AIR POLLUTION IN DENSE, LOW-INCOME SETTLEMENTS IN SOUTH AFRICA
A Friedl1, D Holm2, J John3, G Kornelius4,
C J Pauw5, R Oosthuizen6 and A S van Niekerk7
Abstract
This research is carried out on behalf of the Royal Danish Embassy as partof the Urban Environmental Management Programme in cooperation with theSouth African Department of Environmental Affairs and Tourism. In the callfor proposals the rationale for this project is expressed as follows: ”Althoughair pollution in dense, low-income communities is acknowledged as a majorthreat to the health and well-being of the people living and working in thesecommunities, research into the problem, cause and effect relationships,possible solutions, impact of interventions, etc. has been, in the main,sporadic, uncoordinated, piece-meal, narrowly focused, etc. As such, andwith a view to developing an Integrated Strategy and Action Plan to addressthis problem, there is a need to synthesise the findings of the variousresearch and pilot projects done over the years and to draw out usefulconclusions and recommendations.”
This paper synthesises the findings of the major research projects on
energy supply for low-income households. Comparisons are made of themeasurements of air pollution related to the use of the various fuels and theirhealth impacts. Conclusions are made regarding the context of the energysupply problem in the broader household context, the basis and sustainabilityof possible future interventions, the impact that carbon trading may have inthis regard and the research gaps that still exist. 1. Background
overview of the nature and extent of the problem. This
domestic fuel use (wood, coal, biomass, paraffin, as
This article summarises the results of research
well as the impact of thermal efficiency of houses),
carried out on behalf of the Royal Danish Embassy,
key advantages and disadvantages related to the
as part of the Urban Environmental Management
use of various fuels, the potential extent of the
Programme in co-operation with the South African
problem, key impacts on health and well-being,
Department of Environmental Affairs and Tourism.
economic and social cost, the geographic areas
The rationale was to synthesise the findings of the
hitherto uncoordinated research concerning all
aspects related to the problem of air pollution in
pollution, and, finally, those vulnerable people that
dense, low-income communities in order to draw
are most at risk because of air pollution. Chapter 3
useful conclusions and recommendations that will
analyses past and current interventions (e.g.,
serve as the basis for the development of an
electrification, housing related interventions, BnM)
integrated strategy and action plan.
relating to the health and well-being of householdsas
2. Scope and method of research
international case studies presented in Chapter 4comprise
The research carried out for this project took the
national biogas programmes. Chapter 5 identifies
synthesise the findings of all important published
intervention with the potential application to this
studies on air pollution in dense, low-income
problem. Chapter 6 discusses indicators that can be
communities in South Africa (Friedl et al., 2008). As
used to measure and evaluate various aspects of
such, no new empirical research was conducted.
air pollution in dense, low-income communities.
Finally, Chapter 7 summarises the most important
introductory Chapter 1 provides some background
conclusions and provides a brief analysis of the
and defines the most important terms as they are
changing context to inform recommendations for
applied in the document. Chapter 2 provides an
viable intervention options categorised according to
their level of development and potential impact.
Geographic areas most affected by air pollution can
Finally, a description of the most important role-
be differentiated into areas with high population
players and their respective potential contributions
densities and areas with high source densities, with
the highest impact being in areas where bothsources and population are dense. Within the large
3. Summary of Results
metropolitan areas, the former black townshipsgenerally have the highest levels of ambient airpollution, caused by a combination of density of
Of all sources of air pollution that have an impact on
health in South Africa, domestic sources have by far
sources. Although electrified areas with formal
the largest impact. One study found that domestic
housing have fewer coal users, electrification does
sources were responsible for 69% of total health
not totally replace dirty fuels, because these fuels
impacts of ambient air pollution in a selection of
remain relatively economical for space heating.
