful living organisms that were grown during previous contact with wastewater.

Most primary effluents still have between 40 and 60 percent of the original pollutants present. Some of this may be dissolved in the wastewater, forming a solution. Some may consist of solid particles which are too small to settle out under gravity. These very small particles are known as colloids.

The purpose of secondary treatment is to remove these dissolved and colloidal pollutants. Secondary treatment removes soluble materials that require oxygen for decay since much of the removal is via microbial digestion.

The most common form of secondary treatment is biological (microbial) treatment. This means that the wastewater is exposed to living organisms such as bacteria which feed on the dissolved and colloidal matter. In doing this, they either break it down to much simpler and less harmful compounds, or use it as food to increase their own cell mass. As the microorganisms grow, they tend to clump together to form fairly large particles, which can quite easily be settled out by gravity (in a process similar to clarification) to leave a clear effluent.

When it is operating properly, secondary treatment can be very effective. For example, removal of 90 to 99 percent of the suspended solids and BOD in the raw wastewater is not uncommon.

The microorganisms active in this process are aerobic. They are present in all wastewaters. Extra oxygen must be supplied artificially because the concentrations of pollutants and microorganisms are so much higher in a treatment plant. The rate of purification can be increased by increasing the number (concentration) of microorganisms in contact with the wastewater.

The organisms stabilize soluble or finely divided suspended solids by partial oxidation forming carbon dioxide, water, and sulfate and nitrate compounds. The remaining solids are changed to a form that can be settled and removed as sludge during sedimentation.

Oxygen, usually supplied from air, is needed by the living organisms as they oxidize wastes to obtain energy for growth. Insufficient oxygen will slow down aerobic organisms, make facultative organisms work less efficiently, and favor production of foul-smelling intermediate products of decomposition and incomplete reactions.

An increase in organisms in an aeration tank will require greater amounts of oxygen. More food in the influent encourages more organism activity and more oxidation; consequently, more oxygen is required in the aeration tank. An excess of oxygen is required for complete waste stabilization. Therefore, the dissolved oxygen (DO) content in the aeration tank is an essential control test. Some minimum level of oxygen must be maintained to favor the desired type of organism activity to achieve the necessary treatment efficiency. If the DO in the aeration tank is too low, filamentous bacteria will thrive and the sludge floc will not settle in the secondary clarifier. Also, if the DO is too high, pinpoint floc will develop and not be removed in the secondary clarifier. Therefore, the proper DO level must be maintained so solids will settle properly and the plant effluent will be clear.

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Secondary Treatment: Secondary Clarifier

The sludge settling to the bottom of the clarifier is called the activated sludge, hence the reason why this treatment process is called an activated sludge treatment process as opposed to a trickle filter process.

The activated sludge contains a mixture of living bacteria, fungi, yeast, protozoa, and worms, along with dead bacteria and organic constituents that have clumped together and have fallen out of the water column under gravitational forces. When the sludge is removed from the clarifier, a portion is diverted back into the aeration tank and mixed with the primary effluent (e.g., returned activated sludge). The living bacteria of the returned activated sludge then multiply rapidly and the microbial digestion of the primary effluent in the aeration tank begins again. The ratio of food (organic constituents of effluent) to organisms (activated sludge) is important in both the aeration tank and secondary clarifier to ensure proper and efficient breakdown of organic compounds. This ratio needs to be maintained and adjusted when needed in both of these tanks. Often the amount of return activated sludge removed from the secondary clarifier is not enough to lower the ratio of organisms to food in the clarifier and as such some of the activated sludge removed from the secondary clarifier is wasted, hence the name “wasted activated sludge”. Often the wasted sludge will be diverted to the flow equalization tank upstream of the primary clarifier, thus allowing the wasted sludge to undergo further treatment.

The clarified secondary effluent can then undergo disinfection and dechlorination, as a final cleanup process before being released to the environment. The design of secondary treatment facilities can vary in how the secondary effluent is processed before being released to the environment. Often the effluent will be disinfected with chlorine. However, concerns over the production of harmful disinfection by-products and the potential release of chlorinated effluents into the environment have led some treatment facilities to use other methods of disinfection such as UV irradiation or ozonation. Many WWTPs will also pass the disinfected effluent through sand filters as a final clean up step before its release. Once again, some treatment facilities are moving away from sand filters, or are augmenting the sand filters with the use of membrane filtration.

If chlorination was the disinfection method chosen, the chlorinated effluent will often undergo a dechlorination process to remove the added chlorine from entering the ecosystem of the receiving body. Chlorine can be removed by periods of holding, aeration or activated carbon. However, because of speed and ease, chemical means are often used. The most common chemical to add is sulphur dioxide, but other sulfur compounds can be used such as sodium sulfite, sodium bisulfite, sodium metabisulfite and sodium thiosulfate.

Although secondary treatment can remove over eighty-five percent of the BOD, suspended solids and nearly all pathogens, sometimes additional treatment is required. If tertiary treatment is desired, then the primary effluents undergo additional treatments designed to meet specific treatment objectives for the facility. These tertiary treatment options have historically included treatment to reduce phosphorus and nitrogen and enhanced removal of organic waste constituents.

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Tertiary Treatment

Phosphorous and nitrogen are two compounds generally elevated in the secondary effluents of municipal wastewaters. Both of these compounds are nutrients important for plant growth.

Phosphorous in particular can cause eutrophication issues in receiving waters and thereby degrade the surrounding ecosystem.

Several jurisdictions closely regulate the amount of phosphorus that can be released from municipal effluents.

The choice of which parameters to treat and which treatment processes to install are generally specific to the individual treatment facility.

The most common treatment processes used by most conventional treatment plants involve the following:

Filtration - Secondary treatment processes are highly effective in reducing the BOD in wastewater. However, some suspended material can still remain in the effluent even after the solids have been settled out. Some of the suspended materials are microorganisms that can exert a BOD from normal respiration and decay. Sand filters are normally used to filter out this remaining material. The sand filters are often similar in design to the sand filters used in many conventional drinking water treatment plants. However, the filter material is often heavier than the drinking water filters since the wastewater filters require frequent backwashing to remove the solids filtered out of the wastewater effluent.

Carbon adsorption - Soluble organics often remain in the secondary effluent, even after sand filtration. Many of these compounds are “refractory” or resistant to degradation. Adsorption of these compounds onto activated carbon is one of the common methods for removal. Carbon is activated by heating in the absence of oxygen. This is intended to create multiple fractures and pores and thus increase the surface area and hence adsorption sites on the carbon. After the adsorption capacity of the carbon has been exhausted, it can be restored by re-heating it in the absence of oxygen. This process drives off the adsorbed organics, which can be consumed in an afterburner.

Phosphorous removal - Phosphorus in wastewater is a pollutant because it encourages the growth of algae. Phosphorus removal usually involves the addition of metal salts such as ferric chloride or alum to the wastewater, mixing it in a reaction basin, and then sending the mixture to a clarifier to allow the phosphorus-containing precipitate to settle out.

Nitrogen removal - Nitrogen in any soluble form is a plant nutrient and may need to be removed from the wastewater to control the growth of algae. In addition, nitrogen in the form of ammonia exerts an oxygen demand and can be toxic to fish. Nitrogen can be removed from wastewater by both biological and chemical means. The biological process is called ammonification / nitrification / denitrification and the chemical process is called ammonia stripping.

Ammonification / Nitrification / Denitrification- The natural nitrification process can be forced to occur in the activated sludge process by maintaining a cell detention time of at least fifteen days. Bacteria can convert organic nitrogen (proteins, peptides, etc.) to ammonia (ammonification) and ammonia to nitrates (nitrification) and nitrates into nitrogen dioxide (denitrification). Small amounts of organic materials (such as methanol, or raw or settled sewage) could be added to provide a food source for the bacteria for this denitrification process if sufficient nutrients aren’t already available in the aeration basin.

Ammonia Stripping - Nitrogen in the form of ammonia can also be removed chemically by raising the pH (often, by adding lime) to convert the ammonium ion into ammonia, which can be stripped from the water by blowing large quantities of air through the water.

Newer treatment processes are now starting to emerge to provide effective treatment for emerging contaminants of concern. These contaminants are wide ranging and include naturally occurring microcystin toxins produced by cyanobacteria, pharmaceuticals and personal care products, and other trace organic contaminants. Some of these compounds are not effectively removed with conventional treatment processes because of their physical-chemical structural properties and resistance to degradation and low affinity for absorption to particulates (including those that are associated with tertiary treatment). Some of the newer treatment processes include the use of powerful oxidants such as ozone, peroxide, UV irradiation and membrane filtration. Many of these treatment options for wastewater are discussed in the sections of this course on advanced treatment for wastewater and advanced treatment for drinking water. The mechanisms of action for most of these advanced treatments are the same whether applied to wastewater or drinking water. They vary however in the application and operation.

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Sludge Digestion

The primary sludge generated from the primary clarifier on averages represents approximately 40% to 60% of the suspended material in the wastewater. This equates to approximately 25% to 35% of the BOD in the wastewater.

Anaerobic digestion produces considerably less biomass than what is produced under aerobic digestion.

Biomass is produced when the number of microbial organisms increases (e.g., the organic constituents inherent in the sludge are consumed by a growing bacterial population and are thus converted into increasing quantity of bacterial cell mass called biomass).

Microbial digestion under anaerobic conditions often will consume 50% to 60% of the sludge while converting only about 10% of that consumed matter into biomass.

In general, facultative and anaerobic bacteria capable of living under low oxygenated conditions convert the digestible organic content into volatile organic acids, which are then completely metabolized by a different group of bacteria into methane and carbon dioxide.

The stability of the anaerobic process is quite fragile. A balance must be maintained amongst several microbial populations. The hydrolysis and fermentation phases of the digestion are accomplished by the most tolerant group of microorganisms able to survive in the broadest range of environmental conditions. Overfeeding of this group can quickly lead to an increase of volatile fatty acids within the digester which can reduce the pH and harm the acetogens and methanogens and stall the digestion process.

The anaerobic digested sludge is held in the tank from 10 days to 90 days, depending on the specific operation of the unit.

The overall goal is to reduce the total volume of biosolids and to produce a stable biosolid material that can then be disposed via burial, landfill, incineration, or land application.

Under proper operating conditions the concentration of methane in the biogas generated by the anaerobic digester may be high enough to be used as a viable biogas fuel to supplement the power requirements of the plant.

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Waste Water - Advanced Treatment Technologies

Primary wastewater treatment has historically been focused on the removal of large debris and grit. Secondary treatment has been designed to reduce the biochemical oxygen demand and the settable solids (sludge) and to disinfect the effluent prior to its release in to the environment. Tertiary treatment has historically been focused on methods that improve the removal of phosphorous. It may also include the nitrogen, chemical oxygen demand (COD) and other unwanted compounds (e.g., enhanced removal of trace elements). The objectives of tertiary treatment are often influenced by the regulatory requirements of the associated jurisdiction.

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Need for Advanced Treatment

The design of conventional treatment plants is focused primarily on the removal of organic compounds originating from human excreta. Much of this removal is accomplished through microbial action which digests the readily or easily digested organic compounds. The solid material remaining (often called sludge or biosolids) represented that faction of the waste stream that is more resistant to aerobic metabolism. The resulting effluent is then disinfected (primarily through the addition of chlorine) and then released back to the environment. Effluent undergoing tertiary treatment is often subjected to additional procedures aimed at either further reducing the phosphorous concentration of the effluent or other parameters (e.g., nitrogen compounds, COD, etc.) in order to meet regulatory guidelines for that jurisdiction. The resulting sludge (biosolids) is generally sent to a digester where they are further digested under anaerobic conditions. Once again, the effluent resulting from this digestion is injected back into the treatment stream for additional treatment and eventual release to the environment.

These conventional methods have been shown to provide relatively good treatment for many organic compounds arising from human excreta. However, the waste stream now entering many treatment facilities is often a complex mixture of many different chemicals which are not as easily digested microbially as those arising from human excreta. In addition, some pathogens are now known to be resistant to common disinfection agents such as chlorine. Some of these more recalcitrant compounds partition into ether the biosolids or the wastewater effluent. Undigested recalcitrant compounds within the effluent have the potential of being released to the environment if advanced treatment processes specifically designed to treat these types of compounds are not installed.

Within the last two to three decades there has been an increase interest in the development of new treatment methods that will effectively remove many emerging chemicals of concern. The need for this type of research has been highlighted by concerns over the dwindling supplies of high quality water. Research into new treatment methods has focused on two fronts; one to reduce the release of these compounds within treated effluents and thus reduce the release to the environment and two, to development treatment options capable of removing these compounds from raw drinking water supplies and thus minimize human health risks.

How are advanced treatment processes different from conventional treatment?

Many of the chemicals of emerging interest are of interest for two reasons: i) they are resistant to conventional treatment methods and because of this they may be found in the environment near the outfall of municipal effluents, ii) they are designed to be biologically active within vertebrates at very low concentrations.

Advanced treatment processes are designed to degrade and or remove these compounds from the treated effluent. The most common treatment used for the degradation of the recalcitrant compounds is through oxidation. The oxidation of these compounds can be accomplished through the use of ozone, peroxide (or peracetic acid), UV irradiation (photo-oxidation) or various combinations of these processes. In some cases a catalyst is included to enhance the process by increasing the generation of the hydroxyl radical. A common catalyst is titanium dioxide coated on aluminum (TiO2/Al2O3). The degree that these compounds are oxidized can vary greatly and is dependent on the operating conditions and the compound. Many of the unwanted recalcitrant compounds are biologically active and slight changes in the stereochemistry of the molecule can be enough to deactivate the biological activity. This may occur through the cleavage of functional groups or simple chemical bond breakage. Thus many different oxidative byproducts can result. The biological activity of the oxidative byproducts is generally unknown, but assumed to be low.

Membrane separation (e.g., ultra or nanofiltration or reverse osmosis) can be used to remove several recalcitrant compounds from the treated effluent.

Some compounds are better treated via oxidation while others are better removed via membrane technologies. Often advanced treatment processes will utilize both oxidation and membrane separation. The reasons however, are often to enhance the overall efficacy of the process. For example, pre-ozonation can be used to degrade natural organic matter (NOM) that has a potential to prematurely foul the membrane filters or in some cases membrane filtration is use to either decrease the ozone demand or remove suspended matter from the effluent that hinders UV irradiation.

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Advanced Treatment Options

Advanced treatment of secondary treated effluent can involve processes that can:

i) degrade the compound and in essences decreases its toxic potential,

ii) separate it out of the effluent or

iii) Clean-up methods

iv) soil-aquifer treatment for further clean-up and polishing of reclaimed water.

Degradation:

The biological activity of many of the chemicals of emerging interest can be significantly altered (often reduced) when the molecular structure of these chemicals is changed. Exposure to strong oxidants or ionizing radiation (e.g., UV irradiation) can cause breakage of chemical bonds within the molecule causing an alteration to the molecular shape which will often result in a deactivation of the chemical’s toxicity. Ozone, peroxide, and UV irradiation on common oxidants used.

Membrane Separation:

Membrane technology has advanced to the point where many of these compounds can now be filtered out of wastewater with nanofiltration and or reverse osmosis techniques.

Clean-up Methods:

The intent of this process is often to restore the effluent to a condition more similar to natural waters. The intent is not to only remove the unwanted recalcitrant compounds but to “reclaim” the water from the effluent and to polish it to a state where it can be reused for a variety of purposes. The methods used for clean-up will often depend on the quality of water that is needed for the intended use. For example, reclaimed water intended for use in cooling towers many not need the sample level of polishing that water intended for drinking purposes would.

Soil-Aquifer treatment (SAT):

This method involves the surface spreading of tertiary treated domestic wastewater. In this technique, wastewater is allowed to percolate through the soil horizon and subsurface layers to eventually augment existing aquifers. The assumption is that micro- contaminants remaining after tertiary treatment will be removed by microbial action and cation exchange mechanisms in soil. Note: most effluents undergoing SAT typically have first been treated for micro-contaminants via oxidation and UV and membrane filtration (e.g., advanced treatment processes).

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Oxidation - AOPs

The hydroxyl radical is a powerful oxidant, only second to fluorine. AOP (advanced oxidation process) is a way of maximizing the generation of hydroxyl radicals. This is generally done by combining ozone, hydrogen peroxide, UV irradiation or TiO2. The following slide from Monkrini et al. (1997) illustrates this concept.

References:

Collivignarelli, C. and S. Sorlini. 2004. AOPs with ozone and UV radiation in drinking water: contaminants removal and effects on disinfection byproducts formation. Water Science & Technology 49(4):51-56.

Meunier, L., S. Canonica and van Gunten, V. 2006. Implications of sequential use of UV and ozone for drinking water quality. Water Research 40:1854-1876.

Goncharuk, V.V., N.G. Potapchenko, V.F. Vakulenko, O.S. Savluk, V.N. Kosinova and A.N. Sova. 2008. Water disinfection by joint effects of ozone and UV radiation in a flow-through mode. Biological Methods of Water Treatment 30(1):51-58.

Chin, A. and P.R. Berube. 2005. Removal of disinfection by-products precursors with ozone-UV advanced oxidative process. Water Research 39:2136-2144.

Jyoti, K.K. and A.P. Pandit. 2004. Ozone and cavitation for water disinfection. Biological Engineering Journal. 18:9-19.

Chen, K-C and Y-H Wang. 2012. Control of disinfection by-product formation using ozone-based advanced oxidative processes. Environmental Technology 33:487-495.

De Souza, J.B. and L.A. Daniel. 2011. Synergism effects for Escherichia coli inactivation applying the combined ozone and chlorine disinfection method. Environmental Toxicology 32(12):1401-1408.

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Comparison of UV, O3, H2O2

This slide shows the oxidation potential of UV, ozone and hydrogen peroxide when applied independently or in combination.

Overall better oxidation was achieved when all three oxidants were applied in combination.

This appears to be a general trend, but likely does not hold true for all compounds.

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Membrane Separation

The separation of unwanted compounds from the effluent depends on the characteristics of the compounds, membrane composition and inherent properties and the composition of the feed water (raw drinking water or effluent).

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Ozone Treatment of Secondary Effluents

The sequencing or placement of oxidative and membrane separation processes within the treatment stream depends on the objects that are to be accomplished.

Reference:

Oneby, M.A. C.O. Bromley, J.H. Borchard & D.S. Harrison. 2010. Ozone treatment of secondary effluent at US municipal wastewater plants. Ozone Sci. Eng 32(1):43-55.

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Ozone Treatment of Secondary Effluents (Oneby et al. 2010)

This sketch prepared by Oneby et al. (2010) illustrates general locations where ozone has been applied in USA WWTPs. It illustrates how the sequencing or placement of the ozone treatment can be used to accomplish different objectives.

1. Disinfection: one of the prime uses of ozone is the disinfection of the secondary effluent just prior to discharge to the environment. The C*T of ozone can be higher than required for drinking water, but ultimately depends on the level of pretreatment prior to this location in the treatment train. In some cases, filtration processes can be installed which can lower the ozone demand of the effluent.

2. Sludge Conditioning: ozonation of the return activated sludge has been shown to ultimately reduce the amount of sludge generated and it improves settling and dewatering of the sludge.

3. Odor control: although not normally considered part of the effluent train, some plants treat the air collected primarily from the head works and preliminary treatment processes as a way to control noxious odors.

4. Pre-oxidation: treatment of the primary effluent can improve microbial degradation in the removal of refractory or non- biodegradable organic compounds in the secondary treated effluent. Presumably the ozone oxidizes some of these compounds into smaller more easily digested compounds.

Oneby, M.A. C.O. Bromley, J.H. Borchard & D.S. Harrison. 2010. Ozone treatment of secondary effluent at US municipal wastewater plants. Ozone Sci. Eng 32(1):43-55.

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Examples of Advance Wastewater Treatment

1. El Paso, TX, USA: Fred Hervey Water Reclamation Plant

The Fred Hervey Water Reclamation Plant utilized a conventional activated sludge process combined with a powdered activated carbon (PAC) process to generate secondary treated municipal wastewater effluent. The goal of the plant is to reclaim the water from the municipal effluent so it can be used for other purposes. This reclamation of the water from effluent is accomplished by an advance wastewater treatment process. This process included the additional processes.

i) Lime treatment

ii) Recarbonation

iii) Tertiary filtration

iv) Granular activated carbon adsorption

v) Ozonation

The reclaimed water is then used for:

a) Irrigation

b) Cooling water in a nearby power plant

c) Any remaining water is injected into an aquifer at 800 feet below surface.

(c.f. Loeb et al. 2012)

2. Gwinnet County, GA, USA

In this second example, the secondary effluent was generated from a conventional activated sludge process from municipal wastewater. The tertiary process train was installed to allow the water for reuse purposes. Near future plans include replacing the granular medium filtration unit with membrane filtration.

(c.f. Loeb et al. 2012)

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Ozone in Combination with Other Treatments

In this example, membrane filtration is followed by ozonation.

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Water Reclamation and Reuse

Dwindling water supplies have focused research towards identifying new options to enhance the security of future drinking water supplies.

This approach has basically been directed towards the development of new approaches to reuse water.

Some have termed this approach as toilet-to-tap technology where wastewater is cleaned to produce drinking water. Singapore has been one country that has been leading the way. However, there are other areas, such as southwestern USA where efforts have been directed to either i) treating grey water to make it suitable for other non-consumptive uses, such as irrigation and ii) the treatment of secondary wastewater effluent prior to discharge to the soil for eventual absorption into shallow ground water aquifers.

Many new efforts are now being explored to enhance the reclaiming of water from wastewater effluents. These efforts range from source separation methods that separate urine from faeces and treat each separately, with the goal of enhanced treatment with an overall reduction in the volume of wastewater generated. Other efforts attempt to source separate grey water from black waters for the same purposes.

Tertiary treated effluents that have undergone advanced treatment are at times further polished for drinking water either by reverse osmosis or through soil-aquifer treatment. Reverse osmosis has been successfully used for desalination purposes and depending on original wastewater can also be used to develop high quality drinking water. The water from RO must however be reconditioned before use by adding back some of the natural ions typically found in drinking water. Singapore has been leading the way in the successful development and implementation of toilet-to-tap technology.

Soil-aquifer treatment is another way of providing a final polish to the reclaimed water. In this case the tertiary treated water is applied to the soil and allowed to percolate through the soil and substrate for final retention within groundwater aquifers. Often attempts will be made to apply or inject into the aquifer at a location that is at least two years time of travel between where the water enters the aquifer and the location of any drinking water wellhead where water is removed. The intent is to provide additional filtration, cation exchange, microbial action and other natural processes to allow the reclaimed water to undergo final polishing and reconditioning back to a natural high quality state.

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References and Links on Drinking Water Treatment and Wastewater Treatment: Additional papers are provided in the Resources folder to this course and some have been included as hyperlinks in some Discussion slides.

A toolkit for monitoring and evaluating household water treatment and safe storage programmes - World Health Organization (On CD)

SAFE WATER FOR THE COMMUNITY A Guide for Establishing a Community-Based Safe Water System Program CDC 2006 (On CD)

CDC Booklet on Safe Water - Ceramic Filters

CDC Booklet on Safe Water - Chlorination

CDC Booklet on Safe Water - Sand Filters

CDC Booklet on Safe Water - Solar

CDC Booklet on Safe Water - Flocculation

CDC Handbook on Safe Water - Implementation

Scaling Up Household Water Treatment Among Low-Income Populations - World Health Organization 2008 (On CD)

Smart Disinfection Solutions, Netherland Water Partners

Soap Toilets and Taps, A Foundation for Healthy Children. How UNICEF supports water supply sanitation and hygiene. UNICEF (2009)

Community Approaches to Total Sanitation UNICEF (2009).

Sick Water? The Central Role of Wastewater Management in Sustainable Development UNEP UNHabitat (2010)

PHAST Step-by-Step Guide: A Participatory Approach for the Control of Diarrhoeal Disease. PHAST - SIDA-UNDP- WHP, 2000

Water Treatment and Pathogen Control. Process Efficiency in Achieving Safe Drinking Water. LeChevallier, M.W. and Kwok-Kueng, A. (2004).

Clearing the Waters. A focus on water quality solutions. Meena Palaniappan, Peter H. Gleick, Lucy Allen, Michael J. Cohen, Juliet Christian-Smith Courtney Smith, Editor: Nancy Ross. Copyright © 2010, United Nations Environment Programme

Guidance for the safe use of urine and faeces in Ecological Sanitation. Caroline Schönning and Thor Axel Stenström Swedish Institute for Infectious Disease Control (SMI) SEI 2004

Safe Use of Wastewater, Excreta and Greywater. Volume II. WHO 2006

v. 1. Policy and regulatory aspects v. 2. Wastewater use in agriculture v. 3. Wastewater and excreta use in aquaculture —

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v. 4. Excreta and greywater use in agriculture. 1. Water supply. 2. Water supply - legislation. 3. Agriculture. 4. Aquaculture. 5. Sewage. 6. Wastewater treatment plants. 7. Guidelines. I. World Health Organization. II. Title: Safe use of wastewater, excreta and greywater. III. Title: Policy and regulatory aspects. IV. Title: Wastewater use in agriculture. V. Title: Wastewater and excreta use in aquaculture. VI. Title: Excreta and greywater use in agriculture

WHO Guidelines for Drinking Water Quality 4th Edition WHO 2011

Additional Resources and Links

Concerned Municipal Strategies (CMS) a program coordinated by the Municipal Development Partnership (MDP) and programme Solidarite (pS-Eau). there is a total of six guidance documents in this series.

Women in Europe for a Common Future (WECF) http://www.wecf.eu/english/water-sanitation/ (Internet Access Required)

Water and Sanitation in Developing Countries Training Tool EAWG http://www.eawag.ch/forschung/sandec/elearning/trainingtool/index_EN (Internet Access Required) UNESCO Institute for Water Education Ecological Sanitation - online course http://www.unesco-ihe.org/online-courses (Internet Access Required)

http://www.health.gov.bc.ca/protect/pdf/cs2ta-mod7.pdf (Internet Access Required)

Additional papers are provided in the Resources folder to this course and have been included as hyperlinks in some Discussion slides.

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Water And Health Course 4 SOCIAL PERSPECTIVES ON WATER AND HEALTH

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SOCIAL PERSPECTIVES ON HEALTH - OVERVIEW AND ORGANIZATION

"For many of us, clean water is so plentiful and readily available that we rarely, if ever, pause to consider what life would be like without it." Marcus Samuelsson

1. Water and Ethics 2. Human Rights & Social Justice 3. Managing Water 4. Integrating Water and Health 5. Challenges to Integration 6. Moving Forward -- Managing Watersheds for Health

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Ethics Normative views about what water is, represents, or what it should be used for: · Water as a natural resource · Water as a commodity or economic good allocated through markets · Water as a property right · Water as a common good · Water as a source of life, basic need for humans and ecosystems · Water as a human right

Water right: an expression of agreement about the legitimacy of the right-holder’s claim to water which must exist within the group of claimants and also be recognized by those excluded from its use.

Ethics means promoting integrity and preventing wrongdoings. This definition includes the development and maintenance of interrelated mechanisms, such as adequate:

Control Guidance Management

Elements of the Ethics Infrastructure

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Political commitment Workable codes of conduct Professional socialization mechanisms Ethics coordinating body Supportive public service conditions Effective legal framework Efficient accountability mechanisms Active civil society

Ethics Models

Compliance-based ethics management Integrity-based ethics management

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Water and Health - Human Rights and Social Justice

Human Rights

Human rights day

All human beings are born free and equal in dignity and rights. They are endowed with reason and conscience and should act towards one another in a spirit of brotherhood. (UN Declaration of Human Rights, 1945) Human rights are rights inherent to all human beings, whatever our nationality, place of residence, sex, national or ethnic origin, colour, religion, language, or any other status. We are all equally entitled to our human rights without discrimination. These rights are all interrelated, interdependent and indivisible. (http://www.ohchr.org/en/issues/pages/whatarehumanrights.aspx) (Internet Access Required)

All human rights can be traced back to the Universal Declaration of Human Rights.

By their very nature human rights are:

Universal and inalienable Interdependent and indivisible Equal and non-discriminatory Both rights and obligations

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Universal Declaration of Human Rights

· International Covenant on Civil and Political Rights (UN, ICCPR, 1966)

· International Covenant on Economic, Social and Cultural Rights (UN, ICESCR, 1966)

· Convention on the Elimination of All Forms of Discrimination Against Women (UN, CEDAW, 1979)

· Convention on the Rights of the Child (UN, CRC, 1990)

· Declaration on the Rights of Indigenous Peoples (UN, DRIP, 2007)

· Convention on the Rights of Persons with Disabilities (UN, CRPD, 2008)

Water as a Human Right Given water is a source of life and required to fulfil other basic human needs it is argued that it should be fundamentally enshrined in law as a human right of which all people are entitled.

Everyone is entitled to sufficient, safe, affordable, culturally acceptable, physically accessible water delivered in participatory non-discriminatory manner.

Social Justice - Equity and Equality

Equity describes access to just, impartial, and fair social benefits and responsibilities. Resources are supplied based on need. Minimally, social equality includes legal and property rights and access to social goods and services. It may include health and economic resources as well as access to opportunities and the burden of obligations.

Equality describes sameness – that everyone, regardless of need, has access to the same social benefits and responsibilities. Social Justice describes policies and practices that are both equitable and equal. Because of their extraordinary circumstances, social justice enhances the circumstances of the poor, women, children, and those with disabilities. It attempts to rebalance the distribution of goods and services to give people with structural disadvantages more opportunity to lead health, happy, fulfilling lives protected by the social contracts of law and resource redistribution – “to level the playing field". "We live in a system that espouses merit, equality, and a level playing field, but exalts those with wealth, power, and celebrity, however gained." Bell, 2002.

Pluralist Governance Pluralism argues that power is spread among many different groups within society that bargain, compete and compromise to shape policy and decision-making so that no one set of interests dominates or controls all governance processes and decisions. Legal pluralism refers to multiple legal systems within one geographic area.

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Urban Governance Index (Taylor, 2006)

Urban Governance Index

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WATER AND HEALTH - WAYS OF KNOWING

EPISTEMOLOGY & WAYS OF KNOWING IN INTEGRATED, COLLABORATIVE WATER GOVERNANCE Many water governance controversies are related to discrepancies in knowledge that different actors possess and (de)legitimize to support their positions. Managing, integrating and enhancing stakeholders’ awareness of different “ways of knowing” and how actors and organizations make sense of water problems is integral to reducing controversy and forging consensus.

Ways of knowing

Epistemology or “ways of knowing”: The study of the nature and scope of knowledge, meaning and understanding, including what knowledge is acquired and how this relates to beliefs, and justifies notions of “truth”

How a policy problem is experienced, investigated and interpreted How stakeholders make sense of important relationships Which and whose “facts” are deemed valid and relevant How a problem is acted upon and solutions devised Which social and institutional arrangements and resources actors organize and maintain

Knowledge as Power

While power is dependent on knowledge, it also (re)creates and legitimates knowledge through the very actors, organizations and institutions through which it is produced and exercised

Those with the greatest competence, expertise, and status are afforded additional rights Sole reliance on scientific epistemologies and exclusive interpretation by “experts” is increasingly contested due to public distrust; recognition that science itself is socially influenced; controversy over who or what should be burdened by uncertainties; disagreement

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over quality and accuracy of data, appropriate methodologies, policy implications Consequently other ways of knowing (e.g. traditional ecological knowledge, community-based or lay perspectives, and NGO science have gained greater attention with varying recognition)

“Evidence” increasingly derived through joint knowledge production and social learning

Science and other types of knowledge informing policy, governance processes and rule systems, and environmental conditions co-evolve. Water Governance requires many different knowledge types (e.g. knowledge about Earth’s life support systems, ecological services, natural and biophysical processes, anthropogenic effects, sustainable alternatives, how to utilize and develop institutions and legislation, how to manage projects, facilitate dialogue and consensus, resolve conflict, etc.). Social Learning seeks to facilitate convergence of goals and knowledge, develop accurate mutual expectations, build trust & respect, reflection on embedded assumptions, joint fact finding, participatory interpretation, consensus building, changes in behaviours & norms. Centralized decision-making, privatization, rigid bureaucracies, poor public access to information, and lack of political transparency have been shown to impede social learning. Boundary Organizations or Hybrid Institutional arrangements can enable stakeholders and policy- makers to work in tandem with experts to get to know one another, discuss research questions, information needs, methodological approaches, results, and the robustness or "acceptability " of evidence.

Knowledge governance environment triangle

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WATER and HEALTH - GOVERNANCE The “steering” of a group or society

Water Governance

Social, political and economic processes and institutions that determine who gets water, when and how (e.g. agenda setting, deliberation, allocation, policy development, legislation, research & monitoring, evaluation, etc.)

Changing Trends, Actors, Influence Until recently management and decision-making authority was generally the exclusive task of state governments and state-sponsored technical experts (e.g. “command and control”)

water resources controlled through legislating and enforcing environmental standards Problems

Overcome jurisdictional fragmentation Facilitate local sensitivity and autonomy Enforce regulatory compliance Secure the interests of marginalized populations

Globalization has profoundly impacted the use and governance of water

Less centralized, autocratic, more participatory and inclusive approaches increasing

Range of players are increasing – creating new roles and governance functions Shift towards new policy tools and organizational modes

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Key elements of water governance

NEW POLICY TOOLS AND ORGANIZATIONAL MODES

Market-based mechanisms Collaborative partnerships, Multi-stakeholder processes, Decentralization to more local levels of government Community-based initiatives Voluntary agreements, stewardship arrangements, and Other non-regulatory tools.

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WATER and HEALTH - Governance Neo-Liberal and Market-Based Mechanism

NEO-LIBERAL AND MARKET BASED MECHANISM IN WATER GOVERNANCE Examples of neo-liberal governance mechanisms Privatization and establishment of private property rights Private sector partnerships (where water resources are publicly owned but privately operated and managed)

Employing markets as allocation mechanisms

Removal of government subsidies

Instituting user-pays initiatives

Full-cost recovery that incorporates environmental externalities through pricing

Rationales Argument that environmental and water resources are over-used and degraded due to a failure of markets and societies to value them properly (if treated as economic goods and priced at full economic and environmental costs they will be used more efficiently).

Harnessing the private sector will result in greater efficiencies, and financial and management capacity essential for improving the chances of achieving the United Nation’s Millennium Development Goal of universal water supply.

Proponents argue accountability to customers and shareholders is more direct and effective than the accountability of political representatives to citizens.

Markets and privatization claimed to help resolve ineffective public bureaucracies and entrenched interests that monopolize public subsidies. Critiques

Water as a flow resource that does not stay in one place makes it difficult to establish private property rights.

High degree of public health and environmental externalities that are difficult to reflect in water pricing due to poorly understood ecological interrelationships, uncertainties, and disputes over how to value aesthetic, symbolic, spiritual and ecological functions.

Water is a non-substitutable resource essential to life (that should not be commoditised).

Affordability and equity issues associated with price increases. Poor transparency of financing, contracts, decision-making. Exorbitant profits, bribery and corruption. Non-compliance with contractual agreements and failed concessions. Lack of focus on issues of sustainability or intergenerational equity.

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Foreign investors only interested in large markets with very limited risk and consequently investments and reforms are not necessarily going to where it is most needed. Many countries do not have the regulatory and bureaucratic systems in place to oversee and monitor business dealings, or enforce contractual obligations. Market-based approaches and privatization initiatives, like command and control approaches, also face serious limitations and are only a partial remedy at best to the challenges of sustainably and equitability.

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WATER and HEALTH - Collaborative Approaches

COLLABORATIVE APPROACHES TO WATER GOVERNANCE Collaborative Governance Over the past decade has become a widespread trend and prime focus in theory and practice around the world at a host of scales

Involves diverse state and non-state stakeholders working together, cooperating, deliberating and pooling resources under varying degrees of formality and power sharing to achieve mutually negotiated goals

Stakeholders include water users, public or governmental organizations, private enterprises, non-governmental organizations, financiers, and civil society that hope to achieve more collectively than they are able individually

Rationales & Ideals

Collaborative approaches are intended to improve governance processes by making them more participatory, deliberative, inclusive, transparent, flexible, decentralized, enabling for building consensus, and sensitive to distinct cultural, political, ecological and socioeconomic contexts

Different types of actors are able to experiment with different types of social and organizational (hybrid) arrangements

Hybrid and collaborative processes are intended to build upon the strengths, knowledge and capacities of each partner

Give greater access to multiple “ways of knowing”, and marginalized interests Increases stakeholder ownership and buy-in

Key Features or “Ideals” of Collaborative Processes • Participatory • Deliberative (weighing/considering options) • Inclusiveness • Transparency • Consensus building

Criticisms & Uncertainties

Concerns as to whether collaborative processes actually deliver their intended benefits Risk of processes being dominated by most powerfully resourced actors and those with greatest access to data and expertise

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Collaborative processes can still lack transparency and be prone to corruption Barriers to equitable participation persist especially under narrow time constraints Distrust between parties can lead to manipulation, dishonest communication and stereotypes (overcoming this takes a lot of time, resource intensive)

Not necessarily effective when decisions and interventions have to be made quickly to address severe problems and avoid catastrophic impacts

Difficult to ensure clarity, capacity and accountability for new roles, expectations, responsibilities, and leadership

Evaluations of collaborative arrangements typically focus on social & process outcomes (e.g. ability to arrive at decisions, satisfaction with process), more attention needed on whether collaboration is resulting in improved water and environmental outcomes

Mechanisms & Strategies of Collaborative Environmental Governance - Collaborative strategies

(Source: Adapted from Lemos & Agrawal, 2006)

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A Model of Collaborative Governance

(Source: Ansell & Gash, 2008)

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WATER and HEALTH - GOVERNANCE & SCALE

GOVERNANCE AND SCALE Three major strands on questions of scale in the context of water can be identified in the literature. They can be distinguished according to differences in emphases and the epistemic communities within which they are deliberated:

Operational scale: focuses on what is the most “appropriate” scale for analyzing, investigating and governing water (e.g. basin/catchment level, community scale)

Political scale: focuses on the role of political and economic interests and power structures involved in the “social construction” of scale. Examines how stakeholders strategically endorse particular scales of analysis, governance, management and administration that advance their interests

International relations: focuses on the international dimensions of water and the implications of imposed scales and boundaries of governance for prospects of cooperation or conflict in managing transboundary resources

Scale as Socially Constructed

Scale was traditionally treated as a fixed and nested hierarchy of bounded spaces (e.g., local, national, global). State and non-state networks and political-economic actions are increasingly unfolding at sub and trans-national spaces. Hence notion of scale as “given” and fixed has been undermined. Scale is increasingly understood as socially constructed, as a way of knowing, navigating and governing the world. Politics of Scale

The methods through which governance stakeholders contest and institutionalize the boundaries within which power, policy and management actions are exerted (reflect conflicting ideologies and governance paradigms over how water resources should be developed). Scale-frames Demonstrate where and how political actors strategically scope, emphasize or spatially bound policy problems and potential solutions. They elucidate how, where, and why actors draw linkages between the scale at which a problem is experienced (e.g. body, catchment, ecosystem, community, nation, etc.), and the scale at which it could be analyzed or politically addressed thereby influencing which actors, values, issues and solutions become (de)legitimized.

Common scales of water acquisition, governance and management include:

Individualized/household scale Community scale

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National scale International/Transboundary Scale River Basin/Catchment Scale Market Scale

As trends in water quality and quantity shift, along with prevailing ideologies and relationships of power, so too do prevailing scales of water governance. The result is a complex web of overlapping systems and scales of governance and decision-making initiatives.

Basins/Catchments as “Ideal” Scales of Governance?

not confined to jurisdictional and administrative boundaries thought to be more effective through systematically accounting for upstream and downstream activities impacting water within and between multiple jurisdictions in a single harmonized forum

numerous attempts to implement basin-wide institutions to varying degrees of success longstanding challenges remain raising questions as to whether actually results in better processes and outcomes

disregard of heterogeneity within the basin infringement upon state and local sovereignty not a meaningful frame of reference for many political leaders & constituencies capacity deficits and asymmetry between benefits and transaction costs of collaborative planning

unable to control forces outside of river basin boundaries Transboundary Water Governance When water transcends national and jurisdictional borders governance is extra complicated due to inconsistent rules and values; increasing scarcity; and lack of conflict resolution mechanisms. Cooperative transboundary governance is thought to reduce conflict by: creating forums for negotiating perspectives and interests, revealing new options, strengthening trust and confidence in data, producing more acceptable decisions. International Progress in Transboundary Water Governance

Cooperation largely formalized through vast number of treaties negotiated internationally. Address a range of concerns including: apportionment, ecological needs, infrastructure, flood control, irrigation, hydro-power development, water quality, joint research, monitoring and decision-making.

Effectiveness of transboundary agreements have been mixed. Overarching guiding principles have been developed internationally through consensus (e.g. file:///F|/Dropbox/WaterHealthNewFinal/Course4/concepts/WH40M030C008GovernScale.htm[11/3/2014 7:40:13 PM] Governance and Scale

equitable public and stakeholder participation, regular exchanges of data, cooperation, integration, basin-wide perspective, adaptability and flexibility, gender equity. Community-based Water Governance Many caution against universal remedies to water governance and instead promote models that “fit” with local places, communities, values, capacities and circumstances.

Community governance actors mobilize around principles of collective identity, moral grounding and equity to challenge power imposed from elsewhere.

Thought to enhance participation and accountability by: bringing decision-making closer to those most affected, assist in generating more time and place specific knowledge about resources and practices, facilitate knowledge co-production instead of top-down transfer of scientific knowledge.

Yet inequitable power relations and methods of resource allocation also exist at community scales.

Conventions and Declarations Relating to Transboundary Water Governance

· Madrid Declaration on the International Regulation regarding the Use of International Watercourses for Purposes other than Navigation (1966)

· Helsinki Rules on the Use of Waters of International Rivers (1966)

· Dublin Statement on Water and Sustainable Development (1992)

· United Nations Convention on the Law of the Non-Navigational Uses of International Watercourses (1992)

st · Ministerial Declaration of the Hague on Water Security in the 21 Century (2000)

Good governance

Questions

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1. How is the scale of water governance conceived within major policy and legislative documents?

2. How do the language and practices of different governance actors reinforce particular conceptualizations of scale?

3. How do particular notions of scale further the agendas of different interest groups (particularly with respect to health)?

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WATER and HEALTH - Integrated Water Resources Management (IWRM) The diagram below shows the three main components of IWRM planning:

· Hydrologic cycle (blue) - listing common hydrological factors

· Watershed and land use (green) - listing common land activities that affect water

· Economics, social interactions and institutions (pink) - listing the various factors in those areas that affect the water supply and IWRM

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Integrated Water Management "IWRM is necessary to combat increasing water scarcity and pollution. Methods include water conservation and reuse, water harvesting, and waste management. An appropriate mix of legislation, pricing policies and enforcement measures is essential to optimise water conservation and protection." (UNDP, 1991).

Specialized Skills for IWRM Planning · Many different specialists need to contribute their skills who may not be familiar with, or even sympathetic to, the overall goals. · An education or training program will help convey these goals.

IWRM Connections · Physical links

· Economic links

· Social links · Institutional links

IWRM Processes Integrate the views and processes of:

The hydrologic cycle

Watershed and land use

Economics, social interactions and institutions

IWRM vs. Traditional Resource Management 1. IWRM is more “bottom up” than “top down” 2. IWRM encourages cross-sectoral, interdisciplinary management of water resources. 3. IWRM encompasses the management of other activities, such as land use, that affect water resources.

Key IWRM principles are

1. Water source and catchment conservation and protection are essential 2. Stakeholders within a national framework should agree about water allocation 3. Management needs to happen at the most basic appropriate level

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4. Capacity building is the key to sustainability 5. Involvement of all stakeholders is required 6. Efficient water use is essential and often an important “source” in itself 7. Water should be treated as having an economic and social value 8. Striking a gender balance is essential.

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WATER and HEALTH - IWRM Key Stakeholders & Potential Partners

Q: Do the people involved in this part of the plan have sufficient knowledge to be able to participate effectively?

Stakeholders In identifying the key stakeholders, consider the following questions:

Who are the potential beneficiaries? Who might be adversely impacted? Have vulnerable groups who may be impacted by the plan been identified? Have supporters and opponents of changes to water management systems been identified? Are gender interests adequately identified and represented? What are the relationships among the stakeholders?

Then:

What are the stakeholders expectations of the plan? What benefits are likely to result from the project for the stakeholder? What resources might the stakeholder be able and willing to mobilize? What stakeholder interests conflict with IWRM goals?

Potential Partners

Once stakeholders have been identified, identify people to play roles, such as:

Technical Leadership Communication

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Education Political liaison Public policy

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WATER and HEALTH - Demand Side Management

Demand Management Water's unique physical properties, complex economic characteristics, important cultural features and essential role in supporting all life on earth distinguish it from all other natural resources. Because of these various characteristics, developing effective water policies involves economic, ecological, environmental, legal, and political considerations, and taking into account water usage for drinking water, sanitation and hygiene, AND ecosystems services. In most societies, political considerations dominate water use decisions. Nonetheless, most water policy options are framed and discussed in economic terms.

Concepts of Water Demand Management To define effective demand management, it is important to understand three basic concepts of water use:

1. Need

2. Consumption

3. Effective Demand

Water demand management relies upon a range of tools and techniques. These can be divided into three categories:

1. Economic,

2. Structural and Operational,

3. Sociopolitical.

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Factors Affecting Demand

· Willingness to pay · Expression of Human Rights

· Factors shaping demands

· User choices

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Concepts of Water Demand Management

Need

Consumption.

Effective demand

Techniques Available for Water Demand Management · Economic techniques

· Structural and operational techniques

· Sociopolitical techniques

· Interrelationship of techniques · Environmental taxation · Application of emission charges

Reuse Terms Reclaimed water is water that has received at least secondary treatment and basic disinfection and is reused after flowing out of a domestic wastewater treatment facility.

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Reuse is the deliberate application of reclaimed water for a beneficial purpose.

http://www.dep.state.fl.us/water/reuse/facts.htm (Internet Access Required)

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WATER AND HEALTH - Capacity

Capacity Types

Technical Education (train the trainer) Impact assessments Management Governance

Capacity Development vs. Capacity Building

Capacity Building - capacities can be transferred by courses or workshops given by “experts” to the people involved in IWRM (OLD VIEW) Capacity Development - the education/training component must be done locally so that it is sustainable (NEW VIEW)

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Although the older view of capacity building (short workshops, courses, etc) is still useful in restricted cases, the new view of capacity development includes improving capacities in various sectors such as academia, the private sector, the public sector and the community. Capacity development is now considered an important prerequisite for many implementations of IWRM. Experience has shown that a top-down approach to water and health integration (e.g., water and sanitation sector and health) is, at best, limited in its effectiveness. Sustainable, responsible use of water and respectful awareness of the inter-relationship with health and sanitation, begins in the hearts and minds of individuals, who make up neighbourhoods, communities, cities, states and nations. The cumulative impact of their attitudes and actions ultimately determines whether or not sustainability is achieved.

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WATER AND HEALTH - Capacity Prerequisites

Prerequisites for Integrated Water and Health - Sustainability (drawing on IWRM) Any nation, state or city planning to develop an integrated water and health system needs to satisfy four essential prerequisites for sustainability. These are:

1. The awareness, understanding and commitment of citizens to the goal of a sustainable integrated water and health system.

2. The human resources available to be educated and trained in the principles and practices of sustainable integration of water and health systems.

3. The financial resources needed to pay for the development and operation of the capacities and enabling systems.

4. The commitment of the political system to the goal of sustainability and the continuity needed to achieve that goal.

Four Pillars of Integrated Water and Health - Sustainability

Education/Training Information/Decision Making Standards/Compliance Services/Products

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WATER AND HEALTH - Capacity Development

Capacity Development vs. Capacity Building Capacity Building - capacities can be transferred by courses or workshops given by “experts” to the people involved in IWRM (OLD VIEW) Capacity Development - the education/training component must be done locally so that it is sustainable (NEW VIEW) Although the older view of capacity building (short workshops, courses, etc) is still useful, the new view of capacity development includes improving capacities in various sectors such as academia, the private sector, the public sector and the community. Capacity development is an important prerequisite for many implementations of IWRM.

Capacity Development in the Water Sector Issues:

What is it? Why is capacity development important? What levels (individual, institutional or societal) should it be targeted at? How should this be decided?

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How can it contribute to an organization’s performance? How does an organization develop its capacities? What tools are available and how are they to be chosen? What are the conditions for success? How should it be planned, managed and evaluated? How long should a program be supported?

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WATER AND HEALTH - Participatory Capacity Development (PCD)

PCD and Learner-Centred Approaches:The New Paradigm? Participatory Curriculum Development (PCD) uses the interchanges of experience and information between the various stakeholders in an education and training program to develop a curriculum. Participation in curriculum development increases motivation, commitment and ownership of the learning process by teachers, students or trainees, community members and policymakers alike. By creating opportunities for networking, groups and individuals normally marginalized may become included in negotiations and dialogue, allowing further discussion and reflection on context, theory, action, and values.

A Framework for a PCD Approach

Challenges of PCD

Potential Challenges of PCD:

Time and resources

Geographical distances = communication difficulties

Insufficient and unrecognized incentives

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Stakeholder commitment

Building partnerships

Integration of field learning into the curriculum.

Key outcomes development and monitored

Insufficient use of inputs and real costs

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WATER and HEALTH - Integrated Approach

INTEGRATED APPROACHES TO GOVERNING WATER AND HEALTH One of the most elusive challenges for ensuring effective water governance is integration. Integration requires that all water management decisions and governance processes be conducted systemically and holistically in coordination with other policy spheres of development, planning and decision-making that may impact water quality and quantity concerns (e.g. land use, agriculture, urban and rural development, forestry, energy production, etc.)

Challenges of Integrative Governance & Management

Institutional silos between various sectors and stakeholder communities (e.g. public health, natural resources, finance departments, etc.)

Differences in language, key terms and concepts, end goals, methodological preferences Identifying and measuring a large number of socio-ecological relationships can be overwhelming and demanding upon human, organizational and financial resources

Substantial changes in water entitlements, bureaucratic cultures & objectives and human behaviour is required

Resources for supporting participatory engagement are not equitably distributed Processes and skills must be in place to facilitate conflict resolution.

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Four Perspectives 1. Perspective A: governance for sustainable development 2. Perspective B: governance for ecosystems and well-being 3. Perspective C: governance for social determinants of health 4. Perspective D: governance for social–ecological health promotion

Image: integration

Knowledge base for IWRM file:///F|/Dropbox/WaterHealthNewFinal/Course4/concepts/WH40M040C001IntegApp.htm[11/3/2014 7:40:14 PM] Integrated Approach

Knowledge occurs on five levels:

· General - knowledge known by most people

· Overview - a broad understanding of a subject area without details

· General subject - knowledge about specialist areas of a discipline

· In-depth subject - knowledge about a particular speciality in a discipline

· Specialized background - knowledge of other specialized subject areas essential for effective application of specialized subject knowledge. For example, an ecosystem modeller who has detailed mathematical knowledge about the derivation and operation of the mathematical principles applying to models.

Principles: 1. There is a common “core” knowledge base that all participants in an IWRM exercise can share. 2. Deciding what this knowledge base should be is an essential part of capacity building for IWRM. 3. This knowledge base can be communicated to all participants. 4. Each participant then shares a common vocabulary and understanding of this core knowledge. 5. When capacity building is complete, the participants interact more effectively and the dialogue on the IWRM process also becomes more effective. 6. If this core knowledge is not shared, then interactions between participants may be much more difficult and even impossible.

Adapted from the GWP Comb, 2000

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WATER and HEALTH - Public Health Role The Role of Public Health in Issues Involving Water Related Impacts on Health

"Health is a complete state of mental, physical and social well-being, not only the absence of disease" (WHO).

This quote from the World Health Organization reminds us there are many determinants of health and well-being in addition to risk factors for disease.

Public health units work with their community partners in the protection of the health of the community and its members for the prevention of community health impacts from

1. transmissible infectious and communicable diseases

2. acute and chronic illness from harmful environmental exposures

Public health units also work with their community partners for the promotion of healthy lifestyle choices (e.g., diet nutrition and exercise, anti-tobacco smoking and substance abuse).

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Public health is involved in providing services such as,

admistration of public health resources training education and advocacy public immunization clinics for vaccine preventable diseases (VPD) food safety inspections of commercial restaurants and food service establishments health inspections of public institutions, including public schools nurseries and day-cares, public nursing homes and long-term care homes, jails and correctional facilities.

health inspections of commercial spas, nail treatment, and tatoo parlours the development of policy, resources and initiatives promotion of mental health and dental health support for susceptible and vulnerable populations communication and public health reporting on reportable and notifiable diseases, including enterics and vector-borne diseases

communication of various public health and safety indicators, including hospital public safety indicators and consumer product safety recalls

support to emergency management preparedness and response systems support for review communication and litigation of environmental investigations impacting the community

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Water and Health - Challenges

Sustainable Environmental Management by Applying the Principles of Economic Analysis and Valuation Rationale for Applying an Economic Analysis: Economic analysis can help inform decision-making by providing a common "measuring rod" for assessment of potential changes and adopting the perspective of society as a whole (i.e., assessment metric = monetary value).

Land and water management issues result from the following:

Food crises Energy crises Financial crises Lack of virgin lands for new discovery Land productivity Water supplies and water quality - surface water, groundwater, drinking water, wastewater Global population of 9 billion people - food, drinking water, sanitation and hygiene, jobs, housing, transportation, health and well-being

Improving land (and water) productivity can be achieved through a range of complementary approaches such as intensification of production on already productive areas; slowly down or reversing land degradation where possible; and ensuring an appropriate distribution of property rights over land exploitation.

The threat of increased land (and water) degradation through overexploiting or destroying is well documented in scientific studies that quantify changes affecting ecosystems, but the results of decades of scientific research have not changed the way we manage our land despite the compelling data and repeated warnings by world renowned scientists about the negative consequences of those practices.

Scientific studies of ecosystem changes generally do not quantify the potential impact of these changes on the people depending on these ecosystems and their livelihoods. By focusing on the short-term benefits the longer-term negative consequences of repeated recurring and cummulative ecosystem changes are often ignored, until it is too late. For example, intensive agricultural production may lead to soil degradation (in terms of reduced soil nutrients, higher soil erosion…) and to water degradation, but may help to create agricultural job opportunities, which is often viewed as desirable in regions where job opportunities are scarce. In this specific example, the negative impacts on land are beneficial to people by creating livelihood opportunities, at least in the short term. The longer term losses of food, and jobs, safe drinking water and polluted water resources are often ignored, limiting necessary action to prevent them from happening until it is too late.

Economics provides tools to analyse a problem using a people's perspective. History shows us that

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people responsible for policy-making generally react faster under political and economic pressures (i.e., Money). The bottomline is often how much will it cost.

Assessment of Land Valuation Changes - Scientific methods vs Economic methods Scientists typically consider how and why land and water ecosystems are fragile and biologically important and what management options are available for sustainable land management. Whereas, economists focus on the economic benefits land and water ecosystems bring to our society and whether these existing benefits outweigh the costs of maintaining or restoring these existing benefits.

Environmental economists often refer to environmental goods and services. For an economist, land and water are environmental goods which provide environmental services that in turn help sustain human life and livelihoods.

Environmental goods refer to stock resources, which exist in a (relatively) fixed quantity. Environmental services refer to flow resources, in which quantity is renewed with time. Economics provides tools to answer the question, which use(s) is (are) most beneficial to society as a whole? Economists rely on the use of money as a "common measuring rod". The values to society of the provided goods and services are all quantified in money to make them comparable. These economic values help quantify trade-offs between different goods and services: for instance between agricultural production and game park tourism revenue. Measuring these trade-offs may help compare land use from the best point of view of society and provides one way to arbitrate conflicts.

Environmental (Land and Water) Restoration Management

Different levels of environmental restoration require different levels of effort (i.e. different levels of investment of time and money). Selecting the best management option for restoring a degraded ecosystem (e.g., specified area of land and water selected for restoration) requires a budget, and the budget is often a limiting factor. Sustainable Land Management (Environmental Management)

Economic sustainability is typically associated with a flow of physical or economic benefits continued through time. For instance, land can help naturally filter water and provide clean water. This clean water supply by land is a physical benefit. This physical benefit is associated with an economic benefit.

Ecologists typically consider strong sustainability whilst economists may consider either strong or weak sustainability. Ecologists are indeed interested in maintaining or expanding the level of natural capital.

For economists, the choice between strong and weak sustainability is a matter of social preferences, (i.e. which of these two options people choose). This choice reflects how much trade-off between the different forms of capital would be acceptable to society as a whole.

An economic analysis involves comparing benefits and costs. In doing so it provides a rationale to allocate scarce resources, including natural resources, between competitive uses with the objective

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of maximizing them. The supply curve and demand curve for a good or service are standard tools used by economists. As quantity increases, demand decreases and supply increases; the socially optimal quantity (Q*) and price (P*) for this good and service is derived based on the point where they intersect.

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Figure: The economic optimum E* characterised by quantity Q* and price P* arising as the result of interaction between supply and demand. Source: (Emmanuelle Quillérou, 2014 personal communication).

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Simpler and less data intensive tools are often used for policy assessment, such as the following types of assessment tools:

Cost-benefit analysis Cost-effectiveness analysis Damage assessment Regulatory analysis Land use planning Natural resource accounting Sustainability assessment Multi-criteria analysis

All of these assessment types can include economic tools, which have been used to varying degrees across countries. In practice however, cost-benefit analysis and natural resource accounting are explicitly derived from economics; other forms of assessment have traditionally focused more on physical rather than monetary changes.

What values are needed for economic assessment use in policy-making?

"Nowadays people know the price of everything and the value of nothing."

Oscar Wilde The Picture of Dorian Gray (Chapter 4)

Price and value are different concepts in economics. The economic value of a good or service reflects the preferences that society as a whole has for this good or service. A price is determined by the market as the result of interaction between demand and supply. Price reflects the true economic value allocated by society to this good or service under specific market conditions. However, markets do not always exist or may be imperfect. This leads to a discrepancy between economic value and price. Externality An externality is something generated by one party but which costs or benefits are borne by another. Externalities are common causes of market failures. For example, in real-life farmers usually only pay for the cost of agricultural production. Because the cost of water pollution is not borne by those who produce it (farmers), water pollution is what economists call an externality. Water pollution is an externality generated by farmers with costs of water treatment borne by the rest of society. Economic Value

The general goal of economists is to know the economic value of something (i.e., the environmental good, service or feature under consideration) in order to estimate the economic price it should have. Economic value or economic price have been used interchangeably when referring to the true value of a good or service from society's point of view. Financial prices refer to actual market prices. file:///F|/Dropbox/WaterHealthNewFinal/Course4/concepts/WH40M050C001challenges1.htm[11/3/2014 7:40:15 PM] Challenges

Two available options: a) estimate the economic value for non-marketed goods or services by using environmental valuation methods b) correct observed financial prices to reflect the true economic value of the good or service under consideration from the perspective of society as a whole.

QUESTIONS Why is economic analysis useful for assessment of environmental changes? Which tools are available to policy-makers for economic assessment? What type of value is needed to conduct economic assessment?

What type of environmental benefits do we as a society lose when land and water is degraded or its area reduced? What kind of livelihood benefits do we as a society lose when land and water is degraded or its area reduced?

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Water and Health - Challenges

Environmental Valuation - An Economist's Approach

Guidance on Analysing Existing Case Studies or Conducting a Valuation Exercise When faced with an economic value estimate one should ask:

How reliable is the value? Can it be replicated? How valid is it? Does it match the value allocated by society as a whole or a specific group in society? Does it correspond to the total economic value allocated by society or only a fraction of this value?

It is important to remember that the choice of method influences the estimate of the economic value obtained (i.e., the results of the economic analysis are dependent on the choice of method).

Additionally, because people's willingness to accept is higher than their willingness to pay, estimates of economic values depend on the question asked and the direction of the change under consideration.

A good understanding of the context of the study is critical for choosing a valuation method that gives reliable and valid estimates of the true economic value.

Environmental Valuation - The Economist's Toolbox

Total Economic Value (TEV) Framework: Total Economic Value = Use Value + Non-use Value The TEV is the most common frameworks for environmental valuation. It is based on the use of utility as a measure of preference; utility is a flexible concept (i.e., consumption or non-consumption). Utility represents how much enjoyment society as a whole derives from a good and/or service. The TEV framework divides the total economic value of a good or a service into a use value and a non-use value.

Uses can be direct (e.g., fish harvesting) or indirect (e.g., flood regulation). Non-use values are values allocated by society to goods and services. Use and non-use values are assumed independent one from the other and mutually exclusive. Non-use values can be further broken down into values called - Option Existence Bequest Stewardship

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Figure: Decomposition of the Total Economic Value into use and non-use values. The sizes of the boxes are not representative of any order of magnitude. Source: (Emmanuelle Quillérou, 2014 personal communication).

Economic Measures of Value What we want to measure are changes in society's welfare associated with the loss or gain in environmental goods or services. Welfare is an economic measure of society's level of "happiness". These changes in welfare represent the benefits or costs to society as a result of a change in environmental service provision. Methods for measuring changes in welfare are based on slightly different measures of welfare changes. There are three types of valuation methods:

1. Non demand-based methods

2. Demand-based revealed preference methods

3. Demand-based stated preference methods. In practice, all demand-based methods are prone to experimental biases and often lead to very diverse estimates of value, and are criticised in the academic literature; however, these are currently the only methods to capture non-use values.

Different types of demand curves used by Economists are:

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The Marshallian demand curve - is the demand for a good when income is held constant and utility derived from the good varies. The Hicksian demand curve - is the demand for a good when the utility derived from the good is held constant and income varies.

Three different measures of preferences are used in environmental valuation:

Consumer surplus Willingness to pay Willingness to accept.

Consumer surplus is the area ABE and producer surplus the area EBD. The sum of consumer and producer surplus is equal to welfare (area ABD). The demand curve is a Marshallian demand curve. Source: (Emmanuelle Quillérou, 2014 personal communication). Image: Marshallian demand curve

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Figure: Willingness to pay is the grey area ACD. The demand curve is a Hicksian demand curve (utility is constant and income varies). Source: (Emmanuelle Quillérou, 2014 personal communication).

Non-Demand Curve Approaches to Valuation

Non-demand curve approaches to valuation can refer to the use of market prices, replacement costs, dose-response methods, mitigation behaviour and/or opportunity costs to value a given good or service provided.

Market prices are the result of trade. In neoclassical economic theory, perfect competition is a necessary condition for prices to reflect the true economic value of the good or service. Prices can be distorted compared to the true economic value by policies (minimum price or wage), market settings (monopoly, oligopoly), the mode of trade (auctions). Taxes and/or subsidies need to be removed from market prices to estimate the true economic value. Taxes and subsidies are transfer payments within the economy and do not change society's welfare nor the true economic value of the good considered. The use of market prices is an easy enough proxy for economic value, but is not as straightforward as it first appears and should be used with caution.

Replacement costs also rely on market prices, but the value of the good or service is measured instead by how much it would cost to replace it. Replacement costs only measure a fraction of the true economic value of a good: it does not include the value of the good linked to preventing changes nor takes the demand for this good into account. For instance, benefits provided by an established forest are timber exploitation, water filtration, carbon storage,

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recreational and amenity values. E.g., The value of this established forest is thus greater than the costs of seedlings (replacement costs).

Dose-response methods are based on linking a change in output - typically a change in productivity - to a change in environmental quality. E.g., a paper mill produces paper but its production also create water pollution. Increasing paper production increases water pollution (decreases the environmental quality).

Mitigation behaviour relates to actions that people take to avoid the negative consequences of environmental degradation. E.g., one way to mitigate the impact malaria is to limit the probability of contracting the disease, that is getting an infected mosquito bite.

Opportunity costs are based on the next best alternative available (the first best alternative being the current state). This is typically used when several mutually exclusive management options exist. For example, the second best alternative to preserving a forest can be to convert the land on which it stands to agriculture.

Revealed preference method: the Hedonic Price Method

It is based on the use of a surrogate market with actual (observed) market behaviours to estimate the value of non-marketed goods (referred to as "characteristics" for this method).

The hedonic price method consists of one generic and two specific steps:

Step 0 – Build the survey and sampling plan to collect data on the good's price, the good's levels (quantities) of individual characteristics, respondent's characteristics and timing of survey

Step 1 – Estimate the "hedonic price function", that is, price as a function of the characteristics

Step 2 – Estimate the inverse Marshallian demand equation, that is, price as a function of quantity

Step 0 Building the hedonic price database by i) identifying the environmental characteristic to be valued, the surrogate market good with this environmental characteristic, and the stakeholders (users as this is a use value method) to state explicitly how "society as a whole" is defined; ii) designing a survey (questionnaire) and a sampling plan; iii) creating a database with the collected data. This step is not specific to hedonic pricing but is essential to obtain representative data to derive reliable and valid estimates of economic values. Step 1 Regressing the price of a good (e.g. a house) on its characteristics (size of the house, number of rooms, distance to the nearest school, distance to the park considered, distance to other parks). The coefficient of one characteristic estimated by the regression corresponds by assumption to a marginal willingness to pay. Step 2 Estimating an inverse Marshallian demand equation using marginal willingness to pay (the area under the demand curve) estimated in Step 1. Knowing willingness to pay, we can easily derive the demand curve using mathematical techniques.

Revealed preference method: the Travel Cost Method

The travel cost method consists in one generic and two specific steps:

Step 0 – Build the survey and sampling plan to collect data on the origin of travel, journey cost and time, number of

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visits, distance to substitute goods, respondent's characteristics and on the timing of survey

Step 1 – Estimate the cost of one trip as a function of the number of visitors, also called distance decay curve

Step 2 – Estimate price as a function of quantity following the introduction of a hypothetical entry fee that is the inverse Marshallian demand equation

Step 0 Building a travel cost database. Time needs to be transformed into a monetary value to be added to the observed cost of travel. Step 1 Regressing the number of visitors or visits per level of travel cost. Typically, the more expensive the travel journey, the lower the number of visitors coming to the site. This curve is called the distance decay curve. Step 2 Introducing a user fee using the results from step 1. E.g., Introducing an entrance fee of $1 means that people formerly paying $1 travel cost now pay a total of $2. One of the main problems faced when applying the travel cost method is the valuation of the journey time into money units. Seasonal patterns and socio-economic factors need to be taken into account so as to derive a meaningful value from the extrapolation of survey results to a whole population for a year.

Stated preference method: the Contingent Valuation Method

The contingent valuation method consists of four steps:

Step 1 – Set up the hypothetical market by describing the environmental good, the institutional context and a credible payment vehicle.

Step 2 – Build the sampling plan of survey respondents and collect survey data on the levels of environmental provision, obtained bids and respondent's characteristics

Step 3 – Estimate mean and median willingness to pay (accept)

Step 4 – Estimate the bid curve i.e. the willingness to pay (accept) as a function of respondent characteristics (income, age, education) and the level of environmental quality, then aggregate the data

The Contingent Valuation method is based on establishing a credible hypothetical market and asking people to state how much they are willing to pay to conserve a given non-marketed good or to accept a reduction in provision in order to estimate the economic value of this good. The contingent valuation methodology is prone to many biases (a form of measurement error) and its application can be tricky.

the market set up is hypothetical and respondents might provide estimates of their willingness to pay that are also hypothetical and might not materialise in real-life when the hypothetical market is implemented. This is especially true when the change considered is very risky or very political and more respondents make protest bids.

Step 1 Building a hypothetical market for survey respondents to make credible bids. This involves describing this hypothetical market with the appropriate level of details, so respondents can make informed choices.

Step 2 Building the sampling plan, in order to obtain representative bids for the whole population. The goal is to obtain bids for each level of environmental provision described in the survey as well as data on the respondent's characteristics (income, age, educational level) that could influence how much they bid.

Step 3 Estimating the average and median willingness to pay (accept).

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Step 4 Estimating the bid curve by using a regression to estimate the willingness to pay (accept) as a function of respondent characteristics (income, age, education) and the level of environmental quality. This allows us to estimate how the willingness to pay (accept) varies with different levels of characteristics.

A fifth step could be included to assess the reliability of the Contingent Valuation exercise in terms of the answers gathered and the credibility of the values obtained.

Stated preference method: Choice experiment The choice experiment method forces respondents to trade-off explicitly different proposed scenarios, thereby revealing their preferences for overall scenarios and individual attributes of the scenarios. By varying the scenarios for each respondent and across the different respondents, the willingness to pay (accept) for each scenario and each attribute can be statistically estimated.

The choice experiment method consists of four steps:

Step 1 – Identify the current situation, likely changes and their consequences. These help to identify attributes, attribute levels and payment levels for each scenario

Step 2 – Build unique choice cards by selecting combinations of scenarios (i.e. a bundle of attribute and payment levels)

Step 3 – Design the survey instrument with the following five sections: i) describe the changes and their consequences, ii) describe the method of payment, iii) select a set of choice cards for each respondent, iv) add questions to elicit the respondent's attitude and v) finish with questions on the respondent's characteristics (income, age, education)

Step 4 – Estimate willingness to pay and aggregate the results

Step 1 Understanding the context of the study. This step prepares for the description of the study context to be provided to the respondents. It is critical as it is used to identify the individual building blocks to establish the scenarios provided to the respondents. Step 2 Building unique choice cards by selecting combinations of scenarios from all the possible scenarios. Each scenario is a bundle of attributes and payment. Step 3 Design of the survey instrument (questionnaire). As for contingent valuation, it is necessary that the respondent understands the problem fully and gives a credible and accurate answer reflecting their actual - rather than hypothetical - willingness to pay. A pilot questionnaire can be tested on representative focus groups to identify how to improve the questionnaire before the formal data collection. Step 4 Estimating the willingness to pay and then aggregating the results. Depending on the specific format of the choice card, discrete models (logit, probit), paired-comparison models or random utility models can be used to statistically estimate the marginal willingness to pay associated with each attribute.

Benefit transfer Economic valuations can be costly in terms of financial, time and human resources. Benefit transfer offers a cheaper alternative to other valuation methods as it reuses already available information.

Benefit transfer consists of two steps:

Step 1 – Identify a case study of reference as a source of economic value for the non-marketed good of interest (site 1)

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Step 2 – Transfer the economic value from the case study of reference to the case study to be valued (site 2)

Benefit transfer can be undertaken by identifying two sites (Site 1 and Site 2) that are similar in terms of the environmental goods and services they provide. If they have similar population sizes and characteristics, the transfer is simply the allocation of Site 1's economic value to Site 2. If Site 1 and Site 2 have different scales and/or scope, the known economic values of Site 1 obtained by other valuation methods need to be extrapolated before allocation to Site 2. This is so that the value allocated to Site 2 from Site 1 reflects its true economic value. Despite its theoretical appeal and potential, benefit transfer is still prone to scale, scope and sampling effects. These can impair the derivation of reliable estimates of environmental values and thus need to be tested for.

Multi-criteria analysis Multi-Criteria Analysis (MCA) or Multi-criteria Decision Analysis (MCDA) is a semi-qualitative procedure used to compare or determine overall preferences between alternative and often conflicting options. Multi- criteria analysis is not an environmental valuation method as such but rather helps identify preferred scenarios without using economic valuation techniques. It is used as an alternative to cost-benefit analysis. Assessment criteria can be quantitative or qualitative (score) and can relate to social, technical, environmental, economic and financial changes. It is easy to use and has a wider scope than cost-benefit analysis because it includes qualitative as well as quantitative data.

Multi-criteria analysis consists of three steps:

Step 1 – Determine alternative options (scenarios) and criteria (attributes) for appraisal

Step 2 – Measure criteria or indicators, physically, in monetary terms of by scoring them

Step 3 –Aggregate the criteria values for each option by weighting the criteria and select the option with the highest score

Step 1 Identifying potential options (scenarios) as well as criteria or indicators to assess whether these options are socially desirable or not.

Step 2 Assigning a quantitative or qualitative value for each criterion and each option (i.e., ranking of criteria). Ideally, the more socially desirable the outcome, the higher the criterion value to ensure consistency of ranking across the different criteria.

Step 3 Determining weights for each criterion. This can be done through selected focus groups and for various stakeholders.

This method also has its limits. There is a risk of double counting for overlapping objectives. It relies on expert judgement which does not always correspond to preferences of society as a whole. The ordinal scoring of qualitative impacts is potentially too arbitrary.

QUESTIONS

1. True or false. Total Economic Value = Use value + Non use value

Answer: True.

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2.True or false. There are two types of valuation methods: the non demand-based methods and the demand-based revealed preference methods.

Answer: False. There are three types of valuation methods: the non demand-based methods and the demand-based revealed preference methods and the demand-based stated preference methods.

3. True or false. Different methods are based on different measures of welfare changes, which can lead to differences in the economic values estimated between methods.

Answer: True.

4. Multi Responses. Which methods are non-demand curve approaches to valuation? Select as many as appropriate.

(a) Market prices

(b) Contingent valuation

(c) Benefit transfer

(d) Replacement costs

(e) Hedonic pricing

(f) Travel cost

(g) Dose-response methods

(h) Mitigation behaviour

(i) Opportunity costs

(j) Choice Experiment

(k) Multi-criteria analysis

Answer: a, d, g, h, i. Hedonic pricing and Travel costs are revealed preference methods and Contingent valuation and Choice Experiment are stated preference methods. Multi-criteria analysis is not a valuation method.

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Water and Health - Challenges

Environmental Valuation - An Economist's Approach Cost-benefit analysis Cost-benefit analysis is often used to assess whether a project, an action or a planned change are worth implementing compared to doing business-as-usual. Providing Study Context through Identification of:

Stakeholders (i.e., local communities, local or national government bodies, non-governmental organisations (NGOs), donors...)

Area of interest and Timeframe

Identification of "with project" and "without project" scenarios (i.e., business as usual)

With project net benefits = With project benefits With project costs Without project net benefits = Without project benefits Without project costs Incremental net benefit = With project net benefits Without project net benefits

The likely pattern of variation in costs and benefits (or in prices and quantities) needs to be identified. Costs and benefits of the project are to be identified as clearly and precisely as possible, usually undertaken separately for each stakeholder or group of stakeholders. A cost-benefit analysis compares the net benefit derived from implementing the project to the without project net benefits for each stakeholder (or each stakeholder group). The project is worth undertaking if the incremental net benefit is positive.

Which costs and which benefits?

Benefits and costs can be estimated from unit quantities and prices. For example,

For a national park, benefits correspond to the number of visitors times the entry fee charged per visitor.

The benefits derived from carbon storage are the number of tonnes of carbon stored times the price for each tonne of carbon.

The benefits for agricultural land use are the number of hectares cropped times the price per ton of crop.

Variable Costs and Fixed costs.

Variable costs vary with the quantity used (the higher the quantity used, the higher the cost). Fixed costs do not vary with the quantity used (e.g., insurance, building depreciation…).

The gross margin and net income can then be computed for a given year as follows:

Gross Margin = Benefits - Variable costs

Net income = Gross Margin - Fixed costs

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Time Preference and Discounting to Compare Values

The current value of future benefits and costs is computed as follows:

Present Value = Discount Factor * Value (year considered) In economics, the trade-off made between receiving money now and later is called a time preference. Costs and benefits are typically incurred at different times of a project. These are not directly comparable because of inflation and time preferences.

Discounting is the technique used to express equivalent economic or financial values at one given point in time. Economists call the preference for the present (i.e. "getting the money today") a positive time preference. People are said to have a zero time-preference when they are indifferent between getting the money in the present or in the future. If they prefer getting it in the future, they are said to have a negative time preference.

Because of the timing of costs and benefits, the choice of a discount rate is not neutral and can influence the decision to undertake a project or not. A project that starts with high costs and have benefits later is less likely to be undertaken for a higher discount rate (giving a lower weight to later benefits than a smaller discount rate). This typically characterises environmental improvements. On the contrary, a project that starts with high benefits and have costs later (e.g. a nuclear power plant) is more likely to be undertaken for the same higher discount rate.

As a result of this time preference, strong identification of when benefits and costs arise is important to derive valid conclusions from a cost-benefit analysis. How to set the discount rate is a choice that needs to be justified and the consequences of this choice must be discussed. The social discount rate can be estimated through stakeholders survey. Another option would be to consider the (social) opportunity costs of capital, that is, the rate of interest that would be earned by placing the money in a bank account rather than spending it now. Economic indicators of a project's worth

The main three indicators used for assessment are the net present value (NPV), the internal rate of return (IRR) and the benefit-to- cost ratio (BCR).

The Internal Rate of Return (IRR) is the discount rate at which the net present value equals zero. In other words, the maximum interest rate that can be earned from investing resources in a project. The benefit-to-cost ratio (BCR) is the first indicator that has been historically adopted by project managers to assess the worth of a project. The BCR is the ratio obtained by dividing the present value of the benefit stream by the present value of the cost stream, discounted at the opportunity cost of capital. A project is accepted if the BCR is greater than or equal to 1.

All three indicators are complementary and when possible should be computed to assess a project's worth. These indicators can be computed in a financial setting (ie when costs and benefits correspond to actual money flow in the economy) as well as in an economic setting

Financial cost-benefit analysis from actual (financial) prices

Economic costs-benefit analysis (also called social cost-benefit analysis).

Sensitivity analysis to assess risk and resilience

cost-benefit analysis is that it often relies on average values for quantities, prices, costs and benefits. This means that the analysis and the economic indicators derived from it provide a good idea of whether the project is worth undertaking on average but fail to consider the viability of the project under extreme events such as droughts, floods, food crises, financial crises. This is important

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because extreme events are becoming more frequent as a consequence of climate change.

Sensitivity analysis aims to assess consequences on the project's economic worth for risks arising from the project itself or external forces. A good sensitivity analysis helps assess the resilience of the consequences of project implementation and its social consequences. This is particularly critical to assess whether livelihoods of already fragile populations can be sustained even under extreme events or not. Conduct a sensitivity analysis by identifying the main quantities and/or prices that are likely to change, e.g. because of droughts, floods, changes in inputs or fluctuations in commodity prices on the world market. This can be done in consultation with the relevant stakeholders and/or based on local or international expert opinion. The average values originally used in the cost-benefit analysis are changed to the new "extreme" values and the economic indicators of a project's worth are recalculated to assess whether the project remains economically worth implementing. If the project is worth doing on average but not under extreme events, a policy-maker might want to consider either not undertaking this project or providing some form of safety net such as an insurance scheme or subsidies for when these extreme events occur especially for projects targeting fragile populations.

Depending on the results and consultation with stakeholders, you may want to abandon the project and/or introduce safety net mechanisms.

Social analysis and Environmental analysis

A good financial or economic assessment not only comprises a cost-benefit analysis but also a social analysis and an environmental analysis to assess the consequences of the project on the different populations (ethnicities, villages…) as well as on the environment (pollution, natural resource availability…). These are not detailed in this unit but are essential to assess accurately the success and resilience of the project considered for implementation.

Derivation of economic costs and benefits from financial values

A financial analysis is based on the financial costs and benefits to participants (individuals, firms, organisations) whereas an economic analysis is based on the costs and benefits to society as a whole. Financial costs and benefits are typically observed through market prices, user fees… Economic values correspond to opportunity costs and/or willingness to pay for the goods and services considered from the point of view of society as a whole. One of the easiest ways to undertake an economic cost-benefit analysis is to first perform a financial analysis and then adjust each financial value to derive its economic equivalent to compensate for market price distortions that arise when markets are not perfectly competitive.

Economic values can be derived or estimated from financial values in 3 steps:

Step 1 – Adjust for transfer payments (taxes and subsidies)

Step 2 – Adjust for price distortions in traded goods

Step 3 – Adjust for price distortions in non-traded goods (tradables and non-tradables).

Step 1 consists in removing transfer payments from the financial values, i.e. payments that corresponds to a redistribution of

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wealth within society. This is a step undertaken for values expressed in the domestic price system only. They change the financial incentives faced by an individual but not the wealth of society as a whole. Taxes and subsidies are typical examples of this kind of redistribution. This also applies to user fees that are transferred from a user to a provider within a given society. Step 2 consists in adjusting the financial price values to remove market imperfections and distortions introduced by policies such as minimum wage or land market regulations. There are two different aspects that need to be checked upon to ensure that economic values are measured and expressed in a consistent way: the point of reference and the currency. Shadow prices are derived for the same point of reference or numéraire ("measuring unit"), e.g. using a world or a domestic price system. In the world price system, the opportunity costs to the country of traded goods are assumed to correspond to border prices. These opportunity costs are valued using the cif (cost, insurance, freight) for imports and the fob (free on board) for exports. In the domestic price system, economic values correspond to what society is willing to pay for goods and services. For both price systems, economic values can be expressed either in a foreign currency or the domestic currency. When values are expressed in different currencies, the Shadow Exchange Rate (SER) is used for conversion of values into one single currency for consistency.

Step 3 consists in adjusting the values of tradable but non-traded goods (i.e. good that can theoretically be traded but are not trade in practice) in the World price system. This can be done by using a conversion factor when financial prices are considered good estimates of opportunity costs. The conversion factor is the ratio of the shadow price to the domestic market price. It is called standard conversion factor when an average ratio is used.

Non-tradable goods need to be valued using specific economic valuation methods in order to estimate their opportunity costs. In the domestic price system, the values of non-traded and non-tradable goods are estimated based on their opportunity costs.

Because an economic cost-benefit analysis adopts the perspective as society as whole, it can be used to assess the desirability of a project from this perspective. It does not, however, reflect on incentives faced by individual stakeholders or stakeholder groups and should thus be complemented by a financial cost-benefit analysis for a thorough assessment of the proposed project.

Because the values of the costs and benefits have changed, a new sensitivity analysis should be performed. The environmental and social analyses undertaken in relation to the financial cost-benefit analysis still need to be conducted undertaken as a complement to the financial and economic cost-benefit analyses.

Guidance for critically analysing an existing cost-benefit analysis or conducting a cost-benefit analysis.

Learning Outcomes

By the end of this section students should be able to:

· Describe the cost-benefit analysis framework

· Identify relevant stakeholders, area of interest and a timeframe

· Identify and value costs and benefits with and without project

· Describe how to structure a financial cost-benefit analysis

· Explain why economists use discounting and its consequences for consideration of future generations

· Calculate financial indicators to assess if it is worth undertaking the project

· Explain why sensitivity analysis is important and how to undertake it

· Describe the steps involved in adapting a financial cost-benefit analysis to obtain an economic cost-benefit analysis

QUESTIONS

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1. Text Entry. List some of the key factors to consider when conducting a cost-benefit analysis.

Answer:

For a financial cost-benefit analysis:

- Identification of stakeholders, area of interest and timeframe

- Identification of with and without project scenarios

- Timing of costs and benefits

- Likely variations of values around the average

- stakeholder consultations at all stages of the cost-benefit analysis

For an economic cost-benefit analysis, the following needs to be added:

- removal of transfer payments

- corrections for market imperfections and distortions by adjusting financial prices to derive the economic prices

2. True or False. Shadow prices can be estimated by adjusting financial values to reflect opportunity costs to society as a whole.

Answer: True.

3. True or False. We all have a time preference, measured by a higher rate of discount when we allocate a greater weight to the future than the present.

Answer: False. The higher rate of discount means that future benefits lose value faster when converted into their present values. A higher rate of discount reflects a stronger preference for the present.

4. Multi Responses. Select the economic indicators that assess the social desirability of an action (project) compared to inaction (business-as-usual)

(a) Net present value (NPV)

(b) Shadow exchange rate (SER)

(c) Opportunity costs

(d) Benefit-to-cost ratio (BCR)

(e) Internal rate of return (IRR)

(f) cif (cost, insurance, freight)

(g) fob (free on board)

Answer: a, d, e. The others are used to adjust financial prices into shadow prices.

5. True or False. We need to complement a cost-benefit analysis by a sensitivity analysis in order to assess the impact of potential risks on the social desirability of the project and the economic resilience of the project for stakeholders.

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Answer: True.

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WATER and HEALTH - Managing Watershed for Health Benefits of Water Demand Management Several benefits occur from the adoption of water demand management and conservation. These include:

Better control over the throughput of water and wastewater systems generated by the need for better accounting,

Changes in attitudes toward water use as costs begin to show on accounting records, Improved technology as research and development expenditures for water handling become profitable,

Development of new or expanded industries to provide that technology, and Revenue generation, for example, from by-product recovery.

Problems of Water Demand Management

Water costs are relatively inelastic to demand levels. A reduction in water demand will not lead to a proportional decrease in costs. Increase in water rates to meet financial obligations. Lack of immediate financial reward. Potential imbalance between revenues and costs.

Water Reuse "Reclaimed water" is water that has received at least secondary treatment and basic disinfection and is reused after flowing out of a domestic wastewater treatment facility.

"Reuse" is the deliberate application of reclaimed water for a beneficial purpose.

Benefits of Ecosystems - Example Wetlands World-wide wetlands of practically every type have declined in area and are continuing to decline at an alarming rate! All mangroves may disappear by the end of this century (Duke et al. 2007). Coral reefs are in serious decline and many have been severely damage (Wilkinson, 2002)

Everyone in the world is completely dependent on Earth’s ecosystems (MEA 2005) Ecosystem Services are: Provisioning services Regulating Services Supporting Services file:///F|/Dropbox/WaterHealthNewFinal/Course4/concepts/WH40M060C001EconBenProb.htm[11/3/2014 7:40:16 PM] Economic Benefit

Cultural Services (MEA, 2005)

Benefits of Ecosystem Services - Economic Valuation

An economic valuation is “the process of assigning a monetary value to ecosystem goods and services. It quantifies the benefits provided by ecosystems and the impact of ecosystem changes on the well-being of people.” GIZ (2012) Loss of mangrove ecosystems means the loss of these services and often a reduction in human well-being. Changes in welfare represent the benefits or costs to society as a result of a change in environmental service provision.

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WATER and HEALTH - Managing Watersheds for Health

Pollution Release and Transfer Register (PRTR)

Pollution Charges - Polluter Pays Principle

A "pollution charge" or "emission charge" is a fee, collected by the government, which is levied on each unit of pollutant emitted into the water.

Emission charges reduce pollution because pollution costs the firm money. To save money, the polluter seeks ways to reduce its pollution.

As charges increase, it becomes more cost-effective for the polluter to install pollution control equipment or switch to other, less polluting production processes.

Emission charges require a monitoring system to determine the quantity and quality of emissions.

Monitoring Inspection and Oversight This system can take the form of monitoring equipment which precisely measures the quality and quantity of the pollution emitted and documents it ( e.g., digital records, written records). For example, in the case of water pollution, equipment can be installed to determine the volume of wastewater.

The quality of wastewater can be estimated through regular sampling and laboratory analysis.

Monitoring, inspection and oversight of technical and administrative practices are fundamental for achieving compliance with emission standards based on quantity and quality of environmental release and to operationalize collection of pollution charges.

Capacity building involving certification and training, licensing and permits, pollution controls, drinking water quality, waste water and sanitation, data management and auditing becomes necessary for the development and operationalization of pollution reduction mechanisms.

Monitoring and surveillance of environmental releases (i.e., point and non-point sources) and performance should be carried out systematically and audited and the findings communicated to all - stakeholders and the public.

Application and Advantages of Emission Charges

Emission charges have been applied primarily to situations involving water pollution. Charges can be used to finance a regional pollution control system. Pollution charges have three main advantages file:///F|/Dropbox/WaterHealthNewFinal/Course4/concepts/WH40M060C004PRTR.htm[11/3/2014 7:40:16 PM] Pollution Release and Transfer Register

1. Pollution charges achieve a given standard at least cost.

2. Charges force technology; they give firms an incentive to adopt the best available pollution control technology in order to minimize their "tax" liability.

3. Charges economize on information needs by giving the individual agents responsibility for their decisions about pollution control.

Pollution Release and Transfer Registers (PRTRs)

Regional and national pollutant releases inventories PRTRs can be voluntary and legislated PRTRs are foundational to the risk management of chemicals; pollution prevention planning; and chemical safety and pollution awareness.

PRTRs are integral to the public's "right to know" and environmental policy making.

PRTR Systems are key resources for,

identifying pollution prevention priorities, supporting the assessment and risk management of chemicals and environmental modelling activities,

the development of pollution reduction strategies (policy, regulations, communications)

improving technological methods and research

improving understanding among industry, government and the public.

Examples of PRTRs are: The U.S. Toxics Release Inventory (TRI) established in 1986 www2.epa.gov/toxics-release-inventory-tri-program (Internet Access required)

Canada's National Pollutant Release Inventory www.ec.gc.ca/inrp-npri (Internet Access required)

A listing and links to information on PRTRs established in countries around the world is available at www.prtr.net (Internet Access required)

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WATER and HEALTH - Moving Forward Managing Watersheds for Health Environmental health has been broadly defined as "the theory and practice of assessing and controlling factors in the environment that can potentially affect adversely the health of present and future generations" World Health Organization (WHO), 1993, p 18. cited in Parkes et al., 2003

The Nexus Between Water Energy and Food Security

"In recent years, there has been considerable debate in the international community about understanding the nexus between water, energy and food security; while some interesting approaches have emerged from that discussion, implementation of this concept through sector-focused government agencies and various stakeholders remains a challenge.....more concerted efforts at all levels are required to create the enabling environment necessary to implement solutions and that such efforts will have to be broader than just dealing directly with water issues."

UNU and UNOSD, 2013 Report, Water for Sustainability: Framing Water within the Post-2015 Development Agenda.

Everyone has an interest in water issues.

Drivers of demand will encourage investment in water and sanitation infrastructure.

Image: Quote water landscape changing. Source: UNU and UNOSD, 2013

Since 2013, many water-based proposals for moving forward fall into three groupings.

Water as a Sector

Water as an Enabler Water as a Supporter (to development and economic growth)

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Table comparison of water clusters. Source: UNU and UNOSD, 2013.

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Table assessment of water clusters. Source: UNU and UNOSD, 2013.

The need for an integration approach to water and health rather than treating each sector as silos has been well established, but is not without its challenges. Arguments have been made for taking a broader ecosystem approach for watershed management and health. The complex, reciprocal interactions among ecosystems, society and health demand an integrated approach (Parkes et al., 2008).

A cross-cluster framework has been proposed in order to address the following:

Access to water, sanitation and hygiene for all Water for food and energy security Water for ecosystem services A strong governance structure based on transparency, cooperation and integration

(UNU and UNOSD, 2013).

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Image: Proposed Cross-cluster Framework for Sustainability Development Goals (SDGs). Source: UNU and UNOSD, 2013.

Policy, management, and understanding of human health and disease has largely been organized on the basis of government borders and agencies, such as municipalities, counties, provinces and states and the corresponding health authorities. These human-centered frameworks often overlook the structure and function of ecosystems, thereby creating a disconnection between the objects of managment and biophysical processes that exist between health and nature.

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Mapping ecosystems, community and determinants of health. Source: (Parkes et al., 2008).

Prioritizing watersheds as appropriate spatial units around which to organize management for natural resources and health enables a more integrated framework for policy- and decision-making on water and health and the management conservation and protection of ecosystem services.

Challenges Gaps and Opportunities Relating to the Integration of Watershed-based Management and Ecohealth.

Governance Challenge and Opportunities Spatio-temporal Scale The Public Health Paradox

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Ecological Goods and Services on a Watershed Basis Poverty and Watersheds "New-generation" Policy Instruments Building Capacity for a Paradigm Shift

(Parkes et al., 2008)

The following global needs have been identified for catalyzing water for sustainable growth:

Governance Accountability and Transparency WaSH Infrastructure

Wastewater Treatment Water Resources Management

Agriculture Energy Environmental Services

Capacity

Key Challenges for Implementation of proposed Sustainability Development Goals,SDGs, are:

Monitoring and reporting - SMART indicators to monitor progress and global accountability Stakeholder engagement - including non-traditonal international coalitions and global networks Mobilizing financial resources

(UNU and UNOSD, 2013)

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Rapid assessment of the status of requirements for catalyzing water for sustainable development and growth. Source UNU and UNOSD, 2013

Countries and regions with different levels of development will face different entry points to the common

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challenges, will be building from different strengths, and will therefore engage in the implementation process in different ways. Different starting points will have implications for regional and national investment requirements.

Indicators and Expected Outcomes: Examples of possible compound indicators with stated expected outcomes for assessing progress on water and health (UNU and UNOSD, 2013):

Infant mortality reduced by 3 per 1000 live births, with a reduction of 1 per 1000 associated with access to drinking water and sanitation,

based on the finding that for every quartile improvement in WSS, infant mortality rates were reduced by 1.4 per 1000 live births (Cheng et al., 2012).

Diarrhoea rates reduced by 50%, based on the finding that for every quartile improvement in WSS, infant mortality rates were reduced by 1.4 per 1000 live births (Cheng et al., 2012)

Source water quality does not exceed selected (chemical and microbiological) WHO guidelines in 8/10 samples.

Every country incorporates integrated water resources management plans into their G&PRS that address universal access, economic growth, allocation (including transboundary) and climate change impacts

Improved water efficiency in different sectors (less drops per dollar or more dollars per drop)

Conclusions - Moving Forward Managing Watersheds for Health

Despite the many challenges that have been identified, the integration of Ecohealth and a Watershed- based integrated water resources management (IWRM) approach to environmental management holds promise for addressing the gaps and linkages between ecosystems and natural resources management and poverty reduction.

Changes affecting climate and atmospheric process, land uses, ecological process, social networks, livelihoods and lifestyles, add to the complexity of understanding social-ecological systems, involving transboundary movement of people, animals, disease and pollutants, spatial-temporal scaling, and countless physical chemical biological social and ecological relationships. A next step in this analysis would be specific case studies articulating both the needs and the cost of meeting those needs for the development and implementation of an integrated approach to water and health.

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WATER and HEALTH - References Used in Course 4 Social Perspectives on Water and Health

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4. Bakker, K. (2007). The “Commons” Versus the “Commodity”: Alter-globalization, Anti-privatization and the Human Right to Water in the Global South. Antipode. Vol. 39, 3: 430-455.

5. Bal R., Bijker, W., & Hendriks, (2004). Democratization of scientific evidence. BMJ. 329: 1339-41. 6. Barlow, M. & Clarke, T. (2004). Water, Privatization., The Global Policy Forum. Available at: http://www.globalpolicy.org/component/content/article/209/43398.html

7. Bell, Derrick A. Ethical Ambition: Living a Life of Meaning and Worth. New York: Bloomsbury, 2002.

8. Bjornlund, H. & McKay, J. (2002). Aspects of water markets for developing countries: experiences from Australia, Chile, and the US. Environment and Development Economics 7: 769–795. 9. Blackmore, C. (2007). What kinds of knowledge, knowing and learning are required for addressing resource dilemmas? A theoretical overview. Environmental Science and Policy, 10 (6), 512-525.

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11. Borrás, S. and Ejrnæs, A. (2011). The legitimacy of new modes of governance in the EU: Studying national stakeholders' support. European Union Politics 12(1): 107-126.

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12. Boyd, D. (2011). The Environmental Rights Revolution. UBC Press.

13. Connelly, S., T. Richardson, and T. Miles. (2006). Situated legitimacy: deliberative arenas and the new rural governance. Journal of Rural Studies 22(3): 267-277. 14. Davidson-Hunt, I.J. & Berkes, F. (2010). Innovating through commons use: community-based enterprises. International Journal of the Commons. Vol. 4 (1): 1-7. [online]. Available at: http://www.thecommonsjournal.org (Internet Access Required) (Internet Access Required)

15. de Albuquerque, C. (2012). On the Right Track: Good Practices to Realising the Rights to Water and Sanitation. United Nations Special Rapporteur on the Human Right to Safe Drinking Water and Sanitation. With Virginia Road.

16. Dean, Mitchell. (1999). Governmentality: Power and Rule in Modern Society. Thousand Oaks, CA: Sage Publications.

17. de Loë, R.C. 2009. Sharing the Waters of the Red River Basin: A Review of Options for Transboundary Water Governance. Prepared for International Red Rivers Board, International Joint Commission. Guelph, ON: Rob de Loë Consulting Services

18. de Loë, R., Di Giantomasso, S., and Kreutzwiser, R. D. (2002). Local capacity for groundwater protection in Ontario. Environmental Management, 29 (2), 217-233. 19. de Loë, R. C. and Kreutzwiser, R. D. (2007). Challenging the status quo: the evolution of water governance in Canada. In Eau Canada: The Future of Canada’s Water, ed. K. Bakker, 85-103. Vancouver: University of British Columbia Press.

20. De Vos, H. et al, (2006). Formal Law and Local Water Control in the Andean Region: A Fiercely Contested Field. Water Resources Development., Vol. 22, No. 1, 37–48.

21. Dewulf, A., M. Mancero, G. Cárdenas, and D. Sucozhañay. (2011). The fragmentation and connection of frames in collaborative water governance. A case study of river catchment management in Southern Ecuador. International Review of Administrative Sciences 77 (1): 50-75.

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Regime. Toronto: University of Toronto Press.

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25. Edge, S. (2011). Environmental Health Governance and Socio-spatial Struggles for Legitimacy: The Case of Chemical Risk Management in Canada. Paper presentation at the International Medical Geography Symposium. Durham University, Durham, United Kingdom.

26. Edge, S. & McAllister, ML. (2009). Place-based local governance and sustainable communities: lessons from Canadian biosphere reserves. Journal of Environmental Planning & Management. 52:3, 279-295. 27. Edge, Sara. & Eyles, J. (in press). The socio-spatial (re)configuration of legitimacy, knowledge & practice in chemical risk governance: an exploratory integration of boundary-work & scale-frame analytics. Environmental Politics. 28. Entman, R. M. (1993). Framing: toward clarification of a fractured paradigm. Journal of Communication. 43:51-58.

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41. Harris, L. & Alatout, S. (2010). Negotiating hydro-scales, forging states: Comparison of the upper Tigris/Euphrates and Jordan River basins. Political Geography. 29: 148-56.

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45. Kurtz, H. (2003). Scale frames and counter-scale frames: constructing the problem of environmental justice Political Geography 22 887–916 46. Lach, D., Rayner, S. & Ingram, H. (2005). Taming the waters: strategies to domesticate the wicked problems of water resource management. International Journal of Water. 3(1), 1517.

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48. Lemos, M. C. and Agrawal, A. (2006). Environmental governance. Annual Review of Environment and Resources 31: 297- 325. 49. Mansfield, B., & Haas, J. (2006). Scale framing of scientific uncertainty in controversy over the Endangered Steller sea lion. Environmental Politics: Vol. 15 (1): 78-94. 50. Marin, L. E., Sandoval, R., Tagle, F., Sanchez, E. & Martinez, V. H. (2009). Water as a human right and as an economic resource: an example from Mexico. In: Water Ethics. Llamas, M. R., Martinez-Cortina, L. & Mukherji, A. (eds). CRC Press/Balkema, Leiden, pp. 115–125.

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52. McCarthy, J. (2005). Scale, Sovereignty and Strategy in Environmental Governance. Antipode. 732-53. 53. McCarthy, J., (2007). States of nature: theorizing the state in environmental governance. Review of International Political Economy. 14: 176–194. 54. McCloskey, M. (1999). Problems with Using Collaboration to Shape Environmental Public Policy, 34 Valparaiso University Law Review. 32(2): 423-3. Available at: http://scholar.valpo.edu/vulr/vol34/iss2/6 55. Millenium Ecosystem Assessment. (2005). Synthesis. Island Press, Washington, DC Available online at: http://www.millenniumassessment.org/ (Internet Access Required) 56. Meadowcroft, J. 2002. Politics and scale: some implications for environmental governance. Landscape and Urban Planning 61(2-4): 169-179.

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66. Prasad, N. (2006). Privatisation Results: Private Sector Participation in Water Services After 15 Years. Development Policy Review. 24 (6): 669-692

67. Pruss-Ustun, A., Corvalan, C. (2005). Preventing Disease through Healthy Environments: Towards an Estimate of the Environmental Burden of Disease. World Health Organisation, Geneva. file:///F|/Dropbox/WaterHealthNewFinal/Course4/concepts/WH40M070C001References.htm[11/3/2014 7:40:17 PM] References

68. Reed, M. (2010). Guess who's (not) coming for dinner: Expanding the terms of public involvement in sustainable forest management. Scandinavian Journal of Forest Research. 25(Suppl 9): 45-54. 69. Reed, M. & Bruyneel, S. (2010). Rescaling environmental governance, rethinking the state: A three-dimensional review. Progress in Human Geography. Published online: doi:10.1177/0309132509354836 70. Rogers, A. and Taylor, P. (1998), Participatory Curriculum Development in Agricultural Education. A Training Guide. Rome: FAO.

71. Roth, D., Boelens, R., & Zwarteveen, M. (Eds.). (2005). Liquid relations: contested water rights and legal complexity. Rutgers University Press.

Scarpa, R., Rose, J.M. (2008) "Design efficiency for non-market valuation with choice modelling: how to measure it, what to report and why." Australian Journal of Agricultural and Resource Economics, Vol. 52, 253-282

72. Shiva V (2002) Water Wars: Privatization, Pollution and Profit. London: Pluto Press

73. Simms, G. And R.C. de Loë. 2010. Challenges for Water Governance in Canada: A Discussion Paper. Governance for Source Water Protection in Canada Report No. 2. Waterloo, ON: Water Policy and Governance Group

74. Sneddon, C. (2003). Reconfiguring scale and power: the Khong-Chi-Mun Project in Northeast Thailand. Environment and Planning A, 35, 2229-2250.

75. Swyngedouw, E. (1999). Modernity and hybridity: nature, regeneracionismo, and the production of the Spanish waterscape. Annals of the Association of American Geographers, 89(1), 443-465.

76. Taylor, P. (2006) The Urban Governance Index: A tool to measure the quality of urban governance, Presentation to UNESCO UN-HABITAT meeting, Paris, December 2006.

77. Trawick, P. (2003) Against the privatization of water: an indigenous model for improving existing laws and successfully governing the commons, World Development, 31(6), pp. 977–996.

78. United Nation Environmental Program (UNEP), (2002). Atlas of International Freshwater Agreements. UNEP, Nairobi, Kenya.

79. United Nations Food and Agriculture Organization (UNFAO). (1984). Systematic Index of International Water Resources Treaties, Declarations, Acts and Cases, by Basin. Volume II. Legislative Study 34 Rome: Food and Agriculture Organization of the United Nations.

80. United Nations General Assembly. (1945). UN Declaration of Human Rights, New York: UN,.

81. United Nations General Assembly. (1966). International Covenant on Civil and Political Rights. New York.

82. United Nations General Assembly. International Covenant on Economic, Social and Cultural Rights. New York: 1966.

83. United Nations General Assembly. (1979). Convention on the Elimination of All Forms of Discrimination against Women New York.

84. United Nations General Assembly. (1990). Convention on the Rights of the Child. New York.

85. United Nations General Assembly. (2007). Declaration on the Rights of Indigenous Peoples. New York.

86. United Nations General Assembly. (2008).Convention on the Rights of Persons with Disabilities. New York.

87. United Nations World Water Assessment Programme. (2003). Water for People, Water for Life: The United Nations World Water Development Report. New York: UNESCO Publishing.

88. Van Buuren, A. (2009). Knowledge for Governance, Governance of Knowledge: Inclusive Knowledge Management in Collaborative Governance Processes. International Public Management Journal. 12 (2): 208-35.

89. Van Kammen, J., de Savigny, D. & Sewankamboc, N. (2006). Using knowledge brokering to promote evidence-based policy-making: the need for support structures. Bulletin of the World Health Organization. Vol. 84, pp. 608-612. 90. van Lieshout, M., Dewulf, A., Aarts, M. & C. Termeer. (2011). Do Scale Frames Matter? Scale Frame Mismatches in the Decision Making Process of a “Mega Farm” in a Small Dutch Village. Ecology & Society. 16(1): 38..

91. Wolf, A. et al, (1999). International river basins of the world. International Journal of Water Resources Development. 15 (4):

file:///F|/Dropbox/WaterHealthNewFinal/Course4/concepts/WH40M070C001References.htm[11/3/2014 7:40:17 PM] References

387–427.

92. World Bank (2005). World Development Report 2006: Equity and Development. New York: Oxford University Press for the World Bank.

93. World Bank (2006). A Decade of Measuring the Quality of Governance. Worldwide Governance Indicators Project. Available at: http://siteresources.worldbank.org/INTWBIGOVANTCOR/Resources/1740479- 1150402582357/2661829-1158008871017/booklet_decade_of_measuring_governance.pdf (Internet Access Required) 94. World Health Organization. Preamble to the Constitution of the World Health Organization as adopted by the International Health Conference, New York, 19-22 June, 1946; signed on 22 July 1946 by the representatives of 61 States (Official Records of the World Health Organization, no. 2, p. 100) and entered into force on 7 April 1948.

95. World Water Council (2006) Costing MDG Target 10 on Water Supply and Sanitation: Comparative Analysis, Obstacles and Recommendations. Available at: www.worldwatercouncil.org

96. World Water Forum (2000) Forum session conclusions ‘Water and Indigenous Peoples’ of the Second WorldWater Forum, March 2000 (available at: http://www.worldwaterforum.org). (Internet Access Required)

97. WHO and UNICEF (2004). Meeting the MDG Drinking Water and Sanitation Target: A Mid-Term Assessment of Progress. New York: WHO and UNICEF.

98. n.a. Water Law and Indigenous Rights - WALIR Towards recognition of indigenous water rights and management rules in national legislation, Summary of the presentations at the public meeting (7 March 2002) on the occasion of the International WALIR Seminar, 4-8 March 2002, Wageningen, The NetherlandsWater Governance Facility, (nd). Training Manual on Water Integrity 99. Wilde, O. (1890) The Picture of Dorian Gray. Chapter 4.

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WATER and HEALTH - Course 4 Social Perspectives on Warer and Health

Economics of Valuation of Land Degradation (Environmental Degradation and Restoration) and Economic Valuation for Wetland Conservation

Key Readings

This page is identical to the Discussion Page

Indicative textbook

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Natural Resource and Environmental Economics, 4th Edition. Pearson Education. 712p.

This textbook is written as an introductory textbook and covers all the material described in this unit. It contains clear text descriptions as well as illustrative graphs and mathematical equations. The companion website also provides example files. Depending on your own proficiency in maths you may find other textbooks more suited to your needs but this textbook should constitute a good starting point.

All sections

ELD Initiative (2013). The rewards of investing in sustainable land management. Interim Report for the Economics of Land Degradation Initiative: A global strategy for sustainable land management. Thomas, R.J., Quillérou, E., Stewart, N. (Coordinators and Eds.), 124pp. Available at: www.eld-initiative.org/ or http://inweh.unu.edu/reports/ [17 September 2013]

This report provides a good complement to this course. It details selected case studies and the general background for the initiative and briefly reviews the methods detailed in this course.

Section 1 WH40M05D001Challenges1

Pagiola, S., von Ritter, K., Bishop, J. (2004). Section 1 Introduction & Section 2 Ecosystems and the services they provide. In: How much is an ecosystem worth? Assessing the Economic Value of Ecosystem Conservation. In collaboration with The Nature Conservancy and IUCN - The World Conservation Union (Ed.). The World Bank Environment Department paper, pp. 1-8. Available from: http://www.cbd.int/doc/case-studies/inc/cs-inc-iucn-nc-wb- en.pdf [22 November 2011]

The first part of this report outlines the key questions an economic analysis can help answer to complement other disciplinary perspectives.

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 2: The origins of the Sustainability Problem. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 16-58.

This chapter provides an overview of the discussion on why we as a society should aim for sustainability.

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Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 3: Ethics, Economics and the Environment. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 59-91.

This chapter provides an overview of utilititarism, that is the economic perspective adopted in this unit, and its consequences for the definition of sustainability.

Shanahan, M. (2008) Entangled in the web of life: biodiversity and the media. IIED Briefing Papers, May 2008, 4pp. Available from: http://pubs.iied.org/pdfs/17037IIED.pdf [01 May 2012]

This breifing paper details some ecosystem services provides by nature and outlines the importance of using a communication language relevant to the target audience to trigger effective management.

Section 2 WH40M05D003Challenges2

Pagiola, S., von Ritter, K., Bishop, J. (2004). Section 3 Valuing ecosystem services. In: How much is an ecosystem worth? Assessing the Economic Value of Ecosystem Conservation. In collaboration with The Nature Conservancy and IUCN - The World Conservation Union (Ed.). The World Bank Environment Department paper, pp. 9-12. Available from: http://www.cbd.int/doc/case-studies/inc/cs-inc-iucn-nc-wb-en.pdf [22 November 2011]

The second part of this report briefly describes methods available to decision-makers for environmental valuation.

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 4: Welfare economics and the Environment. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 92-136.

This chapter provides an overview of the economics tools for analysis of environmental change. It describes the conditions for efficient allocation, how a market system would deliver this efficient allocation and why allocation is not always efficient as the rationale for government intervention through public policy-making. In particular, it details the key problems of externalities and market failure arising in relation to the environment.

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 12: Valuing the environment. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 411-454.

This chapter details the total economic value framework, the concepts of willingness to pay and to accept, compensating surplus and equivalent surplus. It explains how to use different methods to conduct environmental valuation.

Section 3 WH40M05D006Challenges3 Cost-benefit

Pagiola, S., von Ritter, K., Bishop, J. (2004). Section 3 Valuing ecosystem services. In: How much is an ecosystem worth? Assessing the Economic Value of Ecosystem Conservation. In collaboration with The Nature Conservancy and IUCN - The World Conservation Union (Ed.). The World Bank Environment Department paper, pp. 13-33. Available from:

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http://www.cbd.int/doc/case-studies/inc/cs-inc-iucn-nc-wb-en.pdf [22 November 2011]

The last part of this report outlines general principles of cost-benefit analysis and potential scenarios to be considered for assessment.

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 11: Cost- Benefit Analysis. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 367-410.

This chapter details the economic principles behind cost-benefit analysis. It outlines the impact of the timing of costs and benefits on decisions made.

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 13: Irreversibility, risk and Uncertainty. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 455-481.

This chapter explains the difference between risk and uncertainty and their consequences for decision-making at the individual and the society levels.

Key Readings on Economic Valuation for Wetland Conservation

GIZ. 2012. Integrating Ecosystem Services into Development Planning. A stepwise approach for practitioners based on the TEEB approach.

Irwin, F. and J. Ranganathan. 2007. Restoring Nature’s Capital. An Action Agenda to Sustain Ecosystem Services. World Research Institute, Washington, DC. Available at: http://pdf.wri.org/restoring_natures_capital.pdf

Millennium Ecosystem Assessment, 2005. Ecosystems and Human Well-being: Synthesis. Island Press, Washington, DC.. Available at: www.maweb.org

Russi D., ten Brink P., Farmer A., Badura T., Coates D., Förster J., Kumar R. and Davidson N. 2013. The Economics of Ecosystems and Biodiversity for Water and Wetlands. IEEP, London and Brussels; Ramsar Secretariat, Gland. Available at: http://data.iucn.org/dbtw-wpd/edocs/2013-001.pdf

TEEB .2010. The Economics of Ecosystems and Biodiversity Ecological and Economic Foundations. Edited by Pushpam Kumar. Earthscan, London and Washington.

UNEP-WCMC. 2011. Marine and coastal ecosystem services: Valuation methods and their application. UNEP-WCMC Biodiversity Series No. 33. 46 pp. Available at: http://www.unep.org/dewa/Portals/67/pdf/Marine_and_Coastal_Ecosystem.pdf (Internet Access Required)

Conservation International. 2008. Economic Values of Coral Reefs, Mangroves, and Seagrasses: A Global Compilation. Center for Applied Biodiversity Science, Conservation International, Arlington, VA, USA. Available at: http://www.conservation.org/documents/CI_Marine_CI_Economic_Values_Coral_Reefs_Mangroves_Seagrasses_compilation_2008.pdf (Internet Access Required)

Further Readings

The following readings have been selected because the description of the methodologies is still relevant. They aim to develop an understanding of the methods, their applications and some of their limitations. The methods detailed in this unit were primarily developed in the 1990s and 2000s and methodological steps have not changed much since. Current research is still being conducted on reducing empirical biases for improvement of the empirical results derived from these methods. The economic values detailed in these readings would need to be updated and should be considered with caution. This list is far from being exhaustive, you can check your local university libraries, the Internet and other available sources for more examples.

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Bennett, J., Birol, E. (2010) Choice Experiment in Developing Countries: Implementation, Challenges and Policy Implications. Edward Elgar, 321pp.

This is an excellent reference book on applications of the choice experiment method in developing countries. It can be used in the first half of Section 4 as an example case study.

Bromley, D.-W. (1995) Part V: The Valuation Problem, Chapters 24 to 30. In: The Handbook of Environmental Economics. Massachusetts: Blackwell Publishers, pp. 543-686.

This reading details economic methods for environmental valuation, their theoretical basis, the main steps and their main limitations.

Commission on the Measurement of Economic Performance and Social Progress (2009) The Report of the commission on the measurement of economic performance et social progress. Available from: http://www.stiglitz-sen-fitoussi.fr/en/ [Accessed 01 May 2012]

Also known as the "Stiglitz-Sen-Fitoussi" report. The Commission was set up to look at the (in)adequacy of current measures of economic performance and their relevance for measuring societal well-being as well as economic, environmental and social sustainability and propose new tools for improved assessment. The report summarises their findings.

Grafton, Q., Adamowicz, W., Dupont, D., Nelson, H., Hill, R. J., & Renzetti, S. (2004) Part III: Environmental Valuation, Chapters 8 to 10. In: The Economics of the Environment and Natural Resources. Wiley-Blackwell, pp. 219-311.

This reading details the economic methods for environmental valuation: their theoretical foundations, main steps and limitations.

Hanley, N., Shogren, J. F., White, B. (1997) Chapter 12: The Theory of Nonmarket Valuation. In: Environmental Economics in Theory and Practice. Basingstoke, Hampshire: Palgrave Macmillan, pp. 356-382.

This reading details the economic methods for environmental valuation: their theoretical foundations, main steps and limitations.

Hanley, N. (1999) Chapter 57: Cost–benefit Analysis of Environmental Policy and Management. In: van den Bergh, J. C. J. M. (ed). Handbook Of Environmental And Resource Economics. Cheltenham, United Kingdom: Edward Elgar, pp. 824-836

This reading details principles of environmental cost-benefit analysis: its theoretical foundations, main steps and limitations.

Stern, N. (2007) Stern Review on the Economics of Climate Change. Cabinet Office - HM Treasury. ISBN: 9780521700801. 712p. Available from: http://webarchive.nationalarchives.gov.uk/+/http://www.hm- treasury.gov.uk/sternreview_index.htm (Internet Access Required) [Accessed 29 November 2011]

This review compared the economic cost of action versus the costs of inaction for mitigating climate change. The results of this review triggered a very strong political support for climate change mitigation strategies throughout the world and a reorientation of economic

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development towards green growth. This political support was associated with huge investments for climate change mitigation technology development, financial support for adoption of green technologies and implementation of climate change-related policies. This economic analysis constitutes the current reference for economic assessment to induce action.

Scarpa, R., Rose, J.M. (2008) Design efficiency for non-market valuation with choice modelling: how to measure it, what to report and why. Australian Journal of Agricultural and Resource Economics, Vol. 52, 253-282

This paper details why efficient designs should be preferred to design choice modeling cards.

"For the student" paper series, The Australian Economic Review. Available from: http://onlinelibrary.wiley.com/journal/10.1111/%28ISSN%291467-8462 [Accessed 01 May 2012] (Internet Access Required)

These papers explain basic economic concepts in simple terms for people training in economics in more details than in a traditional academic paper.

References

Borresch, R., Maas, S., Schmitz, K., Schmitz, P. M. (2009) Modelling the value of a multifunctional landscape – A discrete choice experiment. International Association of

Agricultural Economists Conference, Beijing, China, August 16-22, 2009, 13 pages. Available from: http://ageconsearch.umn.edu/bitstream/51641/2/IAAE2009_692.pdf [Accessed 10 January2014] (Internet Access Required)

Lancaster, K. (1966) A New Approach to Consumer Theory. Journal of Political Economy, Vol. 74, pp. 132--157.

Wilde, O. (1890) The Picture of Dorian Gray. Chapter 4.

Scarpa, R., Rose, J.M. (2008) "Design efficiency for non-market valuation with choice modelling: how to measure it, what to report and why." Australian Journal of Agricultural and Resource Economics, Vol. 52, 253-282

Weblinks and Portals

Environmental The EVRI is a Canadian-run searchable storehouse of empirical Valuation Reference studies on the economic value of environmental benefits and Inventory (EVRI) human health effects using various valuation methods. This storehouse has been developed as a tool to help policy analysts use the benefit transfer method.

https://www.evri.ca/ (Internet Access Required)

[Accessed 01 May 2012]

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Envalue The ENVALUE environmental valuation database is an Australian- run systematic collection of environmental valuation studies presented in an on-line database. It is expected that the ENVALUE database will assist decision makers in government and industry as well as academics, consultants and environmental groups, to incorporate environmental values into cost-benefit analyses, environmental impact statements, project appraisals and overall valuation of changes in environmental quality.

http://www.environment.nsw.gov.au/envalueapp/ (Internet Access Required)

The Environmental A source of case studies, examples and further references Valuation and Cost- benefit website http://www.costbenefitanalysis.org/ (Internet Access Required) [Accessed 01 May 2012]

Venice Platform The Coastal Wiki : Internet encyclopedia for coastal and marine professionals

http://www.coastalwiki.org/coastalwiki/ (Internet Access Required)

[Accessed 01 May 2012]

The World Bank, A good source of examples of policies, green growth strategies and Environment Section indicators

http://go.worldbank.org/B28KB6VQQ0 (Internet Access Required)

Economic Valuation for Wetland Conservation -

Ecosystem Valuation: www.ecosystemvaluation.org (Internet Access Required)

The Natural Capital Project: http://www.naturalcapitalproject.org/ (Internet Access Required)

The Economics of Ecosystems and Biodiversity (TEEB): http://www.teebweb.org/ (Internet Access Required)

Multimedia

Pavan Sukhdev (2011) Put a value on nature! Technology Education and Design (TED) Talk July 2011. Available from: http://www.ted.com/talks/pavan_sukhdev_what_s_the_price_of_nature.html (Internet Access Required) [Accessed 01 May 2012]

The Water Channel (2008) Mangrove forests for coastal restoration. Available from:

http://www.thewaterchannel.tv/index.php? option=com_hwdvideoshare&task=viewvideo&Itemid=4&video_id=52 (Internet Access

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Required)

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Water And Health Course 4 SOCIAL PERSPECTIVES ON WATER AND HEALTH

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Water And Health Course 4 - SOCIAL PERSPECTIVES ON WATER AND HEALTH

Overview and Organization

In this course we will examine the social aspect of water – who owns it, how is it used, what problems are attendant with water, how can water be seen and managed as a resource for individuals, families, and communities, and how are water and health inter- related? We have already established that water is essential for human survival and that there is a science and technology that supports the use of water for human and animal consumption. But how we use water, how we manage the global supply of water, is based so the value we place on water to in our lives. When water is clean, easily accessible and affordable we pay little attention to how it is used. When the quantity,, quality or accessibility of our water supply is threatened, as is the norm in many parts of the world on a regular basis, we becoming increasingly concerned about the social and health implications. How we deal with these threats depends upon not only our technological abilities, but also on the human dimensions of values, knowledge of the problem, capacity for change, and the impacts on health that is critical to water management.

To understand the social dimensions we will examine the following:

ethics and human rights issues surrounding water,

social justice and water,

water management approaches, featuring the following: Governance (models and mechanisms, collaborations, scaling water governance); Key elements of IWRM; Demand side management (the economics of water); and Capacity (individual and institutional)

the integration of water and health concerns, such as: the water-health nexus (introduction to the intersection between water and health); public health; and community engagement

and the challenges of water and health, such as challenges to integration involving monitoring and oversight ( the metrics of water vs health), balancing costs and benefits (watershed management for health and ecosystems services), and the ecohealth approach of manageing waersheds for health.

While each of these issues will be tackled individually, it is important to remember that they all interact with and influence each other.

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Discussion - Water and Ethics

Wrongdoing is a complex phenomenon. Wrongdoing is not itself a cause but it is the consequence of systemic failure or a culture which does not put an adequate emphasis on ethical behaviour. The key issue is how public servants can be given support in observing the highest standards of integrity and ethics in a rapidly changing public sector environment, without undermining the main thrust of public management reforms, which aim to enhance efficiency and effectiveness. A range of tools and processes to regulate against undesirable behaviour are employed and to provide incentives for good conduct. However, there is no single method for constructing an ethics infrastructure in the public service. Rather, a combination of incentives and sanctions are needed to encourage professional standards of conduct.

Ethics means promoting integrity and preventing wrongdoings. This definition includes the development and maintenance of interrelated mechanisms, such as adequate:

Control

Guidance

Management

The consistent combination of these mechanisms:

· Provides suitable incentives for public servants to achieve the aims to which they aspire

· Promotes role models in the public service

· Discourages misconduct by efficient preventive and policing mechanisms

· Is necessary for success

Drawing on experience, a list of the institutions, systems, tools, and conditions that governments use to promote integrity in the public sector have been identified. These are necessary elements and functions of a sound ethics infrastructure.

There are many contested normative views about what water is, represents, or what it should be used for:

· Water as a natural resource

· Water as a commodity or economic good allocated through markets

· Water as a property right

· Water as a common good

· Water as a source of life, basic need for humans and ecosystems

· Water as a human right

Each is associated with a different approach to management and governance. The prioritization of each approach is a normative, contested exercise.

The following paragraphs describe the core components of the eight elements of the Ethics Infrastructure and illustrate them with some selected recent examples:

Political Component

In the absence of sustained political commitment to ethical behaviour in the administration, efforts to encourage such behaviour will be in vain. The most recent examples show that attempts to improve public sector ethics have been sponsored at the highest political levels.

Workable Codes of Conduct

Codes of conduct play a vital role in stating the expected standards of behaviour that have reduced the rules applying to public servants and have adopted more "managerial" styles of public management. A broad public service code of conduct

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from which individual agencies design a purpose-built code to reflect their particular objectives and mission: for example Australia updated its code of conduct in the Public Service Bill 1999. In other countries, codes are all agency-based.

Professional Socialization Mechanisms

However, the content of the codes of conduct or even legal provisions remains simply words on paper, if it is not adequately communicated and inculcated. Socialization mechanisms are the processes by which public servants learn and adopt ethical norms, standards of conduct, and public service values. Training (induction and ongoing) is an essential element to raise ethics awareness and develop skills capable of solving ethical dilemmas; good role models (especially managers) also serve this purpose. For example, ethics issues now constitute an integral part of the initial training of future managers in Belgium, while all senior private sector entrants to the civil service in the United Kingdom are required to focus on ethics issues in their mandatory induction training. in the Czech Republic, the Concept of Public Servants' Training integrated ethics as one module in the pre-service and in service training.

Ethics Coordinating Body

These take various forms - parliamentary committees, central agencies, or specially created bodies - and assume various functions: "general promoter" of public sector ethics, a role performed by Norway's Ministry of Labour and Government Administration and New Zealand's State Services Commission; "counselor and advisor", such as the United States Office of Government Ethics and the Canadian Office of the Ethics Counselor for public office holders in the Executive Branch and the Office of Values and Ethics for the public service; standing oversight committee like the Committee on Standards in Public Life in the United Kingdom or "watchdog" including investigation, such as France's permanent anti-corruption investigation commission or the New South Wales independent Commission Against Corruption in Australia. The existence of a coordinating body should not, however, be construed as absolving departments and managers of the responsibility for ensuring ethical conduct within their jurisdictions.

Supportive Public Service Conditions

The high standards of ethical conduct expected of public officials are one side of the coin. The other side is a "package" which provides decent working and living conditions for the "servants of the public". This "package" consists of such basic elements as sufficient job security, opportunities for promotion and career development, fair remuneration or social appreciation. Fair and impartial human resources management policies can ensure that selection and promotion processes in the public sector are based on general professional requirements and non-discrimination, and those other factors, such as for example political considerations are minimized, if public servants are feeling underpaid, overworked and insecure, then they are less likely to embrace initiatives to improve performance including in the ethical domain.

Effective Legal Framework

The legal framework is the "teeth" of the overall ethics infrastructure. Laws and regulations define the basic standards of behavior for public servants and enforce them through systems of investigation and prosecution. In reviewing its legal framework, a country must check that existing criminal codes and civil service laws, conflict of interest statutes and other regulations which apply to public servants are clear and consistent. Recent efforts include the Japanese law on the ethics of public servants, the country's first such legislation. This law requires the Cabinet to establish a new code of conduct as a government order which bans public servants from receiving gifts and/or entertainment from private companies under their jurisdiction. Furthermore, senior officials in the central government will be required to report gifts or entertainment worth more than 5 000 yen, with some in higher positions required to report their stock transactions and income as well. The law delegates the setting up of the bans on receiving gifts and/or entertainment to a government order. Poland also adopted a law recently requiring all public officials to declare their financial assets, property and business capital.

Efficient Accountability Mechanisms

Accountability mechanisms should encourage ethical behavior by making unethical activities hard to commit and easy to detect. Accountability mechanisms set guidelines for government activities, for checking that results have been achieved, and for checking that due process has been observed. They include internal administrative procedures (requirements that activities or requests be recorded in writing), comprehensive processes such as audits and evaluations of an agency's performance, or new forms of procedures such as whistle-blowing (which can encourage public servants to expose wrongdoing committed by others or to say no when asked to do something inappropriate). They might also be external to the public service: for example, oversight mechanisms such as legislative or parliamentary committees.

Active Civil Society

Ethics is everybody's responsibility, including that of an assertive media, which through its probing reporting helps citizens to act as watchdog over the actions of public officials. Freedom of information laws guarantee citizen access to public file:///F|/Dropbox/WaterHealthNewFinal/Course4/discussion/WH40M010D003Ethics.htm[11/3/2014 7:40:52 PM] WLC Template

information from the late 1960s and they can institutionalize and support public awareness and responsiveness. For example, the United States passed its act in 1967 and Denmark introduced its Freedom of information Act in 1970 while other countries adopted it more recently as the Czech Republic and Japan in 1999 and drafts are under consideration in the United Kingdom and Switzerland.

Why Ethics Now?: Discussion

Public sector organizations with multiple goals always face conflicts that, in theory, require tradeoffs. For example, a common conflict exists between traditional ethical values and the values imported with private sector methods, such as efficiency, effectiveness or economy. Such conflicting goals have left individual public servants confused about the every day application of ethical standards.

Changes in Public Services Management

Fiscal pressures are most common challenge for public services today. Tighter budgetary resources have forced governments to re-evaluate their programs and priorities for service delivery. They have also rethought what should constitute the core business of government and what could, or should, be provided by private enterprise or the voluntary sector to increase the cost efficiency of public administration and to broaden the choice available to citizens.

In this context, governments have contested public sector functions while adopting more private sector management methods. The increased use of private sector methods has put a greater value on business principles and standards. The results include:

massive privatization, as found in Canada and the United States; increased contracting out, consultancy work and partnership arrangements with the private sector, as found in New Zealand; radical restructuring in the civil service, as found in Ireland, New Zealand; downsizing, as found in the United States; and wage freezes for public servants, as found in Canada.