urban and industrialised areas (FRIDGE, 2004:iii,
Higher income is also correlated with less use of
66). It is estimated that ambient air pollution in the
dirty fuels (Statistics South Africa: 2008). Areas with
six metropolitan areas of SA, as well as Rustenburg
low minimum temperatures that are situated closer
and Sasolburg (a population of approx. 5.5 million
to the coal mines have higher levels of coal use
people), has been responsible for 4 637 deaths for
than areas that have milder weather or are further
the year 2000 (Norman et al.:2007b) and that indoor
air pollution has been responsible for 2 489 deaths
expensive. This study has found that exposure to
in all areas of SA for the same year (Norman et
ambient air pollution beyond the large urban centres
al.:2007a). Deaths caused by fires (mainly due to
is probably a much greater cause for concern than
paraffin) and paraffin poisoning have to be added to
was previouly thought, because of high source
arrive at a total annual death estimate. A summary
densities in such areas and due to the fact that the
for the year 2000 is given in Table:1: According to
size of a settlement has only a limited influence on
these estimates, more than 9 000 people die
the level of air pollution. This means that there is a
annually as a result of domestic use of “dirty” fuels
strong possibility that the impact of air pollution is
in the metropolitan areas of South Africa. These
underestimated because many settlements where
estimates exclude about 60% of the population and
ambient air pollution may have significant negative
the total could be much higher. Paraffin burns
health effects are not included in the current
calculations of deaths caused by air pollution (see
have to be added to the total (PARASA 2005,
the scope of Norman et al.:2007b).
In 2006, about 50% of all households used an
energy carrier other than electricity and may thus
Table 1: Estimations of annual deaths related to
have been exposed to indoor air pollution (Statistics
domestic use of dirty fuels for the year 2000
SA 2007). About 14% of these households usedparaffin, which is regarded as a clean fuel. Lloyd
(2006:6) reports indoor CO levels of 1 600 ppm in
of death deaths related
paraffin-using households in Kimberley. The other
dangers of paraffin include fire and the drinking of
paraffin, especially by children. The death toll
caused by these dangers is very close to that fromambient air pollution exposure in urban areas. The
drinking of paraffin is facilitated by the way it is
handled and sold; it can be bought anywhere and in
any container and thus may be easily drunk by
children. Fire caused by paraffin is a very serious
matter: annually 83 000 households, 2% of total
paraffin using households, suffer as a result of
paraffin related fires (Truran and Singh 2006:2).
None of the wick stoves on the market in 2007 met
the safety specifications set by the SABS (Panday
and Mafu 2007:61, Standards South Africa 2006,2007).
Energy use in low-income households shows a
trend towards the use of a mix of energy carriers,
especially among the lower 50% of income earners.
This pattern implies that low-income householdsswitch between energy carriers as it suits theirneeds. More households use a dirty fuel for heating
than for cooking and least for lighting. It is likely that
contribute to a high demand for houses, especially
the electrification of houses has peaked and will
in urban areas. If the rate of housing delivery falls
remain stable at 80% of all households. The
behind the rate of household growth, more people
percentage of households that use dirty fuels has
will live in informal houses which are thermally
also stabilised with a constant 21% of electrified
extremely inefficient. Presently, thermal properties
households still relying on a dirty fuel source for
are not integrated in the design of subsidy houses,
heating or cooking; the use of dirty fuels has
the need for large quantities of artificial space
however increased in absolute terms between 2001
heating to achieve thermal comfort is thus being
and 2007. The proportion of households that used a
structurally entrenched. Dirty fuels are the most
dirty fuel for heating only has also remained
common way of delivering bulk heat. If the housing
constant between 2001 and 2007, at about 50%.
backlog is not reduced, a stabilisation or even an
The largest contribution to air pollution in dense,
increase in dirty fuel use may occur. Much research
low-income communities is caused by the domestic
has been done into improvement of this situation
use of wood in rural areas and wood and coal in
urban areas around the coal mines for space
heating. Electricity and paraffin are preferred by
incongruence between the state of knowledge and
many of the same households for cooking. Colder
areas and colder periods are associated with higherlevels of solid fuel use and an increase in air
Whether SA can avoid an electricity supply crisis
contributor to health impacts from air pollution in the
and the cost to the consumer of such avoidance,
urban areas. However, the majority of wood users
are two concerns likely to have a decisive impact on
households) live outside these areas in rural areas.