In general, however, the most crucial element of this reform has been the shift from detailed regulations to performance management. This new type of public service management reduces government control and provides administrators with the flexibility:

to manage people and resources in ways that are both creative and tailored to match particular business plans, and to achieve the outcomes sought by the government.

A recent example of performance management is the new Australian Public Service Act. Passed by the Parliament in October 1999, this Act repealed the former regulations that had more technical and prescriptive details and were four times larger. The new, principles-based law authorizes agency heads to determine recruitment, pay and employment conditions of staff. Thus, these agency heads have power similar to the private sector heads, except where there are public policy reasons not to do so.

Problems with Performance Management

Confusion in Applying Ethical Values

Unfortunately, both the increase in flexibility and in contacts with private firms have resulted in a fragmented public service environment, where the understanding of principles and practices, including the application of ethical values and standards, can differ significantly.

For example, the acceptance of gifts, benefits and hospitality has become a particularly sensitive question. Even if it is against policy, public servants tend to accept these items when they feel they are not harming anyone and there will not be any consequences.

Reduction of Accountability

This new type of management also reduces the traditional control mechanisms that maintain standards and accountability. In other words, without a legal and institutional environment that controls the risk of misconduct, public servants are more susceptible to external pressures. Public institutions are especially vulnerable to misconduct if transparency is insufficient during such processes as:

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public decision-making, as was found in Korea; the provision of hospital services, as was found in Greece; or the massive decentralization of public services, as was found in France, Hungary, and Poland.

Conflicts of Interest

Opening up the administration has also meant a greater opportunity for horizontal movement between the private and public sectors. In particular, recruitment from the private sector to management positions exposes the collision between private and public sector values.

Several countries, such as Spain and Sweden, noted that ancillary work increases the possibility of conflicts of interest between public duties and private interests and may be detrimental to the employer/employee confidence. Moreover, the publicity surrounding their conflicts of interest badly affected the image of the entire public service.

All the above-mentioned public management reforms have been identified as the main causes of the crisis in values for the traditional administration of government business.

To help the public service to meet more complex social and economic challenges, pressures and demands, countries have introduced substantial reforms in the way their central administrations operate.

Decisive Environment

A country's social, political, and economic environment directly influences working conditions in the public service.

The Economic Environment

The decreasing value of public salaries and the disparity in income between the private and the public sector has caused major problems for countries such as the Czech Republic, Hungary, Mexico, Poland, and Portugal. Together with an increasing workload, this disparity in income has reduced the prestige of the public service and caused a high number of people to leave its ranks.

Consequently, higher salaries and less attention to ethical standards are a great incentive for experienced and skilled officials to leave the public for the private sector. This movement is so prevalent that a dedicated word exists in France to describe when senior officials move to the private sector for higher salaries: pantouflage.

The Political Environment

The political environment directly affects the functioning of the public service. Partisanship and political patronage are a concern in public service management. Forms of partisanship and political patronage include:

maintaining the political spoil system in state-owned banks, as found in Iceland; misusing public resources as a result of political pressures, as found in Turkey; and appointing people to public offices on the basis of political affiliations.

Situations in which officials return to permanent civil service positions after serving in political positions, such as minister or state secretary, have also caused concerns in countries such as Norway.

The development of a supportive culture, based on agreed-upon values, norms and transparency, plays a crucial role in maintaining a high level of integrity in the public service. In other words, politicians should act as role models of ethical leadership. Public management reforms can also strengthen the boundaries between politics and the strategic management of resources.

The Social Environment

In addition to the previously-mentioned changes in public services management, there has been a substantial increase in society's expectations regarding public servants' behaviour and performance. The public has become more conscious of ethical issues and dilemmas. In countries such as Australia, Canada and the United States, the private sector has also become more aware of ethical questions and has looked to the public service to help enforce expected behaviour.

In some cases, however, traditional social values may conflict with the principles of a modern merit-based public service. For example, the traditional value of assisting family and friends is now negatively labelled nepotism in most countries.

Countries in transition have to face rapidly changing political, social and economic environments. These changing environments ultimately transform fundamental social values, legislative frameworks, and the make-up of institutions. Unfortunately, all of these

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changes contribute to uncertainty about expected behaviour in the public service.

Models for Ethics:

Governments take two general approaches to the task of improving ethical conduct in the public service.

One approach focuses on strict compliance with descriptive administrative procedures, control mechanisms and detailed rules which define what public servants should avoid, what they should do, and how they should do it. This is known as compliance- based ethics management.

The other approach, based on aspirations, relies on incentives and encourages good behaviour rather than policing and punishing errors and wrongdoing. This approach is termed as integrity-based ethics management. However, international trends in ethics management reveal common directions despite the varying political, administrative and cultural diversity across countries.

The areas of greatest concern to governments are those where the private sector comes into contact with public officials exercising discretion. The most common measures employed against corruption in the public sector include criminal and other legal sanctions, increasingly supplemented by greater transparency (conflict of interests regulation and disclosure policy) and control. Methods for evaluating the effectiveness of anti-corruption measures are less well-defined and largely take the form of reporting or periodic inspection.

Question

You chair the planning committee in your community. An American NGO has offered to build a new hospital in your community to serve an area with a population of 10,000 people. The site on which they propose to build the hospital is not part of any municipal water system, nor does it have access to the local power grid. What ethical questions do you need to ask in making your decision about whether or not to accept this offer?

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Water and Health - Human Rights and Social Justice

Human Rights

All human beings are born free and equal in dignity and rights. They are endowed with reason and conscience and should act towards one another in a spirit of brotherhood. (UN Declaration of Human Rights, 1945)

Human rights are rights inherent to all human beings, whatever our nationality, place of residence, sex, national or ethnic origin, colour, religion, language, or any other status. We are all equally entitled to our human rights without discrimination. These rights are all interrelated, interdependent and indivisible. (http://www.ohchr.org/en/issues/pages/whatarehumanrights.aspx). (Internet Access Required)

By their very nature human rights are: universal and inalienable; interdependent and indivisible; equal and non-discriminatory; both rights and obligations.

Water as a Human Right

Water is a source of life and required to fulfil other basic human needs (e.g. personal hygiene, food preparation). Everyone is entitled to sufficient, safe, affordable, culturally acceptable, physically accessible water delivered in participatory non-discriminatory manner.

Water right: an expression of agreement about the legitimacy of the right-holder’s claim to water which must exist within the group of claimants and also be recognized by those excluded from its use.

The legitimacy of claims is linked to different social relations of power and authority (e.g. state legislation, local rules established by traditions and community organizations, etc. Increasing accountability of public and private sector through legally binding obligations.

Water as a Human Right

Given that water is a source of life and required to fulfil other basic human needs (e.g. personal hygiene, food preparation) it is argued that the right to water and sanitation should be fundamentally considered a human right of which people are entitled, enshrined in law and national constitutions (de Albuquerque, 2012; Boyd, 2011).

This would entitle everyone to water that is:

· Sufficient in quantity (estimates vary anywhere from 50-100 litres/per capita/day

· Safe (e.g. based on water quality guidelines by the World Health Organization)

· Affordable

· Culturally acceptable

· Physically accessible (e.g. issues of personal security for women, accessible for those with disabilities)

· Delivered in a participatory, accountable, transparent, non-discriminatory manner

(Adeel, 2012; de Albuquerque, 2012)

Benefits of treating water as a human right include:

· Providing a legal framework for holding States accountable for delivering these services

· Assisting in clarifying how and where financial and water resources should be prioritized internationally and nationally

· Enhancing access to information and public participation in decision-making

· Empowering marginalized citizens, communities and groups to be better represented in decision-making (e.g. women, ethnic and racial minorities, children, slum dwellers, those with disabilities)

· Preventing systematic discrimination

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· Enabling methods of recourse when rights are denied

· Increasing accountability of public and private sector through legally binding obligations, enhanced enforcement, etc.

(Adeel, 2012; Boyd, 2011)

International Progress & Role of International Law

Catarina de Albuquerque was appointed by the United Nations Human Rights Council in September, 2008 to serve as the first UN Special Rapporteur on the right to safe drinking water and sanitation. She was charged with the task of defining, identifying, analyzing and reporting good practices on the implementation of the rights to water and sanitation which culminated in a book “On the Right Track” released in 2012. Much of what is summarized in the following sections is attributed to her work.

All human rights can be traced back to the Universal Declaration of Human Rights (UDHR), adopted in 1948 by the United Nations General Assembly.

Universal Declaration of Human Rights:

Has no independent legally binding force

States general human rights principles and standards

Was followed by the adoption of two Conventions dealing with specific groups of rights

International Covenant on Civil and Political Rights (ICCPR) (1966)

International Covenant on Economic, Social and Cultural Rights (ICESCR) (1966)

Collectively the UDHR, the ICCPR and the ICESCR with their optional protocols form the International Bill of Human Rights

United Nations General Assembly and the Human Rights Council as well as independent expert committees in charge of monitoring compliance by state parties have defined human rights in more detail and specificity over time

International human rights law now more protective of specific individuals and groups and covers a wider range of issues

When the UN Declaration of Human Rights was first adopted in 1948 the human right to water and sanitation was not explicitly included in its text. As de Albuquerque (2012) explains this must be understood in the context of the world at that time:

Colonialism was widespread

Many countries lacking access to water and sanitation were not represented at the negotiating table

Civil society was less politically engaged

Countries were less urbanized (i.e. lack of water and sanitation in urban areas was not as major of an issue as it is now)

However, over the second half of the twentieth century water and sanitation crises and related health and economic consequences became far more evident garnering the attention of the human rights community. Consequently several of the more recent international human rights treaties and agreements make explicit reference to the importance of water and/or sanitation in realising human rights including:

Convention on the Elimination of All Forms of Discrimination Against Women (CEDAW) (1979)

Convention on the Rights of the Child (CRC) (1990)

Declaration on the Rights of Indigenous Peoples (2007)

Convention on the Rights of Persons with Disabilities (CRPD) (2008)

Additionally in 2002, the Committee for Economic, Social and Cultural Rights, the body responsible for monitoring State compliance

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with the ICESCR, adopted General Comment No. 15 on the right to water. General comments are authoritative interpretations that clarify the content of rights and used in the monitoring of States parties’ compliance. General Comment No. 15 found that the right to water is implicitly included in the right to an adequate standard of living, right to adequate housing, right to the highest attainable standard of health, and the right to life. The recognition of water and sanitation as human rights was re-affirmed by the UN General Assembly’s Resolution 64/292 in July 2010, and by the Human Rights Council’s Resolution 18/1 in September 2010 (de Albuquerque, 2012; Adeel, 2012).

International law, conventions and agreements serve many functions and are important for the following reasons:

Provide a framework of rules and standards that facilitate international cooperation

Serve as a basis for governments to monitor one another

Provide a framework for assessing national legislation by exposing gaps between national and international standards

Provide a guide for governance reforms

Serve as a tool for rights-holders and civil society groups to hold their governments accountable by providing a legal context to demand change (e.g. can serve as legal arguments before court proceedings)

(Water Governance Facility, nd)

National Law & Progress

While international support for water and sanitation rights is essential, the actual realization and implementation of these rights is dependent upon nation-states. State parties must not only explicitly recognize these rights through ratifying international treaties, but incorporate their principles into domestic legal systems, national constitutions and policy (de Albuquerque, 2012)

National Level Recognition of the Right to Water

Countries with existing constitutional protection: Dominican Republic, Kenya, South Africa, Uruguay, Democratic Republic of Congo, Bolivia, Ecuador, Kenya, The Maldives, Nicaragua, South Africa, Uruguay. Countries with legal system upholding the right to water: Argentina, Belgium, Brazil, Costa Rica, Colombia, India, Indonesia, Israel, Nepal, Pakistan

Many countries recognize the ‘right to water’ in national legislation or policy: Algeria, Angola, Argentina, Bangladesh, Belarus, Belgium, Brazil, Burkina Faso, Cameroon, Central African Republic, Costa Rica, Dominican Republic, Finland, France, Germany, Ghana, Guatemala, Guinea, Honduras, Indonesia, Latvia, Luxembourg, Madagascar, Mauritania, Namibia, the Netherlands, Norway, Paraguay, Peru, Portugal, Romania, Russia, Senegal, Spain, Sri Lanka, Tanzania, Ukraine, and Venezuela

(Source: Adapted from Adeel, 2012, with de Albequerque, 2012)

Many other actors (e.g. donor states, international agencies, NGOs, development banks, private enterprises, civil society, etc.) can assist the state in achieving their goals of universal water access through various means (e.g. financial aid, research and expertise, enhancing planning and management capacity, monitoring, etc.). However the State is responsible for ensuring necessary political will and an enabling environment for the delivery of services. It does not necessarily have to provide the services but it must make provision for acceptable water to be delivered in an accessible, affordable, and equitable fashion through public, private, or mixed means (2012).

The right to water and sanitation is subject to the principle of “progressive realization”, which means that states must take concrete and targeted steps to meet their treaty obligations, while recognizing that full realization is a long-term process shaped by technical, economic and political constraints (de Albequerque, 2012).

de Albequerque (2012) concludes that the strongest domestic legal frameworks typically exist within countries where explicit recognition of the right to water is mentioned within the national constitution (the principal legal instrument describing the relationship between the State and citizens, and the roles and responsibilities of each). Recognition at this level provides a critical reference point for policymakers, government ministries, judicial bodies and civil society. It also assists in making governments and other important actors more accountable. Statutory frameworks serve as the foundation for new policy initiatives and regulatory entities whether independent bodies or government ministries responsible for designing, monitoring and enforcing standards, rules and regulations.

Key elements of legislation include:

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A policy statement outlining key principles, short and long-term objectives

The identification of key agencies, institutional roles, functions and responsibilities

Targets or guidelines regarding water quality and quantity

Timelines for implementation of objectives

Requirements for reporting, monitoring, surveillance and data access

Enforcement powers and penalties for violation, etc.

In addition to legislation specifically related to the water sector, broader accountability mechanisms such as transparency laws and freedom of information laws are also important for ensuring integrity and policies that do not result in direct or indirect discrimination or privileging of certain groups over others. The Water Governance Facility suggests that such mechanisms be coupled with the empowerment of government ombudsmen or other independent bodies responsible for auditing and preventing corruption and mismanagement (nd). National and international watchdogs and NGOs can also play an important role in facilitating access to information and building public awareness around rights and entitlements particularly for marginalized groups.

Critique and Implementation Challenges

One of the biggest critiques of “rights talk” is that declaring water as a human right does not equate to practical changes on the ground (Adeel, 2012). Even in some circumstances where it is enshrined in national constitution, inequities in water distribution and provision can persist (Bakker, 2007). Challenges and critiques towards the implementation of a human rights framework are vast and include:

Insufficient political prioritization or conflict with other development and economic priorities

Lack of good governance

accountability for commitments,

transparent, participatory budgeting, contracting, decision-making

sufficient or predictable financing, institutional support and human resources particularly over the long term (e.g. for policy development, participatory processes, information generation, infrastructure construction, operation, maintenance, regulation, monitoring, evaluation, etc.)

sufficient advocacy

minimal corruption, monopolies, or conflicts of interest

Water scarcity (which may worsen with climate change)

Increases in demand

Great difficulty in regulating, monitoring and providing services to “informal” settlements or slums, and/or unwillingness over fear of encouraging illegal land occupation

Can complicate implementation of rational pricing or accounting of ecological externalities (could result in greater degradation of hydrological systems)

(Adeel, 2012; de Albequerque, 2012; Bakker, 2007)

Measuring and Facilitating Good Governance (The Urban Governance Index)

The Urban Governance Index (UGI) is a transnational initiative developed by the Global Campaign on Urban Governance, the Global Urban Observatory and UN-HABITAT to measure, support and improve the quality of inclusive local governance. It is a self-assessment and capacity-building tool aimed at assisting with gathering information and initiating multi-stakeholder debate on policy, development and decision-making priorities. The UGI has been adapted and applied in 24 cities across the world in several different countries, including Somalia, Sri Lanka, Zimbabwe and Mongolia. The Index criteria and variables seek to identify

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· Urban decision-making processes and mechanisms,

· The methods and institutions through which stakeholders voice their claims and rights, deliberate, negotiate, set commitments and targets

· Quality of relationships between key stakeholders

· Instruments for improving equity, etc.

For more information see: http://www.unhabitat.org/content.asp?typeid=19&catid=25&cid=2167 (Internet Access Required)

The Urban Governance Index (UGI) (Taylor, 2006)

Social Justice – Equity and Equality

Equity describes access to just, impartial, and fair social benefits and responsibilities. Resources are supplied based on need. Minimally, social equality includes legal and property rights and access to social goods and services. It may include health and economic resources as well as access to opportunities and the burden of obligations.

Equality describes sameness – that everyone, regardless of need, has access to the same social benefits and responsibilities.

Social Justice describes policies and practices that are both equitable and equal. Because of their extraordinary circumstances, social justice enhances the circumstances of the poor, women, children, and those with disabilities. It attempts to rebalance the distribution of goods and services to give people with structural disadvantages more opportunity to lead health, happy, fulfilling lives protected by the social contracts of law and resource redistribution – “to level the playing field”.

Challenges of Pluralist Governance

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Pluralism argues that power is spread among many different groups within society that bargain, compete and compromise to shape policy and decision-making so that no one set of interests dominates or controls all governance processes and decisions. Legal pluralism refers to multiple legal systems within one geographic area

· As scales and trends of governance and relationships of power shift, state and customary laws, norms and codes of conduct come to exist side by side, often in contradiction with one another

· The world banking and donor community and many central governments favour uniform laws that uphold private enterprise, market logic, and deregulation. Diverse community-based approaches can be seen as a threat or obstruction to inter-regional or international transfers and trade, private investments and profits

· Indigenous, peasant and other community-based groups may view imposed uniformity as a threat to their traditional systems of management and customary codes of conduct thereby favouring locally-specific water rules and rights

· Indigenous and peasant communities and unique system of governance practices have been overlooked within globalizing water development agendas

· Legislation has been introduced without consideration of historical heritage, local knowledge, systems of management, and different social and ecological contexts

· In the past decade indigenous and other local community movements have adopted new strategies for gaining power to compete with large private and state interests through linking local protests to others unfolding nationally and internationally (see: “Water Law and Indigenous Rights, (WALIR) program, http://www.cepal.org/drni/proyectos/walir/doc/walir1.pdf ) (Internet Access Required)

"We live in a system that espouses merit, equality, and a level playing field, but exalts those with wealth, power, and celebrity, however gained." (Bell, 2002) Question

As the head of and NGO you discover that the majority of girls in your community are leaving primary school when they are 11 years old. The school does not have a reliable supply of water and the children use an old bush latrine as a toilet. The Ministry of Education demands to know why this is happening in your district and not in another adjacent district where the school has both well water and upgraded latrine facilities. Why do you consider this to be an important issue in your community and what issues will you explore in trying to find out why this is happening?

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WATER AND HEALTH - WAYS OF KNOWING

Introduction of Key Concepts & Justification of their Importance

Given the many different, and often conflicting objectives, values and priorities of water governance many controversies are closely related to the discrepancies in knowledge that different actors possess and mobilize to support their positions (Van Buuren, 2009). The ways in which actors advocate and defend their positions is highly dependent upon their knowledge and what they define as legitimate, relevant and credible (or not) (Edge & Eyles, in press). Knowledge discrepancies can result in various forms of conflict and fragmentation in governance processes due to differences in actors’ underlying epistemologies or “ways of knowing” (Van Buuren, 2009).

Thus managing and integrating knowledge, and enhancing different stakeholders’ awareness of how others “know about” and make sense of water problems is integral to reducing controversy within collaborative governance. Solutions to water problems require new ways of knowing that forge coherence amongst multiple claimants (Lejano & Ingram, 2009).

Epistemology: the study of the nature and scope of knowledge, meaning and understanding, including what knowledge is acquired and how this relates to beliefs, and justifies notions of “truth”

Within academic literature scholars often refer to different “ways of knowing”. Epistemology/ways of knowing shape:

· How a policy problem is experienced

· How governance stakeholders investigate and interpret the elements of a policy problem

· How stakeholders make sense of important relationships within a policy problem

· Which and whose “facts” are deemed valid and relevant

· How a problem is acted upon and solutions devised

· Which relationships and institutional arrangements actors develop and maintain

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· How human, social, financial and institutional resources are organized and mobilized

(Lejano & Ingram, 2009; Van Buuren, 2009).

Knowledge and experience are constructed within the context of societal networks, power relations, material and historical contexts. As a constructor and valuator of ‘truth’ and ‘reality’, knowledge becomes a fundamental tool of power (Pedynowski, 2003). While power is dependent on and makes use of knowledge, it also (re)creates, legitimates and shapes knowledge through the very actors, organizations and institutions through which it is exercised (Edge, 2012).

Those with the greatest competence, expertise, and status are afforded additional rights when creating a body of knowledge or evidence-base to guide policy and decision-making. This is not necessarily a product of the individuals themselves, but stems from greater acknowledgement given to particular social positions that are constituted as powerful.

Command and control, regulatory-based approaches to governance typically place greatest value on scientific and positivist ways of knowing and modes of reasoning (e.g. statistical probabilities, predictive modeling, causal explanations, top-down expert judgments).

Scientific knowledge sources are often characterized as objective, rational, “untainted” by politics and ideology, and therefore most appropriate for guiding best practices and policy (Doern & Reed, 2000; Fischer, 2005).

Nevertheless, sole reliance on scientific epistemologies and exclusive interpretation by “experts” is increasingly contested due to:

· public distrust in governments and experts,

· recognition that science itself is socially influenced,

· conflicting viewpoints amongst experts, stakeholders, decision-makers and lay communities with respect to the quality and accuracy of scientific data, appropriate methodologies for addressing and measuring problems, and how to evaluate evidence and interpret policy implications

· controversy over who should be burdened by, or benefit from, uncertainties;

· concerns that in many cases reductionist science has facilitated technological advancements and modes of economic production that have produced rapid and unsustainable environmental transformations

(Edge & Eyles, in press; Norgaard et al, 2009; Eden et al, 2006; Driedger & Eyles, 2003).

Consequently in many contexts deliberation over scientific factors is opening up to a wider range of players through multi- stakeholder engagement and consultation processes. At the same time, other ways of knowing including traditional and indigenous ecological knowledge, experiential community-based or lay perspectives, cultural knowledge, and NGO science have gained greater attention with varying degrees of recognition and legitimacy afforded. Hence “evidence” and certainty is no longer derived by scientists alone but constructed through processes of joint fact-finding and negotiated knowledge (Van Buuren, 2009).

“Ways of knowing” and the knowledge informing decision-making are always in flux particularly when governance actors interact with one another and encounter each other’s different worldviews, including underlying supportive information, logic and rationales (Lejano & Ingram, 2009).

Paying attention to knowledge, power, and different ways of knowing allows us to question who develops a particular knowledge claim, what conditions enable such development, who benefits from its acceptance, and who is able to build upon this acceptance in order to further claims of their own (Edge, 2012; McCarthy, 2007).

With effective collaborative processes new and hybrid ways of knowing that appeal to the different beliefs, values and objectives of different actors can be constructed and negotiated.

The Co-Evolution of Knowledge, Governance, and Environmental/Water Conditions

The state of knowledge, governance, water use and sustainability is a co-evolutionary phenomenon. The following dynamics transform simultaneously and mutually influence one another (see Figure 5):

a) Science and other types of knowledge acquired to inform policy

b) Governance processes, rules, structures and societal interactions guiding decisions

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c) Environmental conditions

Water problems are extremely complex and therefore experts, stakeholders and decision-makers grappling with these problems tend to focus on certain social and ecological interactions and other factors of importance, while ignoring others (that may be equally important) (Norgaard et al, 2009).

It is important to reflect upon the role of research and knowledge in informing collective actions and the governance process (Hattingh et al, 2007). This includes how “we” as researchers, practitioners, decision-makers and organizational networks ask questions, organize data and information, pay attention to particular relationships at the exclusion of others, etc. This is interwoven with prevailing political objectives, patterns of social and economic organization, who and which ways of knowing are most dominant and/or accepted at any given time, and the availability of resources, data and technology to stakeholders and decision- makers.

As Norgaard et al (2009) summarize science and governance inquiries can only describe the aspects of the environment on which they focus, and this focus reflects prevailing values and concerns. The way in which water and other aspects of the environment change is interdependent with how stakeholders perceive, analyze and respond through governance initiatives.

At the same time, environmental conditions themselves (e.g. water scarcity, quality, hydro-climatic variability, etc.) shape the “stakes” and context within which political actors operate, determining what they value, become most concerned about, and hence what information they focus on and draw from.

Different Types of Knowledge Needed for Water Governance & Management

Awareness is growing about the different kinds of information, “ways of knowing”, and learning needed for addressing water resource dilemmas. Examples include:

Knowledge about the Earth’s life support systems, ecological services, natural and biophysical processes

Knowledge about the effects and nature of anthropogenic activities and sustainable alternatives

Knowing when and how to intervene, and how to utilize and develop supporting institutions, rule systems, and legislation

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Knowing how to manage projects, human and financial resources

Knowing how to facilitate multi-stakeholder negotiations, conflict resolution and consensus-building

(Blackmore, 2007)

Pahl-Wostl et al (2007) distinguish between a) knowledge associated with acquiring, processing and applying “factual information”; and b) knowledge associated with solving management and social relations problems. Van Buuren (2009) speaks of knowing “what” (reality judgments), “why” (value judgments), and “how” (action judgments), which require quests for certainty, consensus, and competence.

Scientists from different disciplines and multiple stakeholders are increasingly coming together to better understand each other’s vantage point and unique contribution through integrated knowledge production and governance processes. Each has their own body of knowledge, way of knowing, values and beliefs about what is important and relevant. Through working together they are able to challenge their own assumptions and collectively make judgments about water resource and ecological systems in ways that no group would be able to do individually (Norgaard et al, 2009). Many refer to these processes as practices of “social learning”.

Social Learning & Collaborative Governance

Several key characteristics and goals of social learning within collaborative natural resource governance have been identified:

Convergence of goals, criteria and knowledge amongst governance actors and stakeholders

Development of accurate mutual expectations

Building relations of trust and respect for each other’s knowledge contributions & perspectives

Becoming more conscious of the embedded assumptions and presumed certainties associated with different groups of actors and ways of knowing

Collaborative engagement in joint fact finding, participatory interpretation, consensus building, and collective decision-making

Co-creation of new and hybrid knowledge to better understand issues and practices

Changes in behaviours, norms and procedures through creation of new understanding

Learning from and adapting to past experiences

(Blackmore, 2007; Pahl-Wostl, 2007; Norgaard et al, 2009; Van Buuren, 2009)

Each perspective and “way of knowing” develops new and added meaning upon interaction with the different perspectives of others. New meanings or “higher level” ways of knowing are created through discursive dialogue, translation and exchange (Lejano & Ingram, 2009). This must occur at the individual, organizational, and institutional level (Van Buuren, 2009).

The legitimacy of a governance process and organizational framework is in large part dependent upon the extent to which a plurality of interpretations are recognized through processes that enable inclusive and equitable dialogue, interaction and knowledge exchange. This is thought to be necessary if a consensus is to be reached on how to define a policy problem, and evaluate factual knowledge to inform interventions (Van Buuren, 2009).

· Centralized decision-making, privatization, rigid bureaucratic systems, poor public access to information, and lack of political transparency have been shown to impede social learning (Pahl-Wostl, 2007)

· Arrangements allowing for stakeholders and policy-makers to work in tandem with experts to get to know one another, discuss research questions, clarify information needs, methodological approaches, interpretations and results facilitate social learning, and the robustness, “convincingness” or “acceptability” of evidence (Van Buuren, 2009)

· Such arrangements are often referred to as boundary organizations or hybrid institutions (Edge & Eyles, in press; Guston, file:///F|/Dropbox/WaterHealthNewFinal/Course4/discussion/WH40M020D005WaysKnow.htm[11/3/2014 7:40:52 PM] WLC Template

2001; Miller, 2001; Bal et al, 2004). An independent facilitator or “knowledge broker” can often play an important role in facilitating processes of mutual learning, negotiation, and self-reflection within boundary arrangements (Van Buuren, 2009; Van Kammen et al, 2006)

· Having leadership dedicated to implementing deliberate and well-considered strategies for facilitating social learning is important for stimulating and influencing other actors. However social learning cannot be enforced or dictated. Governance participants themselves must be committed to the “work” involved in understanding other ways of knowing and overcoming differences which includes a willingness to change their perspectives, share knowledge, and make trade-offs (Van Buuren, 2009; Simms & Loë, 2010).

Questions

1. What does the expression “knowledge is power” mean to you?

2. What are three types of knowledge that someone needs to competent in water governance and management?

3. How is collaborative governance similar to/different from other forms of governance?

4. Under what circumstances would you support a collaborative governance model in relation to water governance?

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GOVERNANCE

Defining Governance

The word governance derives from the Greek verb kubernáo which means to steer and was adopted to denote the mechanisms through which the “steering” of a group or society is achieved.

Governance, therefore, refers to the set of practices, regulatory processes, rule systems, mechanisms of authority, and organizations through which political actors influence: i) policy actions, ii) the allocation of resources, iii) who becomes empowered in decision-making, iv) related outcomes, etc. (Dean, 1999; Lemos & Agrawal, 2006; World Bank, 2006).

Practices of governance are not limited to the actions and conduct of nation-states, but also other institutions and actors (e.g. representatives from governmental, non-governmental, private sector, civil society, scientific organizations, etc.). These governance actors possess different knowledge assumptions, norms, beliefs, and resources which collectively shape their degree of influence over others, and upon policy and decision-making processes.

Introduction & Definition of Water Governance

While many solutions to contemporary water challenges are technological in nature (e.g. improved industrial processes for water conservation, reduction in effluents, etc), many threats are closely associated with institutional and behavioural problems (e.g. fragmented authority, limited capacity, etc.) (Simms & de Loë. 2010). Changes in human activities, values, conduct and behaviour are required leading to the widespread belief that solutions to threats to water quality and availability are largely contingent upon the creation and implementation of innovative, effective, equitable and improved governance strategies (Water Governance Facility, nd).

Ultimately water governance determines who gets water, when and how. The study and practice of water governance is therefore concerned with the social, political and economic processes and institutions through which societies are organized to make decisions and take actions to accomplish goals that affect water resources and how societies interact with them (Simms & de Loë, 2010; Water Governance Facility, nd; Pahl-Wostl et al, 2007)

The utility of an analysis of governance lies in its ability to explain:

i. the type of authority or agency involved in shaping societal behaviours and attitudes

ii. the forms of knowledge and techniques depended upon for decision justification

iii. how governed ‘entities’ are conceived

iv. the value intentions underlying political objectives; and

v. the consequences that arise from resulting decisions (Edge, 2012; Dean, 1999).

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Paradigm Shifts & Changing Trends in Governance Theory and Practice

Water as a Challenging Resource for Governance

Water is a particularly challenging resource for governance, in large part due to the fact that it is not confined to political jurisdictions and administrative boundaries. Allocating water within jurisdictions is extremely challenging. However, governing water across jurisdictions adds another level of complexity. Challenges include inconsistent rules and laws; unclear conflict resolution processes; ambiguity regarding which levels of government, and which groups outside of government, should be involved in decision-making; and uncertainty regarding the appropriate geographical space or scale in which governance should occur (de Loë, 2009; Simms & de Loë, 2010). Water is also used and valued in different and often incompatible ways (e.g. life-source for humans and ecosystems, industrial and agricultural inputs, spiritual importance, etc.) (Feitelson, 2012). Water supplies are difficult to estimate and manage due to natural variability and impacts from climate change.

Changing Trends, Actors, Processes & Sources of Influence in Water Governance

There is a significant paradigm shift occurring globally with respect to the ways in which governance is conceived, characterized and conducted for natural resources generally, and water resources specifically. Until recently management and decision-making authority was generally the exclusive task of state governments and state-sponsored technical experts through what is often referred to as top-down “command and control” management and regulation (Holley et al, 2012; Simms & de Loë, 2010).

Command and control:

Governance activities largely based on the assumption that water resources could be predicted and controlled through legislation by establishing prescriptive standards and environmental targets (e.g. effluent and emission standards)

Governments attempt to monitor compliance and impose penalties when standards are violated (Holley et al, 2012; Pahl- Wostl et al, 2007)

Proven to be very effective in some jurisdictions, particularly with respect to regulating large industries and reducing severe environmental degradation

However state-centered approaches to managing domestic, transboundary and international environmental resources face serious limitations. Examples identified include:

i. an inability to predict and control complex, large-scale environmental systems

ii. jurisdictional fragmentation or lack of fit between political and ecological boundaries

iii. lack of sensitivity for local conditions

iv. lack of capacity and resources to enforce regulatory compliance

v. lack of consideration for the interests of marginalized populations

(see Holley et al, 2012; Edge & McAllister, 2009; de Loë & Kreutzwiser, 2007; Folke et al, 2005; UNWWAP, 2003).

Lemos & Agrawal (2006) discuss how the globalization of political-economic systems has profoundly impacted the use and governance of water. The integration of trade and economic systems has increased consumer demand, intensifying production and the depletion of natural resources. In many instances globalization has encouraged a “race to the bottom” as corporations and capital investments move to locations with less stringent environmental standards, and free trade regimes provide inadequate environmental provisions and protective legislation. Nevertheless, globalization also creates positive opportunities for environmental governance and equity through the creation of new social movements, trans-national networks of advocates, NGOs, environmental experts and organizations dedicated to improving environmental governance, as well as the transfer of more efficient technologies and the free flow of information (Lemos & Agrawal, 2006).

While governments continue to be dominant actors in water governance, it is now widely accepted that states acting alone and relying on traditional command and control tools cannot solve increasingly complex water challenges (Simms & de Loë, 2010). Consequently there have been increased calls for alternatives approaches that are less centralized, autocratic, more participatory and inclusive (Holley et al, 2012). In response a range of local, global, transboundary and non-state actors are increasingly involved in new roles and water governance functions. These actors include NGOs, scientific experts, private corporations, members of civil society, etc. There has also been a shift towards new policy tools and modes of organization including the

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increased use of:

· market-based mechanisms,

· collaborative partnerships,

· multi-stakeholder processes,

· decentralization to more local levels of government,

· community-based initiatives,

· voluntary agreements,

· stewardship arrangements,

· other non-regulatory tools

(Holley et al, 2012; Simms & de Loë, 2010; Edge & McAllister, 2009; McCarthy, 2007; Pahl-Wostl et al, 2007; Lemos & Agrawal, 2006).

As a result the number of potential influences attempting to steer the direction of societal water resource use has greatly increased, as have the “scales” within which power and decision-making authority are exerted and negotiated.

New and emerging modes of governance do not replace or supersede state power or existing national regulatory and legal frameworks. Rather, they represent additional layers of influence interacting with these more ‘established’ modes of authority, resulting in an increasingly complex and tangled web of power (Edge, 2012; Holley et al, 2012; Meadowcroft, 2002).

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WATER GOVERNANCE NEO-LIBERAL AND MARKET BASED MECHANISM

Definitions & Rationales

One of the major shifts unfolding globally is that private companies and market mechanisms have become increasingly relied upon as tools for addressing the world’s water problems.

This involves a suite of potential initiatives including:

Privatization and establishment of private property rights (the transfer of ownership of water resources to private companies)

Private sector partnerships (where water resources are publicly owned but privately operated and managed)

Employing markets as allocation mechanisms

Removal of government subsidies

Instituting user-pays initiatives

Full-cost recovery that incorporates environmental externalities through pricing

(Holley et al, 2012; Ingram, 2008; Bakker, 2007; Bjornlund & McKay, 2002).

Proponents of this governance approach and paradigm argue that environmental and water resources are over-used and degraded due to a failure of markets and societies to value them properly. It is proposed that if they are treated as economic goods and priced at their full economic and environmental costs they will be more efficiently allocated, consumed and conserved (Holley et al, 2012; Ingram, 2008; Bakker, 2007).

Advocates include the World Bank, global financing community, many water professionals, private companies, bilateral aid agencies and many governments. They argue that harnessing the private sector will result in greater efficiencies, and financial and management capacity which is essential for improving the chances of achieving the United Nation’s Millennium Development Goal of universal water supply to an approximate 1 billion people who still lack access to drinking water and more than 2 billion that lack sanitation services (WHO & UNICEF, 2004). It has been estimated that it would cost around $10 billion dollars (US) annually to meet these goals (World Water Council, 2006). Proponents emphasize the lack of success and capacity of governments and aid agencies to achieve these goals and argue that accountability to customers and shareholders is more direct and effective than the accountability of political representatives to citizens (Bakker, 2007).

Markets and privatization are tabled as solutions to ineffective public bureaucracies and entrenched interests that monopolize public subsidies (Ingram, 2008). Those who desire minimal government intervention are often in favour of market-based approaches (Holley et al, 2012).

Proponents argue that the involvement of private enterprises and implementation of market strategies has worked well in a variety of contexts including Colombia, Chile, Brazil and Argentina, Côte d’Ivoire, Senegal and the Philippines (Marin, 2009).

Critique and Opposition

The implementation of market mechanisms and privatization measures has faced a series of challenges and opposition. Firstly, water is a flow resource, cycles through different physical states, and does not stay in one place making it difficult to establish private property rights. Secondly, there is a high degree of public health and environmental impacts or externalities that are difficult to calculate or reflect in water pricing due to

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poorly understood ecological interrelationships, uncertainties, and disputes over how to value aesthetic, symbolic, spiritual and ecological functions (Bakker, 2007). Water is also unique in that it is a non-substitutable resource essential to life. Private enterprise on its own does not provide open public forums in which such value based decisions can be adequately discussed (Ingram, 2008).

There have been expressions of outright rejection of privatization initiatives all over the world. Grievances have centered on:

Affordability and equity issues associated with price increases,

Cut-offs of an essential resource to customers who cannot pay,

Poor transparency,

Exorbitant profits, bribery and corruption

Non-compliance with contractual agreements and failed concessions,

Reduced water quality,

Continuation of access problems,

Lack of focus on issues of sustainability or intergenerational equity (e.g. greater “efficiency” can result in higher rates of use and extraction)

(e.g. Ingram, 2008; De Vos et al, 2006; Prasad, 2006, Barlow & Clarke, 2004).

The World Bank has admitted that foreign investors are only interested in large markets with very limited risk (World Bank, 2005). As a consequence most developing countries have been bypassed by privatization trends, especially in sub-Saharan Africa (Prasad, 2006).

As Figure 1 demonstrates between the period of 1990-2003 Argentina, the Philippines, Malaysia and Chile received the largest volumes of private investment yet they are not countries with the lowest levels of water access, or the poorest of the poor (Prasad, 2006). Similar observations can be made about aid trends, with the largest amounts of Official Development Assistance (ODA) going to China, Egypt, India, Indonesia and Turkey during the same period and therefore not necessarily going to where it is most needed or to the least developed countries (Prasad, 2006). Consequently low income countries or the poorest areas within countries are considered high risk and hence either bypassed for investment altogether, or the private sector draws upon the same sources of funds as the public sector to enable servicing the poor (e.g. subsidies or loans from bilateral and multilateral donors, aid money, etc.) (Prasad, 2006).

From the pro-privatization camp it has been argued that instances of privatization failures are often the result of weaknesses in a country’s regulatory system (Prasad, 2006). However critics charge that given privatization is often touted by proponents as having the greatest potential for improving water governance and management within countries that have a weak and corrupt government, it is unreasonable to expect these same countries to have the regulatory and bureaucratic systems in place necessary for overseeing and monitoring business dealings, contractual implications and obligations (Gleick et al, 2004). This can result in a “gap” between the implementation of neo-liberal projects and the development of legal and administrative institutions capable of overseeing them (Prasad, 2006).

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Bakker (2007) calls for greater analytical precision when critiquing different elements of neo-liberal water reform processes arguing that a wide range of reforms are often over-simplified, assumed to be interchangeable or synonymous when they are not. For example, one may privatize without deregulating, deregulate without marketing, commercialize without privatizing, etc. She has created a typology to assist in distinguishing between different reform types, their characteristics, aims and potential trajectories with the hope of initiating and clarifying deliberations over where, when, and how they may be appropriate or not for particular social, economic, political and cultural contexts (see Table 1).

In summary market-based approaches and privatization initiatives, like command and control approaches, also face serious limitations and are only a partial remedy at best to the challenges of sustainably and equitably governing water (Holley et al, 2012).

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Questions

1. What are the key elements of governance?

2. What are the key elements of water governance?

3. What are three examples of neo-liberal governance mechanisms?

4. How well are they working in your environment? How do you know?

5. Why has water become a market-based economic commodity?

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WATER and HEALTH - Collaborative Approaches

COLLABORATIVE APPROACHES TO WATER GOVERNANCE

Definition & Rationales

Over recent years, particularly over the past decade a new approach, namely “collaborative” environmental governance has become a widespread trend and prime focus in theory and practice around the world at a host of scales.

Collaborative governance: involves diverse state and non-state stakeholders working together, cooperating, deliberating and pooling resources under varying degrees of formality and power sharing to achieve mutually negotiated goals (Lemos & Agrawal, 2006; Ansell & Gash, 2008)

Stakeholders include water users, public or governmental organizations, private enterprises, non-governmental organizations, financiers, and civil society that hope to achieve more collectively than they are able individually

The term “collaborative governance” has been used interchangeably with other terms and processes including “co-management”, “partnerships”, “multi-sector”, “multi-stakeholder” (Simms & de Loë, 2010), and more recently the “new environmental governance” (Holley et al, 2012)

Lemos & Agrawal (2006) speak of three major forms of collaborative governance and offer a simplified typology (see Figure 2). There are co-management arrangements between the state and communities, public-private partnerships involving the state and market actors, and private-social partnerships between market actors and communities. Thus different types of social actors have been experimenting with different types of social and organizational arrangements to facilitate joint action. The precise nature of these arrangements, and related roles and expectations are shaped by specific institutional, cultural, political, socio-economic and ecological contextual factors differentially enabling and constraining what is feasible / desirable.

These new approaches are often labelled as “hybrid” forms of governance, based on the recognition that no single type of actor possesses all the skills, knowledge, and resources required to address the multiple facets, interdependencies, and complexities of water and other environmental resource challenges (Lemos & Agrawal, 2006). Hybrid and collaborative processes are intended to build upon the strengths, knowledge and capacities of each partner.

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Mechanisms & strategies of collaborative environmental governance (Source: Adapted from Lemos & Agrawal, 2006)

For example, private actors may be particularly adept at enhancing the efficient use of resources, community and local voices can provide place specific information and increase the equitability of allocation decisions, while the state may provide the legitimacy and democratic accountability that is often lacking in market-focused instruments (Lemos & Agrawal, 2006).

Given the limitations of top-down, state-driven approaches discussed above, decisions based on limited sources of knowledge and authority are increasingly regarded as ineffective and illegitimate (Backstraand, 2004). The direct involvement of a wider range of actors is thought to foster greater stakeholder ownership and buy-in, and give greater voice to marginalized interests (Holley et al, 2012). Proponents also suggest collaboration is essential in transboundary settings (when water crosses political jurisdictions) in order to build trust, reveal multiple needs and perspectives, and work towards consensus (Simms & de Loë, 2010).

Criticisms & Uncertainties

There are a range of concerns as to whether collaborative processes actually deliver their intended benefits and many implementation challenges have been identified:

Ensuring an equitable and inclusive process

Risk of processes being dominated by most powerfully resourced actors (e.g. industry and commercial interests), or those well placed to influence regulatory decisions (e.g. government bureaucrats or agencies) (Holley et al, 2012). Those with the greatest access to data, expertise and information are more likely to have the most influence in shaping outcomes favourable to their interests (Edge & Eyles, in press). Ensuring an inclusive, equitable process is very difficult, particularly when an issue is imminent, when operating under narrow time constraints, and/or when there are barriers to participation (e.g. need for particular skills or expertise, gender or cultural norms, financial constraints, etc.) (Ingram, 2008).

Building trust and accountability

Particularly difficult when there is a history of distrust or antagonism between parties. Lack of trust can weaken commitment to the process, result in strategies of manipulation or dishonest communication, and perpetuate stereotyping. Efforts to develop trusting relationships, and/or remediate low levels of trust can take a lot of time (Ansell & Gash, 2008).

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Typically very time consuming resulting in high “transaction costs”

Consensus building is particularly time consuming. Requires intensive commitment of human, intellectual, financial resources (Simms & de Loë, 2010).Not necessarily effective when decisions and interventions have to be made and implemented quickly (Ansell & Gash, 2008) or when dealing with urgent and severe problems that could have catastrophic impacts (Lemos & Agrawal, 2006).

Ensuring clarity in roles, expectations and responsibilities

Confusion can arise around leadership responsibilities, who directs the coordination of collaborative efforts, and what information is drawn upon to inform that direction (van Lieshout et al, 2011). Becomes more complex when new relationships and roles are being formed as societies shift away from command and control approaches (requires time and experiential learning). Uncertainty over the extent to which new actors have requisite capacities and autonomy to carry out emergent roles, responsibilities and objectives (de Loë, et al, 2002). Clarity essential for accountability, consequences must be in place formally and informally that are linked to outcomes and performance (e.g. legal, financial, reputation, public support) (Simms & de Loë, 2010).

(Re)defining legitimacy

Legitimacy refers to the approval and empowerment of actors, institutions, processes, and policies, by those subject to them (Gearey & Jeffrey, 2006). Legitimacy is conditional, negotiated and re-created through continuous acts of maintenance and contestation (Connelly et al, 2006; Gearey & Jeffrey, 2006). Moving away from exclusive government control potentially undermines fundamental democratic principles such as representation of public interest through formal elections (Connelly et al, 2006). Uncertainties over how to afford power to unelected actors (McCloskey, 2010; Simms & de Loë, 2010), and how to ensure civil society is effectively and equitably represented (Reed, 2010; Borrás and Ejrnæs, 2011).

Ensuring transparency

Information upon which decisions are based and information on how decisions are being made must be equitably accessible to all stakeholders and the public. Legislation upholding freedom of information principles granting public access to information held by the government is essential to ensuring interested parties have methods of recourse when access is denied (particularly important for marginalized groups). Accessibility to official records enables the public and other stakeholders to scrutinize the performance and rationales of different governance actors. Essential for eliminating corruption (Water Governance Facility, nd).

Uncertainty over whether new collaborative approaches are resulting in improved water and environmental outcomes

Most evaluations of collaborative arrangements focus on process and social outcomes (e.g. ability to arrive at decisions, stakeholder’s satisfaction with process), and not environmental outcomes (Ansell & Gash, 2008; Simms & de Loë, 2010; Holley et al, 2012).

Based on a meta-analysis of 137 studies of collaborative governance Ansell & Gash (2008) provide a model of collaborative governance (see Figure 3). This model identifies a range of “contingent conditions” or factors that facilitate or discourage successful collaboration. The model assists scholars, practitioners and stakeholders in moving beyond deeming collaborative governance as inherently “good” or “bad” by encouraging them to focus on the contextual conditions of specific places that are likely to facilitate or discourage desired outcomes. That is, it assists in identifying and generating dialogue about key challenges and limitations that must be overcome if implementing a collaborative strategy.

At the centre are the collaborative process variables that are viewed as the core of the model. The collaborative process itself is cyclical and iterative. The boxes surrounding the core are seen as critical contributions or contextual factors that shape the collaborative process and outcomes. These include:

i. Starting conditions (e.g. power imbalances, of conflict or cooperation, incentives or constraints to participate)

ii. Institutional design (e.g. inclusiveness, clarity of rules and roles, process, transparency)

iii. Leadership (mediation, facilitation)

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A Model of Collaborative Governance (Source: Ansell & Gash, 2008)

QUESTIONS

1. How is scale of water governance conceived within major policy and legislative documents?

2. How do the language and practices of different governance actors reinforce particular conceptualizations of scale?

3. How do particular notions of scale further the agendas of different interest groups (particularly with respect to health)?

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WATER and HEALTH - Governance & Scale

GOVERNANCE AND SCALE

Social Construction & Politics of Scale

Feitelson & Fischhendler (2009) argue that literature on questions of scale in the context of water is fragmented and identify three major strands that can distinguished according to differences in emphases and the epistemic communities within which they are deliberated.

i. Operational scale

§ Focuses on what is the most “appropriate” scale for analyzing, investigating and governing water in ways that best recognize and address the multiple, interacting facets of water governance (e.g. biophysical and ecological processes, organization of social and political systems and jurisdictions, land-use decision making, socio-economic systems and livelihoods, etc.)

§ In recent years two main directions within this strand have been emphasized including basin/catchment level management as part of IWRM initiatives, and decentralization to community scales to encourage local participation & engagement

§ Tends to pay inadequate attention to discrepancies between “ideal” scales and the scales that are actually implemented in practice

ii. Political scale

§ Largely focuses on the role of political and economic interests and power structures involved in the “social construction” of scale

§ Examines how governance stakeholders strategically endorse particular scales of analysis, governance, management and administration that advance their social, economic interests and benefits from resource utilization

§ Tends to pay inadequate attention to constraints of natural features

iii. International relations

§ Focuses on the international dimensions of water and the implications of imposed scales and boundaries of governance for prospects of cooperation or conflict in managing transboundary resources

§ With emphasis placed on the importance of international relations, the rationales behind various scale options and implications for socio-ecological sustainability can be disregarded

(Feitelson &Fischhendler, 2009)

Scale was traditionally treated as a fixed and nested hierarchy of bounded spaces (e.g., local, national, global). However, due to modern socioeconomic processes, state and non-state networks and societal and political actions are increasingly organizing and unfolding at sub and trans-national spaces (Marston, 2000). Hence the notion of scale as “given” and fixed has been undermined. Scales are not merely arenas containing political activity; rather politics constitute particular scales and spatial relations for action (Mansfield & Haas, 2006).

Scale therefore is increasingly understood as socially constructed, as a way of knowing, navigating and governing the world (Kurtz, 2003). The acts of contesting and institutionalizing the boundaries within which power, policy and management actions are exerted, has become characterized as the “politics of scale” (Edge & Eyles in press; Reed & Bruyneel, 2010; Marston, 2000). Contestation between governance stakeholders at intrastate and international levels often takes the form of a struggle over story lines or narratives that reflect conflicting ideologies and governance paradigms over how water resources should be developed (Feitelson & Fischhendler, 2009).

As a means of examining spatial politics in environmental governance a small but growing number of scholars are focusing on “scale-frames” “or “scalar-narratives” invoked by stakeholders or encoded in legislation and institutions (Edge & Eyles, in press; van Lieshout et al, 2011; McCarthy, 2005; Kurtz, 2003). Some of this work is specifically focused on contested water resources (Dewulf et al, 2011; Harris & Alatout, 2010; Fischhendler & Feitelson, 2005; Sneddon, 2003; Harris, 2002; Swyngedouw, 1999).

· Frames demonstrate how people emphasize certain aspects of a perceived reality in a communicating context so that particular “facts” defining a policy problem, its causes, evaluations and interventions, become accepted by others (Entman, 1993)

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· Scale-frames place particular emphasize on where and how political actors strategically scope or spatially bound policy problems and potential solutions

· Scale-frames elucidate how, where, and why actors draw meaningful linkages between the scale at which a problem is experienced (e.g. body, catchment, ecosystem, community, nation, etc.), and the scale at which it could be analyzed or politically addressed thereby influencing which actors, values, issues and solutions become (de)legitimized

(Edge & Eyles, in press)

Feitelson & Fischhendler (2009) summarize some of the common scalar trends of water acquisition and management. These include the following:

Individualized/household scale -

Often associated with values emphasizing private property rights, minimal role of state, opposition to centralized governance

Community scale

Common when water is not abundant or easily accessible Can lower transaction and infrastructure costs Potential for enhancing sustainability and inter-generational equity of use and distribution

National scale

Centralized, state-driven Coordinated effort and control at this scale became increasingly advocated as water resources faced increasing pressures from population and economic growth

International/Transboundary Scale

Necessary when water resources transcend political and jurisdictional boundaries to ensure consistency in priorities and objectives within legislation, policy and decision-making

River Basin/Catchment Scale

With increased awareness of environmental limits and notions of sustainability there has been an increased advocacy for integrating the governance of water, land use and human activities The Millennium Assessment (2005) convened by the United Nations and conducted by 1360 scientists from 95 countries is the most authoritative scientific study to claim the catchment/basin as the most effective scale for achieving goals of sustainability & integration in governance (Parkes et al, 2010)

Market Scale

Commodification of water has spatial implications Market transactions, capital costs, conveyance costs and ability to pay determine the scale of a water system May exceed both national and basin scales if deemed worthwhile to import and export water across these boundaries

(Feitelson & Fischhendler, 2009)

As trends in water quality and quantity shift, along with prevailing ideologies and relationships of power, so too do prevailing scales of water governance and management. This can result in a complex, multi-scalar web of overlapping and at times conflicting system of initiatives, and spaces of governance (Feitelson & Fischhendler, 2009).

Basins/Catchments as “Ideal” Scales of Governance

River basins/catchments or watersheds (as commonly referred to in North America) are not confined to jurisdictional and administrative boundaries. Scaling governance, planning and management at this level is thought to be more effective through systematically accounting for upstream and downstream activities impacting water within and between multiple jurisdictions within a single forum, (Parkes et al, 2010; Ingram, 2008) thereby harmonizing action across local and regional scales (Simms & de Loë. 2010).

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Attempts to implement basin-wide institutions for governing water appropriation, quality, land use, and infrastructure planning, have been widespread to varying degrees of success. Numerous and longstanding challenges remain raising questions as to whether shifting governance to this scale actually results in better processes and outcomes. Identified shortcomings and criticisms include the following:

A disregard of the physical, social and political heterogeneity of the basin region in an attempt to construct generic solutions and policies.

Infringement upon state and local sovereignty.

Political leaders and constituencies that do not perceive a meaningful relationship to or understanding of basin-level boundaries may feel disengaged from basin level institutions, or their main concerns and loyalties reside elsewhere.

Often fail to engage all relevant stakeholders, or actors who are engaged may lack the capacity to carry out their roles in governance.

Asymmetry between the benefits and high time investments or “transaction costs” of collaborative planning.

Difficulties in establishing or sustaining stable funding streams, technical and human resources, as joint provision can be complex and contentious.

Unable to control forces outside of river basin boundaries.

(Ferreyra et al, 2008; Ingram, 2008; Fischhendler & Feitelson, 2005)

Hence many have cautioned against accepting the basin/catchment scale as a panacea for governance problems, stressing the need for maintaining an open and flexible mind and negotiation process when determining ideal scales for management, administration, governance and decision-making (Fischhendler & Feitelson, 2006; Molden & Douglan, 2002).

Transboundary Water Governance

Given water frequently transcends national and jurisdictional borders, governance and management interventions can become extremely complicated. This is particularly arises from the following:

inconsistent rules, laws, customs and values;

increasing competition or scarcity due to growing populations and consumption;

climatic variability; and

lack of mechanisms or authorities in place for conflict resolution.

Water governance, practices and use patterns in one country often directly impacts another jurisdiction. There are approximately 263 international river basins shared by two or more countries which encompass almost half of the earth’s surface (Wolfe et al, 1999) and 40% of the world’s population (de Loë, 2009). Furthermore, many issues and challenges existing within international transboundary contexts are also relevant to transboundary resources shared between jurisdictions within a country (e.g. provinces, states).

de Loë (2009) conducted a comprehensive literature review of contemporary transboundary water governance literature, and therefore much of what is summarized in this section is attributed to that review. Findings from his review suggest consensus is emerging internationally that cooperative (vs. unilateral) management of shared basins can reduce conflict by:

creating forums for joint identification and negotiation of perspectives and interests revealing new options and solutions strengthening trust and confidence in data through joint fact finding producing decisions that are more likely to be accepted

International Progress in Transboundary Water Governance

Cooperation is largely formalized through treaties and there have been a large number negotiated internationally. More than 3600 treaties were created between 805 AD and 1894 AD, many focusing on navigation (UNFAO, 1984). According to the United

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Nations Environment Program’s Atlas of International Freshwater Agreements approximately 295 agreements were negotiated and signed in the last half of the 20th century with many more created in subsequent years (2002). More recent agreements increasingly address a wider range of concerns including the following:

navigation

apportionment,

maintenance of ecological flows,

infrastructure,

flood control,

irrigation,

hydro-power development,

water quality,

the need for data exchange, joint monitoring and evaluation,

creation of joint decision-making bodies with enforcement powers, and

the importance of including all basin countries

(de Loë, 2009; Giordano & Wolf, 2003).

The effectiveness of transboundary agreements has been mixed. Internationally focus has been placed on developing overarching legal principles through consensus that can be adopted or adapted to transboundary treaty development within specific international watercourses (see Box. 3).

Conventions & Declarations Relating to Transboundary Water Governance

Madrid Declaraton on the International Regulation regarding the Use of International Watercourse for Purposes other than Naviagation (1911)

Helsinki Rules on the Uses of Waters of International Rivers (1966)

Dublin Statement on Water and Sustainable Development (1992)

United Nations Convention on the Law of the Non-Navigational Uses of International Watercourse (1997)

Ministerial Declaration of the Hague on Water Security in the 21st Century (2000)

Source: de Loë, 2009

International initiatives such as the 1997 UN Water Convention endorse a suite of principles including the following:

Equitable participation

Not causing significant harm to other basin states

Cooperation to achieve optimal utilization and protection

Regular exchanges of data and information

Equality among types of uses

( See: de Loë, 2009)

de Loë goes on to explain that additional benchmarks and principles from those which are identified in the UN Water Convention are espoused in contemporary literatures from the fields of transboundary water management, water governance, climate change,

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water security, and international water law. These include an emphasis on:

Integration (e.g. of surface and groundwater, land use planning and water management, diverse water needs, etc.)

Involvement of the public, and private landowners

Shared, collaborative governance involving actors beyond nation-states including NGOs, private sector, local governments, state/provincial governments

Water quality supportive of human and ecological health

Basin-wide perspective

Adaptability and flexibility to accommodate changing conditions and respond to unforeseen circumstances

Mechanisms for dealing with water shortages

Importance of gender equity

(de Loë, 2009)

When a transboundary water agreement is being negotiated the parties involved have to come to a consensus on the most appropriate scale for governance and management. As has been discussed this can be very contentious, despite widespread claims in theory and practice that the basin-wide scale is most effective for facilitating integration and ensuring externalities are accounted for regardless of political boundaries. However as Fischhendler & Feitelson (2005) observe, many transboundary institutions do not operate at the basin-wide scale. Alternatives include a wider supra-basin scale where several basins are negotiated concurrently, as well as reductionist scales where only critical parts of a basin are incorporated into a treaty agreement. This latter option can be appealing when certain players, jurisdictions, or areas that lie within the basin are “troublesome” or resistant within negotiating processes. Their exclusion may be necessary for allowing a transboundary water regime of any kind to be established, and may reduce the political costs of a basin-wide scale of agreement (2005). Nevertheless, this can pose challenges when jurisdictions outside of the imposed scale of governance sharing the same watercourse maintain the legal right to act unilaterally. This can create externalities within the boundary as the hydrological unity of the basin becomes fragmented (2005).

Community-Based Water Governance and Co-Management

Many are cautioning against the promotion and adoption of universal remedies to water governance and management, (e.g. basin- wide or market based prescriptions, etc.). Alternatively, models that are inherently varied and contingent upon “fitting” with and complementing local places, communities, values, capacities and circumstances are being advocated as more appropriate than generic strategies (Ingram, 2008; Bakker, 2007).

There are widespread examples of decentralized, place-based co-management regimes, community-based models of natural, “common-pool” resource management and collective action where users self-organize for governance (Ostrom, 1990; Davidson- Hunt & Berkes, 2010. Specific examples with respect to water include indigenous models of use and management in the Andes (Trawick, 2003; De Vos et al, 2006), and community norms of collective provision of irrigation in Indian “village republics” (Shiva, 2002). In many of these cases community governance actors mobilize around principles of collective identity, moral grounding and equity to challenge management regimes and power imposed from elsewhere (Lach et al, 2005; Ingram, 2008).

Other rationales behind community-based governance alternatives include:

Enhancing participation and accountability by bringing decision-making closer to those most affected by governance decisions

Bringing governance and decision-making to the scale at which impacts of water use and exploitation are generated and consequences felt the most

Assisting in generating more time and place specific knowledge about the state of resources, in addition to cultural, spiritual and other water values and practices

Facilitation of knowledge co-production instead of sole reliance upon top-down transfer of scientific knowledge to citizens (e.g. community monitoring initiatives, citizen science, traditional ecological knowledge, etc.)

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(Ingram, 2008; Bakker, 2007; Pollock & Whitelaw, 2005)

Nevertheless (Bakker, 2007) cautions against romanticising community control over water resources stating activism favouring such an approach often assumes that communities are inherently coherent, with relatively equitable social and political structures despite the fact that inequitable power relations and methods of resource allocation also exist at community scales (e.g. Mehta, 2001). Thus Bakker calls for reforming rather than abolishing centralized governance while also fostering and sharing alternative local models of management (2007).

Questions

1. Do you think that IWRM can be used for integrating water and health? Why? Why not?

2. Many people believe that the governance of water and health should be left in the hands of experts in these fields. If good governance must be participatory, how would you justify or counter the view of expert led governance?

3. Why is ‘scale’ an important concept in water-health governance?

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WATER and HEALTH - Integrated Water Resource Management (IWRM) Overview of Processes

IWRM attempts to integrate the views and processes of:

The hydrologic cycle

Watershed and land use

Economics, social interactions and institutions

While recognizing that some factors external to the watershed have an impact;

Global climate change

Water transfers between watersheds

People movement and other human activities

Atmospheric pollution

The study of the “confluence” of all of the factors can result in a better watershed (or basin level) integrated water resource management planning process.

I Overview of IWRM watershed or basin level

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Integrated Water Resource Management

Seeks to better coordinate the use of land and water, surface and groundwater sources, and up and downstream users to maximize economic and social welfare in an equitable manner without compromising the sustainability of ecosystems and natural resources

Implementation requires:

o enabling legislative and policy environment

o institutional linkages across scales (e.g. catchment, municipal, regional, provincial, national, global) and between private and public partners

o intellectual and technical capacity building

o instruments and resources necessary for gathering and interpreting data, assessing resource availability and needs, and making allocation decisions

o Inclusive and equitable decision-making structures and processes. Catchments and river basins increasingly accepted as ideal scale or context within which to design integrated governance

Importance of also incorporating determinants of health and social well-being into integrative environmental governance frameworks (e.g. “The Watershed Governance Prism”)

o Emphasize interrelationships between ecosystem management, development, and human health

What is Integrated Water Resource Management?

A working definition is: "Integrated water resources management is a process which promotes the coordinated development and

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management of water, land and related resources in order to maximise the resultant economic and social welfare in an equitable manner without compromising the sustainability of vital ecosystems." (Global Water Partnership - Technical Advisory Committee, 2000).

Another definition is:

"IWRM is necessary to combat increasing water scarcity and pollution. Methods include water conservation and reuse, water harvesting, and waste management. An appropriate mix of legislation, pricing policies and enforcement measures is essential to optimise water conservation and protection." (UNDP, 1991)

IWRM has gone beyond the traditional description of the resource and integrating or balancing demand. The concept now embodies:

· Integration across sectors

· Integration of use

· Integration of demand

· Integration with the environment

· Integration with the people

Specialized Skills for IWRM Planning

· To achieve the goals set for IWRM, many different specialists need to contribute their skills. These specialists may not be familiar with, or even sympathetic to, the overall goals.

· An education or training program in IWRM will help convey these goals to a diverse group of professionals and to community members.

"Water resources means water in the broad sense as available for use and susceptible to human interventions. Water can be surface or groundwater, and is characterised by both quantity and quality.

Development and management cover all phases of resources planning, development, use and protection, i.e. assessment, planning, implementation, operation & maintenance, and monitoring & control. They include both combined resource and supply management and demand management. Integrated means development and management of water resources as regards both their use and protection, and considering all sectors and institutions which use and affect water resources (cross-sectoral integration)." - Nordic Freshwater Initiative (Danida,1991)

Canada’s Department of Fisheries and Oceans (Internet Access Required) also studied and observed that IWRM:

Is not an exact science. Rather, it is an approach to environmental management that uses the topographically delineated area drained by a stream as both the physical and analytical boundary of analysis.

Encourages the examination of all biophysical and socio-economic connections such as those that exist among natural resource sectors or those that exist between upstream activities and downstream impacts.

Has a transdisciplinary focus with an emphasis on collaboration among specialists in widely varying disciplines.

Balances social, economic and environmental values with an emphasis on strategic action and targeting issues and tasks that are essential (better management in the face of decreasing financial and human resources).

Recognizes the need to cope with uncertainty and complexity of ecosystems and socio-economic systems.

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IWRM Connections

Integrated water resources planning and management aims to take account of important physical, social, economic and cultural connections within a water resources system. These connections may include:

Physical links between land use and surface and groundwater quantity and quality

Economic links between various, and sometimes competing, water uses

Social links between water development schemes and potential beneficiaries or those adversely affected

Institutional links, both horizontally and vertically, among various formal and non-formal stakeholder institutions.

“IWRM is a challenge to conventional practices, attitudes and professional certainties. It confronts entrenched sectoral interests and requires that the water resource is managed holistically for the benefit of all. No one pretends that meeting the IWRM challenge will be easy but it is vital that a start is made now to avert the burgeoning crisis.” (Global Water Partnership)

IWRM is, above all, a philosophy. As such, it offers a guiding conceptual framework with the goal of sustainable management and development of water resources. IWRM demands that people look at the bigger picture and realize that their actions do not occur independently of the actions of others. It also introduces an element of decentralized democracy into water management by emphasizing stakeholder participation and decision making at the lowest appropriate level.

IWRM Processes

IWRM attempts to integrate the views and processes of:

The hydrologic cycle Watershed and land use Economics, social interactions and institutions

While recognizing that some factors external to the watershed have an impact;

Global climate change Water transfers between watersheds People movement and other human activities Atmospheric pollution

The study of the “confluence” of all of the factors can result in a better watershed (or basin level) integrated water resource management planning process.

IWRM vs. Traditional Resource Management

There are three features that distinguish IWRM from traditional media-based resource management:

1. IWRM is more “bottom up” than “top down” and thus emphasizes capacity building among water users. It is also described as the meeting of top-down and bottom up, as government certainly can have a major role in setting up frameworks to facilitate engagement.

2. IWRM encourages cross-sectoral, interdisciplinary management of water resources. It is integrative across environmental media.

3. IWRM encompasses the management of other activities, such as land use, that affect water resources. It is solution- focused.

Key IWRM principles are:

1. Water source and catchment conservation and protection are essential

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3. Management needs to happen at the most basic appropriate level

4. Capacity building is the key to sustainability

5. Involvement of all stakeholders is required

6. Efficient water use is essential and often an important “source” in itself

7. Water should be treated as having an economic and social value

8. Striking a gender balance is essential

Questions

· What is Integrated Water Resource Management?

· What is IWRM vs. Traditional Resource Management?

· What are Specialized Skills for IWRM Planning

· Describe Past and Present IWRM Efforts - Pertaining to Integrated Water and Health.

· What is the Knowledge Base for IWRM, as it Pertains to Integrated Water and Health?

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WATER and HEALTH - IWRM Key Stakeholders & Potential Partner Q: Do the people involved in this part of the plan have sufficient knowledge to be able to participate effectively?

Methods for Stakeholder Participation

Methods may include:

1. Stakeholder workshops, in which selected stakeholders are invited to discuss water issues. 2. Representation in the management structure for the planning process. 3. Local consultations ‘on the ground’. 4. Surveys. 5. Consultations with collaborating organizations (such as NGOs, academic institutions, etc.).

Types of Stakeholder Participation

Manipulative participation: Participation is only a pretence

Passive participation: People participate by being told what has been decided or has already happened. Information shared belongs only to external professionals

Participation by consultation: People participate by being consulted or by answering questions. No share in decision-making is conceded and professionals are under no obligation to take on board people’s views

Participation for material incentives: People participate in return for food, cash or other material incentives. Local people have no stake in prolonging practices when the incentives end.

Functional participation: Participation is seen by external agencies as a means to achieve project goals, especially reduced cost. People may participate by forming groups to meet predetermined project objectives

Interactive participation: People participate in joint analysis, which leads to action plans and the formation or strengthening of local groups or institutions that determine how available resources are used. Learning methods are used to seek multiple viewpoints.

Self-mobilization: People participate by taking initiatives independently of external institutions. They develop contacts with external institutions for resources and technical advice but retain control over how resources are used.

Potential Partners

Some potential partners and their contributions are:

Mass Media Local Government Agencies

Coverage of watershed events Financial and technical support Human interest stories Policies and decisions that affect the watershed Understanding of local information needs Logistics, equipment, and related support Ability to get information out quickly Data collection and analysis expertise

Landowners & Managers Chambers of Commerce

Trustworthy information sources Compatible, broader goals for local economy Role models Concerns and interests of businesses

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Peer pressure Students Financial Institutions Influence efforts in the future Influence management decisions Time and energy for "repetitive" tasks Links with landowners Prestige for partnership Teachers Funding for programs Influence values and beliefs Agri-businesses & Industries Ability to shape future generations Source of information Distribute information and influence decisions Sponsor field days and demonstrations Women's Groups Donate equipment and services Funding for programs Influence family decisions Interest and concern for health issues Farm Organizations Ability to mobilize and motivate members

Credibility and visibility for programs Religious Leaders Existing communication channels Commitment to stewardship Environmental & Conservation Groups Ability to appeal to higher values Credibility and legitimacy Knowledge of environmental constituencies Awareness of problems and issues Retired persons Committed and knowledgeable memberships Time and talent for teamwork Locally Elected Officials Understanding of local conditions Credibility in community Political leadership and credibility Land use and resource management decisions Civic organizations Financial support for projects Ongoing program activities Interest in and concern for community Fund-raising skills

Some people who live outside the watershed may have an important role to play because they benefit from and/or impact water or other natural resources within the watershed.

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WATER and HEALTH - Demand Side Management ECONOMICS

A brief overview of the elements and key methods of economic analysis and guidance as it pertains to the application of economist tools for valuation of land and water and sustainable environmental management (i.e., restoration and degradation) is provided further on in this Course entitled "Social Perspectives on Water and Health" .

Demand Management: Discussion

Most of us learned in elementary school that water is indestructible and will simply be recycled through the hydrologic cycle. However, water cannot be treated as a perfectly renewable resource. Withdrawals from our watersheds for drinking and industrial water and subsequent wastewater treatment are processes that, at today's scale, have large "unpriced" external effects. There are land use consequences, biological degradation, and water quantity depletion. The amount of water withdrawn from the hydrological cycle is much more than it can replenish, so water cannot be considered infinite and renewable. It is therefore important to consider how to use the price mechanism to reflect the underlying ecological costs. With expansions in water and wastewater capacity posing significant environmental battles in most major metropolitan areas, the need for conservation and planning is greater than ever.

In addition to having until recently been considered an infinite, renewable resource, water was also until recently considered a “public good”. A public good is defined by two characteristics:

1. non-excludability (it is difficult to exclude someone from using the good) and 2. non-rivalness in consumption (one person's enjoyment does not affect another person's enjoyment, up to the point of congestion).

The characteristics of public goods necessitate that government be responsible for them. There are few pure public goods, although many goods and services provided by government exhibit some "publicness" (street lighting, for example). Water and sewage services possess some elements of public goods, but with the recent shift in thinking regarding natural resources and their consumption, they can be described more accurately as “private goods”. The difficulty of today's water allocation problem is due to increased population, periodic drought, depletion of groundwater, degradation of water quality, land use concerns and competition among water users (agriculture, recreation, urban drinking water and industrial use).

It is appropriate to charge for water and sewage services because they possess attributes of a private good. In theory, pricing at marginal cost (that is, charging users the cost of producing one additional unit, rather than charging based on the actual average cost per unit (all production costs divided by the number of units produced)) generates the greatest net gain to society. In practice, however, implementing marginal cost pricing for water and sewerage may be difficult, if not impossible. For example, modifications may be required because of lack of knowledge about customer demand (e.g. because there are no water meters). Under these circumstances, municipalities will have to use an alternative pricing scheme.

Demand - Introduction

The main principle of economics is based on supply and demand theory - as the price increases the demand decreases and as price decreases demand increases. How does one determine the cost/price of water based on demand for water?

Water demand describes the quantity and quality of water that users consume or are expected to consume. It is an important guideline for technical design. For an existing water supply, water demand can be measured or calculated using local data or established norms and standards. These calculations take into account the number and type of users to be served, the anticipated rate of population growth and the expected life span of the infrastructure being provided. The influence of season on water demand must also be considered.

Technical staff rarely consider the influence of price on consumption, except to apply an assumed rule that users are able to afford between 3% and 5% of their income to sustain a basic service. However, there are major difficulties in establishing household income and income may vary significantly from household to household.

In practice, the impact and sustainability of a water supply scheme may be compromised because actual consumption is significantly more (or less) than the anticipated water demand. For example, people may want to use water for a variety of productive uses. This may lead to communal standpipes being "upgraded" with hosepipes. In other cases, households may switch to traditional supplies when water is widely available.

Demand - Definition

After reviewing demand from different perspectives, it is important to come to a common definition of demand. The definition used should satisfy a number of criteria like:

It should reflect how people value improved services, and not be based on external assumptions. It should stress the importance of users making key decisions about the services and service levels they require. It should be applicable to vulnerable groups and individuals (i.e. should include poor and women). It should be practical, with expressions of demand being used as a tool to guide project design.

The investments used to assess demand may consist of natural, economic, financial, human and social services.

Demand can also be defined as:

1. Willingness to pay 2. An expression of human rights

Willingness to Pay

Used in an economic sense, demand is equated with a person's willingness to pay for a specified good or service. Demand expressed in this way is often termed effective demand.

This interpretation of demand implies that improved water supply and sanitation services are economic goods. Many governments in the developing world cannot afford to provide or sustain water and sanitation services without economic support. At the same time, there is strong evidence that many people are prepared to make significant economic contributions to receive services and service levels they desire.

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Willingness to pay is a more reliable measure of demand than one based on an assumed level of affordability, because willingness to pay reflects how people value a service. Various techniques have been developed to measure willingness to pay. These facilitate its use as a practical design tool.

In spite of these arguments, there are legitimate concerns that such an approach may marginalize those least able to express their demands in the way or ways required - poor households and women in particular.

Expression of Human Rights

Many issues are reflected in the rights based approach to development. The international human rights framework includes the right to a standard of living adequate for health and well-being. The Millenium Development Goals relating to water supply include halving the proportion of people who do not have access to affordable safe water by 2015. This can be achieved with access to safe water, adequate sanitation and an awareness of the associated health and hygiene issues.

It is debatable whether basic rights, such as access to safe water and sanitation, should be paid for by government (i.e. financed through cross subsidy or taxation) or paid for directly by the individual concerned. The principles endorsed at the 1992 International Conference on Water and the Environment in Dublin require that affordable water and sanitation services be provided as a human right. The 4th Dublin principle is: "Water has an economic value in all its competing uses and should be seen as an economic good. However, it is recognized that within this principle, it is vital to recognize the basic right of all human beings to have access to clean water and sanitation at affordable price".

Since Dublin, the human rights agenda has advanced. While access to basic services remains a concern, attention is now focused on how this can be achieved and in particular, how poor people can be engaged in development processes that affect their lives. In this context, it is important to note that human rights include the right to continuous improvements to living conditions and livelihood. Water and sanitation projects should be designed accordingly, underlining the importance of upgradeable levels of service.

Factors

Demand for water supply and sanitation is determined by a range of factors shaped by individual priorities and perceptions as seen in the following figure:

Most individual demand is expressed at the household level. Demand responsive projects should therefore focus on households. Inevitably, solutions may have to be negotiated at the community or neighbourhood level, implying the need for collective decision making and skilled negotiation.

Information on the demand for water suggests the following:

Water systems are designed to meet individual demand for potable water and demand for fire fighting. Fire fighting can impose a significant demand for capacity, especially in smaller municipalities. Residential demand for water depends on a number of factors including the price of water, size of lot, income of household, and climatic conditions. Industrial demand for water depends on the type of business activity and the production techniques employed. The extent to which a change in quantity demanded is sensitive to a price change is called price elasicity. Price elasticity shows that residential water demand is relatively insensitive to price changes. Industrial demand is more price-sensitive. This information is useful for municipalities contemplating changes in the price of water and future capital investment. Municipalities that have water meters consume less water per capita than those that are not metered. Furthermore, meters are necessary if municipalities are to introduce volumetric prices.

It is sometimes assumed that users will automatically want the cheapest level of service offered. In fact, there is strong evidence that suggests that many people want, and are willing to pay for, higher levels of service.

Information on supply suggests the following:

Water supply is capital intensive. The cost of building modern water systems is approximately $4,000 per capita (not including sewage), making water systems significantly more capital intensive than other utilities. There are annual operating and maintenance costs and on-going administrative costs that need to be recovered if the water system is to be sustainable over the long term. It is important to note that minimizing costs does not simply mean lowering operating costs. For maximum efficiency, both capital and operating costs need to be minimized. This needs to be done without compromising the quality and quantity of production.

Municipalities need to know the full cost of providing the service. A complete inventory of infrastructure (including buried infrastructure) and knowledge of the condition

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of these assets is important in order to determine the life expectancy of water systems and the timing or cost of capital investments for renewal or replacement.

User Choices

Demand is met by enabling users to decide the type and form of service they want to receive. To achieve this, a number of potential options must be identified and developed. These should reflect user perceptions and priorities, taking into account opportunities and constraints. This is shown schematically in the following figure.

Relating demand to a service (rather than a level of service) has important consequences. Individually, users should be able to choose the level of service they desire and are prepared to sustain. Collectively, users should be able to determine how resources are allocated, how a service is to be managed, and how contributions are to be made. Once user preference is known, a consensus among users can be negotiated.

Predicting Demand of Improved Services

Having defined demand and how it can be identified, it is important to predict future demand of improved services. This can be done by gathering information on:

The amount of time spent fetching water; the volume used, its quality and where and how it is to be used. The type and size of any associated investment, who is making it and how it is made. Evidence of community meetings to consider how to sustain or improve an existing water supply. Efforts made, individually or collectively, to maintain or upgrade an existing water supply (this includes unauthorized connections and investments in water storage). Efforts made to dispose of (or otherwise manage) excrement. This may be demonstrated by one or two households rather than by the community as a whole. Such "positive deviance" provides project staff with clues as to what may be successful. Efforts made to improve the household and public environment, for example, by keeping the area around the home clear of rubbish. Expenditure on health, related to the treatment of illness associated with inadequate sanitation.

Concepts of Water Demand Management: Discussion

1. Need: The term need refers to the biological imperative of the individual for water. It also takes into account other water's other purposes, such as cooking, washing, etc. 2. Consumption: Consumption refers to the quantity of water used by a consumer(s) in any given time period. It may also specify the quality of water used. Most often it is represented graphically; the vertical axis depicts metres3 per unit of time and the horizontal axis measures the passage of time. 3. Effective demand: Effective demand defines the relationship between the price per unit of a product and the quantity that consumers would be willing to purchase at that price, within a defined time and market. Graphical representation of effective demand has price on the vertical axis and quantity on the horizontal axis. It is interesting to observe how consumers would respond to product price differences. The idea that level of demand responds to price changes is known as price elasticity of demand.

For calculating the price, it is normally assumed that the supply of freshwater services is a monopoly and operates in a free market economy. Some problems with this free market approach are:

The demand curve is for all the water consumed, while the supply curve is only for additional capacity. The demand curve is estimated at the beginning of the financial year, while the supply curve is a planning function of an unspecified year. The catchment monopoly sets what price it chooses, but does not simultaneously determine total volumetric consumption.

Some of the variations suggested to average the cost-based pricing approach are:

target rate of return pricing, full cost pricing, and mark-up pricing.

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Defining Water Conservation

Water conservation in a cost-benefit framework has been defined as "the socially beneficial reduction of water use or water loss". In this context, the use of the term "socially beneficial" implies that there are trade-offs between the benefits and costs of a water management action. In addition, it specifies the beneficiaries of conservation efforts and encompasses the broad range of withdrawal and non-withdrawal uses. This definition of conservation, combined with the concept of demand management, provides a focus for demand management; the aim is to increase social welfare, not to curtail water use per se. In regions where water shortages occur or are threatening, a social objective may in fact be to save water itself. Uncertainties about future needs, the value of keeping development options open, and the benefits of maintaining ecosystems may not be adequately reflected in monetary terms.

Implications and Responses

All of these underlying concepts form the underlying rationale for water demand management. The incentive system of the private market system, if adopted as a working model, suggests new methods allocating water in situations of scarcity. At the same time, this system of allocation should lead to a broader range of alternatives for management decision-making. Conservation concepts suggest a raison d'etre for demand management, namely, to increase social welfare through socially desirable decreases in water use. Finally, and perhaps most vitally, the need to achieve sustainable development suggests a global rationale for demand management.

Techniques Available for Water Demand Management: Discussion

Economic Techniques

Economic techniques rely upon a range of monetary incentives (e.g. rebates, tax credits) and disincentives (e.g., higher prices, penalties, fines) to give users accurate information about the value of water. The aim is to promote better water use practices, to increase conservation and sustainability in water resource use. Realistic water pricing is one of the keys to water demand management and is central to many of its options. Prices send "signals" to both consumers and producers about the economic value of the resource.

Economic techniques for municipal water management focus on using water pricing policies to influence the level of water demand. The effects of pricing on municipal water use vary, depending upon the economic characteristics of water demand. One common indicator of the effect of price on demand is the "price elasticity of demand" for water. Price elasticity of demand measures the impact of changing prices on water demand. It does this by taking the ratio of the percentage change in the quantity of water demanded, and comparing it to the percentage change in price. Elasticity is normally discussed in terms of values between zero and one and values greater than one. An elasticity value in the zero to one range means that the good or service is price inelastic - an increase in price leads to little change in demand. Elasticity values greater than one imply that the changes in demand are more proportional to change in price. Since the demand curve for goods or services is downward sloping to the right, elasticity values are often negative. By convention however, the values are discussed in absolute terms, the demand for water is inelastic over the initial quantity of water used. This means that price change affecting this range of water use will not be very effective in inducing a decrease in water demand. Intuitively, this makes sense because the initial demand for water in, for example, the household is considered essential to the user. Increased water demand occurs as less and less essential uses come about. As water uses become less essential, the price elasticity of demand increases. In fact, some water uses, such as those for lawn and garden areas, have elasticity values greater than one. It is in this range of use where price increases can have substantial impacts on decreasing water demand.

Realistic water pricing, in the sense of recovering the full costs of water infrastructure, including repair, upgrading, and expansion costs, is the key factor in establishing demand management as a major tool in managing water resources.

Structural and Operational Techniques

Structural techniques are those that alter existing structures to achieve better control over water demand. Examples of structural measures include metering, retrofitting, controlling flow, and recycling. Metering, a way of gaining accurate information about the amount of water used, is particularly important because it is the necessary first step in moving toward effective pricing arrangements. Without metering, any attempt at demand-based pricing and demand management will be futile. Structural techniques also include changes in physical practices, such as using native species of plants to reduce sprinkling requirements or improving sprinkling equipment, permitting the application of less water. Operational techniques are actions by water users to modify existing water use procedures to control demand patterns more effectively. They include leakage detection and repair and water use restrictions during periods of water shortages.

Sociopolitical Techniques

In a water demand management context, sociopolitical techniques refer to policy and related measures that can be taken by public agencies to encourage water conservation. Techniques include public awareness campaigns, laws such as building codes and appliance modifications, and government economic policies. These are designed to obtain cooperation from the public in moving toward improved water management practices. Thus, one of the most important techniques in this field is effective public education.

Interrelationship of Techniques

Demand management techniques are often interrelated.

Water Reuse - Reclaimation

Reuse Terms

· Reclaimed water is water that has received at least secondary treatment and basic disinfection and is reused after flowing out of a domestic wastewater treatment facility.

· Reuse is the deliberate application of reclaimed water for a beneficial purpose.

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Image: Water reuse

"Successful efforts to curb per capita invariably include some combination of water-saving technologies, economic incentives, regulations, and consumer education. These measures are mutually reinforcing, and they are most effective when implemented jointly. Higher water rates, for example, encourage consumers to install water saving devices in their homes and apartments and to opt for native landscaping when purchasing a new home. Education is crucial to gain support for conservation, and to make people aware of the easy and cost-effective ways they can save water."

Recommended readings

1. Wastewater re-use - Why bother (http://lnweb18.worldbank.org/ESSD/ardext.nsf/18ByDocName/WastewaterReuseWhyBother/$FILE/DHanrahanWastewaterReuseWhyBother.pdf) (Internet Access Required)

2. Wastewater use in Irrigated Agriculture(http://www.cabi-publishing.org/pdf/Books/0851998232/0851998232.pdf) (Internet Access Required)

3. Reuse of wastewater in Middle East and North Africa (http://lnweb18.worldbank.org/ESSD/ardext.nsf/18ByDocName/ReuseofWastewaterintheMiddleEastandNorthAfrica380KBs/$FILE/ReuseofWastewater_WaterForum.pdf ) (Internet Access Required)

Water demand management attempts to make water development funds cover as many initiatives as possible. Efficiency, in the economic sense, means trying to achieve goals as cheaply as possible in order to meet as many as possible of the competing demands for funding. Making available development funds stretch as far as possible is the fundamental benefit of water demand management. Other benefits to municipalities of water conservation include lower average peak water system loading and significant energy savings. In addition, several benefits occur from the adoption of water demand management in industry. These include:

· Better control over the throughput of water and wastewater systems generated by the need for better accounting,

· Changes in attitudes toward water use as costs begin to show on accounting records,

· Improved technology as research and development expenditures for water handling become profitable,

· Development of new or expanded industries to provide that technology, and

· Revenue generation, for example, from by-product recovery.

Problems with Water Demand Management in Municipalities

The incorporation of the water demand management concept into municipal operations is not without problems, especially during the adjustment period. Water costs are relatively inelastic to demand levels; a reduction in water demand will not lead to a proportional decrease in costs. An effective conservation program needs to increase water rates to meet financial obligations. Depending on the cost of the conservation program, the financial obligations will decrease very little, and may in fact increase. Customers will understandably be displeased to see their efforts rewarded with water bills that don't decrease. This lack of immediate financial reward is a problem that can derail conservation efforts aimed at a longer-term benefit. Emergency or short-term conservation efforts do not have the same financial impact.

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Image: energy management

The difficulties in matching revenues and expenditures and of having to increase rates to generate sufficient revenues in the face of falling demand have given many municipalities second thoughts about conservation options that directly involve customers.

Also, some studies have shown that there is a potential imbalance between revenues and costs. Revenue balancing is achieved by changing rates over time to reflect changing cost conditions, arguing that economic efficiency was achieved when we set prices at short-run marginal costs.

Recommended readings

1. Wastewater re-use - Why bother (http://lnweb18.worldbank.org/ESSD/ardext.nsf/18ByDocName/WastewaterReuseWhyBother/$FILE/DHanrahanWastewaterReuseWhyBother.pdf) (Internet Access Required)

2. Wastewater use in Irrigated Agriculture(http://www.cabi-publishing.org/pdf/Books/0851998232/0851998232.pdf) (Internet Access Required)

3. Reuse of wastewater in Middle East and North Africa (http://lnweb18.worldbank.org/ESSD/ardext.nsf/18ByDocName/ReuseofWastewaterintheMiddleEastandNorthAfrica380KBs/$FILE/ReuseofWastewater_WaterForum.pdf ) (Internet Access Required)

Environmental Taxation

A "pollution charge" or "emission charge" is a fee, collected by the government, which is levied on each unit of pollutant emitted into the water. it is e1ffectively a tax. The total payment any source would make to the government could be found by multiplying the fee by the amount of pollutant emitted. Emission charges reduce pollution because pollution costs the firm money. To save money, the polluter seeks ways to reduce its pollution.

Emission or effluent charges reflect the type and quantity of the pollutant discharged into surface water or emitted into the atmosphere, as well as its impact. An economically efficient environmental charge is based on the cost inflicted on society. The total cost would include such things as lost opportunity, clean-up costs, and public health and aesthetic impacts.

The charges are established to meet environmental goals (normally performance standards). The charge can be based on environmental quality standards, the cost of financing pollution control, or effluent standards. Raising or lowering the environmental charge usually affects the amount of pollution. As charges increase, it becomes more cost-effective for the polluter to install pollution control equipment or switch to other, less polluting production processes.

Emission charges require a monitoring system to determine the quantity and quality of emissions. This system can take the form of continuous monitoring equipment which precisely measures the quality and quantity of the pollution emitted. For example, in the case of water pollution, equipment can be installed to determine the volume of wastewater. The quality can be estimated through regular sampling and laboratory analysis.

With an emission charge, a control authority can find the minimum cost allocation of meeting a predetermined emission reduction standard even when it has no information on control costs. Unfortunately, the process of finding the appropriate rate includes some trial-and-error. During the trial-and-error period of finding the appropriate rate, the changing emission charges make planning for the future difficult. Investments that would make sense under a high emission charge might not make sense when the emission charge falls. From either a policymaker's or business manager's perspective, this scenario leaves much to be desired.

Another type of pollution tax is the input charge. Where waste discharges are widely dispersed, and many polluters in many locations are responsible for them, it may be very difficult to monitor and tax emissions. This is the case with, for example, the run-off of farm wastes containing concentrations of fertilizer nitrates, and with the emissions of carbon dioxide from cars, boilers and electricity generators.

Application of Emission Charges

Emission charges have been applied primarily to situations involving water pollution. Charges can be set up at a level that is calculated to achieve a pre-determined level of water quality. Pollutants discharged in large quantities are easily monitored and can therefore readily be addressed in an emission charge scheme. Those occurring

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irregularly and in small amounts are more difficult to include. Charges can be used to finance a regional pollution control system. These charges can be applied to recover municipal costs based on, for example, volume of discharge. To read about examples in China, France, etc.

Emission charges are only minimally effective in air pollution control. The allocation of revenue and the difficulty in monitoring emissions are factors. However, France has had some success in applying emission charges to air emissions.

Advantages and Disadvantages of Pollution Charges

Advantages:

Firms can reduce pollution at lower cost than under a command and control approach. Savings arise from the flexibility afforded to forms in responding to the charge. They may choose to pay the charge or to invest in a pollution control technology appropriate to their situation.

Incentives to invest in new pollution control technology are provided to firms.

Revenue that can be used to finance and enhance enforcement is generated.

· Emission charges can compensate for the externalities associated with industrial activity.

Disadvantages

It is difficult to develop charges that accurately reflect the marginal costs of pollution.

Charges too high or too low would distort activity and not lead to an economically efficient pollution level. Unfortunately, emission charges are often used as a new source of revenue rather than as a mechanism to achieve an economically efficient level of resource use.

Charges based on ambient quality are complicated by the fact that location of industries requires firm-specific rates.

· Administrative and monitoring costs are high.

Pollution charges have three main advantages over the conventional approach in which standards are backed up by legal constraints and fines (i.e. polluting firms must meet the standard or risk being fined):

1. Pollution charges achieve a given standard at least cost. 2. Charges force technology; they give firms an incentive to adopt the best available pollution control technology in order to minimize their "tax" liability. 3. Charges economize on information needs by giving the individual agents responsibility for their decisions about pollution control.

Questions

1. What is demand-side management and how does it apply to water?

2. What is supply-side management and how does it apply to water?

3. It has been argued that water should not be privatized because it is a human right. Food is also a right but is a private commodity. Which side of this argument do you find yourself on and why?

4. What techniques can be used in demand side management?

5. Are all taxes demand-side management techniques? Justify your response.

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WATER AND HEALTH - Capacity

Capacity is a term that has several meanings including the following:

The maximum amount that something can contain;

Fully occupying the available area or space;

The amount that something can produce;

AND - The ability or power to do or understand something.

As applied to integrated water and health and to integrated water resources management, the term capacity is often used in referring to both the individual and collective capacity in regard to the ability and to a maximum amount that integrated systems can provide for, acheive, and sustain in water and health. Furthermore, this involves the determination of an individual and group competency across a number of different and diverse and complementary fields of study, and professional expertise of the individual and group in areas such as,

technical aspects of water and sanitation and hygeine, and health outcome diagnosis, tracking, reporting and surveillance; education (train the trainer) in terms of the capacity to teach existing and new skills and theory to health and water professionals working in the water sanitation nd health sectors and where they intersect, and how to use new skills; impact assessments of actions taken and not taken in response to natural disasters, changes in access to water and sanitation health and learnings for those experiences to be applied in similar situations. management and governance.

Capacity Development vs. Capacity Building

Capacity is also often paired with the terms building and development

"Capacity building" or "Capacity Developement"

"Capacity development is not simply human resource development – it is much larger than that. It is not merely the acquisition of skills but also the capacity to use them. This in turn is not only about employment structures, but also about social capital and the different reasons why people start engaging in civic action”

- Mark Malloch Brown. Foreword in Capacity for Development--New Solutions for Old Problems. Edited by Sakidko Fukuda-Parr, Carlos Lopes and Khalid Malik. Earthscan/UNDP 2002.

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WATER AND HEALTH - Capacity Prerequisites

Prerequisites for Integrated Water and Health - Sustainability (drawing on IWRM)

Taking into account integration, conditions for success and the theoretical basis for integrated water and health sustainability, drawing on IWRM, it can be seen that the concept of IWRM involves the technical integration of the many factors, including institutional and social organizations in order to make progress, and is based on four pillars of sustainable water use described below.

The Four Pillars of Sustainable Water Use

Pillar 1 - The capacity to educate and train through community awareness building, adult training and formal education so that there are enough competent human resources to develop and apply enabling systems.

Pillar 2 - The capacity to measure and understand aquatic systems through monitoring, applied research, technological development and forecasting, so that reliable data is used for analysis and decision making.

Pillar 3 - The capacity to legislate, regulate and achieve compliance through effective governmental, non-governmental and private sector institutions and through efficient enforcement and community acceptance.

Pillar 4 - The capacity to provide appropriate, affordable water infrastructure, services and products through sustained investment and management.

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WATER AND HEALTH - Capacity Development

Capacity Development in the Water Sector What is it?

Peter Morgan (1997) defined capacity development as "the process by which individuals, groups and organizations improve their ability to carry out their functions and achieve desired results over time.”

Capacity development is

· Obviously a very flexible concept

· An internal process

· Results-oriented

Why is capacity development important?

Development efforts often failed because local capacities were not developed to manage, operate and maintain the facilities.

Local groups were not empowered to implement new development activities after the initial round of funding finished.

The technical cooperation efforts of the past are declining as are overall budgets for development aid. Consequently, there is a new emphasis on management and governance coupled with results-based management and assessment protocols. This new emphasis does not necessarily lead to improved results.

The rate of technological change has increased.

What levels (individual, institutional or societal) should capacity development be targeted at? How should this be decided?

The simplistic answer to the question is “all levels need to be addressed”:

Micro-level - individuals

Meso-level - research and development organizations, academia, institutions, NGOs, communities, etc.

Macro-level - national and international governments, policy development, societal changes

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Providing technical and management training for middle managers has seldom led to better management unless the top levels of management make planning and management changes throughout the organization.

What tools are available?

Information provision and dissemination

Education and training

Mentoring and facilitation

Networking (personal or technological)

Feedback and experiential learning

How are the tools to be chosen?

There is no single format or method that is appropriate in all cases

Managers need to do an organizational analysis to assess limiting factors and then address these "gaps" by choosing the tools of capacity development.

Even though all types of tools can fit into such a scheme, methods must be chosen according to local circumstances and not according to supply.

Capacity development cannot be performed by outsiders. If external advice and expertise is used, it must lead to the organization’s own personnel doing the work and driving the process.

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What are the conditions for success in capacity development?

Experience over many years shows that the following are the main conditions for success:

Top managers who provide leadership for institutional change

Critical mass of participants involved and committed to the change process

Availability (or development) of appropriate institutional innovations

Adequate resources for capacity building and implementing changes

Adequate management of the capacity development process

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How should capacity development be planned, managed and evaluated?

Most capacity building efforts reflect the priorities, assumptions and capabilities of the external agencies

There is no easy formula that is appropriate for all situations. Assessment by the managers, support by top management and identification of the lack of capacities that are most constraining are all important.

Accept that change and redefinition of goals is inevitable and desirable.

Evaluations can be for:

Accountability - The obligation of reporting on or justifying a particular activity. Most evaluations are carried out to meet government or funding-agency accountability requirements. These evaluations are generally conducted to determine whether objectives have been achieved and resources have been used appropriately.

Improvement - Evaluations carried out to learn lessons that can be used to improve ongoing or future capacity- development efforts are of potentially greater value. Unfortunately, improvement-oriented evaluations are seldom performed.

How long should a program be supported?

Capacity development cannot be a “one-off” event – it is an on-going process that needs support and management over time.

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WATER and HEALTH - Participatory Capacity Development and Learner-Centred Approaches - The New Paradigm

A Framework for a PCD Approach

Learner-centred teaching methodologies include:

Working in groups Visualizing Making presentations Using case studies Role playing

Learning how to use such methods and actually applying them are two different things. Some teachers say that they find it difficult to introduce these alternative methods due to large class sizes, poor facilities and unwillingness by students to cooperate in a style of teaching and learning that might reduce the amount of content in a lesson.

Educational methods are gradually improving through increasing:

Active and participatory pedagogy, particularly learner-centred teaching methods Use of teaching/learning materials, such as handouts, transparencies, photos, videos, and posters Knowledge and skills in teaching large classes Field-based learning preparation and use of specific case studies Analyses of teaching skills, including lesson planning and classroom observation

Framework for Learner-Centred Approach to Education

Participatory curriculum development provides an excellent basis for a systemic approach to teaching and learning.

A systematic approach to teaching and learning may be defined broadly as "all the learning which is planned and guided by a training or teaching organization, whether it is carried out in groups or individually, inside or outside a classroom, in an institutional setting or in a village or field" (Rogers and Taylor, 1998). It takes into consideration the learning achieved by students, the activities and experiences that bring about the learning, the process of planning and organizing these activities and experiences, and documentation of the whole process.

Since, ultimately, curriculum development is about people, not about paper, the participation of stakeholders in curriculum development is critical. There is growing evidence from many countries that using a participatory approach to curriculum development improves the effectiveness and sustainability of training courses by creating partnerships between trainers, participants and others who have an interest in the training and its outcomes (Taylor, 2006).

Unfortunately, curriculum development is often neither systemic nor participatory. In many contexts, it occurs in an ad hoc and reactive manner, and is largely expert-led and hierarchical.

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Framework for PCD

Challenges of PCD: Discussion

Potential challenges of PCD:

PCD requires more time and resources compared with more traditional, systematic approaches to curriculum development.

Communication is often difficult due to geographic distances between stakeholders.

Incentives, which could motivate the stakeholders to share and exchange information, are often insufficient or not well recognized. Additionally, commitment varies among stakeholders.

Building partnerships among the stakeholders is often a difficult task as each group may not be adequately represented.

Teachers must not only learn from the field, but also integrate what they learn into the curriculum.

The shift from a process-oriented approach to one where key outcomes are needed and monitored is cumbersome. This difficult shift can affect planning and implementation, and discourage the establishment of an effective monitoring system.

Often, there is insufficient knowledge on the use of inputs and the real costs (time, resources, etc) of education-related interventions in relation to the actual outcomes, leading to a perceived inefficiency in the program.

Obviously, if a PCD approach is only possible when time and resources (both human and financial) are virtually unlimited then it will become unsustainable, and have little applicability in most other contexts.

Questions

1. In LMICs women are the major water drawers. When forming water committees in local communities women should have the majority of members. Discuss the pros and cons of this statement.

2. How do actors become involved in a collaborative process?

3. Who decides on the limits and criteria of inclusion and exclusion?

4. Are there serious differences between the power and legitimacy of different stakeholders?

5. Do all stakeholders have the capacity to participate in a meaningful way? What barriers to participation exist and how could they be minimised?

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6. Who would play a leadership role within a collaborative process? Would this be amenable to all parties? Do they have the resources and commitment to sustain this role over time?

7. Is there a history of past conflict between stakeholders? Were stakeholders able to overcome their differences? How much remedial trust building is necessary? Is there enough time available to develop trust, relationships and engage in negotiations and consensus-building?

8. What is the difference between capacity development and capacity building?

9. What are the four prerequisites of sustainable capacity development?

10. What are the four pillars and three spheres of sustainability?

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WATER and HEALTH - Integrated Approach

INTEGRATED APPROACHES TO GOVERNING FOR WATER AND HEALTH

One of the most elusive challenges for ensuring effective water governance is integration. Integration requires that all water management decisions and governance processes be conducted systemically and holistically in coordination with other policy spheres of development, planning and decision-making that may impact water quality and quantity concerns (e.g. land use, agriculture, urban and rural development, forestry, energy production, etc.) (Simms & de Loë, 2010). This is the central premise behind the now widely espoused concept of “Integrated Water Resource Management” (IWRM).

IRWM: seeks to better coordinate the use of land and water, surface and groundwater sources, and up and downstream users to maximize economic and social welfare in an equitable manner without compromising the sustainability of vital ecosystems and natural resources (Water Governance Facility, nd). Implementation requires:

Enabling legislative and policy environment which often requires reform of institutions and regulatory systems

Appropriate institutional and administrative frameworks that create linkages across scales (e.g. catchment/river basin, local, regional, provincial, national, global), and between private and public partners in ways that facilitate understandings of biophysical systems and socioeconomic and institutional contexts

Intellectual and technical capacity building of players in different sectors at various scales

Management instruments and supportive resources necessary for gathering and interpreting data, assessing resource availability and needs, and making allocation decisions

Inclusive and equitable decision-making structures and processes

(Water Governance Facility, and; Global Water Partnership, 2000)

Catchments and river basins are increasingly accepted as an “ideal scale” or context within which to design integrated governance.

Building upon the notion of IWRM others have emphasized the importance of incorporating determinants of health and social well- being into integrative environmental governance frameworks (Parkes et al, 2010; MEA, 2005; Pruss-Ustun & Corvalan, 2005). Parkes et al (2010) designed a heuristic framework entitled “The Watershed Governance Prism” to illustrate linkages between ecosystems, social systems, health and watersheds and to assist policymakers, researchers, and water managers in moving beyond disciplinary and sectoral approaches towards integrated governance practices (see Figure 4).

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The Watershed Governance Prism. Source: Parkes et al., 2010.

The three-dimensional Prism Framework depicts four governance ‘perspectives’ found within the environmental management literature from which to understand the links between watershed management and the determinants of health

The perspectives drawn from two major approaches to environmental management namely i) ecohealth (which emphasizes interrelationships between human health and ecosystem management), and ii) integrated water resource management (notion that watersheds are appropriate scale for managing ecosystems effectively).

The Prism model brings a number of conceptual approaches and perspectives together, emphasizing their strengths and shortcomings.

Text depicted in brackets highlights the limitation of each perspective and the need to see the Prism as a whole for more effective integration.

Perspective A: governance for sustainable development

Typically focuses on interconnections between watersheds, ecosystems, social systems and the ‘triple-bottom’ line of economy, society and environment.

Pays insufficient attention to how these factors serve as upstream drivers of health outcome

Perspective B: governance for ecosystems and well-being

Typically focuses on interconnections between watersheds, ecosystems, and health/well-being (e.g. presence of and ability to filter contaminants and pathogens and implications for adverse health effects such as gastrointestinal illness, waterborne diseases, cancer, etc.)

Tends to overlook social/equity issues which can result in health being defined and addressed at an individual, biomedical level at expense of community levels

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Perspective C: governance for social determinants of health

Typically focuses on watersheds, social systems, health/well-being recognizing access to water resources influences livelihoods and the socio-economic determinants of health

Brings attention to power dynamics and (in)equities that are inherent to provision, allocation and access decisions thereby valuing the importance of equitable, multi-stakeholder water management processes

Encourages attention to how or why governance options may perpetuate gender, cultural and/or socioeconomic biases

May overlook biophysical processes and ecosystem services

Perspective D: governance for social–ecological health promotion

Typically focuses on ecosystems, social systems, health/well-being

Recognizes that health promotion is maximized when linking sustainable freshwater ecosystem services with equitable social processes and allocation decisions

May overlook upstream drivers of social and ecosystem change (e.g. changes in political economic systems at various scales) (Parkes et al, 2010)

While integration looks great on paper and in theory, the challenges of implementation in practice are vast and often grossly underestimated. Examples include:

· Institutional barriers (e.g. silos remaining between various sectors and stakeholder communities interacting with those sectors such as public health, natural resource, finance departments, etc.)

· Working within interdisciplinary, multi-stakeholder and integrative environments can be challenging due to differences in language, key terms and concepts used, end goals, and methodological preferences

· The sheer scope and scale of IWRM objectives including the identification and measurement of a large number of socio- ecological relationships can be overwhelming and demanding upon human, organizational and financial resources

· Substantial changes in water entitlements, bureaucratic cultures & objectives and human behaviour is required

· The resources available to enable and support participatory engagement in integrative processes are not equitably distributed amongst society and interest groups

· Processes and skills must be in place to facilitate conflict resolution

(Ingram, 2008)

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Past and Present IWRM Efforts - Pertaining to Integrated Water and Health

There are clear advantages to IWRM at the international scale, particularly in international river basins, and even the global scale. However, in the words of McDonald and Kay (1988), integration at larger scales is "conspicuously absent."

Despite this, IWRM is improving and becoming more "mainstream." Many agencies now include it in their list of required or preferred practices when dealing with certain water issues and tracking and surveillance of health outcomes such as, health outcomes and the water sanitation sector. As well as, tracking and surveillance of releases from industry commercial and municipal wastewaters and human exposures to water related diseases and pollution.

Nevertheless, IWRM and integrated water and health must not become simply a routine way to look at and talk about water and health management. Successful and useful implementations require rigorous analysis and integration.

More and more agencies are establishing administrative frameworks that permit and even encourage the management of water on a watershed basis and tracking and surveillance of health outcomes.

Less frequently, however, is the management of water integrated with that of other resources that affect or are affected by water, such as health outcomes and the water sanitation sector

These other resources may include, at minimum, the intensity and nature of agricultural activities, forestry, and commercial fisheries, as they are impacted by releases from industry commercial and municipal wastewaters and human exposures to water related diseases and pollution.

Learning from Other IWRM Projects in Water and Health involving the Sanitation Sector

Integrated Water Resource Management in Water and Sanitation Projects– Lessons from 11 projects in Africa, Asia and South America (Internet Access Required) contains the findings of a participatory review of 11 drinking water and sanitation supply (DWSS) and IWRM projects from around the world. The methodology of this review is as follows:

· Eight DWSS and three IWRM projects from seven countries were reviewed to identify the extent to which they incorporated IWRM principles.

· The review covered a wide range of:

2 o Scales - from the micro-catchment (700 people, 900 ha) to the river basin (1.5 million people, 4,300 km )

o Landscapes - varying from the humid to the semi-arid

o Socio-economic and developmental backgrounds All projects shared a commitment to participatory approaches aimed at empowering and giving communities the maximum possible control over their resources.

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Comb cross-sectoral integration

Adapted from the GWP Comb, 2000

What is the knowledge base for IWRM, pertaining to integrated water and health?

Principles:

1. There is a common “core” knowledge base that all participants in an IWRM exercise can share.

2. Deciding what this knowledge base should be is an essential part of capacity building for IWRM.

3. This knowledge base can be communicated to all participants.

4. Each participant then shares a common vocabulary and understanding of this core knowledge.

5. When capacity building is complete, the participants interact more effectively and the dialogue on the IWRM process also becomes more effective.

6. If this core knowledge is not shared, then interactions between participants may be much more difficult and even impossible.

Participants are defined as EVERYONE involved, including water users, suppliers, industries, agriculture, governments (all levels), regulators, lawyers, planners, engineers, biologists, social scientists, economists, citizens, NGOs, hydrologists, limnologists, financial agencies, etc.

Core Knowledge Hydrogeology

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Hydrogeology core knowledge pyramid

Core and Specialized Knowledge in Hydrology Run-off

What is the knowledge base for IWRM, pertaining to integrated water and health?

Knowledge occurs on five levels:

· General - knowledge known by most people

· Overview - a broad understanding of a subject area without details

· General subject - knowledge about specialist areas of a discipline

· In-depth subject - knowledge about a particular speciality in a discipline

· Specialized background - knowledge of other specialized subject areas essential for effective application of specialized subject knowledge. For example, an ecosystem modeller who has detailed mathematical knowledge about the derivation and operation of the mathematical principles applying to models.

Although many specialists can be involved in IWRM planning processes, and each brings their expertise to the process, there remains a set of “core knowledge” that all participants in the process should share.

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Core knowledge vs specialised knowledge

What is this "core knowledge base" and how can it be defined?

Operationally, the core knowledge base is the knowledge that specialists, such as biologists or toxicologists, consider necessary for people to have in order to engage in an IWRM planning exercise.

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WATER and HEALTH - PUblic Health Role The Role of Public Health in Issues Involving Water Related Impacts on Health

"Health is a complete state of mental, physical and social well-being, not only the absence of disease" (WHO).

This quote from the World Health Organization reminds us there are many determinants of health and well-being in addition to risk factors for disease.

Public health units work with their community partners in the protection of the health of the community and its members for the prevention of community health impacts from

1. transmissible infectious and communicable diseases 2. acute and chronic illness from harmful environmental exposures

Public health units also work with their community partners for the promotion of healthy lifestyle choices (e.g., diet nutrition and exercise, anti-tobacco smoking and substance abuse).

Public health is involved in providing services such as,

admistration of public health resources training education and advocacy public immunization clinics for vaccine preventable diseases (VPD) food safety inspections of commercial restaurants and food service establishments health inspections of public institutions, including public schools nurseries and day-cares, public nursing homes and long- term care homes, jails and correctional facilities. health inspections of commercial spas, nail treatment, and tatoo parlours the development of policy, resources and initiatives

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promotion of mental health and dental health support for susceptible and vulnerable populations communication and public health reporting on reportable and notifiable diseases, including enterics and vector-borne diseases communication of various public health and safety indicators, including hospital public safety indicators and consumer product safety recalls support to emergency management preparedness and response systems support for review communication and litigation of environmental investigations impacting the community

Question

1. Do all jurisdictions utilizing a shared water resource have the same understanding and definition of boundaries around that water source?

2. You are the chief public health officer in a community of 50,000 people. Your local area council has decided that the district needs an Ebola prevention/containment plan. What water, sanitation, and hygiene (WaSH) concerns will you include in the plan? Why?

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Water and Health - Challenges

Sustainable Environmental Management by Applying the Principles of Economic Analysis and Valuation

This section of the course entitled "Social Perspectives on Water and Health" provides a brief introduction of why economic analysis is used for assessment of environmental changes, which tools are available for economic assessment, such used in policy-making and what type of value is needed to conduct economic assessment.

Learning outcomes:

By the end of this section students should be able to:

· Define ecosystem services provided by land and water from a set of examples

· List and recognise relevant questions that economic tools can help answer

· List and describe some tools for economic assessment used in policy-making

· Explain the difference between price and value

· Explain the difference between financial and economic prices

· Define market failure, externality and provide examples

Economic analysis can help inform decision-making by providing a common measuring rod for assessment of potential changes and adopting the perspective of society as a whole (i.e., monetary value). This economics perspective should be complemented by technical, sociological and political analysis for good management.

The recent food, energy and financial crises have sparked a renewed interest in land and water issues. There is lack of new virgin lands to be discovered, and an increased awareness of a need to invest into improved land and water resources productivity if the needs of the coming population of 9 billion people are to be satisfied. Improved land and water resources productivity can be achieved through a range of complementary approaches such as intensification of production on already productive areas; slowly down or reversing land and water resources degradation where possible; and ensuring an appropriate distribution of property rights over land and water exploitation.

Scientists have long identified land (and water) as threatened by degradation (e.g., pollution, overuse). They have warned policy- makers and stakeholders about the negative consequences of overexploiting or destroying land, water and ecosystems, but this has often not been enough to induce a change in stakeholder behaviour and land and water are still subject to overexploitation and degradation. WHY have land and water mangement practices not changed despite the urging by scientist and compelling scientific research and data?

It is partly because scientists quantify the changes affecting the ecosystems, but do not quantify how much these changes affect the people depending on these ecosystems and their livelihoods. For instance, intensive agricultural production may lead to soil degradation (in terms of reduced soil nutrients, higher soil erosion…) but may help to create agricultural job opportunities, which is often viewed as desirable in regions where job opportunities are scarce. In this specific example, the negative impacts on land are beneficial to people bycreating livelihood opportunities, at least in the short term. The longer term losses of food and jobs are often ignored, limiting necessary action to prevent them from happening until it is too late.

Economics is providing tools to analyse a problem using a people's perspective. Other disciplines such as psychology and sociology also provide tools and valuable insights into identifying and designing solutions to social problems, but policy-makers generally react faster under political and economic pressures, and understand and react to – money!

By adopting an economic perspective, economists analyse the environment (land and water) from the point of view of people. This is a different but complementary perspective to science: science focuses on providing technical solutions to a problem whilst economics focuses on allocating scarce resources between different uses so as to maximise benefits to society as a whole. Scientists typically consider how and why land ecosystems are fragile and biologically important and what management options are available for sustainable land management. Whereas, Economists focus on the economic benefits land brings to our society and whether these existing benefits outweigh the costs of maintaining or restoring these existing benefits.

For example, land and water can be degraded because of soil erosion, soil nutrient depletion, salinity, overexploitation such as file:///F|/Dropbox/WaterHealthNewFinal/Course4/discussion/WH40M050D001challenges1.htm[11/3/2014 7:40:56 PM] WLC Template

overgrazing or overexploitation of forest timber, pollution. Land and water plays a critical role in food and fibre production, timber production, the recharge of groundwater, flood control, water purification, provision of drinking water, sustaining wildlife population for wildlife-based tourism, and additionally have aesthetic and/or cultural values. Land and water degradation can lead to a reduction in the following benefits: food production, carbon storage, groundwater supply and flood protection, water quality, wildlife- based tourism (hunting or game watching). There are also several costs associated with land and water degradation. The decrease in water quality from increasing pollution near cities requires water treatment and thus has a cost to society. Likewise, accrued sensitivity to extreme events such as floods requires the construction and maintenance of specific infrastructures.

Environmental economists often refer to environmental goods and services. For an economist, land is an environmental good which provides environmental services that in turn help sustain human life and livelihoods. Environmental goods refer to stock resources, which exist in a (relatively) fixed quantity. Environmental goods can be land, mineral ore, trees. Environmental services refer to flow resources, in which quantity is renewed with time. Environmental services can be groundwater recharge, flood control, water purification, timber harvest and aesthetic or cultural benefits.

To successfully address environmental degradation issues, several questions need to be answered.

How do we decide whether to restore environmental productivity for its current use, or convert it to other uses?

Maintenance of environmental productivity requires effort and investment of financial and human resources. The ecosystem provides a basis for alternative economic activities linked to food production, carbon storage, groundwater supply and flow regulation, water quality, wildlife-based tourism (hunting or game watching). These activities often cannot always be undertaken at the same time and conflicts of interests arise. So, how do can decision-makers reconcile conflicting interests and decide which use(s) is (are) most beneficial to society as a whole? Economics provides tools to answer this question.

Economics relies on the use of money as a "common measuring rod". The values to society of the provided goods and services are all quantified in money to make them comparable. These values are measured so as to reflect society's preferences for the environmental goods and services provided. For non-marketed goods and services - i.e. goods and services that are not exchanged on a market - economists have developed valuation methods to estimate their value to society as a whole. These economic values help quantify trade-offs between different goods and services: for instance between agricultural production and game park tourism revenue. Measuring these trade-offs help identify the best land use from the point of view of society as a whole and provides one way to arbitrate conflicts. For example, it may not be worth investing in restoring productivity of existing agricultural land but rather reforest this land and capture revenues from carbon storage or wildlife-based tourism activities.

Setting property rights that are well-defined, excludable, transferable, and enforceable is another way of arbitrating conflicts and complements the design of economic instruments for improved management.

How do we decide how to best reverse land degradation on a given piece of land (i.e., environmental restoration)?

Different levels of environmental restoration require different levels of effort, (i.e. different levels of investment of time and money). For instance, to maintain declining timber stocks, two options can be taken: reducing timber harvest, or fully banning timber harvest. Both options have different impacts on people making a living from economic activities relying on the natural resource (timber). Banning timber harvest may lead to a loss of jobs for vulnerable populations (social cost) for a gain in forest cover (ecological benefit). Their implementation also requires different budgets for implementation: monitoring of a ban is often costly and compensation to vulnerable populations may need to be provided.

So, what management options do we need for a given piece of land to best maintain its economic productivity? What budget does it require and who provides this budget? Budgets are often a limiting factor, so what management options do we choose for a given budget to achieve our goal? Again, economics provide tools to answer these questions.

How do we define "sustainable" land management?

Sustainability is typically associated with a flow of physical or economic benefits continued through time. For instance, land can help naturally filter water and provide clean water. This clean water supply by l is a physical benefit. This physical benefit is associated with an economic benefit. Society does not pay for this natural water treatment. It is important to note that physical or economic benefits do not always overlap. There are cases where environmental degradation can lead to the creation of new economic activities. In other words, a loss of physical benefits can be associated with an increase in economic benefits. For instance, increased water pollution can lead to the development of a water treatment infrastructures and job creation. Increased water pollution corresponds to a decrease in what economists call natural capital, but it leads to an increase in physical capital (water treatment facilities) and human capital (jobs).

If the decrease in natural capital is offset by the increase in physical and/or human capital, some economists consider the system sustainable because the total level of capital is maintained even if there is a decrease in natural capital. In the economics literature, keeping the total level of capital (natural, physical and human) constant is referred to as "weak sustainability" whilst keeping the file:///F|/Dropbox/WaterHealthNewFinal/Course4/discussion/WH40M050D001challenges1.htm[11/3/2014 7:40:56 PM] WLC Template

level of natural capital constant is referred to as "strong sustainability".

Ecologists typically consider strong sustainability whilst economists may consider either strong or weak sustainability. Ecologists are indeed interested in maintaining or expanding the level of natural capital. For economists, the choice between strong and weak sustainability is a matter of social preferences, i.e. which of these two options people choose. This choice relates to how much trade-off between the different forms of capital would be acceptable to society as a whole, that is how much extra physical capital society as a whole would need to compensate for the loss of natural capital and still have the same level of enjoyment or satisfaction (utility).

The economic assessment toolbox for use in policy-making

Economics provides a common measuring rod for comparison of benefits and costs from society's point of view. It provides a rational to allocate scarce resources - including natural resources - between competitive uses so as to make the most of them.

A theoretical economist typically estimates the supply curve and the demand curve for a good or service. As quantity increases, demand decreases and supply increases. This economist can then derive the socially optimal quantity (Q*) and price (P*) for this good and service where they intersect. This intersection is called the equilibrium point and is represented by the letter E* in theFigure .

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Figure: The economic optimum E* characterised by quantity Q* and price P* arising as the result of interaction between supply and demand. Source: (Emmanuelle Quillérou, 2014 personal communication). Image: supply vs demand curves.

Much simpler and less data intensive tools are often used for policy assessment. A few examples of assessment types are:

Cost-benefit analysis consists in comparing the costs and benefits of a planned action or project against what would happen if nothing is changed. If physical benefits are considered rather than economic (monetary) benefits against costs, this is called a cost- effectiveness analysis.

Damage assessment is linked to litigation and aims to estimate the level of compensation to be provided after environmental damages. This level of compensation can be arbitrarily set from a given level of physical damages or can be estimated from the economic costs of the damage incurred. file:///F|/Dropbox/WaterHealthNewFinal/Course4/discussion/WH40M050D001challenges1.htm[11/3/2014 7:40:56 PM] WLC Template

Regulatory analysis sets standards for environmental quality derived from scientific and/or economic analyses.

Land-use planning aims to effectively balance competitive land uses. It can be based on a formal economic assessment of costs and benefits for different land uses, although in practice a full economic assessment of land uses is seldom undertaken.

Natural resource accounting aims at capturing the depreciation of environmental or natural capital stocks at the country level, complementing more traditional indicators of an economy's health such as the Gross National Product (GNP). Natural resource accounting is now piloted in different countries following the 2009 report by the Commission on the Measurement of Economic Performance and Social Progress, also known as the "Stiglitz-Sen-Fitoussi report".

Sustainability assessment aims at identifying whether a current activity can be sustained over time or not [i.e., whether the level of physical (and/or monetary) benefits derived from it can be maintained].

Multi-criteria analysis is a method that helps choosing between different scenarios from quantitative and qualitative data using a scoring system. Multi-criteria analysis can include economic data but not exclusively. The scenarios considered in a multi-criteria analysis are explicitly traded off one against the other to be able to choose the best one.

All of these assessment types can include economic tools, which have been used to varying degrees across countries. In practice however, cost-benefit analysis and natural resource accounting are explicitly derived from economics, whilst other forms of assessment have traditionally focused more on physical rather than monetary changes. This is now slowly changing with assessments increasingly including a wider range of disciplinary perspectives.

Economic assessment provides a rationale for decision-making on action or inaction from a society's point of view. Economics not only helps assess the needs for policy instruments but also design and calibrate these instruments. Typical economic instruments are taxes, subsidies, quotas or norms, tradable permits and property right regimes. They can be supplemented by other non- economic instruments such as certification, labelling, education and legislation. For instance, economics can help us identify what constitutes sustainable usage of land that is, the target we should be aiming for, and estimate how much tax (subsidy) needs to be imposed (granted) to change behaviours and achieve this target.

What values do policy-makers need for economic assessment?

"Nowadays people know the price of everything and the value of nothing."

Oscar Wilde The Picture of Dorian Gray (Chapter 4)

Think about the above quotation. It draws attention to the explicit difference between price and value. Price and value are also different concepts in economics. The economic value of a good or service reflects the preferences that society as a whole has for this good or service. A price is determined by the market as the result of interaction between demand and supply. Price reflects the true economic value allocated by society to this good or service under specific market conditions. However, markets do not always exist or may be imperfect. This leads to a discrepancy between economic value and price.

It is not because something does not have an explicit price that it does not have any value to society. This is in particular true for non-marketed goods such as clean air: simply because you cannot buy a litre of clean air on the market does not mean that clean air does not have a value to you!

Also, market prices might not reflect the full economic value to society as a whole. When this is the case, economists talk about market failures. Market failures typically arise because of incomplete information, inefficient property right allocations or what are known as externalities.

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Consider a simple example of a market failure arising because of an externality. Agricultural commodities such as wheat are traded on the world market. However, world market prices of commodities do not consider water pollution resulting from the use of fertilisers (nitrogen) as inputs to agricultural production. This water pollution imposes a cost to society as it affects people's health and reduces their work output. The cost of water pollution in this case is measured through the loss of productivity. The cost of water pollution could also be measured by the cost of water treatment (or the increased cost) to water users and taxpayers. In this situation, from society's point of view, the full cost of agricultural production is the cost of water pollution added to the cost of agricultural production. If the costs of water pollution and the costs of agricultural production are borne entirely by farmers, the externality is said to have been internalised. Assuming demand remains the same, the quantity of agricultural commodity produced and water pollution decrease as a result of this internalisation. Because of the reduction in agricultural commodity quantity produced, commodity prices increase and internalising the externality is only worth doing if the increased price of agricultural commodities is offset by the reduction in the cost of water pollution. This scenario optimises the combination of agricultural production and water pollution and not just agricultural production. That way, resources for agricultural production are used in a more economically efficient way which is desirable from society's point of view.

However, in real-life farmers usually only pay for the cost of agricultural production. Because the cost of water pollution is not borne by those who produce it (farmers), water pollution is what economists call an externality. In more general terms, an externality is something generated by one party but which costs or benefits are borne by another. Externalities are common causes of market failures. In the above example, water pollution is an externality generated by farmers with costs of water treatment borne by the rest of society.

Water pollution is a typical example of a negative eternality because it imposes a cost on a third party (consumers of drinking water) and consequently on society as a whole. Externalities are however not always negative: they are positive when a benefit is provided free of charge to third parties. Pollination is a typical example of a positive externality. The cost of bee-keeping are borne by bee-keepers with pollination provided to farmers free of charge. Pollination increases agricultural and tree yields around the beehives, thereby increasing benefits of neighbouring farmers and consequently the whole of society, without farmers compensating beekeepers for these extra benefits. In this example, farmers implicitly have property rights over their land and own any benefit provided to them on this land, which includes pollination. If bee-keepers were granted property rights over pollination provided by their bees, then farmers have to compensate bee-keepers for the pollination service provided.

So far, we have talked about the economic value of a good or service. This goes back to the difference between what prices and value are, but also refers to a difference in viewpoints. When talking about prices, we tend to adopt the viewpoint of an individual or firm trading within a given society or economy. When talking about economic value, we typically take the perspective of society as a whole, with or without trade.

Imagine you would like to buy a good being sold at the price of $100. This good is subject to a 20% consumption tax and ends up costing you $120 at the till. The $20 are taken from you as an individual through the tax and redistributed within your national economy, i.e. as subsidies to poor farmers. This is 20 for you, but +20 for someone else in your economy. This $20 tax does therefore not change the wealth of society as a whole but is a transfer payment from you to someone else within the economy. $120 is the price you paid for the good but society as a whole paid only $100 for it. $120 is the financial price of the good you purchased whilst $100 is the true economic price or economic value, with a $20 transfer payment.

There also exist price distortions generating a discrepancy between the financial and the economic price. Price distortions can be introduced in perfectly functioning markets by regulations like minimum wage policies.

So, contrary to the quotation by Oscar Wilde, the goal as economists is to know the economic value of something (i.e., the environmental good, service or feature under consideration), in order to estimate the economic price it should have. To derive this economic value, there are two available options: a) estimate it for non-marketed goods or services by using environmental valuation methods, or b) correct observed financial prices to reflect the true economic value of the good or service under consideration from the perspective of society as a whole. Economic value or economic price are used interchangeably in this discussion when referring to the true value of a good or service from society's point of view. Financial prices refer to actual market prices.

Questions

1. Explain why economic analysis can be a useful tool for policy-makers

2. Describe the steps behind each valuation method, underlying assumptions and methodological and empirical limitations

3. Identify a suitable method for valuation of a non-marketed good or service

4. What steps and information would be needed to critically assess the choice of valuation method, its application and results for an

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existing valuation study?

5. True or false. Economics provides tools to quantify the trade-offs between alternative uses of a scarce resource such as those provided by land and make economically optimal decisions.

Answer: True.[EQ1]

6.Multi Responses[EQ2] . Different tools are available for environmental assessment use in policy-making. In the list provided, which are the ones systematically based on economics? Select as many as appropriate.

(a) Cost-benefit analysis

(b) Damage assessment

(c) Land use planning

(d) Sustainability assessment

(e) Natural resource accounting

(f) Regulatory analysis

(g) Cost-effectiveness analysis

(h) Multi-criteria analysis

Answer: a, e and g (g for costs only, not benefits), although the other types of assessment are progressively moving from being based on physical changes to economic changes.