In the event of a supply shortage dirty fuels will
This is a highly neglected problem in the available
function as a backup strategy for many households.
research findings: there is no data available on the
Episodes of increased air pollution in this scenario
types of devices and volumes of wood used, as well
will correspond to episodes of power failure.
as what proportion of cooking is done indoors. This
In the event of a complete supply crisis, dirty fuels
lack of information makes it difficult to estimate
will become or remain the fuels of choice for many
health impacts related to wood use, but it must be
the power generation capacity shortage is
households in SA still use a dirty fuel for cooking.
overcome in such a way as to drastically increase
The choice of energy carrier is not only determined
the price of electricity and this increase is not
by availability (about 80% of households have
softened for the poor, an increase in dirty fuel use
access to electricity) but also by the absolute cost
and cost-efficiency of appliance systems. Paraffin is
The result of tariff structures which charge an
generally preferred to coal for cooking (when space
increased price for increased use may have the
heating is not required simultaneously), because it
households will try to minimise their cost by
Graham and Dutkiewicz, 1999; Graham, 1998).
avoiding the use of electricity for space heating andcooking. On the other hand, an increase in free
4. Future scenarios
basic electricity to such an extent that a householdcan use lights, watch TV and cook with free
Four factors have emerged that will play a decisive
electricity, will place an additional burden on the
role in future trends in the use of dirty fuels. In
combination, these factors clearly indicate that
A drastic increase in energy efficiency on the level
‘business as usual’ is not a viable option:
households, is the only way out of this dilemma.
The oil price has a direct influence on the price ofparaffin and indirectly on coal and wood. The effects
of a high and rising oil price on energy use patterns
communities are becoming poorer or richer in terms
of their real purchasing power, will have a dramaticinfluence on the future of dirty fuel use, because an
increase in income is negatively correlated with theuse of dirty fuels if cleaner fuels, especially
SA needs to build 500 000 subsidy houses per year
electricity, are available. There are analysts who are
between 2008 and 2015 to eradicate the housing
convinced that a large proportion of the population
backlog of about 2.2 million houses (Leshabane
has become poorer over the last two decades.
2008). Rapid household formation and urbanisation
There has been a major shift in the macro-context
an agreement with civil society and private sector
of energy service delivery since 1994, when the
role players on the allocation of their roles. For
National Energy Programme (NEP) was initiated.
other technologies (e.g., energy efficient designs,
More than 3 million electricity connections have
renewables) strategies still have to be worked out
been made already. The NEP was based on the
based on reliable information and research on the
assumption that electricity would eventually replace
funding available, the technology available, the
all other energy carriers. This assumption is being
relevant policies and, importantly, the needs of the
replaced by the expectation that there will always be
an energy mix, where availability, cost and social
The fact that many household switch between
preferences will determine the most cost-effective
and socially desirable mix. Despite its desirability,
possibilities that really meet user requirements,
having electricity makes a household a new type of
consumer and leads to increased expenditure
proportions of low-income households.
patterns, followed by financial constraints and aninability to pay for the electricity. This often results in
5. State of readyness of various
electricity cuts, which is a source of alienation:
interventions
being cut off creates a feeling of not belonging andtherefore of not having to obey the rules of theunjust or unkind ‘system’. Electricity is found to save
This report has evaluated a number of intervention
time from labour-intensive work but eventually
options to reduce air pollution in dense, low-income
some people have less time for constructive
communities. Implementation options that were
activities because the TV – seemingly a usual
found to be viable will now be briefly presented in
order of their state of development, i.e., their
electricity across income groups – consumes so
readiness for mass implementation. Readiness for
much of their time. Elderly people are sometimes
mass implementation means that the project has
found to want to continue using fire for a number of
undergone a thorough process of evaluation in real
reasons (e.g., smoke is a sign of life to visitors and
operating conditions, improvements to better meet
the needs of the end-users, and validation of theimpact and results. Only after such a process can a
project be ready to be implemented, first as a pilotproject and then en masse.
The market for the trading of carbon credits, both
The development of a project has to proceed
under the Clean Development Mechanism (CDM)
through a number of phases in order to guarantee
or in the informal market, has led to a completely
new dimension in clean household energy, that
definitions]. This phased approach has been used
should be utilised to the full benefit of all. Carbon
in the past by the Nova Institute to develop the
finance is directly applicable to projects that have a
improved top-down ignition technique for coal fires
bearing on the problem of air pollution in dense,
that has already reached more than 100 000
low-income communities. The implementation of
households (Van Niekerk and Swanepoel: 1999).
Basa njengo Magogo, (BnM), a clean burning
method for domestic coal use which achieves a
Plan/establish In this phase, the following is
important: Role players are identified, brought
significant savings in coal use, is a good example of
together, and consensus is reached on the way
how carbon finance can fast-track a project that has
forward. These role players may include people
a drastic impact on air quality. The fact that it burns
from the community, social workers, care givers,
cleaner leads to a significant reduction in the
negative health impacts of air pollution on residents.
government officials, industry representatives, etc.