7. Fill in the following table. Tick the relevant box to classify the environmental goods and services and identify the third party bearing the costs or benefits in the last column. The first line has been filled as an example.

Negative Positive Third party

externality externality bearing costs or benefits

Recharge of ü Water users groundwater

Flood and erosion

control

Water purification

Nitrogen contamination

of groundwater reserve

Nitrogen contamination of farm pond because

of run-off from the farm fields

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Bird nesting

Recreation (hunting,

hiking…)

Aesthetic values

Answer 7:

Negative Positive Third party

externality externality bearing costs or benefits[EQ3]

Recharge of ü Water users groundwater

Flood and erosion ü Farmers and house owners control

Water purification ü Drinkable water consumers

Nitrogen contamination ü Water users of groundwater reserve

Nitrogen contamination This is not an externality: of farm pond because the polluter is also the one - - of run-off from the farm who bears the costs of fields pollution

Bird nesting ü Hunters

Aesthetic values ü Recreational users

Recreation (hunting, Recreational users (hunters, ü hiking…) hikers…)

[EQ1]All these answers should be collated in a separate answer file to be provided to students and/or placed at the end of the unit. It is important to separate the answer from its question so that students have a stronger incentive to think about what to answer rather than check the answer first, [EQ2]Multiple responses is NOT the same as multiple choice. Multiple choice implies one answer and multiple responses have several possible answers. [EQ3]INTERACTIVE: Any answer is fine, please leave students enter free text in this column.

8. True or false. A market failure arises when the market does not allocate resource in an economically optimal manner. It is often associated with externalities which cause a discrepancy between private and social benefits and/or costs.

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Answer: True

9. Select the one correct statement:

(a) Price is the result of the market interaction of demand and supply. Value and price are two different concepts. Economic prices can be used to estimate true economic values but financial prices cannot.

(b) Price is the result of the market interaction of demand and supply. Value and price are two similar concepts. Financial prices and economic prices can both be used to estimate true economic values.

(c) Price is the result of the market interaction of demand and supply. Value reflects on the underlying preferences for different goods and services of society as a whole. Economic prices and under specific market conditions values, financial prices can be used to estimate true economic values.

Answer: (c). Undistorted financial prices are equal to the true economic price and can be good estimates of the true economic value in this specific market context.

Questions - Cost-Benefit Analysis

1. Describe the steps required to undertake a cost-benefit analysis

2. Critically assess an existing cost-benefit analysis

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Water and Health - Challenges

Environmental Valuation - An Economist's Approach

This is a very short introduction to environmental valuation. This section aims to give a basic understanding of the assumptions behind established valuation methods, why different methods lead to different estimates, how each of these methods works, what kind of results they lead to and some of their limitations. Even though the following focuses on environmental valuation, these valuation methods are not specific to the environment and can be applied to other goods that are not traded on a market such as health and healthcare, proximity to schools.

Guidance on Analysing Existing Case Studies or Conducting a Valuation Exercise

This section also is intended to provide a guide to analyse existing case studies or conduct a valuation exercise yourself. The method description, background, assumptions and limitations should help you help answering the following questions when faced with an economic value estimate: How reliable is the value? Can it be replicated? How valid is it? Does it match the value allocated by society as a whole or a specific group in society? Does it correspond to the total economic value allocated by society or only a fraction of this value?

Section Learning Outcomes

By the end of this section students should be able to:

· Describe the total economic value framework

· Recognise that different valuation methods lead to slightly different estimates because of what they measure and how they measure it

· Describe the steps involved in each of the valuation methods, the main assumptions underlying each method and some methodological and empirical limitations

The Economist's Toolbox for Environmental Valuation

Total economic value is one of the most common frameworks for environmental valuation. This framework is anthropocentric because it is based on how society values these goods and services. This perspective is based on the use of utility as a measure of preference. Utility represents how much enjoyment society as a whole derives from a good and/or service. Utility is a flexible concept reflecting your preference for consumption or non-consumption of a good. For example, let us assume you like eating fruit: in economics terms, you derive utility from consuming fruit. However, if you do not like fruit, you derive utility from not consuming fruit. Utility applies to individual's preferences between goods whilst society's preferences are measured by welfare.

Total economic value and the associated utilitarian perspective is not the only economic approach available to decision-makers but it is based on explicit trade offs and social preferences. This corresponds to the way decision-makers take decisions in real-life: how much should society invest in mangroves versus clean air? How much should society invest in maintaining the quality of the environment versus investing in healthcare?.

This framework divides the total economic value of a good or a service into a use value and a non-use value. Use value refers to the benefit derived from the use of the environmental good or service. Examples of use values are the revenues derived from harvesting fish or from extracting oil from the ground (including off-shore), from the recreational use of a given site such as a neighbouring park or forest, or from living in a home with an ocean view. These uses can be direct, like fish harvesting or indirect, like flood regulation.

Non-use values are values allocated by society to goods and services but do not stem from the use of these good and services. You might for instance value the Great Barrier Reef in Australia or the Amazonian forest even if you do not nor will ever use it.

Use and non-use values are assumed independent one from the other and mutually exclusive. This assumption means that use and non-use values can be estimated separately and then added up to derive the total economic value: Total Economic Value = Use Value + Non-use Value

Non-use values can be further broken down into Option, Existence, Bequest and Stewardship values ( Figure 2). Option value is the value allocated by society to the potential future use of a good or service and accounts in some measure for uncertainty. For instance, you might live far away from a blue whale breeding site but would still like to be able to enjoy watching blue whales at

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some point in the future. You would therefore be ready to pay to protect blue whales and maintain the option to watch them later in your life. Existence values refer to the value placed by society on the existence of an environmental good or service. For instance, you may never have the opportunity to personally see a live blue whale in its original habitat, but you like the idea that it exists and would be happy to pay to help preserve its existence. Bequest value is the value placed by society on the environmental state passed onto the next generation. For example, you might want your children to live in a pollution-free environment and therefore place a value on bequeathing them a pollution-free environment. Stewardship value is the value placed by society on the maintenance of a healthy environment for all living organisms and not just humans. Conservationists and people living off services provided by the environment (farmers, fishers…) typically have stewardship values.

Figure: Decomposition of the Total Economic Value into use and non-use values. The sizes of the boxes are not representative of any order of magnitude. Source: (Emmanuelle Quillérou, 2014 personal communication). Image: TEV framework

The total economic value provides a simple conceptualisation of the different types of economic values. It also serves as the basis for categorising the different valuation methods. Some valuation methods capture use value only whilst other valuation methods capture use value plus varying proportions of non-use value. However, this framework is not as easy to apply in practice. The difference between the types of values (e.g. use and non-use) is often fuzzier in real life than this Total Economic Value framework suggests. It is not always easy to differentiate between the different types of values in practice.

Economic Measures of Value: How do we measure changes in welfare?

What we want to measure are changes in society's welfare associated with the loss or gain in environmental goods or services. Welfare is an economic measure of society's level of "happiness". These changes in welfare represent the benefits or costs to society as a result of a change in environmental service provision.

Changes in welfare are assumed by neoclassical economists to depend on society's preferences. Changes in welfare require knowledge on both demand and supply but are often estimated in contexts where demand is not easily observable. Welfare changes are thus not straightforward to measure in practice. file:///F|/Dropbox/WaterHealthNewFinal/Course4/discussion/WH40M050D003challenges2.htm[11/3/2014 7:40:57 PM] WLC Template

The methods described in the following sections are based on slightly different measures of welfare changes. These are described in more details in the next sections. There are three types of valuation methods:

1. Non demand-based methods 2. Demand-based revealed preference methods 3. Demand-based stated preference methods

The non demand-based methods consist in estimating the costs incurred from an increase (decrease) in environmental quality. This increase (decrease) in costs leads to a decrease (increase) in quantity supplies for a given demand associated to a increase (decrease) the economically optimal price. What is measured here is the change in welfare associated with the change in the cost of provision. These methods can be very useful for policy decisions in practice as cost data is often available. However, because the influence of demand for environmental goods and services is ignored by these methods, economists often prefer to use demand-based methods to estimate demand for environmental goods and services.

Demand-based methods are called so because they rely on changes in demand. They allow to derive a demand curve for comparison to the cost of provision (supply curve). Revealed preference methods use surrogate markets to estimate the value of non-marketed goods and reveal preferences from market behaviour. These methods do not involve changes in income levels and rely on existing payments or costs incurred. A fraction of that cost is explicitly associated with the non-marketed environmental good or service. For example, apartments near Central Park in New York are more expensive than similar apartments elsewhere simply because they are close to the Park. A fraction of their market value is linked to the proximity to Central Park. The property market is the surrogate market in this example. Revealed preference methods estimate the fraction of the apartment market value and assume it corresponds to the social value of being close to Central Park. Because they rely on existing surrogate markets, these methods typically capture use values but not non-use values. The hedonic price and travel costs methods are examples of revealed preference methods and are detailed more specifically in the following sections.

Stated preference methods have been developed so as to capture (some of) the non-use value of an environmental good or service. They are called "stated" because they involve people directly stating how much they would be willing to pay for an increase in the provision of an environmental good or service (or how much they would be willing to accept for a decrease in provision). Stated preference methods are based on intended rather than on actual behaviours like revealed preference methods. However, these methods do not lead to the same type of demand being estimated because they involve changes in income levels contrary to revealed preference methods. The contingent valuation and choice modelling methods are examples of revealed preference methods and are detailed more specifically in the following sections. Because they rely on people stating their preferences rather than expressing them through actual markets, these methods capture the use value and (some of) the non-use value of the environmental good and/or service.

In practice, all demand-based methods are prone to experimental biases and often lead to very diverse estimates of value. These methods are still criticised in the academic literature. They are however improving over time and remain the only methods available to capture non-use values so far.

Revealed preference methods measure economic value as a change in consumer surplus and rely on Marschallian demand curves. Stated preference methods measure economic value as a change in the area under a Hicksian demand curve. Consumer surplus can be defined as the difference between the money consumers would be willing to spend and the actual price they are paying. This is detailed in more details below.

Economists can use two different types of demand curves: the Marshallian demand curve and the Hicksian demand curve. The Marshallian demand curve, named after Alfred Marshall, is the demand for a good when income is held constant and utility derived from the good varies. The Hicksian demand curve, named after John Hicks, is the demand for a good when the utility derived from the good is held constant and income varies. It is mathematically possible to derive one type of demand curve from the other. The type of demand curve that is considered for further economic analysis and assessment depends on the study context and assumptions. In practice, it is often easier to estimate the Marshallian demand curve empirically because it is based on observable variations in consumer surplus.

Three different measures of preferences are used in environmental valuation: consumer surplus, willingness to pay and willingness to accept. Consumer surplus is the area between a demand curve and the market price as represented in the Figure . Consumer surplus variations can be derived from observed data to estimate a Marshallian demand curve. Revealed preference methods estimate changes in consumer surplus and therefore lead to the derivation of a Marshallian demand curve.

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Figure: Consumer surplus is the area ABE and producer surplus the area EBD. The sum of consumer and producer surplus is equal to welfare (area ABD). The demand curve is a Marshallian demand curve. Source: (Emmanuelle Quillérou, 2014 personal communication). Image: Marshallian demand curve

Willingness to pay is the area under the demand curve (see Hicksian demand curve in Figure below). It is basically the amount of income the individual is willing to give up to secure a reduction in price for the same quantity provided. This is a theoretical concept which is measured in practice by what is called a compensating variation. The compensating variation is the income people would be willing to give up to prevent the loss of environmental good or service and keep the same level of utility (or level of "enjoyment"). Compensating variation refers to a change in price (income) whilst compensating surplus refers to a change in quantity of good and/or service.

Willingness to accept is also the area under the demand curve and could be represented similarly to willingness to pay in . Both willingness to pay and willingness to accept rely on changes in income to keep utility constant and are therefore linked to a

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Hicksian demand curve. Willingness to accept is basically the amount of income the individual is willing to accept to compensate for a change in price of goods and/or services. This is a theoretical concept which is measured in practice by what is called equivalent variation. The equivalent variation is the income people would be willing to accept to keep the same level of utility (or level of "enjoyment"). An equivalent variation applies to a change in price (income) whilst an equivalent surplus applies to a change in quantity of good and/or service.

In real life willingness to pay and willingness to accept do not overlap exactly despite what is theoretically suggested in the above. The direction of the change considered influences estimates of economic values. This phenomenon is called hysteresis. This is because people tend to be more willing to accept more money for an increased degradation in environmental quality compared to what they are willing to pay for a corresponding improvement in environmental quality. This leads to discrepancies economic value estimates depending on whether people are asked about their willingness to pay (for increasing environmental quality) or willingness to accept (for decreasing environmental quality).

Figure: Willingness to pay is the grey area ACD. The demand curve is a Hicksian demand curve (utility is constant and income varies). Source: (Emmanuelle Quillérou, 2014 personal communication).

Image: Hicksian demand curve

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It can be shown that:

Compensating variation < Change in consumer surplus < Equivalent variation

The theoretical derivation of this inequality is beyond this unit. This inequality implies that, in theory, a change in consumer surplus constitutes on average a good estimation of economic value. However, in practice, any of these may be underestimated or overestimated, so despite being theoretically appealing, the change in consumer surplus might not always be the best average estimate. The most appropriate measure of welfare change needs to be determined based on the specific study context. Depending on your economics background, this section might not make sense to you yet. You should try reading through the description of the different methodologies and then come back to it. It should be clearer the second time! In the end, this section should have given you a feel for the complexity of the theory behind environmental valuation methods. What is important to remember is that the method you choose influences the estimate of the economic value obtained as a result. This is because the chosen method not only influences how much of the total economic value you estimate (for either use value only, or use and non-use values), but also what kind of approach (non demand-based or demand-based) is used to estimate welfare changes and how it is measured (changes in consumer surplus, willingness to pay or willingness to accept). Additionally, because people's willingness to accept is higher than their willingness to pay, estimates of economic values depend on the question asked and the direction of the change under consideration. A good understanding of the context of your study is critical for choosing a valuation method that gives reliable and valid estimates of the true economic value.

Non-Demand Curve Approaches to Valuation

Non-demand curve approaches to valuation can refer to the use of market prices, replacement costs, dose-response methods, mitigation behaviour and/or opportunity costs to value a given good or service provided.

Market prices are the result of trade. In neoclassical economic theory, perfect competition is a necessary condition for prices to reflect the true economic value of the good or service, as if driven by an 'invisible hand'. Market prices can thus be used for environmental goods (forest) or services (timber) that are traded. Prices can be distorted compared to the true economic value by policies (minimum price or wage), market settings (monopoly, oligopoly), the mode of trade (auctions). In non-perfectly competitive markets settings (monopoly and/or oligopoly) prices are set higher than under perfect competition and are consequently also considered as distorted. Price distortions can also be introduced when goods are auctioned rather than traded under a perfectly competitive market. Taxes and/or subsidies need to be removed from market prices to estimate the true economic value. Taxes and subsidies are transfer payments within the economy and do not change society's welfare nor the true economic value of the good considered. The use of market prices is an easy enough proxy for economic value, but is not as straightforward as it first appears and should be used with caution.

Replacement costs also rely on market prices, but the value of the good or service is measured instead by how much it would cost to replace it. For instance, a forest could be valued by how much it would cost to replant it. This method relies on market prices and is thus prone to the same problems as the market price method. Replacement costs only measure a fraction of the true economic value of a good: it does not include the value of the good linked to preventing changes nor takes the demand for this good into account. For instance, benefits provided by an established forest are timber exploitation, water filtration, carbon storage, recreational and amenity values. Newly planted forests however do not provide these benefits. The value of this established forest is thus greater than the costs of seedlings (replacement costs).

Dose-response methods are based on linking a change in output - typically a change in productivity - to a change in environmental quality. Environmental quality is considered as a factor of production in this approach and increasing production has an impact on environmental quality. For instance, a paper mill produces paper but its production also create water pollution. Increasing paper production increases water pollution (decreases the environmental quality). In this example, the cost of improving environmental quality is the cost (forgone profit) of decreasing paper production. It is however not always possible to link a production output to a change in environmental quality so this approach is not always applicable.

Mitigation behaviour relates to actions that people take to avoid the negative consequences of environmental degradation.For instance, one way to mitigate the impact malaria is to limit the probability of contracting the disease, that is getting an infected mosquito bite. This can be done by using mosquito nets and repellents. The cost of malaria mitigation is in this example the cost of mosquito nets and repellents, and provides one proxy indicator (also called "proxy") for the social cost of malaria to society as a whole. The cost of malaria to society as a whole is however not limited to preventing the contraction of the disease and includes the costs of palliative care and healthcare treatments. Mitigation costs only represent a fraction of the total economic cost to society.

Opportunity costs are based on the next best alternative available (the first best alternative being the current state). This is typically used when several mutually exclusive management options exist. For example, the second best alternative to preserving a file:///F|/Dropbox/WaterHealthNewFinal/Course4/discussion/WH40M050D003challenges2.htm[11/3/2014 7:40:57 PM] WLC Template

forest can be to convert the land on which it stands to agriculture.

The profit that would be made from agricultural production represents the opportunity cost of preserving the forest. In other words, the opportunity cost of forest preservation is the forgone agricultural profit. For instance, land under forest often corresponds to lower value agricultural land, that is, land that has lower than average forgone profits. Taking the average agricultural income forgone profit as a proxy for the forest value in this case overestimates the true agricultural value of the land when converted to agricultural production. Also, if the proxy measure of opportunity cost is highly variable, its average value is not an accurate value of the true opportunity costs incurred either. Also, because agriculture is the second best use of the land after the forest, even if the true opportunity cost is estimated, it is lower than the current value of the forest. If this was not the case, then there is no reason to keep the land under forest and not clearing it.

Most of these methods are convenient for estimating economic value of environmental goods and services. They however lead to values which do not directly reflect people's preferences for the environmental good or service but rather their preferences for the proxies considered. For instance, the cost of mosquito nets is a proxy of the value of mitigating malaria. The price of mosquito nets does reflect perfectly on society's preference for mosquito nets assuming nets are traded in a perfectly competitive market but only indirectly measures of people's preference for avoiding malaria. Because of these drawbacks, economists have favoured the demand-based methods which rely on the elicitation of people's preferences as described in the next section.

Revealed preference method: the Hedonic Price Method

Hedonic pricing is one of the two revealed preference methods. It is based on the use of a surrogate market with actual (observed) market behaviours to estimate the value of non-marketed goods (referred to as "characteristics" for this method). This method relies on the assumption that people value a good based on the sum of its characteristics. Welfare changes are measured by changes in consumer surplus. The most cited contributor to the development of this method is Lancaster (1966).

The hedonic price method consists of one generic and two specific steps:

Step 0 – Build the survey and sampling plan to collect data on the good's price, the good's levels (quantities) of individual characteristics, respondent's characteristics and timing of survey

Step 1 – Estimate the "hedonic price function", that is, price as a function of the characteristics

Step 2 – Estimate the inverse Marshallian demand equation, that is, price as a function of quantity

Step 0 is in most textbooks not considered to be an actual step of the hedonic price methodology. Step 0 consists in: i) identifying the environmental characteristic to be valued, the surrogate market good with this environmental characteristic, and the stakeholders (users as this is a use value method) to state explicitly how "society as a whole" is defined; ii) designing a survey (questionnaire) and a sampling plan; iii) creating a database with the collected data. This step is not specific to hedonic pricing but is essential to obtain representative data to derive reliable and valid estimates of economic values. Step 0 leads building the hedonic price database required to undertake both steps 1 and 2. A hedonic price database typically includes the price (e.g. a house price) and levels (quantities) of individual characteristics of the good (e.g., number of rooms, distance to nearest school, percentage of sea view), respondent characteristics (income range, age, education level), timing of the survey (spring, summer, fall, winter).

Reliable and valid estimates can be extrapolated from a sample to the overall population. Estimates are said to be (statistically) reliable when repeated measures lead to the same value, in other word when results can be replicated. Estimates are said to be (statistically) valid when their value is close to the true unknown value. There are two ways of ensuring collection of data representative of the overall population. The first is to design a sampling plan to collect data from a representative sample from the population (in this context "society as a whole") before data collection. The second is to collect data on respondents and check that average values and distributions of each respondent characteristic match those of the population after the data is collected. This is often done by asking respondents to provide characteristics about themselves: the area where they live, their income range, their age, their education level, in other words anything that might make preferences vary across individuals. We also need to take seasonal variations into account as they could influence people's willingness to pay. Respondent characteristics and time patterns are typically included into regression analysis to "control for variation" and derive reliable and valid estimates.

Step 1 is often referred to as the first stage of the hedonic price method. It consists in regressing the price of a good (e.g. a house)

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on its characteristics (size of the house, number of rooms, distance to the nearest school, distance to the park considered, distance to other parks). The coefficient of one characteristic estimated by the regression corresponds by assumption to a marginal willingness to pay, i.e. the marginal unit price for each characteristic (e.g. price paid for an extra square meter, price for an extra room, price for an extra meter to the nearest school). This method often assumes a specific relationship between the overall (known) price and its characteristics, which is mathematically modelled by a specific functional form. You need to refer to an econometrics course for more details on potential functional forms and estimation techniques. The influence on the coefficient values of this assumed relationship can be tested by changing the functional form adopted.

Step 2 is often referred to as the second stage of the hedonic price method. Willingness to pay is the area under the demand curve. Knowing willingness to pay, we can easily derive the demand curve using mathematical techniques. Step 2 consists in using the marginal willingness to pay (characteristic coefficients) estimated in Step 1 as parameters in the estimation of an inverse Marshallian demand equation. In other words, this step assumes that the price of the characteristic is a function of the quantity of this characteristic as well as other parameters that can influence demand for a good or characteristic. The variables used for Step 2 regression need to be independent from the variables used in Step 1. Step 2 regression ideally includes variables such as income, quantities and prices of substitute and complementary goods, tastes, the type of environmental good considered ("normal", "inferior", or "superior" good). As this second-stage is often not undertaken in practice, further details are beyond the scope of this unit.

Step 1 is prone to the following limitations. First, it relies on a surrogate market. This market needs to be perfectly competitive so that prices reflect the true economic value of the good. If not, then a bias is introduced in the estimation of the willingness to pay (Step 1). This in turn causes to a bias in the estimation of the demand curve (Step 2). The second limitation is linked to the functional form chosen in Step 1. Depending on the functional form chosen, the marginal prices of characteristics can vary drastically. The robustness of the results obtained in Step 1 can be assessed by repeating the regression for several functional forms. The third limitation is linked to the fact that the hedonic method relies on the explicit underlying assumption that the value of the good is equal to the sum of its characteristics'. This assumption is often not met in real-life, as the sum of the parts (characteristics) is very often greater than the total (the observed price). By design, the hedonic price method also only allows to estimate the use value but not the non-use value of an environmental characteristic. The non-use value can be just as high (if not higher) than the use value depending on the context. Not taking it into account is therefore limiting and does not reflect the full economic value to society.

Step 2 is prone to the following limitation: it is not always possible to include variables that influence demand not correlated to those used in Step 1 in Step 2.

Also, the hedonic pricing method relies on deriving a price for individual characteristics from a surrogate good with an observed market price. This market price is the result of the interaction of both demand and supply for the surrogate good. The willingness to pay for each attribute estimated in the hedonic price function is therefore a proportion of market equilibrium prices. This leads to the derivation of a demand curve based on a series of market equilibrium points and not just demand. In economics, demand and supply are assumed independent one from the other and should therefore be estimated separately in theory. This is not fully the case in the hedonic price method and this method is therefore not theoretically optimal despite being suitable for empirical analysis.

Revealed preference method: the Travel Cost Method

The travel cost method is the second revealed preference method. The idea behind this method is that the more people pay to travel to a site of interest, the more that site is economically worth to society as a whole. This method is therefore based on the use of the travel cost to estimate the value of non-marketed goods and relies on surveys. The Marshallian demand curve is derived by relating the number of visits (quantity) to the costs of each visit (price). As for the hedonic price method, this method measures welfare changes through changes in consumer surplus.

The travel cost method consists in one generic and two specific steps:

Step 0 – Build the survey and sampling plan to collect data on the origin of travel, journey cost and time, number of visits, distance to substitute goods, respondent's characteristics and on the timing of survey

Step 1 – Estimate the cost of one trip as a function of the number of visitors, also called distance decay curve

Step 2 – Estimate price as a function of quantity following the introduction of a hypothetical entry fee that is the inverse Marshallian demand equation

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Step 0 is not specific to the travel cost method and consists of the same steps as the hedonic method, the only difference being that the survey questions focus on travel cost and time rather than surrogate good prices and characteristics. Step 0 leads building a travel cost database that allows us to undertake both steps 1 and 2. For this we need the origin of each respondent's journey to the site of interest (e.g. from their home or hotel to the park or reserve), the journey cost and time, the number of visits for a given time (week, month, year), the distance to substitute goods (e.g. another nearby park), some respondent characteristics (income range, age, education level) to control for variations between individuals and the time of year the survey was taken to control for seasonal patterns in usage. Time needs to be transformed into a monetary value to be added to the observed cost of travel stated by the visitor. This is often done by taking the opportunity cost of time, that is the forgone benefit derived from the next best alternative. In the case of travel costs, the alternative to travelling is working and the opportunity cost of time is measured by the working wage forgone.

Step 1 relies on a regression of the number of visitors or visits per level of travel cost. You need to refer to a more specific econometrics course for more details on regression techniques. In the following example, step 1 has led to determine that, out of the total 200 people coming to visit the reserve, 100 people pay $1, 60 people pay $2, 40 people pay $3 and none pay $4 or over. This is summarised in Table .

Table: Example of a travel cost table of results. Source: (Emmanuelle Quillérou, 2014 personal communication).

Travel cost Number of visits

$1 100

$2 60

$3 40

$4 and over 0

Total = 200

From this, the total number of visits to the site can be graphically represented for a given travel cost (seeFigure ). Typically, the more expensive the travel journey, the lower the number of visitors coming to the site. This curve is called the distance decay curve.

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Figure: Distance decay function derived from the application of the travel cost method. Source: (Emmanuelle Quillérou, 2014 personal communication). Image: decay curve

Step 2 consists in introducing an entrance fee to the site and using the results from step 1 to derive the number of people that would come to visit the site for this entrance fee. Introducing an entrance fee of $1 means that people formerly paying $1 travel cost now pay a total of $2. Step 1 of this example has established that 60 people come to visit the reserve at a total cost of $2. The same reasoning can be applied to people formerly paying $2 and over. The number of people paying a $0 entrance fee is the total number of people surveyed, potentially extrapolated to a larger population. The results are summarised in the Table below, with the number of visits to the reserve for a given total cost. Table: Computation of the total number of visits for a $1 entrance fee. Source: (Emmanuelle Quillérou, 2014 personal communication).

Entrance fee Travel cost Total cost Number of people

$1 $1 $2 60

$1 $2 $3 40

$1 $3 $4 0

Total = 100

Applying the same reasoning for a $2 entrance fee and for a $3 entrance fee, the overall results shown in the Table are obtained.

Table: Total number of visits for each level of entrance fee. Source: (Emmanuelle Quillérou, 2014 personal communication).

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Total number of Entrance fee people

$0 200

$1 100

$2 40

$3 0

The results in the above able have been graphically represented in the Figure below to visualise the demand function for the reserve. This is not the same as the distance decay function from Step 1 because entrance fees have been introduced and the number of visitors to the reserve refers to a level of entrance fee rather than a travel cost.

Figure: Marshallian demand curve derived from the application of the travel cost method. Source: (Emmanuelle Quillérou, 2014 personal communication).

Image: Marshallian demand curve of travel costs

The travel cost method applied to individual visitors is referred to as the individual travel cost method. Visitors can also be grouped by zone of origin, i.e. zones defined for a common range of travel distance or travel time. This application is referred to in the literature as the zonal travel cost method. The zonal travel cost method has been initially designed and favoured because of limited spatial information available. Both variations of the travel cost method (individual and zonal) rely on the same steps described above, he only difference being whether individuals are aggregated for travel cost estimation or not. Choosing one or the other depends on the context of the study and available data. Data availability and computing capacities permitting, the individual travel cost method should be preferred to the zonal travel cost method.

One of the main problems faced when applying the travel cost method is the valuation of the journey time into money units. The value of journey time is often valued based on its opportunity cost. Some people enjoy the journey just as much as the destination and the value of time measured in money therefore changes from one person to the other. It is not always easy to isolate the time and costs relating to visiting a specific site, especially when people make multi-purpose trips. This is because the journey time and costs are shared across several sites and the relationship between travel costs and utility derived from the site is not as direct as file:///F|/Dropbox/WaterHealthNewFinal/Course4/discussion/WH40M050D003challenges2.htm[11/3/2014 7:40:57 PM] WLC Template

for a single purpose trip. Also, seasonal patterns and socio-economic factors need to be taken into account so as to derive a meaningful value from the extrapolation of survey results to a whole population for a year.

By design, and similarly to the hedonic price method, the travel cost method allows the estimation of a use value only. The non-use value can be just as high (if not higher) than the use value depending on the context. Not taking it into account can therefore be limiting because is does not reflect the full economic value to society.

Stated preference method: the Contingent Valuation Method

The Contingent Valuation method is one of the two stated preference methods. a stated preference method because it does not rely on a surrogate markets to "reveal" preferences but is based on a statement of how much (or rather how much more) respondents would be willing to pay.

The Contingent Valuation method is based on establishing a credible hypothetical market and asking people to state how much they are willing to pay to conserve a given non-marketed good or to accept a reduction in provision in order to estimate the economic value of this good.

Welfare changes are measured through changes in willingness to pay (accept). In theory, an income-compensated Hicksian demand curve can be mathematically derived by integrating the willingness to pay (accept) function. However, in practice this is not often done and the average or median willingness to pay (accept) is directly taken as a proxy for the economic value to be used in cost-benefit analysis.

The contingent valuation method consists of four steps:

Step 1 – Set up the hypothetical market by describing the environmental good, the institutional context and a credible payment vehicle.

Step 2 – Build the sampling plan of survey respondents and collect survey data on the levels of environmental provision, obtained bids and respondent's characteristics

Step 3 – Estimate mean and median willingness to pay (accept)

Step 4 – Estimate the bid curve i.e. the willingness to pay (accept) as a function of respondent characteristics (income, age, education) and the level of environmental quality, then aggregate the data

Step 1 relies on building a hypothetical market for survey respondents to make credible bids. This involves describing this hypothetical market with the appropriate level of details, so respondents can make informed choices. This hypothetical market has three components: (i) a description of the environmental good or service, (ii) a description of the institutional context in which the environmental good or service is to be provided and (iii) the method of financing or payment vehicle. Focus groups representative of the society considered are useful in testing and refining the hypothetical market set up and description.

The description of the environmental good or service specifies precisely the current state of the environmental good or service, the consequences of a change for this state and who the change is likely to affect. It can be a simple text description but photos or animated films can also be used to show how changes impact the current state. It also needs to clearly identify the time at which benefits from the change would arise as this might influence the respondents' willingness to pay. For example, you may be willing to pay more for benefits (e.g., replenish fish stock) arising within 5 years than in 10 years time only.

The institutional context refers to whether the good or service is managed by a public body, a private firm, a stakeholder cooperative or individual stakeholders. People have preferences for these types of organisation and these preferences are reflected in their bids. Specifying this clearly is thus essential to obtain valid and reliable estimates of willingness to pay (accept).

The payment for the environmental good depends on the study context and the type of value targeted (use or non-use). Payment can be made through various payment vehicles such as entrance fees, local property taxes, national income taxes, sales taxes, development aid or special international funds, in-kind donations of labour or local subsistence crops. Similarly, the willingness to accept payment can be made as a lump sum, tax credits or tax reductions, in-kind donations of labour or local subsistence crops.

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The choice of a financing method influences the bid levels because of varying distributional effects on the population. The payment vehicle needs to be clearly identified in the hypothetical market set up.

Step 2 starts with the building of the sampling plan, in order to obtain representative bids for the whole population. There are different ways to conduct the survey but delivering it through face-to-face interviews often ensures a higher level of responses and helps better assess the respondent's understanding and commitment to the problem of interest. The goal is to obtain bids for each level of environmental provision described in the survey as well as data on the respondent's characteristics (income, age, educational level) that could influence how much they bid. They are several ways of deriving bids: as a bidding game, as a close- ended referendum with yes/no answers, as a payment card with a range of values, as an open-ended question.

Step 3 consists in estimating the average and median willingness to pay (accept). You need to refer to a more specific econometrics course for more details on regression techniques. The mean and median willingness to pay (accept) are estimated from the descriptive statistics or from the regression depending on the survey questions. Protest bids - that is bids of zero that do not reflect a zero value but rather a refusal to answer - are usually ignored in order to compute the mean and median willingness to pay (accept). If close-ended yes/no questions are used, a discrete choice model can be used to statistically (econometrically) estimate the probability of making a non-zero bid (or "yes" answer) as a function of environmental quality, income-level and respondent characteristics. In this case, the area under the curve gives the mean willingness to pay.

Step 4 consists in estimating the bid curve i.e. using a regression to estimate the willingness to pay (accept) as a function of respondent characteristics (income, age, education) and the level of environmental quality. This allows us to estimate how the willingness to pay (accept) varies with different levels of characteristics. The data can then be easily aggregated to derive an estimate of the total willingness to pay (accept). To be able to aggregate results and derive valid and reliable estimates of economic values implies that the population of reference (i.e. society as a whole) has been identified, that the mean willingness to pay of the population can be derived from the sample mean and that the time period over which the benefits are gained is well identified.

Although fairly straightforward in its design, the contingent valuation methodology is prone to many biases (a form of measurement error) and its application can be tricky. Firstly, the method is prone to design biases. These biases are a result of the hypothetical nature of the market, the strategic behaviour of the respondents and interviewer, the "warm glow" effect (i.e. feel-good factor from giving money to what is perceived as good cause) or a social desirability effect. This can lead to respondents providing higher (or lower) estimates than they otherwise would. The chosen starting point, chosen payment vehicle, type of questions asked, scale, scope, sequencing and context also affect the willingness to pay (accept) estimate.

Secondly, the method is also prone to several information biases. The quantity and quality of information embedded into the hypothetical market specification and provided to respondents has been shown to influence willingness to pay (accept) estimates. This may represent more information or different information than respondents would be faced with in the real world. This might lead to economic values that do not represent preferences of society as a whole but rather values of specific stakeholder groups.

Thirdly, the Contingent Valuation is prone to the part-whole bias. This refers to the fact that the sum of values of individual components of a good (e.g. elements of a landscape such as crops, trees, biodiversity) is greater than the value allocated to the good as a whole (e.g. landscape).

Fourthly, the market set up is hypothetical and respondents might provide estimates of their willingness to pay that are also hypothetical and might not materialise in real-life when the hypothetical market is implemented. This is especially true when the change considered is very risky or very political and more respondents make protest bids.

A fifth step could be included to assess the reliability of the Contingent Valuation exercise in terms of the answers gathered and the credibility of the values obtained.

Stated preference method: Choice experiment

Choice experiment, also called choice modelling or conjoint analysis, is the second stated preference method. It was designed to overcome the warm glow and part-whole biases of the contingent valuation method by making respondents explicitly choose between alternative scenarios. These scenarios include levels of environmental or non-environmental attributes and a level of payment which varies between scenarios. The choice experiment method forces respondents to trade-off explicitly different

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proposed scenarios, thereby revealing their preferences for overall scenarios and individual attributes of the scenarios. For the same reasons as the Contingent Valuation method, it is a stated preference method. By varying the scenarios for each respondent and across the different respondents, the willingness to pay (accept) for each scenario and each attribute can be statistically estimated.

Welfare changes are measured through changes in willingness to pay (accept). In theory, the income-compensated Hicksian demand curve can be mathematically derived by integrating the willingness to pay (accept) function. However in practice this is not often done. The main interest of using the method is to obtain a proxy for the economic value from the change in welfare induced by a change in environmental provision: the average or median willingness to pay (accept) is often directly plugged into a cost- benefit analysis without going through a formal estimation of demand and supply.

The choice experiment method consists of four steps:

Step 1 – Identify the current situation, likely changes and their consequences. These help to identify attributes, attribute levels and payment levels for each scenario

Step 2 – Build unique choice cards by selecting combinations of scenarios (i.e. a bundle of attribute and payment levels)

Step 3 – Design the survey instrument with the following five sections: i) describe the changes and their consequences, ii) describe the method of payment, iii) select a set of choice cards for each respondent, iv) add questions to elicit the respondent's attitude and v) finish with questions on the respondent's characteristics (income, age, education)

Step 4 – Estimate willingness to pay and aggregate the results

Step 1 consists in developing an understanding of the context of the study, which is just as important as for any other piece of research. This step prepares for the description of the study context to be provided to the respondents. It is critical as it is used to identify the individual building blocks to establish the scenarios provided to the respondents, which have been summarised in Table below. This identification can rely on selected representative focus groups.

Table: Identification of attributes, their current level or (most likely) levels for a given change. Source: (Emmanuelle Quillérou, 2014 personal communication).

Attributes Levels

a1 1, 2, 3

a2 1, 2, 3

a3 1, 2, 3

Payment p1, p2, p3

Table: Example of land-based attributes from a case study. Source: adapted from Borresch et al. (2009, Table 2 Indicators for the included Landscape Functions page 4)

Landscape Values/Levels Explanation function/characteristic

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Plant biodiversity · 170 plants/km² Absolute number of plants investigated per km² · 190 plants/km²

· 205 plants/km² (status quo)

· 225 plants/km²

· 255 plants/km²

Animal biodiversity · 50% of desired population Percentage of desired population of eleven indicator bird species · 70% of desired population (status quo)

· 80% of desired population

· 90% of desired population

· 100% of desired population

Water quality · Less than 10mg Nitrate/l Water quality measured as the content of nitrate/l due to · 10-25mg Nitrate/l communication with respondents

· 25-50mg Nitrate/l

· 50-90mg Nitrate/l

· More than 90mg Nitrate/l

Landscape aesthetics · Status Quo Landscape options were presented with images in the · Multifunctionality scenario survey.

· Grassland dominated scenario

· Intensity scenario (with increased field sizes)

· High price scenario (with increasing percentage

· of cereals)

Price variable · 0/€/household/year Costs for provision of presented landscape options per household · 40€/household/year and year.

· 80€/household/year

· 120€/household/year

· 160€/household/year

· 200€/household/year

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Step 2 consists in building unique choice cards by selecting combinations of scenarios from all the possible scenarios. Each scenario is a bundle of attributes and payment. Table 8 provides an example of attributes from an existing choice experiment. The Table below represents the typical structure of a choice card. You may have even been asked to fill in one of those before, without knowing how researchers would analyse these!

Table: Example of a choice card structure. am_k refers to attribute m, level k; and pj to the payment level. Source: (Emmanuelle Quillérou, 2014 personal communication).

Scenario 1 Scenario 2 Scenario 3

Attribute a1 a1_1 a1_1 a1_3

Attribute a2 a2_3 a2_2 a2_1

Attribute a3 a3_1 a3_1 a3_2

Payment p1 p2 p1

Tick one box corresponding to o o o your preferred scenario

There are several methods to select attributes and build up the choice cards but this is beyond the scope of this unit. One constraint is that the attributes and their levels need to be orthogonal, that is, any attribute is fully independent from all others. This is a necessary condition to be able to correctly measure the trade-off between attributes and estimate a willingness to pay. This approach is very computationally demanding and a newer approach - called efficient designs - has been developed more recently. The efficient designs approach consists in making assumptions on the sign and relative magnitude of the willingness to pay (accept) coefficient for each attribute. This approach has been recently shown to lead to more efficient estimates of willingness to pay (accept).

Step 3 is the design of the survey instrument (questionnaire). As for contingent valuation, it is necessary that the respondent understands the problem fully and gives a credible and accurate answer reflecting their actual - rather than hypothetical - willingness to pay. Also as for contingent valuation, the survey instrument includes a description of the current state, likely changes and their positive and negative consequences. It should include just enough information so that the respondent gives an answer as close to a real-life setting as possible. Respondents are often presented with several choice cards. One respondent faces several choice cards and no two respondents face the same set of choice cards. This ensures enough variability in the answers provided to undertake a reliable and valid estimation. Questions on the respondent's attitude towards change and/or conservation can be included to better assess the credibility of the answers provided and provide information on reasons behind choosing one or another alternative. As for all environmental valuation methods, the survey finishes with questions on the respondent's characteristics (income, age, education…). This survey may be delivered face-to-face for increased effectiveness and better direct assessment of answer validity and accuracy. A pilot questionnaire can be tested on representative focus groups to identify how to improve the questionnaire before the formal data collection.

Step 4 consists in estimating the willingness to pay and then aggregating the results. Depending on the specific format of the choice card, discrete models (logit, probit), paired-comparison models or random utility models can be used to statistically estimate the marginal willingness to pay associated with each attribute. You need to refer to a more specific econometrics course for more details on these estimation techniques. Aggregation of the results to derive the total willingness to pay depends on the assumptions on the marginal willingness to pay. Willingness to pay typically decreases with increasing scale or scope: the willingness to pay per hectare is higher for small sites (scarcer resources) than for bigger sites (less scarce). The total willingness to pay for the bigger site is typically lower than the willingness to pay per hectare in the small site multiplied by the surface of the big site. Extrapolation of a willingness to pay value from a small site to a bigger site needs to take this into account.

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Like the contingent valuation method, the choice experiment method captures the non-use value of a good or service. The choice experiment method also relies on a hypothetical market set up in experimental conditions and may be prone to biases. This method is very demanding in terms of data and data collection. It requires a high level of human, institutional and computational capacity because of the specific statistics and technical skills involved. Because respondents are requested to make explicit choices between scenarios, this method also relies on the assumptions that preferences are both stable (i.e. which do not change in time) and consistent (i.e. if scenario A is preferred to B, and B is preferred to C, then A is preferred to C). This has been proven not to always be valid in real-life and these assumptions should be checked upon using statistics or checking individual answers.

Benefit transfer

Economic valuations can be costly in terms of financial, time and human resources. Benefit transfer offers a cheaper alternative to other valuation methods as it reuses already available information. As a result, benefit transfer shows great potential for development as well as integration of environmental valuation into policy-making. The method has developed in relation to valuing demand for (rather than supply of) environmental goods and services. Benefit transfer simply consists in "transferring" economic values from one case study with a known non-market economic value to a similar site to be valued in monetary terms. This transfer of values can be in theory made across time, space, populations and sometimes across ecosystem goods.

Benefit transfer consists of two steps:

Step 1 – Identify a case study of reference as a source of economic value for the non-marketed good of interest (site 1)

Step 2 – Transfer the economic value from the case study of reference to the case study to be valued (site 2)

Benefit transfer can be undertaken by identifying two sites (Site 1 and Site 2) that are similar in terms of the environmental goods and services they provide. If they have similar population sizes and characteristics, the transfer is simply the allocation of Site 1's economic value to Site 2. If Site 1 and Site 2 have different scales and/or scope (i.e. Site 1 is 1 ha and Site 2 is 100 ha and/or Site 1 has 1 environmental good and Site 2 has 10), the known economic values of Site 1 obtained by other valuation methods need to be extrapolated before allocation to Site 2. This is so that the value allocated to Site 2 from Site 1 reflects its true economic value. Sites can often be quite different and located in regions or countries with very different populations and incomes. Meta-regression models have been used to transfer values by controlling for some of the main factors of variation such as income level. You need to refer to an econometrics course for more details on how to estimate the economic value for the case study of interest using meta-analysis.

Despite its theoretical appeal and potential, benefit transfer is still prone to scale, scope and sampling effects. These can impair the derivation of reliable estimates of environmental values and thus need to be tested for. In practice, adjustment factors might be required for benefit transfer which depend on the change in scale considered. Whether or not to adjust values for accurate extrapolation and how to best do so still needs to be dealt with on a case-by-case basis.

Multi-criteria analysis

Multi-Criteria Analysis (MCA) or Multi-criteria Decision Analysis (MCDA) is a semi-qualitative procedure used to compare or determine overall preferences between alternative and often conflicting options. It helps identify a preferred option in multi- disciplinary contexts without requiring agreement on the preferred option or how to weight assessment criteria or how to value all criteria in monetary terms. Assessment criteria can be quantitative or qualitative (score) and can relate to social, technical, environmental, economic and financial changes. It is easy to use and has a wider scope than cost-benefit analysis because it includes qualitative as well as quantitative data.

Multi-criteria analysis is not an environmental valuation method as such but rather helps identify preferred scenarios without using economic valuation techniques. It is used as an alternative to cost-benefit analysis. It can however be seen as the ancestor of the choice modelling method because of it similar structure, hence its description here. It does not involve a variation of attribute and price levels but rather assesses options (scenarios) along several quantified or scored criteria (attributes). This method can be used as a preliminary to environmental valuation to screen scenarios and identify a preferred scenario and its criteria to be economically valued for more formal economic assessment.

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Multi-criteria analysis consists of three steps:

Step 1 – Determine alternative options (scenarios) and criteria (attributes) for appraisal

Step 2 – Measure criteria or indicators, physically, in monetary terms of by scoring them

Step 3 –Aggregate the criteria values for each option by weighting the criteria and select the option with the highest score

Step 1 identifies potential options (scenarios) as well as criteria or indicators to assess whether these options are socially desirable or not. For instance, Option 1 could correspond to a business-as-usual scenario with a reduction in productive land area of 10% per year, Option 2 to actions leading to a 5% decrease in productive land area per year, Option 3 to actions leading to a 0% decrease in productive land area per year. Examples of criteria to assess whether these options are socially beneficial are: the number of land-based jobs lost because of the reduction in productive land size, the number of jobs created by establishing alternative land-based livelihood options (economic activities), the likelihood of floods, pollution levels, recreational and cultural activities… The general structure of a multi-criteria analysis is represented in theTable below.

Table: Example of a multi-criteria analysis structure. Source: (Emmanuelle Quillérou, 2014 personal communication).

Option 1 Option 2 Option 3

Criteria c1

Criteria c2

Criteria cn

Step 2 involves putting a quantitative or qualitative value for each criterion and each option. Ideally, the more socially desirable the outcome, the higher the criterion value to ensure consistency of ranking across the different criteria. What really matters are the relative variations for a given criterion between options - that is, the trade-off between 2 options for a given criterion. For instance, Option 1 is associated with losing 10 land-based jobs, Option 2 with losing 8 jobs and Option 3 with losing no job. To obtain the right ordering between options, a score of 0 (=10-10) can be given to option 1, 2 (=10-8) to option 2 and 10 to option 3 (=10-0). A similar ranking process can be applied to each criterion seeTable below.

Table: Example of multi-criteria analysis criteria. Source: (Emmanuelle Quillérou, 2014 personal communication).

Option 1: Option 2: Option 3:

Business-as-usual 5% decrease in land 0% decrease in land scenario, 10% area per year area per year decrease in land area per year

Criteria c1: loss of land-based 0 2 10 jobs (score)

Criteria c2: likelihood of floods 80% 60% 30%

Criteria c3: loss of recreational 40% 5% 1% and cultural activities

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The absolute value of one criterion might affect the overall outcome if it is too different from the others. That is, if all criteria but one have their values between 1 and 10 and the last criterion has values between 100 and 200, this last criterion affects the final choice of option. A change of scale for this criterion can effectively solve this scaling problem.

Step 3 involves determining weights for each criterion. This can be done through selected focus groups and for various stakeholders. Ideally the final mix of stakeholders should be representative of society as a whole. Each individual stakeholder can assign weights to each criterion. The weights are then aggregated to derived mean weight across all respondents for each criterion. The scores are then computed for each option as the weighted sum of the criterion values seeTable below. The highest value corresponds to the most socially desirable option, either for one stakeholder group or society as a whole depending on the nature of the respondent.

Table: Example of the general outcome from a multi-criteria analysis for selection of the most socially desirable option. Source: (Emmanuelle Quillérou, 2014 personal communication).

Criteria Weight Option 1 Option 2 Option 3

Criteria c1 w1 c1_1 c1_2 c1_3

Criteria c2 w2 c2_1 c2_2 c2_3

Criteria c3 w3 c3_1 c3_2 c3_3

Criteria c4 w4 c4_1 c4_2 c4_3

w1*c1_1 w1*c1_2 w1*c1_3

+ w2*c2_1 + w2*c2_2 + w2*c2_3 VALUE (SCORE) OF OPTION + w3*c3_1 + w3*c3_2 + w3*c3_3

+ w4*c4_1 + w4*c4_2 + w4*c4_3

This method also has its limits. There is a risk of double counting for overlapping objectives. It relies on expert judgement which does not always correspond to preferences of society as a whole. The ordinal scoring of qualitative impacts is potentially too arbitrary. Where significant differences in weightings occur between particular groups, preferred scenario might drastically differ between groups. It might be difficult to derive a scenario that would be acceptable to all groups. Finally, this method is subject to small sample biases which arise when the sample is too small to allow for extrapolation to the entire population.

QUESTIONS For Self Assessment

1. True or false. Total Economic Value = Use value + Non use value

Answer: True.

2.True or false. There are two types of valuation methods: the non demand-based methods and the demand-based revealed preference methods.

Answer: False. There are three types of valuation methods: the non demand-based methods and the demand-based revealed preference methods and the demand-based stated preference methods.

3. True or false. Different methods are based on different measures of welfare changes, which can lead to differences in the

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economic values estimated between methods.

Answer: True.

4. Multi Responses. Which methods are non-demand curve approaches to valuation? Select as many as appropriate.

(a) Market prices

(b) Contingent valuation

(c) Benefit transfer

(d) Replacement costs

(e) Hedonic pricing

(f) Travel cost

(g) Dose-response methods

(h) Mitigation behaviour

(i) Opportunity costs

(j) Choice Experiment

(k) Multi-criteria analysis

Answer: a, d, g, h, i. Hedonic pricing and Travel costs are revealed preference methods and Contingent valuation and Choice Experiment are stated preference methods. Multi-criteria analysis is not a valuation method.

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Water and Health - Challenges

Environmental Valuation - An Economist's Approach Cost-benefit analysis

This section is a brief introduction to the principles behind cost-benefit analysis and the type of conclusions that can be derived from it. Cost-benefit analysis is often used to assess whether a project, an action or a planned change are worth implementing compared to doing business-as-usual. More specifically, this section describes how to undertake a financial cost-benefit analysis from actual (financial) prices, and then how to adapt it to the viewpoint of society as a whole to derive an economic costs-benefit analysis (also called social cost-benefit analysis). This section is meant to provide a guide to critically analyse an existing cost- benefit analysis or to conduct one.

Cost-benefit analysis is often used to assess whether a project, an action or a planned change are worth implementing compared to doing business-as-usual.

Section Learning Outcomes

By the end of this section students should be able to:

· Describe the cost-benefit analysis framework

· Identify relevant stakeholders, area of interest and a timeframe

· Identify and value costs and benefits with and without project

· Describe how to structure a financial cost-benefit analysis

· Explain why economists use discounting and its consequences for consideration of future generations

· Calculate financial indicators to assess if it is worth undertaking the project

· Explain why sensitivity analysis is important and how to undertake it

· Describe the steps involved in adapting a financial cost-benefit analysis to obtain an economic cost-benefit analysis

Identification of Stakeholders, area of interest, and timeframe

Firstly, as for any good study, it is important to understand the context in which the assessment is to be done very carefully and thoroughly. A good understating of the study context is essential to build a cost-benefit analysis that closely matches real-life conditions and derive reliable results for informed decision-making. Failing to do so invariably leads to inaccurate and/or misleading outcomes with policy-makers and project managers taking the wrong decisions. As well as a waste of financial and human resources, consequences of these ill-informed decisions can be disastrous especially for vulnerable populations (e.g. the poor). So it is very important to do a good job from the start and get it right!

Cost-benefit analysis is a tool that helps assess whether a project is worth undertaking compared to business-as-usual. As part of the context analysis, the area of interest (project scale) and the main stakeholders should be clearly and explicitly identified. The main stakeholders often include local communities, local or national government bodies, non-governmental organisations (NGOs), donors... Participation of local stakeholders into the cost-benefit analysis process can often help identify who should be considered as impacted by the project and with what scale/scope. Including the right people form the start help raise awareness about the project. This is also helpful to calibrate the cost-benefit analysis so as to more closely match real-life conditions and derive results that leads to good decision-making.

It is also very important to consider on what timescale the change (project) occurs in order to give an appropriate timeframe to the cost-benefit analysis. Again, this can be fostered by stakeholder participation for greater assessment accuracy.

The constraints faced by stakeholders, the area of interest and the chosen timeframe impact the amounts and variation of costs and benefits across stakeholders, space and time. These constraints should also be identified as part of the context to better frame

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the cost-benefit analysis and potential associated risks.

Identification of "with project" and "without project" scenarios (i.e., business as usual)

With project net benefits = With project benefits With project costs Without project net benefits = Without project benefits Without project costs Incremental net benefit = With project net benefits Without project net benefits

Cost-benefit analysis is a method derived from accounting. It is used by policy-makers and project managers to assess whether an action, planned change or project is worth undertaking. This framework of analysis considers that a project is worth undertaking if the net benefits derived from it are greater than the costs. This is often undertaken separately for each stakeholder or group of stakeholders. Costs and benefits of the project are to be identified as clearly and precisely as possible. They can be broken down into as many categories as appropriate. They can be calculated from individual prices and quantities. The net benefit derived from the project is computed as follows: With project net benefits = With project benefits With project costs

Even if we keep doing business-as-usual, benefits and costs vary from one year to the next. The likely pattern of variation in costs and benefits (or in prices and quantities) needs to be identified. Similar to the with project scenario, the without project (or business-as-usual) net benefit can be computed as follows: Without project net benefits = Without project benefits Without project costs

A cost-benefit analysis compares the net benefit derived from implementing the project to the without project net benefits for each stakeholder (or each stakeholder group). That is the incremental net benefit is derived as follows:Incremental net benefit = With project net benefits Without project net benefits

The idea is that the project is worth undertaking if the incremental net benefit is positive, i.e. if the net benefits are greater for the with project scenario than for the without project scenario. This requires knowledge of the economic values for the costs and benefits and their timing as detailed in the following sections.

Which costs and which benefits?

Benefits and costs can be estimated from unit quantities and prices. The Table below shows examples of quantities and unit prices that can be used to estimate costs and benefits for a range of land uses. For example, the benefits associated with are agricultural yields times the number of hectares cropped times the price per ton of crop. For a national park, benefits correspond to the number of visitors times the entry fee charged per visitor. The benefits derived from carbon storage are the number of tonnes of carbon stored times the price for each tonne of carbon.

Table: Example of quantities and prices to estimate costs and benefits for a range of land uses. Source: (Emmanuelle Quillérou, 2014 personal communication).

Type of land use: Agriculture National park or Carbon storage conservation area

Benefits

Quantity Crop yield (tonnes/ha) times number of visitors (country Number of tonnes of carbon area cropped (ha); number of nationals, foreign tourists…) stored animals (kg of meat)

Price Market price for crops; Market entry fee per visitor; Carbon market price price for animals; Market willingness to pay per visit (if (per quantity unit) price for meat no entry fee charged)

Variable Costs

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Quantity Quantity of agricultural inputs Number of park employees Number of trees planted (fertiliser, water, seeds, (park rangers, welcome animal feed and fodder, fuel centre…) and machinery, family labour, hired labour…)

Price Market price per unit Labour wage Price per tree seedling agricultural input; labour wage (per quantity unit)

Costs can be decomposed into variable costs and fixed costs. Variable costs vary with the quantity used (the higher the quantity used, the higher the cost). Fixed costs do not vary with the quantity used (e.g., insurance, building depreciation…).

The gross margin and net income can then be computed for a given year as follows:

Gross Margin = Benefits - Variable costs

Net income = Gross Margin - Fixed costs

Time Preference and discounting to compare values

Let us start with an example to help understand what time preference is:

- If you are given $10 today, would you take the money? Yes!

- If you are given $10 but you can choose between receiving this money today or tomorrow, when would you take it? You would probably choose to have it today rather than tomorrow but waiting till tomorrow should be fine too.

- Taking this further, if you have to choose between receiving $10 today or next year, you would most probably choose to have the money today rather than next year. Now, if you could choose between receiving $10 today or $11 next year, what would you choose? And what if I offered you $20 next year instead?

Your choice on whether to take the money now or later depends on both how long you have to forego the money for and how much more money you receive to compensate for that extra waiting time. This is the same principle behind earning interest on your savings in a bank account: the bank pays you extra for leaving your money in your account to compensate for you not spending it today. In economics, the trade-off made between receiving money now and later is called a time preference.

Costs and benefits are typically incurred at different times of a project. These are not directly comparable because of inflation and time preferences. Preferences do not change significantly over the timeframe of the project by assumption. To undertake a cost- benefit analysis, all costs and benefits need to be comparable in how they are measured (price system), their currency as well as across time. Real prices can be derived from observed nominal prices by correcting for inflation. To assess a project's worth, the incremental net benefits need to be made comparable in time before they can be summed up. Discounting is the technique used to express equivalent economic or financial values at one given point in time. Costs and benefits occurring in the future are discounted to obtain the value they would have if they were occurring today. This value is called the present value.

The current value of future benefits and costs is computed as follows: Present Value = Discount Factor * Value (year considered)

The discount factor directly reflects on time preferences. Several formulas exist for the discount factor. One of the most common ones is: Discount Factor = 1/(1+r)^(t 1)

where r is the discount rate (social discount rate in an economic analysis) and t is the year. The further in the future the cost and/or benefit occurs, the less it is worth today. Also, the higher the rate of discount (r), the less the future is worth compared to the present. A simple way of remembering this is that the higher the rate of discount is, the quicker an amount of money loses value in time.

Economists call the preference for the present (i.e. "getting the money today") a positive time preference. People are said to have a zero time-preference when they are indifferent between getting the money in the present or in the future. If they prefer getting it in the future, they are said to have a negative time preference. These terms correspond to the sign of the discount rate used (e.g. positive time preference for a positive discount rate). Table below provides examples of present values.

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Table: Example of timing of benefits and computation of their present value. Source: Emmanuelle Quillérou, 2014 personal communication)

Year 1 (present) Year 2 Year 3 Year 4

Benefit 100 140 200 200

Discount rate 10% 10% 10% 10%

Discount factor =1 =0.9091 =0.8264 =0.7513

Present value 100 127 165 150 = Discount factor * Benefit

Computation of net present values based on Table 14.

ØTaking 10% as the social discount rate, can you recalculate the discount factor and discounted benefit detailed in the table?

ØCan you compute the present value of a benefit of 200 arising in Year 10 for r=10%? How does it compare to the present values of the same level of benefits in Year 3 and Year 4?

ØCan you compute the present values of the benefits when r decreases to 5%? Are they greater or smaller than for r=10%?

Because of the timing of costs and benefits, the choice of a discount rate is not neutral and can influence the decision to undertake a project or not. A project that starts with high costs and have benefits later is less likely to be undertaken for a higher discount rate (giving a lower weight to later benefits than a smaller discount rate). This typically characterises environmental improvements. On the contrary, a project that starts with high benefits and have costs later (e.g. a nuclear power plant) is more likely to be undertaken for the same higher discount rate.

Choosing the appropriate rate of discount can be challenging. The rate varies across space, time and groups and is generally higher in younger and/or less developed countries. The chosen rate of interest often reflects current generation's time preferences and ignores future generation's time preferences. Future generations are not here to signal their time preference (yet!) and their influence tends to be ignored when choosing a discount rate. The more the present time has value to current generations (i.e. the higher the discount rate) the more weight is given to present generations compared to future generations.

By design, a lower discount rate assumes more intergenerational equity than a higher rate. The Stern Review on the Economics of Climate Change caused controversy at the time of its release (2006), because it considered a 1% rate of discount. 1% is a relatively low value, which gives almost equal weight to both today and tomorrow’s generations.

The social discount rate should, in theory, be determined based on current and future preferences of society as a whole for the present but also reflecting on current and future preferences for intergenerational equity. A good cost-benefit analysis should include a discussion on the consequences the chosen rate of discount rate has for future generations.

As a result of this time preference, strong identification of when benefits and costs arise is important to derive valid conclusions from a cost-benefit analysis. How to set the discount rate is a choice that needs to be justified and the consequences of this choice must be discussed. The social discount rate can be estimated through stakeholders survey. Another option would be to consider the (social) opportunity costs of capital, that is, the rate of interest that would be earned by placing the money in a bank account rather than spending it now.

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Economic indicators of a project's worth

Several indicators have been developed to assess whether a project is worth implementing. The main three indicators used for assessment are the net present value (NPV), the internal rate of return (IRR) and the benefit-to-cost ratio (BCR).

The net present value (NPV) or net present worth is computed after all economic values have been obtained and/or estimated. The net benefit for the with-project scenario is computed by subtracting the costs from the benefits for all years. The same is then done for the without-project scenario. The net incremental benefit corresponds to the extra benefit derived from the project and is computed by subtracting the without project net benefit from the with project net benefit. The discounted value of the incremental net benefit is then computed taking year 1 as the year of reference and a 10% discount rate. The NPV of the project is the sum of the present value of the incremental net benefits across all years. These computations are illustrated in the Table below.

Table: Example of timing of benefits and the computation of the net present value.

With Project Year 1 Year 2 Year 3 Year 4 (present)

Benefit 100 140 200 200

Costs 300 150 0 0

Net benefit 200 10 200 200

Without Project

Benefit 100 90 90 90

Costs 80 80 80 80

Net benefit 20 10 10 10

Incremental net 220 20 190 190 benefit

Present value of incremental net 220 18 157 143 benefit (10% discount rate)

Economic Net present value (10% = 220 18 + 157 + 143 = 62 discount rate)

The project is considered worth undertaking for a NPV greater than 0 (positive) and not worth undertaking for a NPV less than 0 (negative). The NPV can be used in a financial or an economic cost-benefit analysis. This indicator does not allow comparisons across alternative projects, but only to make a decision on whether a given project is worth undertaking or not. For instance, for a project with a NPV of 100 and a project with a NPV of 1, both projects are worth undertaking. However, the project with the lowest

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NPV might be of more value to society as a whole despite being characterised by this lower value. This is because NPV values are not comparable for projects with different timeframes, scale and scope. To undertake a valid comparison between alternative projects, it is safer to use the next indicator, the Internal Rate of Return.

The Internal Rate of Return (IRR) is the discount rate at which the net present value equals zero. In other words, the maximum interest rate that can be earned from investing resources in a project. The project is accepted for an IRR equal to or greater than the opportunity cost of capital, that is the interest rate that can be earned from investing the same resources in the next best alternative project. The IRR is derived by changing the discount rate until at least one positive and one negative NPV are obtained. Going back to the previous example, NPV=62 for a 10% discount rate. If the discount rate increases to 25%, the NPV becomes 17. The IRR can be computed using the following formula: IRR = lower discount rate + difference between rates * NPV at lower rate / sum NPV (signs ignored)

In the above example, IRR = 10% + (25%-10%) * 62 / (62+17) = 21.8%. This means that the project would lead to an interest rate of 21.8%. This is higher than the interest rates paid by banks on savings (opportunity cost of capital), so the project is worth undertaking. The IRR value is prone to measurement error but its accuracy can be improved by changing the interest rates until obtaining a positive and a negative NPV that are both close to zero. It is important to note that the internal rate of discount value is not necessarily always unique, in which case the IRR values cannot be used to decide on a project's worth.

The benefit-to-cost ratio (BCR) is the first indicator that has been historically adopted by project managers to assess the worth of a project. It computes the ratio obtained by dividing the present value of the benefit stream by the present value of the cost stream, discounted at the opportunity cost of capital. A project is accepted if the BCR is greater than or equal to 1. Using the same example as above, the relevant values can be computed and are summarised in Table . The BCR is 170% for an opportunity cost of capital of 10% and the project is considered worth undertaking.

Table: Example of timing of benefits and costs and computation of the benefit-to-cost ratio. Source: Emmanuelle Quillérou, 2014 personal communication)

With Project Year 1 (present) Year 2 Year 3 Year 4

Benefit 100 140 200 200

Costs 300 150 0 0

Without Project

Benefit 100 90 90 90

Costs 80 80 80 80

Incremental 0 50 110 110 benefit

Present value of incremental 0 45 91 83 benefit (10% discount rate)

Incremental cost 220 70 -80 -80

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Present value of incremental cost 220 64 -66 -60 (10% discount rate)

Benefit-to-cost (0 + 45 + 91 + 83) / (220 + 64 66 60) = 139% ratio

All three indicators are complementary and when possible should be computed to assess a project's worth. In our example, all three indicators lead to conclude that the project is worth undertaking. However, these indicators do not necessarily always lead to the same conclusion, in which case a further formal discussion on whether the project is worth undertaking needs to be included with the cost-benefit analysis.

These indicators can be computed in a financial setting (ie when costs and benefits correspond to actual money flow in the economy) as well as in an economic setting (where costs and benefits correspond to the values allocated by society as a whole, which may or may not match actual prices). In the case of a financial analysis, the economic indicators of a project’s worth can sometimes be referred to as “financial indicators”.

Sensitivity analysis to assess risk and resilience

One of the limitations of cost-benefit analysis is that it often relies on average values for quantities, prices, costs and benefits. This means that the analysis and the economic indicators derived from it provide a good idea of whether the project is worth undertaking on average but fail to consider the viability of the project under extreme events such as droughts, floods, food crises, financial crises. This is important because extreme events are becoming more frequent as a consequence of climate change.

A sensitivity analysis aims to assess consequences on the project's economic worth for risks arising from the project itself or external forces. A good sensitivity analysis helps assess the resilience of the consequences of project implementation and its social consequences. This is particularly critical to assess whether livelihoods of already fragile populations can be sustained even under extreme events or not.

A simple way of conducting a sensitivity analysis is to identify the main quantities and/or prices that are likely to change, e.g. because of droughts, floods, changes in inputs or fluctuations in commodity prices on the world market. This can be done in consultation with the relevant stakeholders and/or based on local or international expert opinion. The average values originally used in the cost-benefit analysis are changed to the new "extreme" values and the economic indicators of a project's worth are recalculated to assess whether the project remains economically worth implementing.

If the project is worth doing on average but not under extreme events, a policy-maker might want to consider either not undertaking this project or providing some form of safety net such as an insurance scheme or subsidies for when these extreme events occur especially for projects targeting fragile populations. This decision depends on wider political considerations and needs to be discussed with the relevant stakeholders to figure out what the best applicable solution is.

Alternatively, the values of quantities and prices of inputs (raw materials, labour, minimum wage, discount rate...) can be changed to obtain "switching values" - the values for which the project becomes economically undesirable (e.g. the input value which leads to NPV=0). You can change one value at a time and/or a bundle of values. You then need to estimate whether the values under which the project becomes economically undesirable are likely to arise or not, in light of previous and future biophysical and economic patterns and by discussions with local and national stakeholders and experts. Again, depending on the results and consultation with stakeholders, you may want to abandon the project and/or introduce safety net mechanisms.

Social analysis and Environmental analysis

A good financial or economic assessment not only comprises a cost-benefit analysis but also a social analysis and an environmental analysis to assess the consequences of the project on the different populations (ethnicities, villages…) as well as on the environment (pollution, natural resource availability…). These are not detailed in this unit but are essential to assess accurately the success and resilience of the project considered for implementation.

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Derivation of economic costs and benefits from financial values

A financial analysis is based on the financial costs and benefits to participants (individuals, firms, organisations) whereas an economic analysis is based on the costs and benefits to society as a whole. Financial costs and benefits are typically observed through market prices, user fees… In this unit, we are interested in economic values rather than financial values.

Economic values are referred to as shadow prices, as they are "in the shadow" of the financial values that can be observed in real-life. Economic values correspond to opportunity costs and/or willingness to pay for the goods and services considered from the point of view of society as a whole. One of the easiest ways to undertake an economic cost-benefit analysis is to first perform a financial analysis and then adjust each financial value to derive its economic equivalent.

Adjustments between financial and economic values are needed because of market price distortions that arise when markets are not perfectly competitive. The type of adjustment varies with: (i) the type of value being considered (transfer payments, traded good, non-traded tradable good, non-traded non-tradable goods), (ii) the reference adopted for measuring the costs and benefits (world or domestic price system) and (iii) the currency (domestic or foreign) in which benefits and costs are expressed.

The adjustment process outlined below leads to the shadow values required for an economic cost-benefit analysis.

Economic values can be derived or estimated from financial values in 3 steps:

Step 1 – Adjust for transfer payments (taxes and subsidies)

Step 2 – Adjust for price distortions in traded goods

Step 3 – Adjust for price distortions in non-traded goods (tradables and non-tradables).

Step 1 consists in removing transfer payments from the financial values, i.e. payments that corresponds to a redistribution of wealth within society. This is a step undertaken for values expressed in the domestic price system only. They change the financial incentives faced by an individual but not the wealth of society as a whole. Taxes and subsidies are typical examples of this kind of redistribution. This also applies to user fees that are transferred from a user to a provider within a given society.

Step 2 consists in adjusting the financial price values to remove market imperfections and distortions introduced by policies such as minimum wage or land market regulations. There are two different aspects that need to be checked upon to ensure that economic values are measured and expressed in a consistent way: the point of reference and the currency. Shadow prices are derived for the same point of reference or numéraire ("measuring unit"), e.g. using a world or a domestic price system. In the world price system, the opportunity costs to the country of traded goods are assumed to correspond to border prices. These opportunity costs are valued using the cif (cost, insurance, freight) for imports and the fob (free on board) for exports. In the domestic price system, economic values correspond to what society is willing to pay for goods and services. For both price systems, economic values can be expressed either in a foreign currency or the domestic currency. When values are expressed in different currencies, the Shadow Exchange Rate (SER) is used for conversion of values into one single currency for consistency.

Step 3 consists in adjusting the values of tradable but non-traded goods (i.e. good that can theoretically be traded but are not trade in practice) in the World price system. This can be done by using a conversion factor when financial prices are considered good estimates of opportunity costs. The conversion factor is the ratio of the shadow price to the domestic market price. It is called standard conversion factor when an average ratio is used. Non-tradable goods need to be valued using specific economic valuation methods in order to estimate their opportunity costs. In the domestic price system, the values of non-traded and non- tradable goods are estimated based on their opportunity costs.

The Table below summarises the adjustments to be made depending on the price system used.

Table: Adjustments to derive shadow prices from financial prices. Source: Emmanuelle Quillérou, 2014 personal communication)

PRICE SYSTEM

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- cif (cost, insurance, freight) - Delete taxes and subsidies SHADOW Traded PRICES goods - fob (free on board) - Shadow Exchange Rate (SER )

- Conversion Factor (CF) - Opportunity Cost (OC) Non-traded - Standard Conversion Factor (SCF) - Correct for price distortions goods - Opportunity Cost (OC)

The actual transformation is a bit more The actual transformation is a bit more complex than detailed above but this should give an idea of how to adapt a financial cost-benefit analysis into an economic cost-benefit analysis. For more information on how to perform such adjustments suggested reading materials are included at the end. Because an economic cost-benefit analysis adopts the perspective as society as whole, it can be used to assess the desirability of a project from this perspective. It does not, however, reflect on incentives faced by individual stakeholders or stakeholder groups and should thus be complemented by a financial cost-benefit analysis for a thorough assessment of the proposed project.

Once transfer payment have been removed and shadow economic values of costs and benefits have been estimated, the economic indicators used for the financial analysis (i.e., the net present value, the internal rate of return and the benefit-to-cost ratio) can be derived from the perspective of society as a whole. The values may not match those of the indicators derived from the financial analysis, and may sometimes lead to contradicting conclusions. Ultimately, the decision to undertake the project or not when indicators are contradictory between the financial and economic analyses will depend on how much priority is given to actual financial flows over the value to society as a whole. It may be socially acceptable to go ahead with a development project that leads to small losses for society as a whole (negative NPV in the economic analysis) but that allows poor stakeholders to benefit from it (positive NPV in the financial analysis).

Because the values of the costs and benefits have changed, a new sensitivity analysis should be performed. The environmental and social analyses undertaken in relation to the financial cost-benefit analysis still need to be conducted undertaken as a complement to the financial and economic cost-benefit analyses.

Unit Summary

This unit describes the rationale for using an economics perspective for assessment. Economics provides a common measuring rod for assessment. It is a tool suited to decision-making because it adopts the viewpoint of society as a whole and focuses on trade- offs between alternative uses. For this, it relies on economic values rather than financial prices. Policy-makers need true economic values of goods and services for informed and economically efficient decision-making.

Economics also provide methods for valuation of non-marketed economic goods and services, including environmental goods and services. This unit describes the total economic framework developed for environmental valuation and the associated decomposition into different economic values. For each valuation method, underlying assumptions, key steps, some of their theoretical and empirical limitations are detailed. Different valuation methods do not capture the same proportion of economic value which can lead to discrepancies in derived estimates of economic value. Different methods also measure welfare changes in different ways, again potentially leading to discrepancies in the obtained estimates of economic value.

Cost-benefit analysis requires a good analysis of the study context, with identification of the stakeholders, area of interest and chosen timeframe. A cost-benefit analysis is based on a comparison of a with-project scenario against a without-project (baseline) scenario. The types of costs and benefits to be included have been briefly detailed. The timing of costs and benefits has an influence of the desirability of a project because people have a positive time preference. This positive time preference is taken into account through the discounting of costs and benefits for computation of the project's indicators of success. The main economic indicators used in cost-benefit analyses to assess whether the project is socially worth undertaking are detailed: the net present value (NPV), the internal rate of return (IRR) and the benefit-to-cost ratio (BCR). Sensitivity analyses can be undertaken to assess the impact of risks and uncertainty on the project's financial or economic desirability. The steps behind transforming a financial cost-benefit analysis into its economic equivalent are reviewed briefly.

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This unit finishes with a series of questions designed to guide you through existing case studies. These outline the key questions that need to be answered when undertaking your own analysis.

Guiding Questions for Critically Analysing an Exisiting Case Study

Select a suitable case study preferably published within the last three years. Choose a study that combines both environmental valuation and a cost-benefit analysis or two separate studies. The list of references provided with this unit should help you find at least one suitable case study.

For older case studies, even if the method has not changed much, the economic values of land and land-based ecosystem services in these resources might need updating, because of environmental changes, inflation and/or a change in social preferences since the time at which the study was conducted.

The list of questions provided aims to guide you in critically analysing an existing case study. These questions focus on the general outline of a piece of research for economic valuation and cost-benefit analysis. The questions are meant as a guide for you to find your way through the information provided in your chosen case study and are by no means exhaustive. Try and answer them as fully as possible using information from your chosen case study. Depending on your chosen case study, your answers may or may not have a high level of detail. You might not be able to answer all questions as the necessary information might not exist or be detailed enough in your chosen case study. Note that this is not a problem: the information is ultimately provided depending on its relevance to the context and analysis of the specific case study you have selected! You can also use this guide to undertake your own study. There is no need to look far: you should be able to undertake a simple economic valuation and cost-benefit analysis for a problem arising in your own neighbourhood!

Describe the study context: identify the problem to solve, key stakeholders

Q1. What is the problem? e.g. loss of land, loss of (ecosystem) services from land, loss of income from services derived from land (provisions of food and fibre, regulation of water flows, carbon storage, tourism…)

Q2. Has the problem been quantified? How big a problem is it? e.g. how much land area/economic benefit is lost per year or has been lost in x years…

Q3. Are there any usage conflicts? If yes, which ones? Who stands to lose from the identified problem? Who stands to lose from actions undertaken to address the problem? What trade-offs would arise with change?

Q4. How is "society as a whole" defined? Who is part of it and who is excluded? Is this definition appropriate to the study?

Describe potential solutions to the problem

Q5. What kind of solutions would be available to solve the problem? (adoption of sustainable land management, adoption of non- agricultural livelihood options, a combination of both…)

Identify the economic analysis to perform to take an informed decision on how to best solve the problem from an economic perspective

Q6. What kind of analysis do we need to assess how to best (economically) solve the problem? (derive an economic value for inclusion into a cost-benefit analysis, undertake a financial cost benefit analysis, undertake a financial and an economic cost-benefit analyses…)

Q7. What frameworks do we use to inform the analysis? (ecosystem services, Total Economic Value, financial or economic cost- benefit analysis…)

Q8. Which method would be best suited to the study context and why?

Identify the data context and data needs

Q9. What kind of data is needed to conduct the analysis? (List the variables necessary for economic valuation, types of benefits and costs...)

Q10. Are there any secondary data available? If yes, specify what variables and from what source.

Q11. What variables needed to conduct the analysis are not available as secondary data? What course of action is chosen for these variables? (dropped from the study, collected through primary data collection, a change of method for one suited to the

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available data…)

Primary data collection

Q12. Who is the group targeted for primary data collection? Does it cover all stakeholders? (gender, ethnicity, age, income range, geographical origin…)

Q13. Is there a sampling of respondents? If what sampling scheme was used to ensure adequate representation of the overall stakeholder population ("society as a whole")?

Q14. How is the survey designed? That is, what kind of questions does it involve? (closed or open-ended…)

Q15. What kind of interview is used? (structured semi-structured or unstructured)

Q16. How is the survey delivered? (face-to-face, mail, online, individual respondents and/or focus groups)

Q17. How is the database with the primary (and secondary) data built? If this aspect is not detailed in your chosen case study, you can adapt the following example of database structure (see Table ) to illustrate how you would have built the database needed to undertake environmental valuation or conduct a cost-benefit analysis. You should only need to rename the columns with the variables used in the selected case study.

Table: Example of database structure.Source: Emmanuelle Quillérou, 2014 personal communication)

Variable a … Variable z

Anonymous respondent 1

Anonymous respondent 2

Q18. Has informed consent been obtained from the respondent?

Q19. How is respondent anonymity ensured for data storage?

Economic valuation to estimate the value of costs and/or benefits

Q20. Are there market prices available? Do we need to use an economic valuation method?

Q21. What non-marketed good(s) or service(s) is (are) valued?

Q22. What method is used for which good or service?

Q23. What type of value is measured? (use, non-use, total)

Q24. By what is value measured? (consumer surplus, willingness to pay, willingness to accept)

Q25. What assumptions do you need to make to use this method with the available data?

Q26. Referring to the material provided in Section 2, can you identify the different steps of the valuation method? Are they all undertaken and detailed? How are they applied (functional forms, statistical techniques…)?

Q27. What results are obtained? Can they be directly used into a cost-benefit analysis? Specify which cost-benefit analysis you are considering (financial or economic).

Q28. Are other disciplinary inputs used in the discussion to discuss the results from the economic analysis? If yes, which ones

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(anthropology, sociology, ecology, politics…)? What do they add to the economic side of the analysis?

Q29. From the discussion on the method, available data and results, how reliable is the value obtained?

Q30. Could another valuation method have been applied? If yes, why has it not been chosen for this study?

Cost-benefit analysis

Q31. What is the with-project scenario, (i.e., what kind of project, action or change is considered for implementation? What would the costs and benefits be under the with-project scenario, that is if the project is implemented? Do they change in time and if so by how much? (description needed)

Q32. What is the without-project scenario? What would the costs and benefits be under the without-project scenario, that is if nothing is changed? Do they change in time and if so by how much? (description needed)

Q33. Are there any credit schemes? How are they set up?

Q34. What discount rate is chosen for this analysis and why?

Q35. What indicator(s) of the project's worth is (are) used and what are their values? (net present value, internal rate of return, cost-to-benefit ratio…)

Q36. What can we conclude from the financial cost-benefit analysis? Is the project leading to greater financial benefits than costs? In other words, is it worth implementing from a financial point of view? Do results differ across stakeholders?

Q37. How are shadow prices derived? What kind of "correction" is applied to financial prices to derive these shadow prices? What price system (World or domestic) and currency (foreign or domestic) is used?

Q38. What are the ‘new’ values of the indicator(s) of the project's worth? (net present value, internal rate of return, cost-to-benefit ratio…)

Q39. What can we conclude from the economic cost-benefit analysis? Is the project leading to greater social benefits than costs, in other words, is it worth implementing from society's point of view? Do results differ across stakeholders?

Q40. How reliable are the results obtained? Has a sensitivity analysis been conducted and if so how?

Q41. Are other disciplinary inputs used in the discussion to discuss the results from the economic analysis? If yes, which ones (anthropology, sociology, ecology, politics…)?

Q42. Are the conclusions derived from the economic cost-benefit analysis different from the financial cost-benefit analysis? If yes, financial incentives need to be implemented to achieve the socially desirable outcome. What kind of policy instruments are (or could be) envisaged to give stakeholders the right financial incentives to achieve a socially desirable outcome (taxes, subsidies, tradable permits, standards, legislation, education, certification…)?

QUESTIONS for Self Assessment

1. Text Entry. List some of the key factors to consider when conducting a cost-benefit analysis.

Answer:

For a financial cost-benefit analysis:

- Identification of stakeholders, area of interest and timeframe

- Identification of with and without project scenarios

- Timing of costs and benefits

- Likely variations of values around the average

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- stakeholder consultations at all stages of the cost-benefit analysis

For an economic cost-benefit analysis, the following needs to be added:

- removal of transfer payments

- corrections for market imperfections and distortions by adjusting financial prices to derive the economic prices

2. True or False. Shadow prices can be estimated by adjusting financial values to reflect opportunity costs to society as a whole.

Answer: True.

3. True or False. We all have a time preference, measured by a higher rate of discount when we allocate a greater weight to the future than the present.

Answer: False. The higher rate of discount means that future benefits lose value faster when converted into their present values. A higher rate of discount reflects a stronger preference for the present.

4. Multi Responses. Select the economic indicators that assess the social desirability of an action (project) compared to inaction (business-as-usual)

(a) Net present value (NPV)

(b) Shadow exchange rate (SER)

(c) Opportunity costs

(d) Benefit-to-cost ratio (BCR)

(e) Internal rate of return (IRR)

(f) cif (cost, insurance, freight)

(g) fob (free on board)

Answer: a, d, e. The others are used to adjust financial prices into shadow prices.

5. True or False. We need to complement a cost-benefit analysis by a sensitivity analysis in order to assess the impact of potential risks on the social desirability of the project and the economic resilience of the project for stakeholders.

Answer: True.

6. Text Entry. Explain why economic analysis can be a useful tool for policy-makers.

Answer: Economics provide a common measuring rod which allows for comparison between different goods and services of different nature. It adopts the perspective of society as a whole and can help policy-makers take informed decisions.

7. Text Entry. Explain why different methods may lead to different estimates of economic values.

Answer: Different methods may lead to different estimates of economic values because:

- valuation methods do not use the same measure of economic value (consumer surplus, willingness to pay/accept)

- valuation methods do not capture the same level of economic value : some capture use value only, others use and proportions of non-use value

- they might be subject to empirical biases

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Water and HEALTH - Managing Watershed for Health

Benefits of Water Demand Management

Water demand management attempts to make water development funds cover as many initiatives as possible. Efficiency, in the economic sense, means trying to achieve goals as cheaply as possible in order to meet as many as possible of the competing demands for funding. Making available development funds stretch as far as possible is the fundamental benefit of water demand management. Other benefits to municipalities of water conservation include lower average peak water system loading and significant energy savings. In addition, several benefits occur from the adoption of water demand management in industry. These include:

Better control over the throughput of water and wastewater systems generated by the need for better accounting, Changes in attitudes toward water use as costs begin to show on accounting records, Improved technology as research and development expenditures for water handling become profitable, Development of new or expanded industries to provide that technology, and Revenue generation, for example, from by-product recovery.

Problems with Water Demand Management in Municipalities

The incorporation of the water demand management concept into municipal operations is not without problems, especially during the adjustment period. Water costs are relatively inelastic to demand levels; a reduction in water demand will not lead to a proportional decrease in costs. An effective conservation program needs to increase water rates to meet financial obligations. Depending on the cost of the conservation program, the financial obligations will decrease very little, and may in fact increase. Customers will understandably be displeased to see their efforts rewarded with water bills that don't decrease. This lack of immediate financial reward is a problem that can derail conservation efforts aimed at a longer-term benefit. Emergency or short-term conservation efforts do not have the same financial impact.

The difficulties in matching revenues and expenditures and of having to increase rates to generate sufficient revenues in the face of falling demand have given many municipalities second thoughts about conservation options that directly involve customers.

Also, some studies have shown that there is a potential imbalance between revenues and costs. Revenue balancing is achieved by changing rates over time to reflect changing cost conditions, arguing that economic efficiency was achieved when we set prices at short-run marginal costs.

Water Reuse: Discussion

Reuse Terms

"Reclaimed water" is water that has received at least secondary treatment and basic disinfection and is reused after flowing out of a domestic wastewater treatment facility. "Reuse" is the deliberate application of reclaimed water for a beneficial purpose.

http://www.dep.state.fl.us/water/reuse/facts.htm (Internet Access Required)

Recommended readings

1. Wastewater re-use - Why bother (http://lnweb18.worldbank.org/ESSD/ardext.nsf/18ByDocName/WastewaterReuseWhyBother/$FILE/DHanrahanWastewaterReuseWhyBother.pdf) (Internet Access Required)

2. Wastewater use in Irrigated Agriculture(http://www.cabi-publishing.org/pdf/Books/0851998232/0851998232.pdf) (Internet Access Required)

3. Reuse of wastewater in Middle East and North Africa (http://lnweb18.worldbank.org/ESSD/ardext.nsf/18ByDocName/ReuseofWastewaterintheMiddleEastandNorthAfrica380KBs/$FILE/ReuseofWastewater_WaterForum.pdf ) (Internet Access Required)

Benefits of Ecosystems - Example Wetlands

World-wide wetlands of practically every type have declined in area. This pattern of loss is particularly evident in the case of mangroves which have been diminished in almost every corner of the world, largely due to their undervaluation and subsequent conversion for alternative coastal developments. If current drivers off loss continue unabated, in conjunction with the impacts of climate change, it is possible that all mangroves may disappear by the end of this century (Duke et al. 2007).

Wetlands are areas where the water table is at or near surface level (Russi et al. 2013). There are many types of wetlands which exist and they have been variously grouped according to their characteristics and for different purposes. Five major types of natural wetlands are generally recognized (Ramsar Convention Secretariat 2006).

Marine: Coastal wetlands such as rocky shores, lagoons and coral reefs

Estuarine: Includes deltas, mangrove swamps and tidal marshes

Lacustrine: Wetlands associated with lakes

Palustrine: Marshes, bogs and swamps

Riverine: Wetlands along rivers and streams

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Wetlands are the focus of a dedicated intergovernmental treaty, The Ramsar Convention on Wetlands, which was signed in Ramsar, Iran in 1971, also known as the ‘Ramsar Convention’. The Ramsar Convention was conceived to bring international attention to the global loss of wetlands (Ramsar Convention Secretariat 2006). In this convention, the signatory countries have committed themselves to maintain the ecological character of their designated Wetlands of International Importance and to plan for the wise or sustainable use of all of the wetlands in their territories.

The Ramsar Convention on Wetlands has classified wetlands into three broad categories:Inland wetlands; Marine/coastal wetlands; Human-made wetlands (aquaculture, farm ponds, permanently or temporarily inundated agricultural land, e.g., rice paddies)

Wetlands, especially mangroves have historically been perceived as ‘wastelands’ of no inherent value (Adger and Luttrell 2000). This image has led to their undervaluation. When combined with financial incentives to convert wetlands for higher value uses (e.g., aquaculture), this perception has resulted in their conversion and degradation (Adger and Luttrell 2000).

Coral Reefs are in serious decline. An estimated 30% have already been severely damaged (Wilkinson, 2002) and remaining healthy reefs face a multitude of stressors.

What Are Ecosystem Services?

Ecosystems contribute substantially to human well-being. In fact, everyone in the world is completely dependent on Earth’s ecosystems (MEA 2005). Ecosystems are linked to human well-being through the services that they provide. The Millennium Ecosystem Assessment was a global initiative undertaken from 2001-2005 to investigate how changes in ecosystems affect human well-being and to identify actions to enhance the conservation and sustainable use of ecosystems as well as their contribution to human well-being (MEA 2005).

The Millennium Ecosystem Assessment defines ecosystem services as “the benefits people obtain from ecosystems”.

Four categories of ecosystem services are identified in the MEA are: Provisioning services; Regulating services; Habitat services; and Cultural services. When conducting a valuation assessment of ecosystem services, the exact framework used is less important than ensuring that the assessment includes the most important and relevant services

Provisioning services are the products people obtain from ecosystems. People derive many natural products from mangroves. These include the following (UNEP-WCMC 2006):

· Commercial and subsistence fisheries: Mangroves are critical intertidal habitats for many fishes, mollusks and crustaceans of value to coastal communities. Mangrove fisheries provide food, employment and income to millions of people around the world and thus the importance of this service cannot be overemphasized.

· Aquaculture: Mangroves support aquaculture operations for mollusk, fish and shrimp. In some countries, land-based pond farming of fish and crustaceans in former mangrove areas is a centuries-old tradition (Schuster 1952). It is ironic that in recent decades, aquaculture has been the major cause of global mangrove loss (Valiela et al. 2001), because mangroves provide critical support to aquaculture in the form of seed, broodstock and feed (Rönnbäck 1999). Small-scale, sustainable mangrove-aquaculture operations still exist in some areas.

· Food items, including parts of mangrove themselves (e.g., mangrove fruit) and honey

· Building materials for construction, energy and industry such as wood, leaves, tannins and nypa palm

· Raw materials for traditional medicines and genetic resources

Regulating Services are the benefits obtained from regulation of ecosystem processes. Mangroves provide the following regulating services:

· Climate regulation: Mangroves play an important role in climate regulation because they capture and store large amounts of carbon (Murray et al. 2011, Nelleman et al. 2009). The carbon sequestered and stored in mangroves and other marine and coastal systems is referred to as ‘Blue Carbon’ (Nelleman et al. 2009). The importance of mangroves as Blue Carbon habitats and their potential as a tool for climate change mitigation is being increasingly recognized by governments, intergovernmental organizations and mangrove advocacy groups.

· Erosion regulation: Vegetative cover aids soil retention (MEA 2005). By diminishing the energy of incoming waves, mangroves prevent sediments from being washed away and reduce shoreline erosion (Mazda et al. 2007, Thampanya et al. 2006). For example, a study has shown that in areas where mangroves form extensive stands in the Gulf of Thailand, it seems that net erosion has been prevented (Thampanya et al. 2006).

· Water purification - Mangrove vegetation is highly productive and filters nutrients and pollutants from the water (Kathiresan and Bingham 2001). Being situated between the land and the sea allows them to intercept land-derived nutrients, pollutants, and suspended matter before such contaminants reach coastal environments (Rivera-Monroy and Twilley 1996, Tam and Wong 1999).

· Protection from natural hazards – Mangroves play an important role in shoreline protection under normal sea conditions and during tropical storms and hurricanes (UNEP-WCMC 2006). This is because the presence of mangroves can attenuate waves and reduce the impacts of storm surges (McIvor et al. 2012ab). The complex structure of mangrove trees, particularly their extensive root systems can diminish the energy of incoming waves and lessen the risk of flooding to communities which live behind mangroves (McIvor et al. 2012a). As such, they can serve as a coastal buffer, protecting communities from natural hazards.

Supporting Services are the services that underpin the other types of ecosystem service and are necessary for their functioning. Supporting services differ from provisioning, regulating, and cultural services in that their impacts on people are often indirect or occur over a very long time.

· Nutrient cycling – Mangrove plants are efficient at conserving and recycling nutrients (Kristensen et al. 2008). These trees produce large amounts of leaf litter and the decomposition of this litter contributes to the recycling of nutrients within the mangrove as well as adjacent habitats (Kathiresan and Bingham 2001).

· Nursery Habitat – Mangroves not only act as nurseries for fish and crustaceans which reside in the mangrove for the entirety of their life, but also species which are found as adults in offshore habitats. Several offshore species which use mangroves as nurseries are of particular economic importance. For example, offshore shrimp fisheries in Northern Australia, the Guianas, Mexico and Borneo are major economic activities and the species which comprise the bulk of catches are either mangrove dependent or benefit greatly from the presence of inshore mangroves (Spalding et al. 2010).

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Cultural Services encompass a range of nonmaterial benefits that people derive from ecosystems. These include opportunities for spiritual enrichment, reflection, recreation, cognitive development and aesthetic experiences (MEA 2005).

· Tourism and recreation – Mangroves have gained increasing popularity as sites for ecotourism (Spalding et al. 2010). The creation of boardwalks through these forests has made them more accessible to visitors. Popular tourism activities include boat tours, wildlife watching and kayaking.

· Spiritual – Mangroves may contain sacred sites of worship or be the location of culturally significant rituals.

Benefits of Ecosystem Services

Ecosystem services enhance human well-being substantially. The loss of these ecosystems means the loss of these services and often a reduction in human well- being. Another way of thinking about this relationship is that humans derive utility from ecosystems (i.e., the services they provide are ‘useful’ to us). Because they are useful to society, they contribute to society’s welfare. Welfare is an economic measure of society's level of "happiness". In conducting an economic assessment, what we want to measure are changes in society's welfare associated with the loss or gain in environmental goods or services. These changes in welfare represent the benefits or costs to society as a result of a change in environmental service provision.

For example, loss of mangroves can cause a reduction in these services and changes to society’s welfare. Are there ways to measure changes in society’s welfare associated with the loss of ecosystems services associated with degradation of ecosystems, such as the change in society's welfare by changes in mangrove services?

As discussed previously in this unit, an economist's approach would apply valuation concepts relating to human welfare to estimate the impact of ecosystem changes on human welfare. The key is determining how changes in ecosystem goods or services affect an individual’s well-being and then estimating how much a person or a society is willing to pay to maintain those services that have a positive impact, or how much a person or a society is willing to accept as compensation for giving up those services (Barbier 2011).

Stated simply, an economic valuation is “the process of assigning a monetary value to ecosystem goods and services. It quantifies the benefits provided by ecosystems and the impact of ecosystem changes on the well-being of people.” GIZ (2012)

To summarize, there are several reasons why estimating the benefits of ecosystem services are useful (King and Mazzotta 2000):

· To consider the public’s values, and encourage public participation and support for environmental initiatives. · To compare the benefits of different projects or programs. · To prioritize conservation or restoration projects. · To maximize the environmental benefits per dollar invested · To justify and decide how to allocate public spending on conservation, preservation, or restoration initiatives.

Why Value Ecosystem Services?

Using mangroves as an example - The undervaluation of the natural products and ecological services provided by mangroves has been a major driving force behind their conversion and degradation (Rönnbäck 1999). This is because in the absence of information on the economic value of mangrove ecosystems to compare against the economic value of alternative public investments, the importance of mangroves is frequently overlooked (Brander et al. 2012). Additionally, unless the value of the ecosystem services provided by mangroves to coastal communities is estimated, it is difficult to convince policy-makers to consider land use policies which favor mangrove conservation and sustainable use. Finally, by valuing ecosystem services provided by mangroves, their destruction for economic development can no longer be viewed as “costless” (Barbier et al. 2012).

Economic valuation is the process of assigning a monetary value to the goods and services provided by ecosystems. This is a useful tool because it quantifies the benefits people derive from ecosystems in common terms. Moreover, it can help policy-makers and managers determine which decisions that affect ecosystems will be most beneficial to society as a whole. Because the degradation and conversion of mangroves has historically been viewed as “costless”, assigning a monetary value to their services highlights their importance to coastal communities and can support policies which favour their conservation.

There are three major steps involved in converting ecosystem services to economic values and integrating these values into decision-making: Step 1) Recognizing Value, Step 2) Demonstrating Value and Step 3) Capturing Value. This course focuses primarily on Steps 2 and 3; Demonstrating and Capturing Value.

Wetlands such as mangroves have been historically undervalued and this has led to their degradation and clearance for alternative economic activities. By recognizing and demonstrating the range of benefits that mangroves provide, and by capturing the value of these benefits in economic and policy frameworks, we can begin to halt and or reverse the major losses that have already occurred.

References:

Adger, W. N., & Luttrell, C. 2000. Property rights and the utilisation of wetlands. Ecological Economics 35: 75-89.

Barbier, E. B., S. D. Hacker, C. Kennedy, E. W. Koch, A. C. Stier and B. R. Silliman. 2011. The value of estuarine and coastal ecosystem services. Ecological Monographs 81: 169–193

Barbier, E. B. 2012. Progress and challenges in valuing coastal and marine ecosystem services. Review of Environmental Economics and Policy, 6(1), 1-19.

Brander, L. M., Florax, R. J., & Vermaat, J. E. 2006. The empirics of wetland valuation: a comprehensive summary and a meta-analysis of the literature. Environmental and Resource Economics, 33: 223-250.

Duke, N., J. Meynecke, S. Dittmann, A. Ellison, K. Anger, U. Berger, S. Cannicci, K. Diele, K.C. Ewel, C.D. Field, N. Kowdam, S.Y. Lee, C. Marchand, I. Nordhaus, and F. Dahdouh-Guebas. 2007. A world without mangroves? Science 317:41-42.

GIZ. 2012. Integrating Ecosystem Services into Development Planning. A stepwise approach for practitioners based on the TEEB approach

Kathiresan, K. and B. L. Bingham. 2001. Biology of Mangroves and Mangrove Ecosystems. Advances in Marine Biology 40: 81-251.

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King, D. M. and M. Mazzotta. 2000. Ecosystem Valuation. Accessed from http://www.ecosystemvaluation.org/index.html (Internet Access Required)

Kristensen, E., S. Bouillon, T. Dittmar and C. Marchand. 2008. Organic carbon dynamics in mangrove ecosystems: A review 89: 201–219.

Mazda, Yoshihiro, Eric Wolanski, and Peter Ridd. 2007. "The role of physical processes in mangrove environments: Manual for the preservation and utilization of mangrove ecosystems."

(MEA) Millennium Ecosystem Assessment, 2005. Ecosystems and Human Well-being: Synthesis.Island Press, Washington, DC.

McIvor, A.L., Möller, I., Spencer, T. and Spalding. M. 2012a. Reduction of wind and swell waves by mangroves. Natural Coastal Protection Series: Report 1. Cambridge Coastal Research Unit Working Paper 40. Published by The Nature Conservancy and Wetlands International. 27 pages. ISSN 2050-7941. URL: http://www.naturalcoastalprotection.org/documents/reduction-of-wind-and-swell-waves-by-mangroves (Internet Access Required)

McIvor, A.L., Spencer, T., Möller, I. and M. Spalding. 2012b. Storm surge reduction by mangroves. Natural Coastal Protection Series: Report 2. Cambridge Coastal Research Unit Working Paper 41. Published by The Nature Conservancy and Wetlands International. 35 pages. ISSN 2050-7941. URL: http://www.naturalcoastalprotection.org/documents/storm-surge-reduction-by-mangroves

Murray, B., L. Pendleton, W.A. Jenkins, and S. Sifleet. 2011. Green payments for blue carbon economic incentives for protecting threatened coastal habitats, Report NI 11 04, Nicholas Institute for Environmental Policy Solutions.

Nellemann, C., E. Corcoran, C. Duarte, L. Valdés, C. De Young, L. Fonseca, and G. Grimsditch. 2009. Blue carbon. A rapid response assessment. United Nations Environment Programme, GRID-Arendal.

Ramsar Convention on Wetlands. 2005. Wetland Values and Functions. Ramsar Bureau, Gland, Switzerland.

Rivera-Monroy, V. H. and R. R. Twilley. 1996. The Relative Role of Denitrification and Immobilization in the Fate of Inorganic Nitrogen in Mangrove Sediments (Terminos Lagoon, Mexico). Limnology and Oceanography 41: 284-296.

Rönnbäck, P. 1999. The ecological basis for economic value of seafood production supported by mangrove ecosystems. Ecological Economics 29: 235–252

Russi D., ten Brink P., Farmer A., Badura T., Coates D., Förster J., Kumar R. and Davidson N. 2013. The Economics of Ecosystems and Biodiversity for Water and Wetlands. IEEP, London and Brussels; Ramsar Secretariat, Gland

Schuster, W.H. 1952. Fish culture in the brackish water ponds of Java. IPFC Spec. Pub. 1, 1–143.

Spalding, M., Kainuma, M., and Collings, L. 2010. World Atlas of Mangroves. A collaborative project of ITTO, ISME, FAO, UNEP-WCMC, UNESCO-MAB, UNU- INWEH and TNC. Earthscan, London, 319pp.

Tam, N. F. Y. and Y. S. Wong. 1999. Mangrove Soils in Removing Pollutants from Municipal Wastewater of Different Salinities. Journal of Environmental Quality 28: 556-564.

Thampanya, U., J. E. Vermaat, S. Sinsakul and N. Panapitukkul. 2006. Coastal erosion and mangrove progradation of Southern Thailand. Estuarine, coastal and shelf science 68: 75-85.

UNEP-WCMC. 2006. In the front line: Shoreline protection and other ecosystem services from mangroves and coral reefs. Cambridge, UK: UNEP-WCMC. 33 pp

Valiela, I., J.L. Bowen, and J.K York. 2001. Mangrove forests: One of the world's threatened major tropical environments. Bioscience 51:807-815.

Wilkinson, C. Ed., Status of Coral Reefs of the World (Australian Institute of Marine Science, Townsville, Australia, 2002).

Question 1. Why is there the need for an international convention on wetlands? 2. What are wetlands and why are they important to the integrated study of water and human health?

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WATER and HEALTH - Managing Watersheds for Health

Pollution Release and Transfer Register (PRTR)

Pollution Charges - Polluter Pays Principle

A "pollution charge" or "emission charge" is a fee, collected by the government, which is levied on each unit of pollutant emitted into the water. The total payment any source would make to the government could be found by multiplying the fee by the amount of pollutant emitted. Emission charges reduce pollution because pollution costs the firm money. To save money, the polluter seeks ways to reduce its pollution.

Emission or effluent charges reflect the type and quantity of the pollutant discharged into surface water or emitted into the atmosphere, as well as its impact. An economically efficient environmental charge is based on the cost inflicted on society. The total cost would include such things as lost opportunity, clean-up costs, and public health and aesthetic impacts.

The charges are established to meet environmental goals (normally performance standards). The charge can be based on environmental quality standards, the cost of financing pollution control, or effluent standards. Raising or lowering the environmental charge usually affects the amount of pollution. As charges increase, it becomes more cost-effective for the polluter to install pollution control equipment or switch to other, less polluting production processes.

Emission charges require a monitoring system to determine the quantity and quality of emissions. This system can take the form of continuous monitoring equipment which precisely measures the quality and quantity of the pollution emitted. For example, in the case of water pollution, equipment can be installed to determine the volume of wastewater. The quality can be estimated through regular sampling and laboratory analysis.

With an emission charge, a control authority can find the minimum cost allocation of meeting a predetermined emission reduction standard even when it has no information on control costs. Unfortunately, the process of finding the appropriate rate includes some trial-and-error. During the trial-and-error period of finding the appropriate rate, the changing emission charges make planning for the future difficult. Investments that would make sense under a high emission charge might not make sense when the emission charge falls. From either a policymaker's or business manager's perspective, this scenario leaves much to be desired.

Another type of pollution tax is the input charge. Where waste discharges are widely dispersed, and many polluters in many locations are responsible for them, it may be very difficult to monitor and tax emissions. This is the case with, for example, the run- off of farm wastes containing concentrations of fertilizer nitrates, and with the emissions of carbon dioxide from cars, boilers and electricity generators.

Application of Emission Charges

Emission charges have been applied primarily to situations involving water pollution. Charges can be set up at a level that is calculated to achieve a pre-determined level of water quality. Pollutants discharged in large quantities are easily monitored and can therefore readily be addressed in an emission charge scheme. Those occurring irregularly and in small amounts are more difficult to include. Charges can be used to finance a regional pollution control system. These charges can be applied to recover municipal costs based on, for example, volume of discharge.

Emission charges are only minimally effective in air pollution control. The allocation of revenue and the difficulty in monitoring emissions are factors. However, France has had some success in applying emission charges to air emissions.

Advantages and Disadvantages of Pollution Charges

Advantages:

Firms can reduce pollution at lower cost than under a command and control approach. Savings arise from the flexibility afforded to forms in responding to the charge. They may choose to pay the charge or to invest in a pollution control

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technology appropriate to their situation. Incentives to invest in new pollution control technology are provided to firms. Revenue that can be used to finance and enhance enforcement is generated. Emission charges can compensate for the externalities associated with industrial activity.

Disadvantages

It is difficult to develop charges that accurately reflect the marginal costs of pollution. Charges too high or too low would distort activity and not lead to an economically efficient pollution level. Unfortunately, emission charges are often used as a new source of revenue rather than as a mechanism to achieve an economically efficient level of resource use. Charges based on ambient quality are complicated by the fact that location of industries requires firm-specific rates. Administrative and monitoring costs are high.

Pollution charges have three main advantages over the conventional approach in which standards are backed up by legal constraints and fines (i.e. polluting firms must meet the standard or risk being fined):

1. Pollution charges achieve a given standard at least cost. 2. Charges force technology; they give firms an incentive to adopt the best available pollution control technology in order to minimize their "tax" liability. 3. Charges economize on information needs by giving the individual agents responsibility for their decisions about pollution control.

Monitoring Inspection and Oversight

Emission charges require a monitoring system to determine the quantity and quality of emissions and to calculate the corresponding charges. This system can take the form of monitoring equipment which precisely measures the quality and quantity of the pollution emitted and documents it (e.g., digital records, written records, databases). For example, in the case of water pollution, equipment can be installed to determine the volume of wastewater. The quality of wastewater can be estimated through regular sampling and laboratory analysis.

Monitoring, inspection and oversight of technical and administrative practices are fundamental for achieving compliance with emission standards, based on quantity and quality of environmental releases, and to operationalize the collection of pollution charges. Capacity building involving certification and training, licensing and permits, pollution controls, drinking water quality, waste water and sanitation, data management and auditing becomes necessary for the development and operationalization of pollution reduction mechanisms. Monitoring and surveillance of pollution reduction practices at the source of environmental releases (i.e., point and non-point sources) and performance in terms of pollution prevention and mitigation of degradation of the receiving environment (e.g., watershed, surface water and runoff, groundwater, land, and, air, flora and fauna) and at the point of use (e.g., drinking water and other potable uses, non-potable uses) should be carried out systematically and audited and the findings communicated to all stakeholders including the public.

Pollution Release and Transfer Registers (PRTRs)

Regional and national pollutant release and transfer registers (PRTRs), consisting of pollutant releases inventories and environmental pollution reporting and monitoring networks, voluntary and legislated, are foundational to risk management of chemicals and pollution prevention planning and awareness of chemical safety and environmental pollution. About 30 countries around the world already report emissions and transfers of chemicals to air, water and soil through their PRTRs and about 14 countries are in the process of designing their own PRTR system www.prtr.net (Internet Access Required)

The Organization for Economic Cooperation and Development (OECD) www.oecd.org/chemicalsafety/pollutant-release-transfer- register (Internet Access Required) produces documents describing the experiences of countries that have already developed PRTRs; current and emerging uses of PRTR data; how PRTRs differ; and the identification, selection, and adaptation of release estimation techniques that industry can use in the calculation of pollutant releases and transfers. The OECD work on PRTRs is

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overseen by an OECD Task Force on PRTRs.

PRTR systems are key resources for identifying pollution prevention priorities, supporting the assessment and risk management of chemicals and environmental modelling activities, and the development of pollution reduction strategies (policy, regulations, communications), and improving technological methods, research and understanding among industry, government and the public.

PRTRs are integral to the public's "right to know" and environmental policy making.

Examples of PRTRs are:

The U.S. Toxics Release Inventory (TRI) established in 1986 www2.epa.gov/toxics-release-inventory-tri-program (Internet Access Required)

Canada's National Pollutant Release Inventory www.ec.gc.ca/inrp-npri (Internet Access Required)

A listing and links to information on PRTRs established in countries around the world is available at www.prtr.net (Internet Access Required)

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WATER and HEALTH - Moving Forward Managing Watersheds for Health

Environmental health has been broadly defined as "the theory and practice of assessing and controlling factors in the environment that can potentially affect adversely the health of present and future generations" World Health Organization (WHO), 1993, p 18. cited in Parkes et al., 2003

The Nexus Between Water Energy and Food Security

"In recent years, there has been considerable debate in the international community about understanding the nexus between water, energy and food security; while some interesting approaches have emerged from that discussion, implementation pf this concept through sector-focused government agencies an various stakeholders remains a challenge.....

Emerging studies point to the consideration that decentralization, social media, and novel ways to raise capital should be used to empower local populaitons to create their own solutions......

more concerted efforts at all levels are required to create the enabling environment necessary to implement solutions and that such efforts will have to be broader than just dealing directly with water issues."

The above quotation is from the Preface, page iii, to the UNU and UNOSD, 2013 Report entitled, Water for Sustainability: Framing Water within the Post-2015 Development Agenda. United Nations University Institute for Water, Environment and Health, UN Office of Sustainable Development and Stockholm Environment Institute.

Everyone has an interest in water issues

"Rather than catalysing action, the importance of water, and sanitation, to human health, livelihoods, ecosystems and economic productivity means that while everyone has an interest in water issues, these interests are often at odds or fragmented" (Doczi et al., 2013)

Drivers of demand will encourage investment in water and sanitation infrastructure.

Growing global population - will need more food,more energy, more water resources for improved drinking water sources and hygiene and access to sanitation Industrial development - will need more energy and access to more energy, more water resources Climate change impacts Changing polital landscapes

Image: quote on water landscape changing. Source: UNU and UNOSD, 2013

Many water-based proposals that have emerged since 2013 for moving forward fall into three groupings.

Water as a Sector - These tend to prioritize WaSH, water resources management, wastewater, water quality and pollution, but not explicitly address the overall development agenda and economic growth. All proposals in this grouping have the water sector per se as their main focus. Water as an Enabler - These are aimed at tackling key obstacles to increasing economic growth and productivity (e.g., growth and poverty reduction, integrated water management for sustainable growth, water value chains). Emphasis is on water development to promote agricultural growth, energy production, water use in industry and commerce, and in creating employment. Water is intimately tied to key processes of state water implementation, including public expenditure, institutional roles and responsibilities, sector-wide approaches, and government reform. Water as a Supporter (to development and economic growth) - Thes focus on the high-level development agendaand the principal transformational changes in global development assisstance. By embedding water issues in health and agriculture and other high level goals or targets, water is viewed as a supporter to acheiving overarching policy objectives for development. For

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example, Integration of water under global partnershps for the eradication of poverty through sustainabledevelopment.

The Water Value Chain. Source: UNU and UNOSD, 2013

A comparative analysis across clusters of water-related proposals shows convergence in key areas involving water and human health and ecosystem services

Table comparison of water clusters. Source: UNU and UNOSD, 2013.

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Table assessment of water clusters. Source: UNU and UNOSD, 2013.

The need for an integration approach to water and health rather than treating each sector as silos has been well established, but is not without its challenges (IOM, 2009; Parkes et al., 2008; Parkes and Horwitz, 2009; Parkes et al 2005, Parkes et al., 2003; UNU and UNOSD, 2013). Arguments have been made for taking a broader ecosystem approach for watershed management and development that encompasses integrated water resources management (e.g., source water, water uses, water supplies, water for human health and welfare, hygiene and sanitation) and the sustainable provision of ecosystem services that support the water sector and non-water sectors (i.e., environment, agriculture, energy, health, tourism, mining, forestry and trade), as well as social and ecological functions.

A cross-cluster framework has been proposed in order to address the following:

Access to water, sanitation and hygiene for all - a moral imperative and driver of equitable social development and poverty reduction, and necessity for human wellbeing and economic productivity and national economic growth. Water for food and energy security - key elements of a healthy population and economy and drivers of poverty reduction, but must be managed in a sustainable and equitable manner. Water for industry to sustain economic growth Water for ecosystem services, as well as pollution reduction strategies which protect and preserve ecosystem function that support food security, economic activity and mitigation of natural disasters. A strong governance structure based on transparency, cooperation and integration - managing water as both a resource and a sector, allocating water fairly betwee competing demands within the context of a changing transboundary resource with regard to full cost-accounting.

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Cross-cluster framework Source: UNU and UNOSD, 2013.

The complex, reciprocal interactions among ecosystems, society and health demand an integrated approach (Parkes et al., 2008; Parkes et al., 2010).

Policy, management, health care delivery, reseach and understanding of human health and disease has largely been organized on the basis of government borders and agencies, such as municipalities, counties, provinces and states and the corresponding health authorities. These boundaries influence environemtnal and resources management, but often overlook the structure and function of ecosystems, thereby creating a disconnection betwee the objects of managment and biophysical processes that exist between health and nature.

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Mapping ecosystems, community and determinants of health. Source: (Parkes et al., 2008).

Prioritizing watersheds as appropriate spatial units around which to organize management for natural resources and health enables a more integrated framework for policy- and decision-making on water and health and the management conservation and protection of ecosystem services. The application of combined watershed management and ecosystem-health approaches have the potential to improve our ability to reducevulnerablity to natural hazards, maintain ecological flows ogf water and the provision of other ecosystem services. All of which are necessary for the long-term sustainability of human and natural systems. The development of integrative and collaborative frameworks, such as the Prism Framework (discussed previously in this unit), for decision-making that speak not only to public health professionals, but also to ecologists, water managers, planners and the development community is challenging, and reflects the limitations of addressing separate parts of social-ecological systems, in addition to the interconnections of human and natural systems (Parkes et al, 2008). The inter-relationships between ecosystems, health and well-being can be described in terms of direct and indirect impacts. Direct impacts are those associated with risks and hazards from direct exposure to the physical environment, for example impacts on the ecosystem services required for water quality and sanitation and water-related diseases. Whereas indirect impacts are associated with "side-effects" of ecosystem disruption and their influence on the social determinants of health and well- being. For further discussion, of direct and indirect impacts in the context of inter-relationships between ecosystem and health and well- being see page 38 in Parkes et al. 2008 which is provided in the resources for this course. Exposure and environmental exposure pathways have been dealt with in more detail in the Water and Health Course 2 entitled Water Related Impacts on Health -Principles, Methods and Applications.

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Challenges Gaps and Opportunities Relating to the Integration of Watershed-based Management and Ecohealth

Several challenges and opportunities are identified and discussed in the report entitled Ecohealth and Watersheds. Ecosystem Approaches to Re-integrate Water Resources Management with Health and Well-being. (Parkes et al., 2008). These include the following,

Governance Challenge and Opportunities

Spatio-temporal Scale

The Public Health Paradox

Ecological Goods and Services on a Watershed Basis

Poverty and Watersheds

"New-generation" Policy Instruments

Building Capacity for a Paradigm Shift

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Table Summary of Key Challenges and Opportunities Associated with the Integration of Watershed Management adn Ecohealth. Source (Parkes et al., 2008)

Global Needs for Catalyzing Water for Sustainable Growth

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The following global needs have been identified for catalyzing water for sustainable growth:

Governance

Accountability and Transparency

WaSH

Infrastructure

Wastewater Treatment

Water Resources Management

Agriculture

Energy

Environmental Services

Capacity

Rapid Assessment of Current Status Elements Required to Deliver on a Post-2015 Water Framework Across the Globe

Different starting points, needs, challenges and opportunities for implementing a post-2015 agenda exist in different countries and regions around the world. A rapid assessment of the current status of elements required to deliver on a post-2015 water framework which addresses the 8 key principles and related sector development is preent in the Table below. These focus on member countries of the Organisation for Economic Co-operation and Development (OECD), Mexico, Indonesia and Chile and, Brazil, India, and China (MIC and BRIC) and Least Developed Countries (LDCs), which are analysed separately according to continent (i.e. Africa and Asia).

Countries and regions with different levels of development will face different entry points to the common challenges, will be building from different strengths, and will therefore engage in the implementation process in different ways. Clearly these starting points will have implications for the regional and national investment requirements. A next step in this analysis would be specific case studies articulating both needs and the cost of meeting those needs.

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Rapid assessment of the status of requirements for catalyizing water for sustainable development and growth. Source UNU and UNOSD, 2013

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Implementation Scenarios of an Integrated Framework for Water and Non Water-Sectors. Source: UNU and UNOSD, 2013.

Challenges for Implementation of Sustainable Development Goals

Monitoring and reporting - requires setting of targets and robust systems to monitor them; targets and milestones should be set in a transparent manner and could build on monitoring and reporting systems that are already in place (e.g., JMP, IWRM, GLAAS).

Stakeholder engagement - requires engagement of a wide spectrum of stakeholders, including involvement of governments, donor agencies, civil society and the UN, the general public, private sector, lending instituions and research and academic communities in implementing, monitoirng and assessing performance, and may require new instituional mechanisms.

Mobilizing financial resources - a critical challenge for financing is the scale and continuity in investment that may be achieved through financing mechanisms such as taxation at local and national levels, user charges, cross-subsidies, private investment. For example, in the recent past financing for water-related infrastructure has been raised at the local level, and this is likely to continue. In the 1990s most financing of water and sanitation originated from domestic public sectors (65-70%) and private sectors (5%), with only 10-15% from international donors and 10-15% from international private companies. China and India are home to more than half the global unserved population, the source of funds for those countries to reach sustainable development goals would probably remain domestic,

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and similar arguments can be made for other rapidly developing countries. In the poorest countries, primarily Africa, funding shortfalls and need are the greatest. Sustainable funding must be found for infrastructure, operations and maintenance. Governments of low- income countries are unlikely to be able to afford service subsidies to help housholds to access utilities, and ineligible subsidy capture is a significant source of corruption which undermines efforts to support marginalised groups (UNU and UNOSD, 2013).

Possible mechanisms for moving forward on implementation of and integrated management framework are:

Non-traditional engagement mechansims - internatinal coalitions like the Association of Southeast Asian Nations (ASEAN), the Arab League, the European Union (EU), G20, Organization for Economic Cooperation and Development (OECD), the Organisation of Islamic Cooperation (OIC). Global mechanisms and global capacity builiding network for the aggregation and scaling up of water services Innovative financing- micro-credit schemes, online crowdsourcing, reinvestment of efficiency savings Monitoirng and reporting - SMART indicators to monitor progress and global accountability. For example, every country should be striving towards key essential monitoring and surveillance systems that provide socio-economic data, hydro-meteorological data, health data and financial flows data, which are rolled up from local to national scales through established reporting mechanisms.

Examples of indicators for monitoring and reporting on progress of change are presented in the table below.

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Table Exemplars of Indicators of Progress of Change. Source: UNU and UNOSD, 2013.

Indicators and Expected Outcomes

Compound indicators, with stated expected outcomes highlighting and mainstreaming water and health connectivity should be requisite for reporting on progress at the regional, national, and international level. Some possible suggestions include:

• Infant mortality reduced by 3 per 1000 live births, with a reduction of 1 per 1000 associated with access to drinking water and sanitation (This is based on Cheng et al. (2012) “An ecological quantification of the relationships between water, sanitation and infant, child, and maternal mortality” http://www. ehjournal.net/content/11/1/4 which found that for every quartile improvement in WSS, infant mortality rates were reduced by 1.4 per 1000 live births)

• Diarrhoea rates reduced by 50% (This is based on Cheng et al. (2012) “An ecological quantification of the relationships between water, sanitation and infant, child, and maternal mortality” http://www.ehjournal.net/content/11/1/4 (Internet Access Required)

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which found that for every quartile improvement in WSS, infant mortality rates were reduced by 1.4 per 1000 live births)

• Source water quality does not exceed selected (chemical and microbiological) WHO guidelines in 8/10 samples

• Every country incorporates integrated water resources management plans into their G&PRS that address universal access, economic growth, allocation (including transboundary) and climate change impacts

• Improved water efficiency in different sectors (less drops per dollar or more dollars per drop)

Conclusions - Moving Forward Managing Watersheds for Health

Despite the many challenges that have been identified, the integration of Ecohealth and a Watershed-based integrated water resources management (IWRM) approach to environmental management holds promise for addressing the gaps and linkages between ecosystems and natural resources management and poverty reduction.

Changes affecting climate and atmospheric process, land uses, ecological process, social networks, livelihoods and lifestyles, add to the complexity of understanding social-ecological systems, involving transboundary movement of people, animals, disease and pollutants, spatial-temporal scaling, and countless physical chemical biological social and ecological relationships.

A next step in this analysis would be specific case studies articulating both the needs and the cost of meeting those needs for the development and implementation of an integrated approach to water and health.

Questions

1. What are linkages between watersheds and human health?

2. What are examples of indicators that could be used to monitor progress of changes integrating water and health at the local, regional and national level?

3. What are the key challenges and opportunities to integrating watershed management and ecosystem health and how might these be addressed through research, policy and outreach?

4. Describe how watershed management and public health systems could be aligned to improve community resiliency and adaptive capacity to climate change?

References

Doczi J., Dorr T., Mason N. and Scott A. (2013) “The post-2015 delivery of universal and sustainable access to infrastructure services. ODI Working Paper” http://www.odi.org. uk/sites/odi.org.uk/files/odi-assets/publications-opinion-files/8445.pdf Cited in UNU and UNOSD, 2013.

FAO (2012) “Towards the Future We Want: End hunger and make the transition to sustainable agricultural and food systems” http://www.fao.org/docrep/015/an894e/ an894e00.pdf Cited in UNU and UNOSD, 2013.

Granit, J. (2012) “The Collective Action Dilemma in Managing Transboundary Freshwaters – An analysis of an outcome-driven framework” Dissertations from the department of Physical Geography and Quaternary Geology, No 33. Stockholm: Stockholm University . Cited in UNU and UNOSD, 2013.

GWP (2013) “National Stakeholder Consultations on Water: Supporting the Post-2015 Development Agenda GWP” http://www.worldwewant2015.org/node/349243 (Internet Access required)Cited in UNU and UNOSD, 2013.

IOM (Institute of Medicine). 2009. Global Environmental Health: Research Gaps and Barriers for Providing Sustainable Water,

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Sanitation, and Hygiene Services. Washington, DC: The National Academies Press.

Joint Monitoring Programme (2013) “Progress on Sanitation and Drinking Water: Update 2013” WHO and UNICEF http://www.wssinfo.org/fileadmin/user_upload/ resources/JMPreport2013.pdf Cited in UNU and UNOSD, 2013.

Parkes, M., Panelli, R., and Weinstein, P. 2003. Converging Paradigms for Environmental Health Theory and Practice. Environemtal Health Perspectives 111 (5): 669- 675.

Parkes, M., Bienen, L. Breilh, J., Hsu,L-N. McDonald, M., Patz, J.A., Rosenthal, J.P., Sahani, M, Sleigh, A. Waltner-Toews, D. and Yassi, A. 2005. All hands on deck: Transdisciplinary approaches to emerging infectious diseae. EcoHealth 2: 258-272.

Parkes, M.W.m Morrison, K.E., Bunch, M.J., and Venema, H.D. 2008. Ecohelath and Watersheds: Ecosystem Approaches to Re- integrate Water Resources Management with Health and Well-being. Network for Ecosystem Sustainability and Health (Publications Series No. 2) and the International Institute for Sustainable Development, Winnipeg, MB. Available online at http://www.iisd.org/pdf/2008/ecohealth_watersheds.pdf (Internet Access required)

Parkes, M., and Horwitz, P. 2009. Water ecology and health: ecosystems as settings for promoting health and sustainability. Health Promotion International 1: 94-102.

Parkes, M., Morrison, K.E., Bunch, M.J.,m Hallstrom, L.K., Neudoerffer, R.C., Venema, H.D. and Waltner-Toews, D. 2010. Towards integrated governance for water, health and social-ecological systems: The watershed governance prism. Global Environmental Change. 20:693-704

Transparency International (2008) “Global Corruption Report 2008 - Corruption in the Water Sector” http://issuu.com/transparencyinternational/docs/global_ corruption_report_2008?e=2496456/2011923 Cited in UNU and UNOSD, 2013.

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UNU and UNOSD, 2013 Report entitled, Water for Sustainability: Framing Water within the Post-2015 Development Agenda. United Nations University Institute for Water, Environment and Health, UN Office of Sustainable Development and Stockholm Environment Institute.

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WATER and HEALTH - References Used in Course 4 Social Perspectives on Water and Health Adeel, Z. (2012). Water as a Human Right: A Panacea to the Global Water Crisis? Presentation to the University of Waterloo. UNU-INWEH, March 23rd. Ansell, C. and Gash, A. (2008). Collaborative governance in theory and practice. Journal of Public Administration Research and Theory 18(4): 543-571. Backstraand, K. (2004). Scientisation vs. Civic Expertise in Environmental Governance: Eco-feminist, Eco- modern and Post-modern Responses. Environmental Politics. 13 (4): 695-714.

Bakker, K. (2007). The “Commons” Versus the “Commodity”: Alter-globalization, Anti-privatization and the Human Right to Water in the Global South. Antipode. Vol. 39, 3: 430-455.

Bal R., Bijker, W., & Hendriks, (2004). Democratization of scientific evidence. BMJ. 329: 1339-41. Barlow, M. & Clarke, T. (2004). Water, Privatization., The Global Policy Forum. Available at: http://www.globalpolicy.org/component/content/article/209/43398.html

Bell, Derrick A. Ethical Ambition: Living a Life of Meaning and Worth. New York: Bloomsbury, 2002.

Bjornlund, H. & McKay, J. (2002). Aspects of water markets for developing countries: experiences from Australia, Chile, and the US. Environment and Development Economics 7: 769–795. Blackmore, C. (2007). What kinds of knowledge, knowing and learning are required for addressing resource dilemmas? A theoretical overview. Environmental Science and Policy, 10 (6), 512-525.

Boelens, R. & Zwarteveen, M. (2005). Prices and Politics in Andean Water Reforms. Development and Change. 36 (4): 735–758

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Borresch, R., Maas, S., Schmitz, K., Schmitz, P. M. (2009) Modelling the value of a multifunctional landscape – A discrete choice experiment. International Association of Agricultural Economists Conference, Beijing, China, August 16-22, 2009, 13 pages. Available from: http://ageconsearch.umn.edu/bitstream/51641/2/IAAE2009_692.pdf [Accessed 10 January2014]

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Connelly, S., T. Richardson, and T. Miles. (2006). Situated legitimacy: deliberative arenas and the new rural governance. Journal of Rural Studies 22(3): 267-277. Davidson-Hunt, I.J. & Berkes, F. (2010). Innovating through commons use: community-based enterprises. International Journal of the Commons. Vol. 4 (1): 1-7. [online]. Available at: http://www.thecommonsjournal.org (Internet Access Required)

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Dean, Mitchell. (1999). Governmentality: Power and Rule in Modern Society. Thousand Oaks, CA: Sage Publications.

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de Loë, R.C. 2009. Sharing the Waters of the Red River Basin: A Review of Options for Transboundary Water Governance. Prepared for International Red Rivers Board, International Joint Commission. Guelph, ON: Rob de Loë Consulting Services

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Driedger, S.M. & Eyles, J. (2003). “Different frames, different fears: communicating about chlorinated drinking water and cancer in the Canadian media”. Social Science & Medicine. Vol. 56: 1279-1293. Eden, S; Donaldson, A; Walker, G. (2006). Green groups and grey areas: scientific boundary-work, nongovernmental organisations, and environmental knowledge. Environment and Planning A. Vol. 38, No. 6: 1061-1076.