Since the Nova Institute has succeeded to verify the
Research and Development The impact of all of
reduction in the emissions of GHGs, caused by a
the relevant legal provisions on a vulnerable family
reduction in the quantity of coal use, the trading of
would need to be identified and considered to
these emissions has provided funding for large
determine the problems that are experienced. Then
scale implementation (24 000 households were
it should be considered which of those problematic
converted in 2007). If it is assumed that government
provisions of law could be replaced with a sensible
should only provide those services that cannot be
alternative, or what other solution would be possible
supplied by the private sector, it seems that the
to eliminate the problems experienced. This phase
trading of carbon credits has made it possible that
is completed when there is consensus amongst the
civil society and the private sector will be able to
role players on the most suitable strategy or
implement BnM in a number of areas, leaving
government free to attend to other, as yet unsolvedproblems. Therefore, government should come to
Evaluate, Refine and Validate
promising solution is implemented on a small scale
in individual households. The results are evaluated,
the solution is improved and then implemented
campaigns have reached between 50% and 70% of
again. This process is repeated until the results are
coal users in the implementation area which means
that a total of 420 000 of the estimated 600 000
Pilot implementation
primary coal users may be reached using the
existing best practise (Lokkers and Swanepoel,
2005). The remaining 180 000 can most probably
be reached by adapting the existing practice. Its
Afterwards a final round of minor changes can be
positive impacts affect health (reduction of ambient
made to the solutions, based on the problems
and indoor exposure to PM, SO, NO and VOCs),
economy (25-33% coal savings), environment (25-
Full-scale implementation After the success of
33% ash reduction), and labour market.
6.1. Thermally comfortable subsidy houses
implementation, expanding over time until it has
Another viable intervention option is the provision of
been fully implemented in all target communities.
thermally comfortable houses. Government builds
The relationship between the intensity of R&D
between 200 000 and 300 000 subsidy houses per
and implementation in the phased approach to the
year and needs to build about 500 000 per year in
development of interventions is shown in fig 1
technologies, techniques and design features areready
Figure 1: The relationship between research
technologies), and are already standard practice in
implementation intensity
the building industry (e.g., use of ceilings, ceiling
development of interventions (Van Niekerk and
insulation, and correct orientation). Building semi-
detached or duplex houses has a great advantageconcerning thermal comfort and does not have toincrease
development. Correct orientation will also notincrease the cost and will lead to improved thermalcomfort. All new houses should be the target of thefirst option: build houses first time right with energyconscious
overhang. The second option is applicable toexisting houses: retrofit insulation, mainly ceilingsand ceiling insulation. All households that use dirtyfuels for heating, i.e., those in areas with highnumbers of coal and wood users, would benefitfrom
Intervention options will be summarised in the order
of readiness for mass implementation in the section
environment (reduction of 40% in fuel use and thus
in indoor exposure and ambient pollution), economyand labour market. Retrofit of insulation as well as
6. Recommendations for action
passive solar heat absorbers are needed in allsubsidy houses in cold areas. Despite higher
In the next paragraphs, a number of intervention
options to reduce air pollution in dense, low-income
technology to new structures, the cost-benefit ratio
communities are discussed very shortly, beginning
with the interventions which are viable and ready formass implementation, followed by those that are
less ready for implementation but show potential
Solar cookers have been evaluated (average fuel
and could be made ready with some more R&D.
saving of 38%), improved and validated but still
Improved top-down ignition is one of those
have not been implemented on a large scale.
implemented on a large scale (Swanepoel and
Wentzel, 2004b; Le Roux, 2005). It has been
An increase in free basic electricity and safety
demonstrated to more than 100 000 households
standards for paraffin appliances are two potential
and studies show that retention is very high and
interventions that are still in need of validation.
users who have mastered the technique rarelybackswitch to bottom-up ignition (Coetzee and
6.4. New generation energy efficient housing
financial means. The quality of life of low-income
A new generation energy efficient houses, biomass
households will only be enhanced if residents are
gasification stoves, gel fuels, and the domestic use
engaged in the process of designing technology
of biogas are interventions that show potential to
that is functionally integrated within the social
communities but have to go through the process ofevaluation first. What is needed, is understandingon how they will function within the communities for
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