Edge, S. (2011). Environmental Health Governance and Socio-spatial Struggles for Legitimacy: The Case of Chemical Risk Management in Canada. Paper presentation at the International Medical Geography Symposium. Durham University, Durham, United Kingdom.

Edge, S. & McAllister, ML. (2009). Place-based local governance and sustainable communities: lessons from Canadian biosphere reserves. Journal of Environmental Planning & Management. 52:3, 279-295. Edge, Sara. & Eyles, J. (in press). The socio-spatial (re)configuration of legitimacy, knowledge & practice in chemical risk governance: an exploratory integration of boundary-work & scale-frame analytics. Environmental Politics. Entman, R. M. (1993). Framing: toward clarification of a fractured paradigm. Journal of Communication. 43:51-58.

Feitelson, E. (2012). What is Water? A Normative Perspective. Water Policy. 52-64. doi: 10.2166/wp.2012.003

Feitelson, E. & Fischhendler, I. (2009). Spaces of water governance: the case of Israel and its neighbors. Annals of the Association of American Geographers. 99, 728–745.

Ferreyra, C., de Loë, R. C., and Kreutzwiser, R. D. 2008. Imagined communities, contested watersheds: challenges to integrated water resources management in agricultural areas. Journal of Rural Studies, 24 (3), 304-321.

Fischer, F. (2005). Environmental Regulation and Risk-Benefit Analysis: From Technical to Deliberative Policy Making. In: Robert Paehlke & Douglas Torgerson (eds). Managing Leviathan: Environmental Politics

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and the Administrative State. 2nd Edition. Peterborough, ON: Broadview Press, pp. 59-80.

Fischhendler, I. & Feitelson, E. (2005). The formation and viability of non-basin transboundary water management: The case of the U.S.–Canada boundary water. Geoforum 36:792–804.

Folke, C., Hahn, T., Olsson, P., and Norberg, J. (2005). Adaptive governance of social-ecological systems. Annual Review of Environment and Resources, 30: 441-473. Gearey, M. and P. Jeffrey. (2006). Concepts of legitimacy within the context of adaptive water management strategies. Ecological Economics 60(1): 129-137.

Giordano, M. A. and Wolf, A. T. 2003. Sharing waters: post-Rio international water management. Natural Resources Forum, 27 (2), 163-171.

Gleick, P. et al. (2004) The World’s Water 2004-5: The Biennial Report on Freshwater Resources. Washington, DC and London: Island Press.

Global Water Partnership (2000). Integrated Water Resources Management. TAC Background Papers No.4, Global Water Partnership, Technical Advisory Committee, Stockholm, Sweden. Available at: http://www.gwpforum.org/servlet/PSP?iNodeID=215&itemId=24Heath, T. (2010). Pragmatic but Principled: Background Report on IWRM. Cranfield Univeristy and WASUP.

Guston, D. (2001). Boundary Organizations in Environmental Science and Policy: An Introduction. Science, Technology & Human Values. 26 (4): 339-408.

Harris, L. (2002). Water and conflict geographies of the Southeastern Anatolia Project. Society and Natural Resources, 15, 743-759.

Harris, L. & Alatout, S. (2010). Negotiating hydro-scales, forging states: Comparison of the upper Tigris/Euphrates and Jordan River basins. Political Geography. 29: 148-56.

Hattingh, J., el. (2007). A trialogue model for ecosystem governaance.Water Policy 9 Supplement 2: 11–18.

Holley, C., Gunningham, N. & Shearing, C. (2012). The New Environmental Governance. Earthscan Publishing. New York, New York.

Ingram, H. (2008) Beyond Universal Remedies for Good Water Governance. Paper presented at the Rosenberg International Forum on Water Policy, Zaragoza, June 24-27.

Kurtz, H. (2003). Scale frames and counter-scale frames: constructing the problem of environmental justice Political Geography 22 887–916 Lach, D., Rayner, S. & Ingram, H. (2005). Taming the waters: strategies to domesticate the wicked problems of water resource management. International Journal of Water. 3(1), 1517.

Lancaster, K. (1966) A New Approach to Consumer Theory. Journal of Political Economy, Vol. 74, pp. 132-- 157.

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Mansfield, B., & Haas, J. (2006). Scale framing of scientific uncertainty in controversy over the Endangered Steller sea lion. Environmental Politics: Vol. 15 (1): 78-94. Marin, L. E., Sandoval, R., Tagle, F., Sanchez, E. & Martinez, V. H. (2009). Water as a human right and as an economic resource: an example from Mexico. In: Water Ethics. Llamas, M. R., Martinez-Cortina, L. & Mukherji, A. (eds). CRC Press/Balkema, Leiden, pp. 115–125.

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McCarthy, J. (2005). Scale, Sovereignty and Strategy in Environmental Governance. Antipode. 732-53. McCarthy, J., (2007). States of nature: theorizing the state in environmental governance. Review of International Political Economy. 14: 176–194. McCloskey, M. (1999). Problems with Using Collaboration to Shape Environmental Public Policy, 34 Valparaiso University Law Review. 32(2): 423-3. Available at: http://scholar.valpo.edu/vulr/vol34/iss2/6 Millenium Ecosystem Assessment. (2005). Synthesis. Island Press, Washington, DC Available online at: http://www.millenniumassessment.org/ (Internet Access Required) Meadowcroft, J. 2002. Politics and scale: some implications for environmental governance. Landscape and Urban Planning 61(2-4): 169-179.

Mehta, L. (2001). Water, difference, and power: Unpacking notions of water “users” in Kutch, India. International Journal of Water. 1 (3-4).

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Norgaard, R., Kallis, G. & Kiparsky, M. (2009). Collectively engaging complex socio-ecological systems: re- envisioning science, governance, and the California Delta. Environmental Science and Policy. 12: 644-52. Ostrom, E. 1990. Governing the commons: The evolution of institutions for collective action. Cambridge, UK: Cambridge University Press.Pahl-Wostl, C., et al. (2007). Social Learning and Water Resources Management. Ecology and Society. 12 (2): 5.

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Pruss-Ustun, A., Corvalan, C. (2005). Preventing Disease through Healthy Environments: Towards an Estimate of the Environmental Burden of Disease. World Health Organisation, Geneva.

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n.a. Water Law and Indigenous Rights - WALIR Towards recognition of indigenous water rights and management rules in national legislation, Summary of the presentations at the public meeting (7 March 2002) on the occasion of the International WALIR Seminar, 4-8 March 2002, Wageningen, The NetherlandsWater Governance Facility, (nd). Training Manual on Water Integrity Wilde, O. (1890) The Picture of Dorian Gray. Chapter 4.

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WATER and HEALTH - Course 4 Social Perspectives on Warer and Health

Economics of Valuation of Land Degradation (Environmental Degradation and Restoration) and Economic Valuation for Wetland Conservation

Key Readings

This page is identical to the Discussion Page

Indicative textbook

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Natural Resource and Environmental Economics, 4th Edition. Pearson Education. 712p.

This textbook is written as an introductory textbook and covers all the material described in this unit. It contains clear text descriptions as well as illustrative graphs and mathematical equations. The companion website also provides example files. Depending on your own proficiency in maths you may find other textbooks more suited to your needs but this textbook should constitute a good starting point.

All sections

ELD Initiative (2013). The rewards of investing in sustainable land management. Interim Report for the Economics of Land Degradation Initiative: A global strategy for sustainable land management. Thomas, R.J., Quillérou, E., Stewart, N. (Coordinators and Eds.), 124pp. Available at: www.eld-initiative.org/ or http://inweh.unu.edu/reports/ [17 September 2013]

This report provides a good complement to this course. It details selected case studies and the general background for the initiative and briefly reviews the methods detailed in this course.

Section 1 WH40M05D001Challenges1

Pagiola, S., von Ritter, K., Bishop, J. (2004). Section 1 Introduction & Section 2 Ecosystems and the services they provide. In: How much is an ecosystem worth? Assessing the Economic Value of Ecosystem Conservation. In collaboration with The Nature Conservancy and IUCN - The World Conservation Union (Ed.). The World Bank Environment Department paper, pp. 1-8. Available from: http://www.cbd.int/doc/case-studies/inc/cs-inc-iucn-nc-wb- en.pdf [22 November 2011]

The first part of this report outlines the key questions an economic analysis can help answer to complement other disciplinary perspectives.

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 2: The origins of the Sustainability Problem. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 16-58.

This chapter provides an overview of the discussion on why we as a society should aim for sustainability.

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Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 3: Ethics, Economics and the Environment. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 59-91.

This chapter provides an overview of utilititarism, that is the economic perspective adopted in this unit, and its consequences for the definition of sustainability.

Shanahan, M. (2008) Entangled in the web of life: biodiversity and the media. IIED Briefing Papers, May 2008, 4pp. Available from: http://pubs.iied.org/pdfs/17037IIED.pdf [01 May 2012]

This breifing paper details some ecosystem services provides by nature and outlines the importance of using a communication language relevant to the target audience to trigger effective management.

Section 2 WH40M05D003Challenges2

Pagiola, S., von Ritter, K., Bishop, J. (2004). Section 3 Valuing ecosystem services. In: How much is an ecosystem worth? Assessing the Economic Value of Ecosystem Conservation. In collaboration with The Nature Conservancy and IUCN - The World Conservation Union (Ed.). The World Bank Environment Department paper, pp. 9-12. Available from: http://www.cbd.int/doc/case-studies/inc/cs-inc-iucn-nc-wb-en.pdf [22 November 2011]

The second part of this report briefly describes methods available to decision-makers for environmental valuation.

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 4: Welfare economics and the Environment. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 92-136.

This chapter provides an overview of the economics tools for analysis of environmental change. It describes the conditions for efficient allocation, how a market system would deliver this efficient allocation and why allocation is not always efficient as the rationale for government intervention through public policy-making. In particular, it details the key problems of externalities and market failure arising in relation to the environment.

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 12: Valuing the environment. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 411-454.

This chapter details the total economic value framework, the concepts of willingness to pay and to accept, compensating surplus and equivalent surplus. It explains how to use different methods to conduct environmental valuation.

Section 3 WH40M05D006Challenges3 Cost-benefit

Pagiola, S., von Ritter, K., Bishop, J. (2004). Section 3 Valuing ecosystem services. In: How much is an ecosystem worth? Assessing the Economic Value of Ecosystem Conservation. In collaboration with The Nature Conservancy and IUCN - The World Conservation Union (Ed.). The World Bank Environment Department paper, pp. 13-33. Available from:

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http://www.cbd.int/doc/case-studies/inc/cs-inc-iucn-nc-wb-en.pdf [22 November 2011]

The last part of this report outlines general principles of cost-benefit analysis and potential scenarios to be considered for assessment.

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 11: Cost- Benefit Analysis. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 367-410.

This chapter details the economic principles behind cost-benefit analysis. It outlines the impact of the timing of costs and benefits on decisions made.

Perman, R., Ma, Y., Common, M., Maddison, D., Mcgilvray, J. (2011) Chapter 13: Irreversibility, risk and Uncertainty. In: Natural Resource and Environmental Economics, 4th Edition. Pearson Education, pp. 455-481.

This chapter explains the difference between risk and uncertainty and their consequences for decision-making at the individual and the society levels.

Key Readings on Economic Valuation for Wetland Conservation

GIZ. 2012. Integrating Ecosystem Services into Development Planning. A stepwise approach for practitioners based on the TEEB approach.

Irwin, F. and J. Ranganathan. 2007. Restoring Nature’s Capital. An Action Agenda to Sustain Ecosystem Services. World Research Institute, Washington, DC. Available at: http://pdf.wri.org/restoring_natures_capital.pdf

Millennium Ecosystem Assessment, 2005. Ecosystems and Human Well-being: Synthesis. Island Press, Washington, DC.. Available at: www.maweb.org

Russi D., ten Brink P., Farmer A., Badura T., Coates D., Förster J., Kumar R. and Davidson N. 2013. The Economics of Ecosystems and Biodiversity for Water and Wetlands. IEEP, London and Brussels; Ramsar Secretariat, Gland. Available at: http://data.iucn.org/dbtw-wpd/edocs/2013-001.pdf

TEEB .2010. The Economics of Ecosystems and Biodiversity Ecological and Economic Foundations. Edited by Pushpam Kumar. Earthscan, London and Washington.

UNEP-WCMC. 2011. Marine and coastal ecosystem services: Valuation methods and their application. UNEP-WCMC Biodiversity Series No. 33. 46 pp. Available at: http://www.unep.org/dewa/Portals/67/pdf/Marine_and_Coastal_Ecosystem.pdf (Internet Access Required)

Conservation International. 2008. Economic Values of Coral Reefs, Mangroves, and Seagrasses: A Global Compilation. Center for Applied Biodiversity Science, Conservation International, Arlington, VA, USA. Available at: http://www.conservation.org/documents/CI_Marine_CI_Economic_Values_Coral_Reefs_Mangroves_Seagrasses_compilation_2008.pdf (Internet Access Required)

Further Readings

The following readings have been selected because the description of the methodologies is still relevant. They aim to develop an understanding of the methods, their applications and some of their limitations. The methods detailed in this unit were primarily developed in the 1990s and 2000s and methodological steps have not changed much since. Current research is still being conducted on reducing empirical biases for improvement of the empirical results derived from these methods. The economic values detailed in these readings would need to be updated and should be considered with caution. This list is far from being exhaustive, you can check your local university libraries, the Internet and other available sources for more examples.

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Bennett, J., Birol, E. (2010) Choice Experiment in Developing Countries: Implementation, Challenges and Policy Implications. Edward Elgar, 321pp.

This is an excellent reference book on applications of the choice experiment method in developing countries. It can be used in the first half of Section 4 as an example case study.

Bromley, D.-W. (1995) Part V: The Valuation Problem, Chapters 24 to 30. In: The Handbook of Environmental Economics. Massachusetts: Blackwell Publishers, pp. 543-686.

This reading details economic methods for environmental valuation, their theoretical basis, the main steps and their main limitations.

Commission on the Measurement of Economic Performance and Social Progress (2009) The Report of the commission on the measurement of economic performance et social progress. Available from: http://www.stiglitz-sen-fitoussi.fr/en/ [Accessed 01 May 2012]

Also known as the "Stiglitz-Sen-Fitoussi" report. The Commission was set up to look at the (in)adequacy of current measures of economic performance and their relevance for measuring societal well-being as well as economic, environmental and social sustainability and propose new tools for improved assessment. The report summarises their findings.

Grafton, Q., Adamowicz, W., Dupont, D., Nelson, H., Hill, R. J., & Renzetti, S. (2004) Part III: Environmental Valuation, Chapters 8 to 10. In: The Economics of the Environment and Natural Resources. Wiley-Blackwell, pp. 219-311.

This reading details the economic methods for environmental valuation: their theoretical foundations, main steps and limitations.

Hanley, N., Shogren, J. F., White, B. (1997) Chapter 12: The Theory of Nonmarket Valuation. In: Environmental Economics in Theory and Practice. Basingstoke, Hampshire: Palgrave Macmillan, pp. 356-382.

This reading details the economic methods for environmental valuation: their theoretical foundations, main steps and limitations.

Hanley, N. (1999) Chapter 57: Cost–benefit Analysis of Environmental Policy and Management. In: van den Bergh, J. C. J. M. (ed). Handbook Of Environmental And Resource Economics. Cheltenham, United Kingdom: Edward Elgar, pp. 824-836

This reading details principles of environmental cost-benefit analysis: its theoretical foundations, main steps and limitations.

Stern, N. (2007) Stern Review on the Economics of Climate Change. Cabinet Office - HM Treasury. ISBN: 9780521700801. 712p. Available from:

http://webarchive.nationalarchives.gov.uk/+/http://www.hm-treasury.gov.uk/sternreview_index.htm

(Internet Access Required)

This review compared the economic cost of action versus the costs of inaction for mitigating climate change. The results of this review triggered a very strong political support for climate change mitigation strategies throughout the world and a reorientation of economic development towards green growth. This political support was associated with huge investments for climate change mitigation technology development, financial support file:///F|/Dropbox/WaterHealthNewFinal/Course4/discussion/WH40M070D004ReadingMaterials_EnvironValuation.htm[11/3/2014 7:41:02 PM] WLC Template

for adoption of green technologies and implementation of climate change-related policies. This economic analysis constitutes the current reference for economic assessment to induce action.

Scarpa, R., Rose, J.M. (2008) Design efficiency for non-market valuation with choice modelling: how to measure it, what to report and why. Australian Journal of Agricultural and Resource Economics, Vol. 52, 253- 282

This paper details why efficient designs should be preferred to design choice modeling cards.

"For the student" paper series, The Australian Economic Review. Available from: http://onlinelibrary.wiley.com/journal/10.1111/%28ISSN%291467-8462 (Internet Access Required)

These papers explain basic economic concepts in simple terms for people training in economics in more details than in a traditional academic paper.

References

Borresch, R., Maas, S., Schmitz, K., Schmitz, P. M. (2009) Modelling the value of a multifunctional landscape – A discrete choice experiment. International Association of

Agricultural Economists Conference, Beijing, China, August 16-22, 2009, 13 pages. Available from: http://ageconsearch.umn.edu/bitstream/51641/2/IAAE2009_692.pdf (Internet Access Required)

Lancaster, K. (1966) A New Approach to Consumer Theory. Journal of Political Economy, Vol. 74, pp. 132--157.

Wilde, O. (1890) The Picture of Dorian Gray. Chapter 4.

Scarpa, R., Rose, J.M. (2008) "Design efficiency for non-market valuation with choice modelling: how to measure it, what to report and why." Australian Journal of Agricultural and Resource Economics, Vol. 52, 253-282

Weblinks and Portals

Environmental The EVRI is a Canadian-run searchable storehouse of empirical Valuation Reference studies on the economic value of environmental benefits and Inventory (EVRI) human health effects using various valuation methods. This storehouse has been developed as a tool to help policy analysts use the benefit transfer method.

https://www.evri.ca/ (Internet Access Required)

[Accessed 01 May 2012]

Envalue The ENVALUE environmental valuation database is an Australian- run systematic collection of environmental valuation studies presented in an on-line database. It is expected that the ENVALUE

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database will assist decision makers in government and industry as well as academics, consultants and environmental groups, to incorporate environmental values into cost-benefit analyses, environmental impact statements, project appraisals and overall valuation of changes in environmental quality.

http://www.environment.nsw.gov.au/envalueapp/ (Internet Access Required)

The Environmental A source of case studies, examples and further references Valuation and Cost- benefit website http://www.costbenefitanalysis.org/ (Internet Access Required) [Accessed 01 May 2012]

Venice Platform The Coastal Wiki : Internet encyclopedia for coastal and marine professionals

http://www.coastalwiki.org/coastalwiki/ (Internet Access Required)

[Accessed 01 May 2012]

The World Bank, A good source of examples of policies, green growth strategies and Environment Section indicators

http://go.worldbank.org/B28KB6VQQ0 (Internet Access Required)

Economic Valuation for Wetland Conservation -

Ecosystem Valuation: www.ecosystemvaluation.org (Internet Access Required)

The Natural Capital Project: http://www.naturalcapitalproject.org/ (Internet Access Required)

The Economics of Ecosystems and Biodiversity (TEEB): http://www.teebweb.org/ (Internet Access Required)

Multimedia

Pavan Sukhdev (2011) Put a value on nature! Technology Education and Design (TED) Talk July 2011. Available from: http://www.ted.com/talks/pavan_sukhdev_what_s_the_price_of_nature.html (Internet Access Required) [Accessed 01 May 2012]

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Water And Health Course 5 CHALLENGES FOR WaSH

Life's Challenges

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INTRODUCTION: PUTTING THE PIECES TOGETHER

Putting puzzle pieces together

Linear Model of Routes of Disease Transmission and Protective Barriers [from World Bank, 2014].

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Cyclical Model of Routes of Disease Transmission [from Eisenberg, Scott, Porco, 2007].

Clean water to drink, sanitation facilities and strong hygiene practices promote good health and prevent the spread of infectious diseases, particularly water related gastrointestinal diseases.

Collectively, water, sanitation and hygiene are referred to as WaSH. WaSH impact on water-related disease can be described in a linear or cyclic manner. How you frame it will tell you where you can intervene, both from a policy and practice perspective, as well as pointing you towards the unanswered questions (research).

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WaSH IN RELIGIOUS AND CULTURAL TRADITIONS WaSH practices are culturally defined and traditionally practiced Many traditions and religions around the world have formative teachings and practices that inform attitudes towards WaSH.

Indigenous traditions Abrahamic religions Buddhism and Hinduism

Earth, air, water, grass and fire

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BENEFITS OF WaSH WaSH provisioning is important for human and public health. WaSH provisioning prevents the contracting and spread of disease. WaSH provisioning supports the human rights to drinking water and sanitation and to health. WaSH provisioning contributes positively to national economies. WaSH provisioning supports disease mitigation and intervention.

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CHALLENGES

Water flows through landscapes, lives and livelihoods. Water is both a resource to be used to ensure health and well-being through human and animal consumption, agriculture, energy generation, security, and tourism and a threat to each of these sectors when there is either too little or too much.

Clean water saves lives; contaminated water threatens life. Water and sanitation are human rights; implementation of human rights is always the challenge. “Human rights are not only violated by terrorism, repression or assassination, but also by unfair economic structures that creates huge inequalities.” (Pope Francis) WaSH cuts across many sectors including sanitation and hygiene, education, health, natural resources, economic development, tourism, transportation, and international relations.

Addressing WaSH requires action on three fronts - policy practice and research.

WaSH framework of policy practice research

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WaSH AND WELL-BEING

Well-Being sourced from: Canada. http://www4.hrsdc.gc.ca/[email protected] (Internet Access Required)

Well-being is defined as a good or satisfactory condition of existence; a state characterized by health, happiness, and prosperity (Random House Dictionary, 2014).

Well-being comes from satisfaction with many aspects of individual and communal lives.

All aspects are essential and some proportional; there is no absolute “amount” of each indicator that results in a sense of well- being.

WaSH affects all indicators.

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MATERNAL AND CHILD HEALTH

Best and Worst Countries to be a Mother in 2011 Source: Save the Children State of the World's Mothers, 2011. Health Systems and Mothers' Well-Being - Hillary Clinton

“Maternal Mortality is not a human rights violation that occurs in isolation; rather it is the culmination of a multitude of rights denial encompassing poverty, illiteracy, malnutrition, child marriage and discrimination faced by marginalized and vulnerable groups.” M. Prakashamma

Improvements in WaSH will result in improved maternal and newborn health. Health care facilities without adequate WaSH cannot provide safe maternal and newborn care. In adequate sanitation provision compounds problems in pregnancy. Good hygiene practices are part of maintaining a healthy pregnancy. Between five and 30% of patients develop one or more avoidable infections during stays in healthcare facilities in low-resource countries.

Safe and secure sanitation increases school attendance.

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WaSH AND FOOD SECURITY

Ecological classification of trophic levels,

Diagram of a food web, and

Bar-charts of global water use 1900 to 2015

800 million people in the world are living in food insecure environments Water and sanitation are environmental factors that shape, modify, and change food webs and are shaped, modified, and changed by the individual components of or nodes in any web. Food security is a cornerstone for sustainable and healthy development.

Water and sanitation (WaSH) underpin the achievement of food security.

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Food security can only exist when these pillars are fulfilled: Food Availability, Food Accessibility, Food Utilization, & Stability.

Simply because there is enough food available in a given community does not mean that food security will exist.

An individual must be in good health to benefit from the nutrients in food. When WaSH technologies are introduced to a food insecure environment they can lead to more efficient food production. World freshwater serves a multitude of purposes, but its primarily used in irrigation in agriculture.

Breakdown of freshwater use. Sourced from World Bank, 2014.

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WaSH FOOD SECURITY

Food Security [From: Ganzouti, AE, McCormick, H, Stanley, C. WaSH- Water, Sanitation, & Hygiene (2014). Unpublished manuscript. Hamilton: UNU-INWEH.]

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WaSH AND ENERGY

The water energy cycle [From: http://www.nexuswaterenergy.com/how-energy-impacts-water] (Internet Access Required)

The basic interdependency of energy and water [From: http://www.nexuswaterenergy.com/how-energy-impacts-water] (Internet Access Required)

World Energy Production

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World energy production [From: International Energy Agency, 2013]

Cycles of water community sanitation and energy

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WaSH AND ENERGY There are both direct and indirect linkages between WaSH and energy; most obvious is relationship between water and power. Hydroelectric power generation is the most direct connection of water and energy. There are still 1.2 billion people that don’t have access to electricity. World energy consumption has been on the rise, and more recently it has been growing at an exponential rate. Energy is necessary for human development. Water is necessary for energy development to grow twice as fast for energy production. Seek active participation of the community, private, public and non-profit sectors in developing a strategy that is,

Action-oriented Concise Easy to communicate Aspirational

Energy as a basic resource required for regional and national economic growth and often trumps the water needs of individuals and communities. We have yet to fully understand how alternative forms of energy, such as solar panels and wind turbines, can be utilized to secure WaSH. Scaling down the lessons from large power suppliers to learn how to make energy more available to smaller, remote communities. Decentralizing energy production so that households and individuals are given more ownership and agency. To ensure the ability to scale up successful interventions researchers must collaborate with practitioners to develop technology that is easily transferable to unique community characteristics, while maintaining a basic level of standardization.

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WaSH AND TOURISM Tourism development may be welcomed as a needed source of economic growth, with the potential to spur further development for the individual, the community and the country at large.

If improperly managed, the tourism industry may have a detrimental impact on the social, cultural, economic and environmental well-being of communities. Tourism accounts for only 1% of global water consumption but holds the potential to make a significant demand on water resources and impact the wellbeing of millions around the globe. 80% of the tourism industry is composed of small and medium-enterprises, many of which lack the economic and technical resources required for a sustainable approach to water and sanitation management. What needs to happen –

Establish water-conscious tourism businesses; Manage development projects stemming from revenues;

Engaged in stakeholder consultation with large-scale tourism establishments; and, Policies and legislation are needed to set the framework.

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Tourism Community and WaSH

Ecotourism Image source: www.ecotour.org (Internet Access Required)

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WaSH AND DISASTERS Crisis responses are the beginning of rebuilding, it is not the end. Impact is related to duration, extent, and pre-existing resources. Disasters can be natural or man- made.

TOO MUCH

TOO LITTLE

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UNPREDICTABLE

Defining Disasters by Causal Type

1. Natural [e.g., tornado] Natural disasters occur as a result of natural occurrences over which it is assumed that human beings have no control. These naturally occurring events often involve major weather events such a floods, blizzards, tornadoes, cyclones, and tsunamis or geologic events such as landslides, earthquakes, and volcanic eruptions. The resulting damages may depend upon how well humans manage their community infrastructure. The security of buildings (e.g. earthquake resistant building codes) and public works (e.g., water mains) to a large degree will determine the scope and depth of the disaster.

On average, 27 million people have been displaced each year since 2008 by natural disasters. (Norwegian Refugee Council, Internal Displacement Monitoring Centre).

2. Human-made [e.g., fire; bomb] Human made disasters can be directly linked to the behaviour of human beings and include events such as forest fires, transport accidents (e.g. plane crashes, train derailments), industrial accidents (e.g., chemical spills), oil spills and nuclear explosions/radiation. A particular sub-category of disasters occurs with wars and terrorist attacks.

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DISASTERS - IMPACTS Whether natural or man-made, disasters have a variety of impacts on the health and well-being of individuals and communities including:

Replacement demand for degraded existing resources

Demand for additional resources

Special Circumstances A major cause for the increase in the number of people being displaced is the massive migration toward big cities in the developing world. This massing of people together in places that lack infrastructure makes them more vulnerable to natural disasters aggravated by climate change. Norwegian Refugee Council, Internal Displacement Monitoring Centre. 2014. Global Estimates 2014: people displaced by disasters. IDMC: Oslo.

Orphaned and abandoned children

46% of refugees are children (UNHCR, 2013) In 2013 UNICEF provided 19.9 million children with access to safe water for drinking, cooking and bathing; 1.9 million children were treated for severe acute malnutrition

Displaced populations (e.g., Syria, Somalia, Columbia)

By end 2012, 45.2 million people were forcibly displaced worldwide as a result of persecution, conflict, generalized violence and human rights violations.

Refugees 1 (e.g., South Sudan, Afghanistan, Mexico)

Asylum-seekers (with “pending cases”) 1

1 Internally displaced persons

Medically isolated populations

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SPECIAL WaSH CONSIDERATIONS

Planning for basic needs – restoration and emergency supplies

Water Sanitation Hygiene

Planning for special WaSH needs

Medical - Health Newborns and children Pre-existing special needs - elderly; disabled Transient Populations Displaced Persons (DP) Internally Displaced Persons (IDP)

Where do they come from?

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REFERENCES - WaSH AND DISASTER Identical to Discussion Page

Horlick-Jones, T. (1998). Meaning and contextualisation in risk assessment. Reliability engineering & system safety, 59(1), 79-89.

Norwegian Refugee Council, Internal Displacement Monitoring Centre. 2014. Global Estimates 2014: people displaced by disasters. IDMC: Oslo.

Pearce, T. (2008). National and international perspectives on disaster management. Environmental Health, 8(2), 112.

Quarantelli, E. L. (Ed.). (1998). What is a disaster?: perspectives on the question. Psychology Press.

Smith, K. (2013). Environmental hazards: assessing risk and reducing disaster. Routledge.

DHA, U. (1992). Internationally agreed glossary of basic terms related to disaster management. UN DHA (United Nations Department of Humanitarian Affairs), Geneva.

United Nations High Commissioner for Refugees. (2012). UNHCR Global Trends 2012 Report. Displacement: The New 21st Century Challenge. Geneva: UNHCR.

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CONCLUSIONS

WaSH is at the Center

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Proper planning and performance

Starting and Finishing

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Opportunity

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ASSIGNMENT: CASE STUDY Choose a WaSH issue of importance to you locally Articulate the problem, potential solutions and key messages for different stakeholders using the template in the notes section

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REFERENCES

BIBLIOGRAPHY

1. African Development Bank Group. (2014). African water facility turns waste into commercial fertilizer and energy, while improving sanitation services for the urban poor, in Ghana. Retrieved January 10, 2014 from African Development Bank Group: http://www.afdb.org/en/news-and-events/article/african-water-facility-turns-waste-into-commercial-fertilizer-and- energy-while-improving-sanitation-services-for-the-urban-poor-in-ghana-12531/ (Internet Access Required)

2. Alger, C. F. (1990). Grass-Roots perspectives on Global Policies for Development. Journal of Peace Research, 155-168.

3. Australia, P. (2011). Sustainable Tourism Overview. Australian Government, Director of National parks, Sydney.

4. Baptista, J. A. (2010). Disturbing 'Development': The Water Supply Conflict in Canhane, Mozambique. Journal of Southern African Studies, 36(1), 169-189.

5. Bartram J, Cairncross S. (2010). Hygiene, Sanitation, and Water: Forgotten Foundations of Health. PLoS Med 7(11): e1000367. doi:10.1371/journal.pmed.1000367

6. Bartram, J. (2008). Sanitation is vital for human health. World Health Organization. Geneva: UN Water.

7. Bill and Melinda Gates Foundation. (n.d.). Water, sanitation & hygiene: strategy overview. Retrieved September 1, 2014, from Bill and Melinda Gates Foundation: http://www.gatesfoundation.org/What-We-Do/Global-Development/Water-Sanitation- and-Hygiene (Internet Access Required)

8. Braw, E. (2013). The companies, prisons and cities making energy from human waste. The Guardian.

9. Canada. (n.d.). From Socially Conscious Consumer Trends Fair Trade: http://www.ats-sea.agr.gc.ca/inter/6153-eng.htm#b (Internet Access Required)

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Water And Health Course 5 CHALLENGES FOR WaSH

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INTRODUCTION: PUTTING THE PIECES TOGETHER

The importance of access to safe water, adequate sanitation and appropriate hygiene practices has been well documented as critical to reducing morbidity and mortality of both adults and children [http://www.unicef.org/wash/ Internet Access Required]. Still 36% of the world’s population, 2.5 billion people, lack access to improved sanitation facilities and/or safe drinking water.

Access to safe drinking water has been the focus of much attention from both the research and development sectors in part because of the immediate and universal effects of consuming unsafe water. Acute diarrhea caused by contaminated water has ruined many a vacation, spurred a major pharmaceutical response, and focused the attention of people in parts of the developed world that does not have to deal with chronic water problems. Recent natural disasters such as floods, hurricanes, and tsunamis have heightened global awareness of the water related vulnerabilities of all communities. But safe water and sanitation are inexorably linked with each other and with hygiene. Therefore, in thinking about water, it is critical that sanitation and hygiene become equally important considerations.

A number of models have been developed which link these three factors. Linear associations trace the paths of contamination leading to illness.

Linear Model [From: World Bank, 2014]

Cyclical models demonstrate the iterative nature of the relationship among these factors. They suggest multiple intervention points which can be effective in improving the total WaSH situation.

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Cyclical Model [From: Eisenberg, Scott, Porco, 2007]

Whichever model is used to describe the specific WaSH circumstance to be analyzed, it is important to consider three aspects actions which can prompt change. Policy changes, practice or applied interventions, and research all have a role to play in understanding and changing water, sanitation and hygiene conditions to improve the health of any community.

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WaSH IN RELIGIOUS AND CULTURAL TRADITIONS

The ways in which people view water, sanitation and hygiene is culturally defined and traditionally practiced. What may be perfectly acceptable in one community may be seen as strange and even antisocial in another. For example in East Africa it is common practice for children as young as 5 years to learn to carry water on their heads. In North American, it is likely that this activity would be seen as child abuse.

Cultural norms and traditions which influence how we relate to the world around us and how we view ourselves in that world are passed from one generation to the next sometimes modified by experience but often carried forward as a function of socialization, unchanged and unexamined. Religion, in its many forms, plays an important role in defining practices related to water, sanitation, and hygiene. The common North American idiom of “Cleanliness is next to godliness” is based in traditional Judeo-Christian values and attitudes. Other religions bring different perspectives to WaSH.

Indigenous traditions

In indigenous traditions water is viewed as sacred and divine; it belongs to nature and cannot be owned or turned into a commodity by any individual, state or corporation. Water is viewed as a living organism and it is a collective human responsibility to ensure that water is protected and available for use now and in the future. Water is seen as a community right and the basis for the reciprocal of complementary relationships in the community as defined by the natural laws that govern resource use and conservation is conservation is expressed in traditional knowledge of the environment that has withstood the test of use and time. Traditional knowledge is also place-based (i.e. it changes according to the location in which it has been developed) and although covered by the overarching principles of water as a communal good is flexible and adaptive to the location in which the knowledge is being applied. Why receiving advice is transformative and part of the necessary re-creation process of living [Indigenous Peoples’ Kyoto Water Declaration, 2014]

Christianity

In Christianity water is usually seen as a symbol of life but it is also represented in both the old and new testaments as a symbol of destruction (the floods), death and burial (washing of the body before burial) purification, cleansing, healing, blessing, sanctification, baptism (including regeneration, rebirth, salvation). Water is viewed as an element created by God with a mystical power to cleanse and regenerate [Pokhilko, 2004].

Judaism

The Christian traditions flowed from Judaism with some modified by the teachings of the apostles. Being a desert people, water was a highly valued and scarce commodity. It is used for purification after illness, on return from any form of banishment from the community (the Mitzvah bath), and prior to prayer. Both bathing and the washing of clothes are required for the purification to be complete [Pokhilko, 2004].

Islam

The Koran is replete with references to water – to rain, to rivers, to fountains – and charges believers to be good custodians of this gift from God. Water plays an essential role in the cleanliness and purity demanded of believers including the practice of ablutions prior to the required five daily prayers and on specific special occasions. Moderate and thrifty use of water is required during the acts of ablution. Water is one of the three things (grass, water, and fire) to which every human is entitled. Withholding unneeded water is viewed as a sin against God [The Five Pillars of Islam, 2004]. The Koran, however, prescribes strict procedures to limit contact with fecal material, including its use in agri culture, because excrement is considered impure [Jenssen, et al., 2010].

Buddhism/Hinduism

In the Buddhist tradition, water is used to consecrate homes and temples. It represents calmness, charity and purity of body, speech and mind. The ritual seven bowls of water represent the seven limbs of prayer and are prepared daily using fresh flowers in fresh bowls of water at the altar [Shi’an, 2011].

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BENEFITS OF WaSH

Before exploring the problems that can be associated with the WaSH provisions it is important to understand why water, sanitation, and hygiene are important for human health. The benefits of WaSH fall into two broad categories – disease prevention and disease mitigation [including infection control].

Disease prevention

Water is essential to human life and makes up more than two thirds of the total body weight of a human adult. Water serves to regulate body temperature, remove harmful toxins, lubricate body parts, and facilitate the metabolizing of essential nutrients. In moderate climates an adult will lose 2 to 3 quarts of water per day. Vigorous activity or increase temperatures will create higher demands for water in healthy individuals. Illness increases the demand for water and failure to meet this need will result in dehydration leading to death. The prevention of water-borne diseases such cholera, gastroenteritis, shigellosis, and yellow fever, all characterized by severe diarrhea, will reduce dehydration-related deaths especially in children. Attention to sufficient safe water intake will decrease adult dehydration, especially in the elderly.

Water is not only a necessity but also access to it has become a human right under the UN Charter [UN, 2010]. Despite the centrality of water to human survival, a 2011 WHO/UNESCO report found that that almost 8,000,000 people did not have access to improved sources of drinking water and that 185 million of them relied on surface water to meet their daily needs [WHO, 2013]. WHO/UNESCO reported in 2014 that while the worldwide MDG target for drinking water would be met, low income areas including Sub-Saharan Africa, Oceania, and Caucasus and Central Asia would not meet the target [WHO/UNICEF Joint Monitoring Programme for Water Supply and Sanitation, 2014].

At the same time almost 1/3 of the world population still does not have access to improved sanitation facilities. The 2014 report from WHO/UNICEF found that the global MDG targets on sanitation would not be met by 2015 especially the low and middle income areas of the world including Sub-Saharan Africa, Southern Asia, and Oceania. Approximately 2.5 billion people lack access to an improved sanitation facility. Of these, 761 million use public or shared sanitation facilities and 693 million use facilities that do not meet minimum standards of hygiene. One billion people still defecate in the open (90% in rural areas) reflecting the continuing disparity between rural and urban populations in terms of meeting WaSH standards [WHO, 2013].

The end result is that populations in the least develop parts of the world are left particularly vulnerable to diseases transmitted through water contaminated by human waste including diarrhea, cholera, dysentery, typhoid, and hepatitis. Diarrhea from preventable causes is responsible for 1.5 million deaths each year mainly of children under 5 in developing countries. Improved sanitation could reduce these death rates by one third and hand washing has been demonstrated to be both a relatively simple and low cost intervention that can reduce diarrhea from all causes by 45% [Mara et al., 2010].

Unabated diarrhea is linked to stunted growth [Checkley et al., 2008; Dillingham, Guerrant, 2004] and cognitive impairment [Guerrant et al., 2002].

As if disease prevention was not enough, in and of itself, the economic benefits of improved sanitation are immense. Every US$1 invested in improved sanitation, translates into an average return of US$9 especially by children in disadvantaged communities [Mara et al., 2010]. School attendance, not just school enrolment, significantly increases, especially for girls, when WaSH improvements result in improved health status for both adults and children. [Bartram, Cairncross, 2010].

Disease mitigation and intervention

When diseases cannot be prevented WaSH also plays important roles in the mitigation and treatment of illnesses at both the community and institutional level. Clean, easily accessible water is important for hydration of the sick, for wound cleansing, for burn management, and for infection management. Adequate sanitation contains the spread of infectious diseases such as cholera, dysentery, typhoid, and hepatitis. Hand washing, material cleaning, and environmental sanitation stop the spread of bacterial infections. All depend on adequate WaSH. Stopping infection is especially important in the health care facilities environment where immunity is compromised and infection sources concentrated in small spaces. While most of the world takes a clean and well supplied health facility as a given, in developing countries they are often ill equipped and lacking in both access to safe water and adequate sanitation facilities. Often they cannot be well cleaned and are not supplied with items such as clean sheets and containers for safe disposal of used needles and other items (i.e., a sharps-container). Under these circumstances, a health care facility may be one of the most unhealthy and even dangerous places in a community.

ECONOMIC BENEFIT FROM SANITATION AND HYGIENE PROMOTION

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Lessens the time taken off work or school by people who are ill or suffering.

Improves nutrition due to reduced loss of nutrients through diarrhea.

Alleviates the burden, especially of women and children, who have to fetch water from distant sources.

Makes time for other activities such as children attending school and adults earning livelihoods and generating income

[WHO Water Supply and Sanitation Collaborative Council, 2013]

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CHALLENGES

WaSH framework of policy practice research

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WaSH AND WELL-BEING

In most cultures the responsibility for household water and cleanliness is vested in the eldest woman. In situations where water is fetched from outside the house (i.e. no direct water supply) women MDG bearers of water often over long distances and through difficult circumstances. It is not uncommon for women to block many miles to retrieve water and then you have to carry heavy loads, often on their heads, back to the family home. Children provide the second line of water carriers and are often is him as four or five with this task is assigned to them. In communities where water bearing is the norm is also common for men to be the financial decision-makers and tends in control of the resources that might be used for alternative water gathering in improved sanitation.

The collection of water supersedes all other responsibilities since it is essential for the survival of the family. It is only when water has been collected the children may attend school, gardens may be extended, and work outside the household undertaken. The more difficult it is to obtain water the less often women and children are able to participate in other community activities, including attending school. Whether she is sick or well water collection must continue. Therefore accessing safe water defines the daily routines and economic activities of millions of women and children around the world.

Access to safe drinking water shapes both the nature and location of communities. Areas of scarcity (Somalian drought) and massive pollution (New Orleans post Katrina) are abandoned often creating dysfunctional relocations (refugee camps in Sudan) with equally disastrous consequences such as family ruptures (e.g., displaced persons camps in Sudan) and out brakes of disease).

Economic security is also threatened by the privatization of water.

The World Development Movement campaign organization (WDM) reported in 2005 that -

“British aid money is being used to push water privatization on poor countries —making it less likely that clean water will ever get to the poorest people. And while poor people lose out, a group of big UK companies are profiting from this aid.” [http://www.globalissues.org/article/601/water-and-development#WaterAHumanRightoraCommodity]. (Internet Access Required)

They argue that this security is being jeopardized by monies being redirected away from public service to expensive consultancies, public sales campaigns glorifying the privatization of water, direct funding to privatize the water sector, and secondary funding of the private water sector through the regulations imposed by organizations such as the World Bank and the International Monetary Fund. Recent trend in donor countries to require NGOs and researchers to partner with the private sector in all development initiatives and to support those initiatives which enhance the goals of the donor country further validates the privatization of all aspects of WaSH.

Similarly, access to suitable sanitation facilities shapes day-to-day life. If schools do not have separate toilets for girls they are likely to leave school at puberty. Women, suffering form he indignity of using public and open places often delay defecation in favor of inconvenient but private times. This delay can cause health problems such as constipation and impaction. Where open defecation is practiced, there are physical risks to safety of individuals especially when leaving the home under the cover of darkness in the early morning or night. Defecation sites are dangerous places especially for women and children. They are both unhygienic and invite sexual harassment and violence. Travelling to these sites uses valuable time and energy [The World Bank, 2014; Nguyen- Viet et al., 2009].

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MATERNAL AND CHILD HEALTH

Pregnancy exposes special WaSH vulnerabilities. Pre-existing malnutrition, dehydration, and susceptibility to infection increase the risks for miscarriage, gestational hypertension, anemia, and premature delivery putting both women and fetuses at risk. The impact of strenuous water fetching activities, common in water deprived areas, is unknown that can be presumed to be a stressor in pregnancy. Similarly injury sustained in dangerous water procurement (e.g. fall on steep terrain) both increasing hazards as pregnancy progresses. Injuries sustained in falls directly jeopardized pregnancies (i.e. injury to uterus) and indirectly compromise a woman's health (e.g. infections from scrapes, fractures).

Pregnant women are particularly susceptible to the impacts of water-borne diseases, such as cholera, which can result in both miscarriages and fetal abnormalities. Chronic diarrhea associated with the consumption of contaminated water also poses added risks. Water disruption [e.g. flooding, drugs, infrastructure failure] means that a consistent supply of safe water is not always available during pregnancy. Similarly, disruptions in supply and contamination of water at its source or in transport resulting from civil strife puts pregnant women at added risk.

In adequate sanitation provision compounds problems in pregnancy. In particular the spread of infectious disease from human and animal waste jeopardized the health status of pregnant women and the previously identified hazards of accessing water in unsafe conditions apply also to accessing sanitary facilities. In particular, the practice of open defecation places pregnant women at special risk.

Good hygiene practices are part of maintaining a healthy pregnancy. Where hygiene is poor infection control is lacking and risk for systemic infections increases. Intrauterine infection during pregnancy is almost always fatal for the unborn child.

Nutrient malabsorption as a consequence of chronic diarrhea poses another hurdle in pregnancy. The resulting malnutrition can stunt fetal growth and jeopardize the long-term functioning of infants and children. For pregnant women, the resultant anemia can be life-threatening and at minimum reduces their capacity to function on a day-to-day basis.

All the issues related to WaSH challenges in otherwise healthy women are compounded in the presence of chronic diseases such as HIV/AIDS, malaria, and diabetes. Women with these conditions are already at high risk during pregnancy both in terms of their own health and that of their fetus but this risk is magnified in the presence of WaSH inadequacies.

It has been estimated that between five and 30% of patients develop one or more avoidable infections during stays in healthcare facilities in low income countries [HWO/PAHO, n.d.] due to inadequate supplies of safe water for consumption and care, the absence of adequate sanitation facilities, and poor hygiene practices. Whether at home or in healthcare facility, women in WaSH deprived areas are more likely to experience life-threatening complications and are more likely to have pre-term births or still births [WHO/PAHO, n.d.].

Newborns, infants, and pre-school aged children also are at special risk in relation to poor WaSH conditions. The availability of safe water is important for the care of newborns. Safe water is needed to clean newborns and to ensure that feeding, whether breast- feeding or bottle feeding, is undertaken safely. Breast-feeding requires that both mother and infant have clean skin to skin contact and bottle-feeding requires that the formula is prepared with sterile water. In addition to the nutritional issues, another problem with file:///F|/Dropbox/WaterHealthNewFinal/Course5/discussion/WH50M010D024MatChildHealth.htm[11/3/2014 7:42:15 PM] WLC Template

the introduction of formula feeding in low income countries has been the lack of safe water for formula preparation and inadequate or unsafe storage of formula (e.g., unclean container) which can also apply to breast milk. After extensive reviews, WHO concluded that “The new evidence and guidelines suggested by WHO underline the importance of scaling-up efforts to improve exclusive breastfeeding rates for all children to meet the Millennium Development Goals of reducing child mortality” [Coutsoudis, Coovadia,Wilfert, 2008].

Infants and preschool aged children (i.e. those under the age of 5 years) have long been shown to have precarious health statuses especially in relation to water-borne and infectious diseases. Poor nutrition, before and after birth, contributes to 45 % of all deaths in children under five years of age [WHO, 2013].

6.6 million children, under age five, died in 2012, nearly 18000 every day. 58% of deaths in children under age five are caused by infectious diseases. Pneumonia is the largest single cause of death in under-fives. In 2012 the under-five mortality rate in low income countries was 82 deaths per 1,000 live births—more than 13 times the average rate in high income countries (6 deaths per 1,000 live births).

[WHO, Global Health Observatory, 2013]

Poor sanitation accounts for environments that cause infection in children. Opened defecation exposes children to bacteria carried human excrement. Similarly poor hygiene practices increase the risk of disease transmission both child-to-child and through unclean play spaces. Hand washing has been demonstrated to be the single most effective intervention to reduce both viral and bacterial disease transmission especially diarrheal infections [Global Public-Private Partnership, 2013].

Once a child has reached school age WaSH continues to be of concern. The availability of potable water in school settings is important to ensure adequate hydration and the prevention of waterborne illnesses. Absence from school because of diarrheal infection is rampant in countries with poor water sources. The provision of clean water in a Malawi school reduced diarrheal disease by 90% and school absences by 57% [Global Public-Private Partnership, 2013]. Additionally, studies have shown three important hygiene behaviours (hand hygiene, oral hygiene, and menstrual hygiene) affect the health school-age children and keep them away from schools (Hoque et al., 1996; Yang et al., 2009; Chan et al., 2009).

The provision of safe and secure sanitation facilities, especially for girls, has a positive impact on increasing school attendance. Particularly vulnerable once menstruation begins, school girls often abandon their formal education because of the unavailability of these resources [Sommer, 2010]. The cleanliness of school latrines has been found to be a critical factor in school attendance of both boys and girls [Dreibelbis et al., 2013].

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WaSH FOOD WEBS NETWORKS AND FOOD SECURITY

Food has a complex relationship with the environment in which it is produced and consumed. The original concept of a food chain described the relationship between and among biological units and their environments [Fretwell, 1987]. It is described as the basis of ecological theory.

Food webs, in addition to the concept of the food chain, take an ecosystems view on these relationships and have been categorized into subsystems such as human food webs, agricultural food webs, detrital food webs, marine food webs, aquatic food webs, soil food webs, Arctic (or polar) food webs, terrestrial food webs, and microbial food webs. These webs are bounded by the margins of an ecological community and describe the “what eats what connection among the units within the community [Proulx, Promislow, Phillips, 2005]. Food webs are sometimes referred to as food cycles.

Trophic level food chain (From: http://education-portal.com/academy/lesson/what-is-a-food-chain-examples-lesson- quiz.html#lesson). (Internet Access Required)

Water and sanitation are environmental factors that shape, modify, and change food webs and are shaped, modified, and changed by the individual components of or nodes in any web.

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Food Web Sample [From: http://en.wikipedia.org/wiki/File:FoodWeb.jpg]. (Internet Access Required)

Food security is a cornerstone for sustainable and healthy development. Statistics indicate that current agricultural yields have failed to ensure global security. This lack of accessibility to and availability of adequate nourishment is perpetuating poverty. Water and sanitation (WaSH) underpin the achievement of food security. In order to ensure food security there must be adequate supplies and use of water and sanitation measures that will enhance the production, accessibility, and availability of agriculture.

Food security is a cornerstone for sustainable and healthy development. Statistics indicate that current agricultural yields have failed to ensure global food security. This lack of accessibility to and availability of adequate nourishment is perpetuating poverty. If agricultural practices continue unabated much larger populations in the near future will suffer from food insecurity and the effects of this will be experienced economically, socially, and environmentally.

Water, sanitation and hygiene (WaSH) underpins the achievement of food security. Currently, inaccessibility and inappropriate WaSH practices around the world contribute to food insecurity. In order to ensure food security there must be adequate supplies and use of WaSH measures that will enhance the accessibility, availability, utility, and stability of agriculture yields.

Global water use 1900 to 2025.

Background Information

Nature

Food security can only exist when these pillars are fulfilled: Food Availability; Food Accessibility; Food Utilization; Stability

Currently, we live in a state of food insecurity because the following factors prevent all people from meeting the above pillars.

WaSH underpins food security in an interdependent relationship

The World Food Summit of 1996 defined food security as existing when “all people, at all times, have physical, social and

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economic access to sufficient, safe and nutritious food, which meets their dietary needs and food preferences for an active and healthy life” (Article 1). Food insecurity today is a global problem as over 800 million people are unable to meet their daily dietary requirements, meaning a nutritious intake is neither available nor accessible to them or their bodies are not able to utilize the daily required caloric intake to lead a healthy and fulfilling life. The Committee on World Food Security has recognized four pillars of food security, those being: availability, accessibility, utilization, and stability [FAO, IFAD and WFP 2013, 15]. In order for food security to be achieved all people must have the resources to obtain an adequate and substantial diet.

The four dimensions of food security illustrate the complexity and extensive reach of this concept. The FAO reports that over the last two decades there has been a significant increase in food availability in developing countries, mostly due to the rapid growth in food suppliers [FAO, IFAD and WFP 2013, 28]. The amount of food available for consumption in a country, or even a single community, is an extremely important dimension of food security, yet it is not solely sufficient to ensure stability. Lack of access to water, sanitation, and hygiene can jeopardize the production of safe and profitable yields and thus contribute to food insecurity.

The accessibility of food is a second important dimension of food security and it recognizes that simply because there is enough food available in a given community does not mean that food security will exist, since not all people will have the resources to access it. Accessibly takes both physical and economic forms and some of the key indicators of this dimension include disposable income, food prices, social support, and the availability and quality of physical infrastructure such as roads [Ibid, 20].

Utility is the third dimension of food security and it is concerned with the preparation storage and usage of food. This dimension is contextualized through an examination of health indicators, for instance considering the rates of wasting or stunting in developing countries [Ibid, 21]. This is because an individual must be in good health to benefit from the nutrients in food. It is through this dimension that the links between WaSH and food security are most apparent. Access to clean water is crucial to the handling, preparation, and storage of food. Increased access does not equal improved sanitation and hygiene practices however, which are crucial to ensuring food security. The final dimension of food security emphasizes the vulnerability inherent in food security. Stability is concerned with the risks that can reduce access, availability and usage of food over short or long periods of time [Ibid, 22].

These elements of food security are underpinned by WaSH and therefore food security cannot be achieved unless proper water and safety practices are utilized. They extend beyond the obvious realms of health or environment and into the economic and social components of individuals’ lives. With access to water, proper sanitation facilities, and hygienic practices, food can be safely produced in a sustainable manner. Additionally, when WaSH technologies are introduced to a food insecure environment they can lead to more efficient food production which can create greater incomes for families and communities as well as increase individuals health and even opportunities, such as the ability to attend school instead of working throughout the day. It is necessary then at every intersection of the food and water nexus to recognize the interdependence of water, sanitation, and food.

Scope

Currently, 800 million people in the world are living in food insecure environments

Agriculture is a water-intensive industry and roughly 70% of the world’s freshwater is allocated to food production

Increased access to clean water only reached approximately 60% of people in sub-Saharan Africa

41% of the 2 billion people employed in agricultural production are women

The greatest concentrations of populations suffering from food insecurity are found in some of the world’s poorest countries. In Africa one in four people is malnourished [Ibid, 10]. Some of the current issues causing food scarcity include: food price hikes, land degradation, foodstuff choice, water scarcity, food loss, climate change, underinvestment, food contamination, and resource pollution.

There are a number of factors that contribute to the unavailability or inaccessibility of clean water for food production. According to the FAO 2-4 liters of water must be consumed by everyone daily, yet it takes a minimum of 2, 000 to 5, 000 liters of water to produce a person’s daily food intake [Corcoraj, 2010, p. 30]. Projections indicate that by the year 2050 the world’s population will have grown from 6 to roughly 9 billion people, increasing the amount of food, and subsequently water, required by approximately 70% [World Research Institute 2013, 2]. These statistics prove to be rather troubling considering the current status of land and water resources globally.

Around the world freshwater serves a multitude of purposes, but its primary function is agricultural irrigation (see figure 1). For instance, rain-fed agriculture is the primary method of agricultural production in Sub-Saharan Africa, accounting for roughly 96 percent of cropland, yet it is also the most risky approach to agriculture because it relies on consistent environmental behavior that is becoming more unpredictable as the climate changes [World Bank, 2014].

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Breakdown of freshwater use [From: World Bank, 2014]

Globally, much progress has been made in increasing accessibility to water but there have been regional disparities. For instance, only 60 % of sub-Saharan Africans compared to 90 % of North Americans have increased access to water [FAO, IFAD and WFP 2013, 21]. This carries implications that due to water inaccessibility there are less stability and safety in relation to food security in these regions. Water available for agricultural production or food preparation is can become contaminated due to open defecation, which is still practiced by roughly 2.5 billion people in the developing world [Bill and Melinda Gates Foundation]. This practice can cause food contamination and lead to illnesses that further impede access and ability to food. The simple act of washing up before preparing food could save the lives of thousands of people, as food contamination from unclean water is one of the ways that diarrhea spreads and it alone kills about 760,000 children under five annually [World Health Organization, 2013]. While unsafe WaSH practices can impede food security, adequate practices can actually address issues such as water shortage through alternative resource use, like wastewater irrigation.

The limitations of freshwater supply have consequences that extend beyond crop yield, however. With more than 2 billion people employed in agriculture, roughly 41% of who are women, there are a great number of farmers that depend on the success of the farming industry for the general sort of wellbeing that regular income. In the global south malnutrition is the cause of death for one third of all children and is the reason that one in four children is stunted, meaning they are physically and mentally impaired due to lack of adequate nutrition [World Food Programme, 2013]. Food security is impaired by inadequate WaSH practices, yet also jeopardizes the ability of communities to practice and abide by these principles.

Why is it Important?

Contributing to insecurity and underdevelopment

Wide-ranging issues that impact all aspects of an individual’s life

Economically

Socially (Gender)

Environmentally

Health

Environmentally need new techniques

Potential to bring populations out of poverty through economic and social development

There is widespread concern that within the next few decades the earth’s population will surpass its ability to produce an adequate supply of food. It is certain that sufficient land, water, and human resources can ensure that food production will suffice in the immediate future, though the sufficiency of each element is contingent upon how we interact with the planet and each other now.

A crucial agricultural resource that is at risk due to current practices is water. Meeting demands of a world population expected to exceed 9 billion people by 2050 will require a 10 per cent increase in water for agricultural use [International Fund for Agricultural

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Development 2012, p. 1]. Water use has been growing at more than twice the rate of population increase in the last century [UN Water).

With millions of people suffering from food insecurity today there is more pressure than ever before to find feasible solutions that will allow for environmental stability, improved health and wellbeing, and economic development [World Research Institute, 2013, pp. 12-13]. The world needs agriculture to contribute to equal economic and social development. According to the World Bank, growth in agriculture is four times more likely to lowering poverty levels then increases in GDP in any other industry [Global Water Initiative, 2014). Development can only occur if there are adequate food practices and processes, mainly because a healthy workforce is needed to ensure these occur. Communities and industries that exemplify appropriate WaSH practices are contributing not only to the protection of natural resources and health standards but also to the provision of opportunities and betterment of one another. Consequently, food security is a determinant of social and economic development that may not only feed the world in 2050 but may also bring much of its population out of poverty.

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LINKS BETWEEN FOOD SECURITY AND WaSH

Food security and WaSH share a unique relationship, as they are a prerequisite for one another. One needs proper hygiene and access to water and sanitation to be able to safely produce and consume food, just as one needs vital nutrients and a diverse diet to have the health and employment to guarantee proper access to sanitation and water. WaSH and food security play vital roles in a cyclic manner in determining a community’s health and economic development along with environmental impact and how a community views gender and education. Due to the dependency the two have on one another, an integrated approach to solving WaSH and food security issues is highly encouraged.

WaSH and Food Security [From: Ganzouti, AE, McCormick, H, Stanley, C. WaSH- Water, Sanitation, & Hygiene (2014). Unpublished manuscript. Hamilton: UNU-INWEH.]

What might be done in relation to WaSH to deal with problem?

WaSH interventions must be community based and provide basic services to meet consumer's demands such as drinking water provisions or solid waste collection. These services must:

Combine safe regulations that provide opportunities to turn waste products into productive resources.

Introduce and promote local sustainable food production technologies such as:

Solar-powered drip irrigation and

Aquaponics.

Encourage ecological sanitation that will:

Reduce food costs;

Improve nutritional status for all members of the household;

Safely treat human excreta; and,

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Conserve water.

Adequate access to safe drinking water, sanitation, and hygiene are a prerequisite in meeting the challenges of food insecurity and securing food availability, food access, and food use for the poor and most vulnerable. Any WaSH intervention must be community-based and provide services consumers’ have a demanded such as safe drinking water provision or solid waste collection. These services must be combined with regulations that provide opportunities to turn waste products into productive recourses.

WaSH has the potential to offer alternative and innovative approaches to alleviating food insecurity. One such approach is ecological sanitation, which manages human waste as a resource to be ‘recovered and recycled’ [Sawyer, 2001, p. 4]. Human waste as a resource is readily available at minimal cost, regardless of infrastructure and economic resources. By incorporating ecological sanitation, WaSH interventions can assist households in improving the productivity of their gardens, reduce food costs, grow fruits and vegetables nearby for their own consumption, and improve the nutritional status of all members of the household, while at the same time safely treating human excreta, conserving water, recycling nutrients, and minimizing adverse environmental impacts [Sawyer, 2001].

In situations where the ecological sanitation approach is not feasible, WaSH interventions have the opportunity to introduce and promote local sustainable food production technologies such as solar-powered drip irrigation and aquaponics. The first combines solar-powered pumps and low-pressure drip irrigation systems that allow for the growth of market garden vegetables during dry seasons and provide a source of income and nutrition [Woods Institute for the Environment , 2014]. The latter combines fish farming techniques and hydroponics, which utilize microorganisms that turn fish waste into nutrient to create a self-sustaining agriculture operation [CBC News, 2013].

What are the obstacles and barriers?

Avoidance of growing crops due the cultural adherence to food production

Improper hygiene practices may contribute to malnutrition

Investment costs in introducing green technologies may be large in the context of resource poor regions

Financial backing by both the public and private sectors for innovative, yet foreign, technologies may be a challenge

Often traditional pastoral communities in water scarce regions face food insecurity brought upon by declines in livestock and poor water quality due to animal waste. Avoidance of growing crops due to the cultural adherence to food production from livestock presents a major barrier to the introduction of not only innovative green approaches and technologies in agriculture, but to the practice of agriculture itself.

Although the introduction of innovative green technologies can provide proven and sustainable benefits, the investment cost may be large in the context of resource poor regions. Creating the political will of host governments, along with the financial backing of both the public and private sectors for innovative, yet foreign, technologies may be a challenge in resource poor regions [USAID, p. 16].

Although improved nutrition boosts the body’s immune system protecting the individual against such health aliments as diarrheal infections, improper hygiene behaviors may contribute to malnutrition and remain a barrier to food security. Improper hygiene practices such as hand washing with soap, safe disposal and management of excreta and poor household water storage, handling and treatment may remain a barrier to attaining food security [USAID, p. 13].

What is missing?

What don’t we know?

· It has not always been the case that practitioners and researchers in areas of health, environment, policy, economics, etc. to work alongside one another to address multidisciplinary problems such as food insecurity.

· A particular area that governments have little information on is the resource available in wastewater.

When it comes to understanding the causes and consequences of food insecurity and WaSH there has been a substantial amount of research conducted. There is a lack of data, however, that explains the extent of environmental degradation and how, where, and when water is being used. There are many links within the food security and WaSH nexus that have yet to be discussed outside of certain silos and therefore have not played a major role in policies and transformations. Epistemic communities,

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politicians, practitioners, donors and communities have all been a part of the effort to connect scientific research and knowledge with technologies and practices that will help reduce food insecurity. This is exemplified through using mobile phones in developing countries to provide smallholder farmers with information about weather and temperate changes [Mittal & Parthasarathy, 2013].

One of the areas in this field that is still in its infancy is the reuse of wastewater and other recycling practices that can be utilized within the food value chain. A recent study indicates that there is a significant lack of data about the reuse of wastewater, a resource that will undoubtedly be required to meet the rising demands for food. Nearly one third of the world’s countries have no reported information on wastewater reuse and in the majority of those reports that do exist the data used is outdated [Sato, 2013]. Without having adequate knowledge about a process that carries high health risks if not executed properly there can be no assurance that policies and governance over wastewater are being developed. In order to make advances in the reuse of wastewater and the development of green technologies and practices there needs to be a recognition of the topic’s importance and a move to better understand the most efficient and productive methods to utilize. This is a significant area of investment and research because the lasting effects will contribute to social and economic development and greater environmental impacts.

What has not been tried ?

Considering alternative production options

Altering consumption habits through education and increased awareness

A further contribution to addressing the neglected stages in the food production chain would be to consider how consumption contributes to the inefficient use of water resources, which sustains food insecurity. The WRI released a report in 2013 that indicated that one of the most important steps that must be taken to end food security is the alteration of the diets of the global north and alterations to the types of crops and livestock being produced on massive levels [Ibid, p. 33-38]. This would require a shift in the behavioral lifestyles of millions of people and while it could be initiated through industry or marketing attempts it seems an incredibly difficult task. The benefits of changes for the production of certain water-intensive crops and livestock would be potentially healthier consumers and more opportunities for farmers to diversify their crop production.

An example of where more collaboration and innovation is needed can be found in the use of fish protein concentrate (FPC), which uses very little water, in supplementing nutritionally poor diets. The FAO found this product to be a significant contribution to combating malnutrition and could additionally be used to stimulate economic growth through the development of FPC plant processing plants (Windsor). They state that, disregarding the cost of FPC, the most serious proponent to its use is growing the demand for it. FPC is not enthusiastically accepted in many places because of its lack of traditional connection and unappealing taste. What could be tried in this regard is the cooperation of business, research, and development agencies to create products that will bridge those dietary gaps but can also stimulate economies and find acceptance in communities.

What would be needed to move forward?

Increased collaboration between different stakeholders to better address issues of WaSH and food security

Particularly between researchers in different fields, and

Between practitioners, researchers and policy makers.

Look beyond economic solutions and incorporate employment, food interventions, and investment in education, health, and water

Considering the obstacles and gaps in knowledge and practice previously identified, it is clear that while food security is an important and widely discussed issue, opportunities for improvement remain. In order to adequately address these discrepancies further discussion about water and sanitation related aspects of food insecurity is required.

Urban agriculture which services large populations is one area where multiple aspects of food security can be strengthened. By 2030 it is predicted that there will be more people living in urban (4.1 billion) than rural (3.1 billion) areas in middle- and low- income countries. Urban agriculture has the potential to create healthier cities through the reuse of organic urban waste, reduce the threats to health that exist as a result of poor waste-management, and increase food production by replacing soil nutrients [Mougeot, 2006]. Collaboration between researchers, practitioners, and policy-makers could develop programs in cities that achieve these goals and improve food security and WaSH practices.

Key Messages

What should we adopt?

· Alternative approaches and technologies must be adopted to alleviate reliance on the increasingly stressed hydro climatic and file:///F|/Dropbox/WaterHealthNewFinal/Course5/discussion/WH50M010D032WaSHFood2.htm[11/3/2014 7:42:16 PM] WLC Template

geochemical realities.

· A radical shift in our conceptualization and management of waste water is required

Approximately 70% of the world’s demand for fresh water is for agricultural and about 90% of the world’s demand for rock phosphate is for food production. Studies have shown that the world’s demand for both resources will surpass supply in the coming decades [Drangert & Cordell, 2009, p. 294]. Alternative approaches and technologies must be adopted to alleviate reliance on the increasingly stressed hydro climatic and geochemical realities. A radical shift in our conceptualization and management of wastewater is required along with the introduction of appropriate technologies that take into account the ground realties of the communities they are meant to serve.

How can we adapt?

· To efficiently adapt to the growing and multi-sectoral requirements arising at the WaSH and food security nexus, WaSH management must identify and make use of any opportunities to lead the way in coordinating the development and management of water and sanitation between all relevant sectors.

Inadequate water provisions, deteriorating water quality, failures in food security and land degradation combine to threaten the sustainable livelihoods of the world’s poorest and most vulnerable. To adapt to the growing needs arising at the WaSH and food security nexus of the globe in general and resource poor regions in particular an integrated WaSH management must involve the coordinated development and management of water, sanitation, land and related resources by maximizing economic and social welfare without compromising the sustainability of vital ecosystems [Falkenmark, 2001, p. 550].

What should we create?

Policy makers:

Evaluation tools that focus on;

Sources for water

Technologies for water treatment

Waste water treatment

Policy papers: Provide analysis and recommendations on required policies and holistic approaches

The MDG target for sanitation has lagged behind that of safe water provision due to the lack of political will at both the national and international level. Policy makers must elevate sanitation governance though policies designed to increase investment and institutional capacity within the sector. Policy must aim to create one national coordinating body for the sector, with a clear allocation of roles from government agencies, civil society organizations and private sector at all levels. In addition, policy must be designed to link sanitation to other services, such as health and education, and vital sectors such as agriculture.

Policy makers must work with all stakeholders to comply and provide the relevant resources that will support both decision-makers and practitioners. Such resources include evaluation tools that focus on sources for water, technologies for water treatment, household sanitation technologies, and waste water treatment; and policy papers that include analyses and recommendations on required policies and holistic approaches to link all relevant sectors to the challenges of food security [Palaniappan, Lang, & Gleick, 2008, p. 5].

Practitioners:

Implement a range of demonstration projects to highlight benefits to:

Education, Economy, Environment, Food security, Community participation

In order to address the competing demands of multiple water users (households, agriculture, and industry) practitioners must be acutely aware of the unique ground realties that will determine both the water related trade-offs of implementing new and alternative approaches and technologies to alleviate food insecurity [USAID]. In addition, the practitioner is well positioned to determine if the community can afford and is prepared for a longitudinal plan that will sustain the operation and maintenance costs of proposed WaSH infrastructure improvements [Palaniappan, Lang, & Gleick, 2008].

Practitioners play a vital role in promotion, awareness raising and implementation of WaSH interventions. In order to address the

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possible lack of understanding and acceptance due to prevailing social, cultural and religious norms and preferences priority should be given to implementing a range of demonstration projects, in which the benefits of ecological sanitation to health, education, economy, environment, food security and community participation is highlighted [Sawyer, 2001, p. 67].

Researchers:

Conduct research through a multi-disciplinary approach that will:

Develop systems for detecting and responding to outbreaks of food and water borne diseases

Create assessment and intervention tools, policies and programs to improve diet and enhance food security

Improve communities’ access to adequate water and sanitation provisions

Increase investment and implementation in technologies such as hydro-meteorological and groundwater monitoring stations

Researchers must take on the role of advocates and work with both the private and public sectors to increase investment and implementation in technologies such as hydro-meteorological and groundwater monitoring stations that can contribute to better management of water and sanitation facilities and systems. Data collected through such sources can contribute to innovations such as conservation tillage, crop rotation, drought resistant crops, and new irrigation methods that will lead to improved food security [USAID, p. 21].

Research must be conducted through a multi-disciplinary approach that will develop systems for detecting responding to outbreaks of food and water borne diseases, create assessment and intervention tools, policies and programs which improve diet and enhance food security, and improve communities’ access to adequate water and sanitation provisions [University of Waterloo, 2014].

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WaSH AND ENERGY (WaSHe)

Nature of the problem

Energy development and consumption is embedded into every industry, economy and human activity

1.2 billion people do not have access to electricity

Water is needed in generating energy

Background

There are both direct and indirect linkages between WaSH and energy. Most obvious is the relationship between water and energy. Water is needed to generate energy. Energy is needed to treat and deliver water. Both resources are limited and limit each other [Webber, 2008, p. 34-41].

Water is essential to generating power, as it is required in nearly all-existing energy production technologies, and it is forecasted that the demand for water to produce energy will increase. That being said, there have been significant leaps in providing energy in small and medium scales from biowaste, these technologies are not water thirsty and positively contribute to a community’s hygiene and sanitation.

The Water Energy Cycle [From: http://www.nexuswaterenergy.com/how-energy-impacts-water] (Internet Access Required)

Hydroelectric power generation is the most direct connection of water and energy. The creation of dams to generate electricity but also creates large reservoirs and potential loss of water for other uses. Bringing large quantities of water to a potable level also uses energy; to date, passive mechanisms are suitable only for relative small amounts of water. Traditional purification methods are unable to address new chemical contamination and the higher levels of more common contaminants now found in higher concentrations in lakes and rivers.

Thermal power plants require huge amounts of cooling water. For example, around 40% of all freshwater withdrawals in the USA are used for thermoelectric energy production. This is roughly the same amount of water as for irrigation. Most of the cooling water is returned but at a higher temperature, and around 3% is actually consumed, mostly by evaporation. The demand for cooling water is in competition with agriculture and municipal demands. As a result of the climate change many rivers are running drier in the summer. This will put a lot of constraint on power production. (http://www.nexuswaterenergy.com/how-energy-impacts-water).

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The Basic Interdependency Cycle of Water and Energy (From: http://www.nexuswaterenergy.com/how-energy-impacts-water)

Since the invention of electricity, society has been consumed by the notion of generating energy, as it is connected to every economic and social activity; entire country’s economies have thrived or crashed because of the energy industry. Despite electricity being invented in the 19th century, there are still 1.2 billion people that don’t have access to electricity [Plumer, 2013]. Shortage of energy limits a community’s access to water, as it is needed for groundwater extraction, treatment, and desalination.

Energy is required in virtually every commercial and industrial activity, and can be found in one shape or another in nearly every household across the world [World Energy Council, 2000. Energy is an extensive industry, as it requires the combination of various technologies, infrastructure, capital, labour, education, materials, and a primary energy [World Energy Council, 2000]. Figure 1 outlines the contribution to global energy production by type [International Energy Agency, 2013].

World energy production

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Oil remains the world’s leading fuel, serving one third of the world’s energy demands, but other sources of energy such as Hydro and renewable energies are increasing at a faster pace as of 2012 [Energy Academy and Centre for Economic Reform and Transformation, 2013].

It is important to note that the significant increase seen in RE is due to its small starting base, in 2002 RE only accounted for 0.8% of the global energy production; while in 2013 RE contribution has increased to 2.4%. Nuclear energy historically is increasing, but the Japanese Tsunami resulted in a 90% reduction of nuclear energy in Japan which significantly impacted global production [Energy Academy and Centre for Economic Reform and Transformation, 2013].

World energy consumption has been on the rise, and more recently it has been growing at an exponential rate. In 2010, 524 quadrillion Btu were generated, and it is expected to increase to 630 quadrillion Btu by 2020 [US EIA, 2013]. The per capita energy consumption varies greatly, with geographic location and income playing a significant indicator of energy use. The per capita consumption of raw energy in the United States and Canada is more than 13 times that of South Asia [World Energy Council, 2000]. Nonetheless, developing nations contribute 85% of the forecasted increase, driven by economic and population growth [US EIA, 2013]. The vast majority of this energy boom in developing nations will be due to direct foreign investment, which is generally commercially motivated. The least developed countries, with the most need for investment, usually receive the least due to their high risk of investment returns of fragile governments and lack of a free market {World Energy Council, 2000].

The need for developing countries to reliable and consistent energy and the lack of access to a sanitary toilet can be an opportunity to solve both issues with one integrated solution. There have been technological advances in methane, gas, compost, and fertilizers from waste [Ravelo, 2013]. These toilets, which some do not even require running water, in conjunction with livestock waste can generate energy for a household while making significant leaps in terms of sanitation and hygiene. Even developed countries, such as Norway, have documented positive feedback to implementing waste-to-energy programs [Russell, 2013].

Scope

Energy is necessary for human development

Water for energy development to grow twice as fast for energy production

The members of the United Nations have strongly supported the goal of sustainable development and have declared energy as an important tool for meeting human development goals. Yet, the current energy infrastructure fails to meet the basic needs of all people and compromises the well-being of future generations [World Energy Council, 2000]. With the current global crisis, decision makers must be very conscious of their water resources management, in particular within the energy sector. Water needs for energy production as set to grow twice the rate of energy demand, as the industry becomes more water intensive.

Biofuels, which are often hailed as a very sustainable alternative to oil and coal, is a major contributor to the increase in water demand in energy production, due the need for crop irrigation. Biofuel production is proving to be a substantial water consumer, in most cases to an already stressed water system [International Energy Agency, 2012]. Most current energy generation and use are accompanied by environmental impacts that extend beyond the local region to global threats of deteriorating human well-being [World Energy Council, 2000]. In general, large quantities of water are required to generate electricity, no matter which fuel source is used [Jone, 2009]. For example, nuclear electricity generation requires 31,000 – 75,000 l to generate 1000 KWh of electricity. Natural gas and hydroelectric power use much lower amounts of water (38 and 260 l, respectively for 1000 KWh).

Why it is Important

Strong dependency between energy and water on one another. WaSH and Energy are needed for a community’s health, education, and equal

As water becomes scarcer and its socio-economic importance is appreciated, it becomes a growing criterion for assessing the viability of energy projects. In some cases, water assessment has shut down or limited energy production; such as shale gas development in China and Canada’s oil sands [International Energy Agency, 2012]. The inevitable industrialization of developing countries must be done in a conscious manner to avoid negative environmental and health effects. The early stages of industrialization usually lead to alarmingly high levels of air, water, and land pollution [World Energy Council, 2000]. There is a strong need for sustainable water management in the energy sector, along with consistent policies that ensure the longevity of the energy sector without compromising water locally and globally.

Energy use is closely associated with a wide range of social issues including poverty alleviation, population growth, urbanization, and providing opportunities for marginalized community members, such as women and youths [World Energy Council, 2000]. These factors in return affect energy demand, both in terms of quantity and quality of energy services. Availability of energy has been shown to lower birth rates, low mortality, and increase in natal health [World Energy Council, 2000].

Introduction of simple energy sources and technologies can rearrange roles within a community. Such technologies can simplify and

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reduce time spent on cooking and collecting water, opening up opportunities for women and children to access education, income- generating jobs and be engaged in their communities [World Energy Council, 2000]. The waste-to-energy toilet is an ideal example of simple technologies that have significant potential, as it serves the world’s 2.5 billion people who lack access to proper sanitation while simultaneously contributing to solving a community’s energy deficient in a self-reliable manner [Braw, 2013].

Links between WaSH and Energy

• There is a cyclic interdependency between WaSH and Energy • Immediate and long-term impacts felt within a community by introduction of technology. • Energy has positive and negative impacts on a community and on WaSH • Local small-scale energy production minimizes negative impacts

Access to a reliable source of energy transforms every aspect of a community’s life. New technologies and industry development allows for social capital and innovation to thrive within a community. Energy increases free time available for both men and women within a community, the impact can be felt more women replacing hours spent collecting water and cooking with starting micro- businesses that aid in stimulating the economy. The increase in time and income allows for families to invest in education and simple WaSH technologies, both of which have significant long-term impact that ensures the longevity of a strong economy, which in return reinforces the energy sector. More and more remote communities are implementing ‘Wasting to Energy’ programs, which use simple WaSH infrastructure to collect waste and use as a raw energy source. These projects allow for a healthier more robust population that requires more energy but also one that is more productive in various activities and industries that increase energy consumption as well.

Energy development is a water-thirsty industry, and must be planned thoroughly to ensure sustainability and mitigate negative implications to surrounding communities and the environment. Water discharged tends to have higher temperatures than the receiving bodies of water, and can have severe implications to the bio-diversity and human population downstream.

Water community sanitation energy

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WaSH AND ENERGY

What might be done in relation to WaSH to deal with problem?

WaSH and energy inter-linkages have an important role in the post-2015 development agenda and the conceptualization of Sustainable development Goals (SDGs):

Joint responses on the WaSH and energy nexus at all levels;

Provide innovative projects to produce ‘green energy’;

Design projects with the capability to scale up and scale down if desirable; and,

Seek active participation of the community, private, public and non-profit sectors in developing a strategy that is

Action-oriented

Concise

Easy to communicate

Aspirational

The challenges that arise from energy concerns, coupled with water and sanitation insecurity continue to threaten the wellbeing of the poor and most vulnerable [Wolbring & Leopatra, 2012]. As WaSH and energy inter-linkages have an important role in the post- 2015 development agenda and the conceptualization of Sustainable Development Goals (SDGs) there requires joint responses on the WaSH and energy nexus at all levels.

WaSH initiatives play a vital role in providing adequate access to water, sanitation and hygiene to individuals and communities whose access is strained by needs of the energy sector. In addition, WaSH also holds the potential to provide innovative projects to produce ‘green energy’ (through biogas) in energy scarce households and communities [UNU-INWEH, 2014]. Such projects will contribute to solving both sanitation and energy problems while contributing to job creation and poverty reduction.

To successfully address the challenges arising at the WaSH and energy nexus, a coordinated and coherent effort to identify WaSH and energy as a pillar of the SDGs is required by the global community. In addition, WaSH initiatives must seek the active participation of the community, along with the private, public, and non-profit sectors in developing a strategy that is: action-oriented, concise, easy to communicate, able to scale up and scale down and aspirational [UN, 2014].

What are the obstacles and barriers?

Energy as a basic resource required for regional and national economic growth and often trumps the water needs of individuals and communities.

As a water thirsty industry, present mainstream energy production cannot grow without water, which creates competitive pressures for water in water stressed regions. Energy as a basic resource required for daily life and regional and national economic growth often trumps the water needs of individuals and communities. Plans to harness China’s Nu River for hydropower production is a grand reflection of industry and national economic interests being placed above individual and environmental wellbeing. Officially endorsed as a green alternative to China’s energy needs and overreliance on coal the Chinese government has overlooked several consequences of harnessing the power of the Nu River: Silt retained by dams deprive downstream farmers of the seasonal nutrients traditionally relied on to replenish soil; increase in methane gas and carbon dioxide that will be created from the decomposing vegetation; the displacement of an estimated 60,000 individuals who rely on subsistence farming [Jacobs, 2013].

Any attempt at addressing the problems arising from the water and energy nexus must take into consideration the barriers of both the supply side and demand side. On the supply side, power plants and the relationship between energy and water must be considered. On the demand side, the varying sectors of the economy: industry, residential, commercial, transport and agriculture must be considered [UNDESA, 2014]. Thus, a major barrier is the ability to integrate the different, yet equally dynamic, market structures for water, sanitation and energy sectors [UNDESA, 2014].

What’s missing?

There has been a substantial amount of research conducted on the relations between water and energy

We have yet to fully understand how alternative forms of energy, such as solar panels and wind turbines, can be utilized to

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secure WaSH

We also have much to learn about how these technologies can be installed in communities and how they will be used (i.e. composting toilets)

What we don't know?

Currently the energy sector is dominated by select industries, such as oil and nuclear power. There has not been much of an effort to develop alternative production processes on a large scale that may be more environmentally friendly and assistive to smaller communities. There have not been many efforts made to consider how alternative sources of energy, such as wind and solar, could be utilized as more sustainable and healthy forms of power for large societies. We do not know to what extent these types of changes in energy production will improve water and sanitation. Much effort, resources and time has been invested in learning how to improve the current energy systems but not much time is spent on considering how alternative forms of energy production may be more beneficial to address water concerns and how WaSH principles can contribute to sustainable energy. Furthermore, while we have a firm knowledge of the relationship between water for energy, there is a gap in the discussion of how energy is necessary for full access to WaSH and sustainable and healthy development.

The ability of technology to enact change within the energy sector, such as composting toilets, is dependent upon the behaviors and practices of the communities and groups using them. This is particularly important with regard to sanitation, as many different technologies exist that enable water to be utilized efficiently in the production of energy but not without the knowledge, attitude and proper practice. More research could be conducted focusing on how individuals and communities interact with energy production to better understand the relationship between energy and WaSH, the sanitation and hygienic factors in particular. Understanding how WaSH attitudes, behaviors and practices unfold in a particular setting will enable the transfer of technology to be more effective as the utilization of it can be tailored for a particular group.

What hasn’t been tried?

Scaling down the lessons from large power suppliers to learn how to make energy more available to smaller, remote communities. Decentralizing energy production so that households and individuals are given more ownership and agency.

Much of the literature and work completed in this area has focused on major industries and not local and community level initiatives. While many prominent non-governmental organizations and international bodies such as the United Nations have recognized the value of work occurring at these levels there has not been a widespread attempt to scale down these lessons and successes. With 20 percent of the world’s population living without energy, most of who live in rural, developing countries, there is an urgent need to work with communities and create solutions [The World Bank, 2013]. This can be achieved through scaling down lessons learned from previous achievements and tailoring their management and processes to work for small communities. This is needed because of the danger that currently arising in regards to health and sanitation due to lack of electricity in impoverished countries.

Decentralization of energy production will also increase awareness for individuals and potentially create a stronger public push for more efficient and green mode of energy production. Furthermore, decentralizing energy production may provide solutions for communities that currently lack this commodity, enabling them to practice safe WaSH better. Funding and research must consider the interrelations occurring within this arena and reflect the complexity through a holistic approach.

What would be needed to move forward?

More synergy between public and private actors to develop sustainable options for energy production Increasing consumer awareness about the relationship between water, sanitation, health and their sources of power to lead to more sustainable behaviors

In terms of changing the relationship between WaSH and energy, and enabling energy to play a greater role in the development process there requires more synergy between the actors involved in this area. Engaging the energy sector with existing entrepreneurship can create an environment that allows for economic development to grow alongside sustainable energy production. An example of this is the creation of Saphon Energy in Tunisia, which developed novel turbine technology. Anis Aouni and Hassine Labied worked together to patent this technology, which is registered in up to 70 different countries. Labeid recognizes that this is not yet an opportunity for all entrepreneurs in developing countries and argues for “greater synergy between these people who can innovate and investors who can take risks” [Wyne, 2013]. More investment in ideas for sustainable energy production can contribute to more energy to meet the requirements for safe WaSH.

Tackling the static supply-demand relations within the energy industry may also create more consumer awareness, which not only change behaviors at a micro level but may also mold the actions of companies producing energy. A project conducted by the Energy Saving Trust and Waterwise UK in 2011 focused on increasing consumer awareness in order to contribute to achieving the

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European Union’s objectives on climate change, adaption and mitigation (3). A number of tactics were used to increase awareness such as surveys, demonstrations, and brochures, with the main message being quite simple: “heating water costs you money” (3). The results indicated that the outreach methods used were effective in increasing awareness of the links between water use and energy. More efforts could be made by both public and private bodies to not only increase awareness of this issue but also adapt behaviors so communities act more sustainably.

Key Messages

What should we adopt?

Adoption of new approaches and technologies must be supported through strengthening of human and institutional capacities.

Addressing the challenges arising from the WaSH and energy nexus will require the adoption of new and innovative approaches and technologies for alternative energy production such as those associated with biogas. Such approaches and technologies must be supported through the strengthening of human and institutional capacities for effective management and service delivery, through building capacities of local communities in planning, operating and maintaining services.

How should we adapt?

Adaptation will require:

Greater political will at both the global and national level

Adequate investment in waste to energy infrastructures

More holistic evaluations of waste to energy interventions

Growing demand for water from competing sectors in society and from growing populations will continue to place greater pressures on the amount of water available for energy and further exacerbate sanitation challenges. Adaptation to such pressures will require greater political will at both the global and national level; adequate investment in waste to energy infrastructures; and more holistic evaluations of waste to energy interventions to determine whether they are sustainable and feasible for scale up.

Policy Makers:

Policy makers must elevate sanitation governance though policies designed to increase investment and institutional capacity within the sector.

The MDG target for sanitation has lagged behind that of safe water provision due to the lack of political will at both the national and international level. Policy makers must elevate sanitation governance though policies designed to increase investment and institutional capacity within the sector. Policy must aim to create one national coordinating body for the sector, with a clear allocation of roles from government agencies, civil society organizations and private sector at all levels. In addition policy must be designed to link sanitation to other services, such as health and education, and vital sectors such as energy.

Alternative modes of energy production, such as biogas production, are in direct competition with mainstream energy production. Policy makers must establish market opportunities for the sale of products derived from waste through the promotion the implementation of a national policy that provides incentives for the private sector to invest into the most optimum mode of green energy production [UNU-INWEH].

Practitioners:

Seek and endorse appropriate resource recovery projects

Strive to include the involvement of the private sector to ensure sustainable interventions

Continue to emphasize community involvement in planning,

Practitioners must seek and endorse appropriate resource recovery projects that convert waste into a cleaner and more affordable source of energy for resource poor communities. In addition, practitioners must strive to include the involvement of the private sector in WaSH interventions to ensure the generation of income for all operators and all actors in the service supply chain, from waste collection, to transport, treatment and reuse [African Development Bank Group, 2014].

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interventions. Within the context of the energy nexus, which often requires the introduction of new and innovative technology, it is essential that human capital is a pillar of any intervention. Practitioners must motivate, organize, and train community members to play an active role in all stages of alternative energy production to ensure a successful transfer of new approaches and technology at the ground level.

Researchers:

To ensure the ability to scale up successful interventions researchers must collaborate with practitioners to develop technology that is easily transferable to unique community characteristics, while maintaining a basic level of standardization.

A greater focus on the present and future role of alternative energy production in energy security, economic development and water issues is required. In addition, research must incorporate opportunities in policy and market incentives to support such development in a sustainable manner [Sustainable Energy Development, 2014].

To ensure the ability to scale up successful interventions researchers must collaborate with practitioners to develop technology that is easily transferable to unique community characteristics, while maintaining a basic level of standardization that will allow for the possible widespread replication that scaling up requires (Davis & Iyer].

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WaSH AND TOURISM

The impact of the tourism industry on communities, in both the Global North and the Global South, can be either a blessing or a curse. For countries and communities deprived of monetary resources, tourism development may be welcomed as a needed source of economic growth, with the potential to spur further development for the individual, the community and the country at large. However, if improperly managed, the tourism industry may have a detrimental impact on the social, cultural, economic and environmental wellbeing of communities. These impacts are often intensified within poverty stricken communities with inadequate water and sanitation provisions, constraining the life opportunities of those who not only have the greatest needs but also are the most marginalized and vulnerable.

Background Information

Nature

As a water-hungry industry that generates a significant volume of both liquid and solid waste, the tourism industry requires a sustainable long-term plan of supervision and regulation. Unfortunately, due to the resistance or inability of governments to either formulate the necessary laws and policies or enforce the few that may exist, the absence of such plans are common at both national and local levels [Noble, et al., 2012]. Without proper oversight, industrial processes such as land degradation, overconsumption of resources and the mass generation of pollutants will reach beyond the local and national levels to negatively impact the planet’s environment and the wellbeing of individuals [Sunlu, 2003].

The linkage between the water and sanitation sector and the tourism industry is an exemplary case, which highlights the complex interplay between tourism and sustainable development. The tourism industry alone generates 180 liters of wastewater per tourist that is improperly managed [Jamieson, Kelovkar, Sunalai, & Mandke, 2003]. It is the cause of 7% of the water pollution in the Mediterranean and accounts for 25% Barbados’ water demand [Emmanuel & Spence, 2009]. Managed through a holistic approach, that acknowledges the interconnected factors between both sectors, positive impacts that reinforce the sustainability of both are possible. A thriving tourism industry may in fact be a driving force for sustainable water and sanitation management, and in return an improved water and sanitation sector may have the potential to be a contributing force in tourism development. Managed separately, the impact can be devastating on both sectors, with significant consequences for the local individual and the community. Lack of awareness, rule breaking and unregulated water privatization poses a potential risk to local livelihoods, food security, gender balances and thus the community’s overall health and wellbeing.

If the tourism industry and awareness of the interconnected developmental issues grow hand in hand, so will the opportunities to steer the industry towards more sustainable practices. Through a collaborative effort, at all levels, to utilize the momentum of the environmental movement within the tourism industry, communities, one by one, can yield enormous positive overall impacts on the planet’s environment and its inhabitant’s wellbeing [UNEP, 2008].

Scope

With 768 million people continuing to rely of water drawn from an unimproved source [The United Nations, 2013, p. 47], and 2.5 billion remaining without access to an improved sanitation facility WHO and UNICEF, 2013, p. 4] the issue of lack of water and sanitation provisions remains a global concern. As one of the largest industries in the world, coupled with the fact that tourism is a water-hungry industry, the scope of tourism’s impact on water and sanitation is a global phenomenon affecting holiday destinations across the Global North and the Global South including diverse ecosystems, from coastal areas to islands to desert regions and countries as wide-ranging as Japan to Kenya to Romania.

The tourism industry is evident in almost every country across the globe. With annual revenues passing US$1 trillion in 2011, it is the largest industry in the world. Africa alone saw a revenue increase of 2.2%, with an anticipated continued growth and India’s economy benefited by $14 billion [Gossling, et al., 2012]. The world’s largest tourist destinations are situated in either coastal areas or regions facing water problems. Northern Africa and the Middle East are home to not only some of the world’s lowest per capita availability of water resources but also the highest rates of reduction in water availability [Lamei, van der Zaag, & von Munch, 2008]. These same countries are facing acute water stress, and with 900 million people lacking access to water and sanitation [Noble, et al., 2012] there is a vital need for an overhaul of their water and sanitation management [The Global Compact, 2011].

Although tourism accounts for only 1% of global water consumption, the processes of globalization has facilitated the mass movement of over one billion people traveling to holiday destinations across the globe each year [World Tourism Organization, 2013]. The intensification of water usage and the generation of solid and liquid waste that accompanies this mass movement have generated a heavy burden on an increasing number of communities that lack proper infrastructure and water and sanitation provisions to cope with the transient population increases. Given tourism’s increasing size and reach, the sector holds the potential to make a significant demand on water resources and impact the wellbeing of millions around the globe [World Tourism Organization, 2013].

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Why is it important?

Unsafe drinking water and lack of sanitation profoundly affect the health and well-being of over a billion people. Their fundamental importance to each person’s life is reflected in the UN Human Rights Council and the UN General Assembly recognition that safe drinking water and sanitation are an essential human right [Noble, et al., 2012]. As such, it is critical to ensure water and sanitation provisions are accessible and well managed. This is relevant to both the Global North and the Global South, as water stress is expected to worsen in many parts of the world due to a variety of intertwined factors such as urbanization and urban growth, increase in food production, changing consumption patterns, industrialization, water pollution, and climate change.

Many regions relying on groundwater do not consider the future demand and rate of depletion of the aquifer. It is essential to remember that water is not an unlimited resource. Considering future demand and supply trends can prevent water shortages and the catastrophic consequences of this depletion [Gossling, 2001]. In addition, the boom of the tourism industry generates an influx in sewage and waste. Wastewater pollution in seas and lakes is evident in regions with established tourist attractions, consequently, damaging the flora and fauna in an already fragile ecosystem [Sunlu, 2003]. Present conditions and future demands of water and sanitation provisions must be considered prior to establishing or expanding tourism activities in communities, particularly those with existing constraints on water and sanitation provisions.

The tourism industry, as a far-reaching network, has the potential to contribute to sustainable water and sanitation practices, as well as the protection and conservation of environments across the globe. Through adapting present practices and policies, and adopting new ones, tourism can remain a profit-generating industry while raising awareness of environmental values. This partnership can be a powerful tool to finance protection of natural areas [Sunlu, 2003]. A sustainable tourist model can be a useful tool in terms of creating employment and a long-term commerce for developing nations.

Links to WaSH

To better mitigate the negative impacts and enhance the positive benefits of the tourism industry on a community’s water resources, one needs to understand the complex network linking the two entities. A dissection of the tourism industry and its four core subdivisions allows for a more thorough analysis of the industry’s impact on water and sanitation. The WaSH links of the activities associated with these four sectors are easier to design for, as they are narrower in scope.

Tourism impact on WaSH is due to three major sources of problems: pollution and contamination, water overuse, and land use change. These factors impact the community surrounding tourism hubs together with the long-term impact on the larger geographic area. WaSH is a critical pillar for a community’s wellbeing and jeopardizing such a critical entity can significantly affect the community’s socio-economic capacity. The tourism industry relies significantly on the community surrounding it through employment, resources and food, and for the tourist’s experience. Thus, any harm to the community will be felt by the tourism industry and can hinder its business development and growth. The links between Tourism and WaSH are illustrated in Figure 1.

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Links between WaSH and Tourism

What might be done in relation to WaSH and Tourism?

Due to the industry’s global size and reach, coupled with its impact on the communal, household, and individual wellbeing, successful initiatives to address tourism’s impact must incorporate multiple stakeholders, be multifaceted, and strive to contribute at the micro, mezzo and macro levels.

As the only global high-level political initiative in the water and sanitation sector the global partnership, Sanitation and Water for All (SWA), is well positioned to contribute to solutions to the water and sanitation issues arising from the global tourism industry [UNICEF WASH Section, 2013]. SWA has the potential to bring together governments, donors, civil society organizations and other development partners, along with stakeholders from the tourism industry to commit to several targets: increase service access, reduce open defecation and improve hygiene, increase financial commitments from domestic sources and increase aid [UNICEF WASH Section, 2013, p. 3].

At the macro level UNICEF WASH is able to provide technical and knowledge transfer to governments, as well as to facilitate in their participation in SWA processes [UNICEF WASH Section, 2013, p. 3]. Specifically, through capacity building, UNICEF WASH may work with governments and other partners to build sectorial capacity through: long-term support to national training institutions, technical support, support for translation of training material, efforts to strengthen key institutions and the facilitation of south-south engagement [UNICEF WASH Section, 2013, p. 7].

As WaSH programmes are primarily field-based, 98% of all UNICEF WASH expenditure is allocated to field programming [UNICEF WASH Section, 2013, p. 4], a considerable impact in alleviating the water and sanitation issues arising from the tourism industry may be made at the ground level. Thus, smaller focused interventions in countries without a comprehensive WaSH programmed are crucial in addressing the water and sanitation constraints on individuals and communities, which arise from the impacts the tourism industry. These programs must apply an integrated approach to delivery of basic water provisions, coupled with an emphasis on teaching of basic sanitation and hygiene to communities.

What are the obstacles and barriers?

Global obstacle: For regions particularly vulnerable to climate change, especially where water and sanitation provisions are already constrained, a decrease in precipitation, coupled with an increase in its variability is a considerable obstacle for

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communities in holiday destinations already under the strain of tourism activities relating to water and sanitation. This may lead to either the creation, or perpetuation of disputes between local populations and the tourism sector over access to water [EUROMED, 2009].

National obstacle: Few countries have developed specific, coherent water and sanitation polices, even less have a “hygiene improvement” policy that adequately addresses the array of issues, choices and decisions tied to the promotion of WaSH activities [World Bank, 2013]. Although there are illustrated benefits to the local tourism industry from increased water and sanitation services, many governments have been reluctant or unable to formulate the laws, regulations, economic incentives and assignments of rights and responsibilities required for the development and implementation of such policies [World Bank, 2013]. For resource poor countries that rely of the tourism industry as a vital source of revenue, coupled with a lack of water and sanitation planning ability and relevant trained personnel, lack of will, skills and recourses required in the implementation of WaSH initiatives are deeply entrenched.

Local obstacle: 80% of the tourism industry is composed of small and medium-enterprises, many of which lack the economic and technical resources required for a sustainable approach to water and sanitation management [UNEP, 2003, p. vii]. Proposed change might be interpreted as a disadvantaged shift in the allocation of a scare and profit generating resource, and may be met with resistance. Resistance may be compounded by several other factors: lack of awareness, perverse incentives that raise costs, lack of technology suppliers, or absence of appropriate information and feasible demonstration sites [UNEP, 2003, p. vii]. Without the commitment of these small and medium-size enterprises the sustainability of any WaSH field-based programmes focused on the local individuals and communities may be jeopardized.

What is missing? What don't we know?

The correlation between the development of tourism activity and the development of water and sanitation in poorly served areas has been widely analyzed. The practice of diverting water for the needs of tourists is well known. However, little attention has been paid on the insights and perceptions of the 700 million international tourists per year, who contribute 500 billion dollars in annual receipts [UNEP, 2008, p. vii]. As a major stakeholder in the water and sanitation sector of holiday destinations, the tourist has been largely overlooked. The disproportionate use of fresh water by tourists, coupled with their substantial consumer power necessitates further inclusion of their insights, values, perceptions and knowledge. On World Tourism Day, U.N. Secretary General Ban Ki Moon called on individuals “to play their part by making environmentally conscious choices when they travel” [Randle, 2013].

What hasn't been tried?

Since the 1990s, there has been an increase in companies that provide ‘reality tours’ through the poorer areas of major cities in the Global South. The result of which has been the development of a well-organized branch of tourism that, for example, attracted 300,000 visitors in Cape Town, South Africa in 2006. A growing number of ‘reality tours’ aim at showcasing positive socio- economic development impulses, which include elements of commercial and technical infrastructure and the economic activities of the local population [Meschkank, 2011, p. 48]. This reflects an increase of individuals who travel for both entertainment and pleasure as well as to experience the reality and authenticity of the communities they visit. The potential to transform tourists into socially conscious consumers/travelers has been widely overlooked. The success of Fair Trade provides an exemplary case. Fair Trade has become the most widely recognized ethical label in the world with almost 6 out of every 10 (57%) people seeing the Fair Trade certification mark [Canada, 2013]. Not only must the knowledge, attitudes and practices of the local population be addressed, but those of the tourist must be included as well.

As socially conscious consumers/travelers, tourists will base their decisions/actions on their ability to positively influence the world around them [Canada, 2013]. Greater efforts must be made to increase socially conscious decisions, actions, and consumption by tourists in holiday destinations with low water and sanitation provisions. Providing visitors with informative brochures and pamphlets regarding local environmental issues and the positive difference the tourism industry can contribute to may lead to more sustainable visitor behavior. Such efforts will not only have the potential to decrease the disproportionate use of water by tourists, but also have the potential of financially rewarding the community through the socially conscious consumer/traveler who will chose to support businesses associated with sustainable water and sanitation practices. In addition, UNICEF notes, experiencing tourism services that apply sustainable technologies can bring political support to worthy causes, through raising awareness of tourists [UNICEF WASH Section, 2013, p. 3].

What would be needed to move forward?

Without greater inclusion of the tourist as a stakeholder in the water and sanitation sector of holiday destinations with low provisions, the move forward for communities will be hampered by the disproportionate use of water and excessive production of waste by tourism activities. International organizations like the UN, with UNICEF and UN-HABITAT WaSH programmes in the field, are well equipped with knowledge of local social, economic, and environmental conditions, along with development initiatives to raise the awareness of the tourist. Work must done in collaboration with national and local governments, as well the local community, to compile and disperse information, though local businesses, tourist information centers and travel agencies, to raise

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the awareness about the local conditions, and the own impact of tourists on the water and sanitation sector in their holiday destinations.

Key Messages

What should we adopt?

Tourism and water are both global entities and are interwoven with various other aspects of a country’s economy, culture, and wellbeing. Due to the intricate structure of tourism and WaSH, the problems they face are to be solved using a multi-level approach. Interventions are needed at the community level, as they have been confirmed to be the most effective with various stakeholders invested in the success of the initiative. Businesses operated by locals will be more conscious of water consumption, unlike large companies that use a global operations program that may not take into account local needs and unique circumstances. The success of these enterprises requires experience and the technical knowledge, both of which can be accomplished through capacity building and knowledge-transfer programs. Collaborative programs between academic, research and NGO/IGO institutions and governments and at-stake communities should be founded to build the skills sets needed to empower community members to:

Establish water-conscious tourism businesses;

Manage development projects stemming from revenues; and,

Engaged in stakeholder consultation with large-scale tourism establishments.

Policies and legislation are needed to set the framework for the inter-disciplinary, intersectoral collaboration and to set limits for interventions imposed by external agencies. Governments should work closely with the various parties to establish long term water management plans for large-scale tourism industries. These plans would include consumption, treatment, and impact assessment to affected communities. All mitigations and changes to the current system are to be done from the ‘bottom-up’. The tools and resources needed by local communities are to be addressed first. Consequently, legislation and education programs must to be designed to meet such needs. Laws that do not contribute to the advancement of local communities or cannot be enforced have no value and only add to the inefficiencies of bureaucratic governments.

How can we adapt?

A sustainable tourism industry that impacts water in a positive manner requires extensive planning and a cohesive partnership among all stakeholders, including: Government, tourism businesses, and local communities.

Integration of WaSH management and the tourism industry requires four main components. One that can have a positive impact on local communities is Supply Security, ensuring the existing water demand is met prior to developing hotels and initiating a tourism industry within the area. Long term planning and population and demand forecasting are critical to safeguard against water shortages arising in the future.

As water becomes available for tourism activities, the psychology of water needs to be addressed. Businesses entering the sector are to reassess their water needs and recognize the wide-ranging influences tourism has on the health, economic development, education, sanitation, and environment, among others impacts, to its link to water. The tourist’s perception of water and its availability should shift to be more aligned with the realities of the area.

The tourism industry, in particularly ecotourism, has gone through significant changes over the past decade; similarly is true for WaSH services and management. Education is the universal tool to improve both sectors. Well-informed communities become aware of water management obstacles and problems and can lead WaSH progresses. Programs designed to train community members in both WaSH management and tourism jobs allow them to enter the job market with the tools needed to make a change from within the industry.

Local communities are starting to be more engaged in the tourism industry and its development processes. Support to empower and facilitate communities to take on more roles involving design and decision-making is a key to ensuring a sustainable industry that takes into account the changing needs of its beneficiaries. Community participation has been successful in numerous cases. However, community management and leadership are still areas of improvement globally.

What should we create?

Policy Makers:

Realizing the socio-economic potential of sustainable tourism

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Tourism is the largest global legal industry, and can have a strong impact on a country’s economic growth. That being said, without long-term planning, tourism can lead to a country’s degradation. Tourism initiatives are so diverse that the impact of the industry is found on all other businesses and activities, and that can be an advantage if managed effectively. Tourism is a catalyst that can raise a country’s portfolio and diversify its sources of income and as a means to develop water and other social wellbeing initiatives in communities. Policy makers should consider the needs and trends of the tourist, to ensure the industry financially sustainable.

Develop legislation to empower and provide land/project ownership to communities

A community becomes heavily invested in a project once it gains ownership over the project, and land ownership can be an obstacle when initiating a project. Policies set to transfer ownership of land to community-led projects would gather community participation but also remove the risk of future complications with any change in the political system. Having the set ‘project’ rather than a particular member of the community possess owner of the land and infrastructure reduces risk of corruption and malpractice.

Practitioners:

Establishing capacity building programs

Nongovernmental organizations have the network to establish programs that raises the technical and nontechnical skills needed by local communities. Even where small-scale tourism may not be practical or where there is a dominant presence of an existing tourism industry; gaining an understanding of the industry and water issues can empower the local residents to be more involved in decision-making processes.

Dissemination of Information

Citizens should be fully aware of activities being planned or implemented in their community. Continuous updates and consultation are required during all stages of a project’s life to ensure an ethical and efficient conduct. As citizens are continuously informed, they become more invested in the project’s success. Input from the community equates long-term project ownership and investment. As towns and villages take responsibility for decisions, they develop a sense of ownership over the project. Lessons learned are immediately put to use and rather than shifting the blame for failures, provide more collaboration opportunities.

Researchers:

Emphasis on small-scale tourism businesses and focus on local case studies

As the tourism industry continues to grow globally, researchers are encouraged to focus on small-scale tourism, as they are the most likely projects to be taken on by towns and villages. Rather than attempting to solve global problems or establish universal standards, a stronger emphasis should be placed on local case studies. Researchers have the aptitude to analyze local trends and behaviours and develop recommendations. Such recommendations can be shared with the community and collaboratively a change to the better can be implemented with fewer impediments. Research should focus on all parties involved, including the client, tourist, to ensure projects are financially sustainable.

Establish knowledge-transfer programs

Research should continue to be useful beyond simply creating a publication. Application of academic work can be encouraged when communities, professionals, and policy makers have access to the results. Programs intended to facilitate this access are needed to educate the user on background information such as the research process and purpose and how to align it with the needs of the communities or the outcome expected. Water management in tourism research can rapidly grow if the industry is able to use it to reduce cost or increase its environmental profile. Building a community’s knowledge on technical and societal issues and their implications equips them with the tools to contribute effectively in stakeholder consultations and enables them to work as partners with the industry and policy makers.

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WaSH AND DISASTERS

Defining Disasters

Disasters are those circumstances in which there is serious disruption in the functioning of a community by injuring/killing people, destroying property and/or creating significant amounts of environmental damage. Most disasters present as emergency situations. However, not all emergencies rise to the level of a disaster. An emergency may seriously affect an individual or family, and may be, in fact, a disaster in their lives, but disasters as defined in policy, practice, and research occur when a community is seriously disrupted. In short, people have emergencies, communities have disasters. In both cases planning is an important aspect of responding in a timely and appropriate way and not creating more, unnecessary damage. As a first step in understanding and planning, disasters are categorized by type.

Disasters, whether natural or man-made, create major disruptions in water access and quality and, at the same time, by definition destroy sanitation infrastructure and services. Many of the disasters are directly and causally linked to water – floods, hurricanes, tornadoes, typhoons, tsunamis, and droughts. Others have direct causal linkages (e.g., volcanic eruptions, earthquakes, wildfires, heat waves and blizzards). In either case the availability and accessibility of clean water is compromised; the lives of individuals are jeopardize as a direct result of the quality and quantity of water available to the general population. As a consequence, disaster relief programs give high priority to trucking in water and reestablishing, where possible, functional local water supplies. First responders bring potable water and portable sanitation with them to disaster zones knowing full well that this will be among the first requirements for a population in pain and conflict.

Man-made disasters come in at least two forms – those with intended disasters (e.g., war, terrorism) and as the unsought consequence of human endeavors (e.g., nuclear plant failures). In both instances the effects are similar; water is contaminated and water and sanitation systems are damaged and sometimes destroyed often simultaneously. The duration of the WaSH disaster is dictated in part by its causal nature (e.g., hurricane vs. droughts) and its location (e.g. urban vs. rural disasters) it is also dependent upon the resources available to address the resultant damage, the extent of the damage sustained (e.g. land mass, number of people affected, risk of reoccurrence), and the state of pre-existing resources. The presence of significant resources in high income countries (e.g. hurricane Katrina damage in New Orleans) make response times and outcomes far superior to those in low- income countries (e.g. damage from hurricane Jeanne in Haiti) to disasters of equivalent cause.

It is important to remember that despite international conventions banning such behaviour, water is both a source of conflict and used as a weapon of war.

As Gleick points out, “Disputes over control of water resources may reflect either political power disputes or disagreements over approaches to economic development, or both” [Gleick, 2004].

Water can be both a weapon and a target in military and economic conflicts between and within nations. The literature is beginning to reflect upon the question of whether or not wars will be fought over water [Rahaman, 2012].

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Natural

Natural disasters occur as a result of natural occurrences over which it is assumed that human beings have no control. Commonly called “Acts of God”, these events often involve major weather events such a floods, blizzards, tornadoes, cyclones, and tsunamis or geologic events such as landslides, earthquakes, and volcanic eruptions. While the underlying mechanisms appear to be beyond human intervention, the resulting damages may depend upon how well humans manage their community infrastructure. The security of buildings (e.g. earthquake resistant building codes) and public works (e.g., water mains) to a large degree will determine the scope and depth of the disaster.

On average, 27 million people have been displaced each year since 2008 by natural disasters. (Norwegian Refugee Council, Internal Displacement Monitoring Centre).

Human-Made

Human made disasters can be directly linked to the behaviour of human beings and include events such as forest fires, transport accidents (e.g. plane crashes, train derailments), industrial accidents (e.g., chemical spills), oil spills and nuclear explosions/radiation. A particular sub-category of disasters occurs with wars and terrorist attacks.

Defining Disasters by Characteristics

Length of forewarning

The shorter the warning time, the less preparation that can occur and the greater the resultant damage and personal injury that is likely to occur.

Duration of impact

The longer the vent lasts, the greater the likelihood of property damage and personal injury

Geographical scope of impact

The wider the geographic area affected by the event, the larger the disaster potential.

Magnitude

The greater the magnitude of the event is, the higher the likelihood of increased property and personal damage.

Speed of onset

As the speed of onset of a disaster increases, so too does the risk of property damage and personal injury.

The annual report also said that the some 22 million people displaced by natural disasters last year was three times the number of people who left their homes because of conflict.

Norwegian Refugee Council, Internal Displacement Monitoring Centre. 2014. Global Estimates 2014: people displaced by disasters. IDMC: Oslo.

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Defining Disasters by Outcomes

(From www.training.fema.gov) (Internet Access Required)

Bradford Fatality Disaster Scale Fatality scale, starting at 10 deaths, then:

• 32 deaths = magnitude 1.5 disaster

• 95 deaths = magnitude 1.98

• 166 deaths = magnitude 2.22

• 1,000 deaths = magnitude 3.0

• 25,000 deaths = magnitude 4.38

• Destruction of the planet = magnitude 10

(Horlick-Jones and Peters, 1991)

Quantitative Definitions

Disasters include all events that cause:

• At least 100 human deaths, or

• At least 100 human injuries, or

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• At least US $1 million economic damages.

(Sheehan and Hewitt in Smith, 1996)

Qualitative Definitions Ordinary people will tell sociologists what disasters are if we listen to them. (Kroll-Smith and Gunter in Quarantelli, 1998a)

UN Definition A serious disruption of the functioning of society, causing widespread human, material, or environmental losses which exceed the ability of affected society to cope using only its own resources. (U.N., 1992)

Comprehensive Definition A disaster is a non-routine event that exceeds the capacity of the affected area to respond to it in such a way as to save lives; to preserve property; and to maintain the social, ecological, economic, and political stability of the affected region. (Pearce, 2000)

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DISASTERS - IMPACTS

Whether natural or man-made, disasters have a variety of impacts on the health and well-being of individuals and communities including:

Replacement demand for degraded existing resources

Shelter – homes destroyed; unsafe buildings; increased shelter need (e.g., blizzards) Water – ruptures in public systems; contamination of public systems; lack of or contamination of source water Power – temporary disruptions; damage to power supply Sanitation – destruction of infrastructure; unsafe access to sanitation facilities

Demand for additional resources

Search, rescue, and recovery - for example,

Multi-site disaster (e.g., 2011 Tōhoku earthquake and tsunami http://www.livescience.com/39110-japan-2011-earthquake- tsunami-facts.html ) (Internet Access Required) Contamination of existing supplies by bodies/bacteria/viruses (e.g., MERS outbreak http://www.cdc.gov/coronavirus/mers/) (Internet Access Required) Need for personal WaSH supplies by emergency personnel (e.g., Ebola outbreak http://www.cdc.gov/vhf/ebola/outbreaks/guinea/ ) (Internet Access Required) First aid and emergency care - for example,

Need for sterile water and supplies (e.g. equipping emergency hospitals) Need for emergency shelter (e.g., DP and IDP camps) Need for first aid/hospital facilities (e.g. siting field hospitals with WaSH) Extraordinary hygiene demands (e.g., injury/illness management; body removal and disposal; illness creation (e.g., cholera) Different food, water, sanitation, and shelter demands (e.g., for injured people)

Emergency shelter

Special circumstances

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Orphaned and abandoned children

46% of refugees are children (UNHCR, 2013)

Almost half of the world’s forcibly displaced people are children and many spend their entire childhood far from home. Whether they are refugees, internally displaced, asylum-seekers or stateless, children are at a greater risk of abuse, neglect, violence, exploitation, trafficking or forced military recruitment. They may also have witnessed or experienced violent acts and/or been separated from their families. http://www.unhcr.org/pages/49c3646c1e8.html

In 2013 UNICEF provided 19.9 million children with access to safe water for drinking, cooking and bathing; 1.9 million children were treated for severe acute malnutrition

Displaced populations (e.g., Syria, Somalia, Columbia)

By end 2012, 45.2 million people were forcibly displaced worldwide as a result of persecution, conflict, generalized violence and human rights violations. Some 15.4 million people were refugees: 10.5 million under UNHCR’s mandate and 4.9 million Palestinian refugees registered by UNRWA. The global figure included 28.8 million internally displaced persons (1) (IDPs) and nearly one million (937,000) asylum-seekers. The 2012 level was the highest since 1994, when an estimated 47 million people were forcibly displaced worldwide. (http://www.unhcr.org/globaltrendsjune2013/UNHCR%20GLOBAL%20TRENDS%202012_V05.pdf)

Three-quarters of the 619,000 people in a refugee-like situation were located in Bangladesh, the Bolivarian Republic of Venezuela, and Ecuador.

This sub-category is descriptive in nature, and includes groups of people who are inside their country of nationality or habitual residence, and who face protection risks similar to IDPs but who, for practical or other reasons, could not be reported as such. 1

Refugees 1 (e.g., South Sudan, Afghanistan, Mexico)

Include individuals recognized under the 1951 Convention relating to the Status of Refugees; its 1967 Protocol; the 1969 OAUC Convention Governing the Specific Aspects of Refugee Problems in Africa; those recognized in accordance with the UNHCR Statute; individuals granted complementary forms of protection; or, those enjoying temporary protection. The refugee population also includes people in a refugee-like situation.

Source of photo http://www.unicef.org/ (Internet Access Required)

Asylum-seekers (with “pending cases”) 1

Outcomes have not yet been determined

Internally displaced persons 1

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· Are people or groups of individuals who have been forced to leave their homes or places of habitual residence, in particular as a result of, or in order to avoid the effects of armed conflict, situations of generalized violence, violations of human rights, or natural or man-made disasters, and who have not crossed an international border · IDP populations also includes people in an IDP-like situation

Medically isolated populations

from epidemics (e.g., Ebola) pandemics (e.g., influenza) socially unacceptable diseases (e.g., leprosy)

A major cause for the increase in the number of people being displaced is the massive migration toward big cities in the developing world. This massing of people together in places that lack infrastructure makes them more vulnerable to natural disasters aggravated by climate change. Norwegian Refugee Council, Internal Displacement Monitoring Centre. 2014. Global Estimates 2014: people displaced by disasters. IDMC: Oslo.

[1] United Nations High Commissioner for Refugees. (2012). UNHCR Global Trends 2012 Report. Displacement: The New 21st Century Challenge. Geneva: UNHCR.

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SPECIAL WaSH CONSIDERATIONS

Planning for basic needs – restoration and emergency supplies

Water i. Filtration and purification t source and at point of use ii. Oral rehydration iii. Re-sourcing when normal sources are disrupted iv. External provision v. Household supply vs. larger needs vi. Disease prevention

Sanitation i. Mechanical, biochemical, and chemical toilet options ii. Pit latrines; problems with de-sludging; faecal sludge treatment; anaerobic digestion

Hygiene i. Communal hand washing ii. Communal bathing iii. Laundry stations iv. Oral hygiene alternatives

Special WaSH needs

Medical - health i. Need for more water ii. Need for clean water iii. Need to be able to sterilize equipment and supplies means accessing clean water, energy, and hygiene supplies (e.g., soap, alcohol) iv. Need to clean clothes, working and living spaces for infection prevention/ control

Newborns and children i. Increased risk from water-borne diseases, injuries, and infection ii. Dehydration risk elevation iii. Breastfeeding/formula feeding obstacles

Pre-existing special needs

i. Elderly - Higher dehydration and infection risk - Lack of mobility

ii. Disabled - Higher dehydration and infection risk - Lack of mobility, hearing, sight further compromise the ability to access emergency resources - Specialized medical needs may require additional WaSH - Risks for intellectually disabled in navigating temporary/emergency WaSH resources

Transient populations

143.9 million People were displaced by disasters between 2008 and 2012; 33.3 million People were displaced by conflict as of January 2014 [http://www.internal-displacement.org/] Every one of those displaced persons required access to potable water, appropriate sanitation and adequate hygiene provision in addition to food, housing, and medical care.

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Displaced Persons (DP)

Almost half of the world’s forcibly displaced people are children and many spend their entire childhood far from home. Whether they are refugees, internally displaced, asylum-seekers or stateless, children are at a greater risk of abuse, neglect, violence, exploitation, trafficking or forced military recruitment. They may also have witnessed or experienced violent acts and/or been separated from their families. (http://www.unhcr.org/pages/49c3646c1e8.html )

Internally Displaced Persons (IDP)

Persons or groups of persons […] have been forced or obliged to flee or to leave their homes or places of habitual residence, in particular as a result of or in order to avoid the effects of armed conflict, situations of generalised violence, violations of human rights or natural or human-made disasters, and who have not crossed an internationally recognised state border. (Guiding Principles on Internal Displacement, United Nations, 1998, E/CN.4/1998/53/Add.2).http://wearecanadians.wordpress.com/2011/05/06/post-war-world-ii-and-displaced-persons/ (Internet Access Required)

Where do they come from?

According to IDMC (http://www.internal-displacement.org/ ) (Internet Access Required)

From the Americas - Columbia, Guatemala, Mexico, Peru From Europe the Caucasus, and Central Asia –Armenia, Azerbaijan, Bosnia Herzegovina, Cyprus, Georgia, Kosovo, Russian Federation, Turkmenistan Turkey, Serbia, Ukraine, Uzbekistan From Middle East and North Africa – Algeria, Iraq, Israel, Lebanon, Libya, Palestine, Syria, Yemen From South and South-East Asia - Afghanistan, Bangladesh, India, Indonesia, Lao, Myanmar, Nepal, Pakistan, Philippines, Sri Lanka, Thailand, Timor-Leste From Sub-Saharan Africa –Burundi, Central African Republic, Chad, Congo, Côte d’Ivoire, Democratic Republic of Congo, Eritrea, Ethiopia, Kenya, Liberia, Mali, Niger, Nigeria, Senegal, Somalia, South Sudan, Togo, Zimbabwe

· The five countries with the highest displacement levels were the Philippines, China, India, Bangladesh and Vietnam. · The highest displacement levels both in absolute terms and relative to population size, are Nigeria, Pakistan and Bangladesh.

High Income Countries and Displaced Persons

§ The problems in LMICs are often more acute and less well anticipated and responded to by local governments and NGOs than in HIC where infrastructure is both more sophisticated and secure.

§ However, in high income countries, temporary displacements have occurred for floods, hurricanes, earthquakes, forest fires, an acts of war.

· New Orleans suffered from hurricane Katrina in which least 1,833 people died. Katrina resulted in the redistributed over one million people from the central Gulf coast elsewhere across the United States, which became the largest diaspora in the history of the United States and cost the US economy more than $108 billion. https://web.archive.org/web/20080624185024/http://www.ssrc.msstate.edu/katrina/publications/katrinastudentsummary.pdf (Internet Access Required)

· In March 2011 9.0 magnitude earthquake and tsunami occurred off the coast of Japan (Fukushima Tsunami). Material damage from the earthquake and tsunami is estimated at about 25 trillion yen ($300 billion US) with a confirmed death toll of 15,884 as of February 10, 2014 and the creation of over 300,000 IDPs. It also caused a nuclear emergency in the reactor at the Fukushima Daiichi power plant than has become an ongoing financial and environmental problem. (http://www.cnn.com/2013/07/17/world/asia/japan-earthquake---tsunami-fast-facts/ ) (Internet Access Required)

· Europe suffered major losses of life and property in WWII and continues to experience local and regional conflicts that compromise the wellbeing of individuals and communities. The largest movement of displaced persons ever recorded is associated with the Holocaust; from 1945 to 1952, more than 250,000 Jewish displaced persons (DPs) lived in camps and urban centers in Germany, Austria, and Italy in addition to the 6 million Jews, including 1.5 million children, who were murdered. Estimates of the total number of displaced persons cannot be confirmed but re known to exceed 2 million.

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REFERENCES - WaSH AND DISASTER

Horlick-Jones, T. (1998). Meaning and contextualisation in risk assessment. Reliability engineering & system safety, 59(1), 79-89.

Norwegian Refugee Council, Internal Displacement Monitoring Centre. 2014. Global Estimates 2014: people displaced by disasters. IDMC: Oslo.

Pearce, T. (2008). National and international perspectives on disaster management. Environmental Health, 8(2), 112.

Quarantelli, E. L. (Ed.). (1998). What is a disaster?: perspectives on the question. Psychology Press.

Smith, K. (2013). Environmental hazards: assessing risk and reducing disaster. Routledge.

DHA, U. (1992). Internationally agreed glossary of basic terms related to disaster management. UN DHA (United Nations Department of Humanitarian Affairs), Geneva.

United Nations High Commissioner for Refugees. (2012). UNHCR Global Trends 2012 Report. Displacement: The New 21st Century Challenge. Geneva: UNHCR.

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CONCLUSIONS

WaSH is at the centre of well-being. WaSH in health care facilities saves lives. WaSH in schools keeps kids leaning. Planning isn’t good enough; doing is what counts Doing without planning creates disasters. If you don’t know what you don’t know, you can’t develop a responsible and effective policy. Research is essential to any meaningful understanding of WaSH.

"A policy is a temporary creed liable to be changed, but while it holds good it has got to be pursued with apostolic zeal." Mahatma Gandhi

"When resources are degraded, we start competing for them, whether it is at the local level in Kenya, where we had tribal clashes over land and water, or at the global level, where we are fighting over water, oil, and minerals. So one way to promote peace is to promote sustainable management and equitable distribution of resources." Wangari Maathai

"Nothing is softer or more flexible than water, yet nothing can resist it." Lao Tzu

"Research is formalized curiosity. It is poking and prying with a purpose." Zora Neale Hurston

"The obvious issue is providing clean drinking water and sanitation to every single human being on earth at the cost of little more than one year of the Kyoto treaty." Bjorn Lomborg

"Learning and innovation go hand in hand. The arrogance of success is to think that what youdid yesterday will be sufficient for tomorrow." William Pollard

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ASSIGNMENT - LOCAL CASE STUDY (MAX 10 PAGES + REFERENCES)

The purpose of this assignment is to help you to apply the key concepts provided in this course to your local WaSH situation. At the end of this exercise you should have a plan for moving forward on resolving the problem that you have identified. Your knowledge needs will be included in an international database on problems to be solved in relation to WaSH. In this way you will be able to contribute to global improvements in water and sanitation in addition to finding an approach to your local issue.

Outline

Thinking about the work that you do on a day-to-day basis, what problem you want to solve? (150 words)

Describe the nature of the problem (i.e., how many people are affected by the problem, how long has it existed, is it getting better or worse, who is affected by the problem, how are they affected). (250 words)

What has been tried to solve this problem and what has been the effect(s)? (Draw from the literature in your field) (250 words)

How is this problem related to water supply (quantity/quality/accessibility)? (125 words)

How is this problem related to sanitation (type/practices/impact)? (125 words)

What possible solutions are you aware of to address this problem? (Include a brief description of where this solution has been tried and with what result(s)) (250 words)

How could changes in local WaSH practice(s) impact on this problem? (250 words)

Are there policies in place which make solving your problem difficult? If so, what are they and how would you change them/how could they be changed? (250 words)

Are there practices in your organization which contribute to this problem? If so, what are they and how would you change them/how could they be changed? (250 words)

What is your preferred solution to your local problem and why? (125 words)

What are the barriers to implementing your preferred solution? (125 words)

Who might be your allies in implementing your preferred solution? (125 words)

What are there things that you need to know that you currently don’t that might change your approach to this problem? (125 words)

Any final comments (options)

References

Case Studies Outline (for each of the above issues)

1. Statement of issue/problem

2. Background information

a. Nature

b. Scope

c. Why is it important?

3. Link to water

4. Link to sanitation

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5. What might be done in relation to WaSH to deal with problem?

6. What are the obstacles and barriers?

7. Example of where something has been successfully tried

a. Different geographic locations

b. Different scope of interventions (practice/policy/experiments)

8. What is missing?

a. What don’t we know?

b. What hasn’t been tried?

c. What would be needed to move forward?

9. Key messages

a. What should we adopt?

b. How can we adapt?

c. What should we create?

(2 messages in relation to each question for i. Policy makers, ii. Practitioners, ii.Researchers)

10. References

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REFERENCES

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Yang YH, Sue RL, Warnakulasuriya S, & Dasanayake AP. (2009). Promoting better oral health practices among aboriginal Taiwanese Adolescents: a school based oral health education intervention program. J Health Care Poor Underserved 2009; 20: 41- 50.

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