Cluster Analysis of Urban Water Supply and Demand:
Toward Large-Scale Comparative Sustainability Planning
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Citation
Noiva, Karen et al., "Cluster analysis of urban water supply and
demand: Toward large-scale comparative sustainability planning."
Sustainable Cities and Society 27 (November 2016): 484-96 doi.
10.1016/j.scs.2016.06.003 ©2016 Authors
As Published
https://dx.doi.org/10.1016/J.SCS.2016.06.003
Publisher
Elsevier BV
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Final published version
Citable link
https://hdl.handle.net/1721.1/128741
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Creative Commons Attribution-NonCommercial-NoDerivs License
ContentslistsavailableatScienceDirect
Sustainable
Cities
and
Society
j o u r n a l ho me p a g e :w w w . e l s e v i e r . c o m / l o c a t e / s c s
Cluster
analysis
of
urban
water
supply
and
demand:
Toward
large-scale
comparative
sustainability
planning
Karen
Noiva
∗,
John
E.
Fernández,
James
L.
Wescoat
Jr.
DepartmentofArchitecture,MassachusettsInstituteofTechnology,77MassachusettsAve,Cambridge,MA02139,USA
a
r
t
i
c
l
e
i
n
f
o
Articlehistory:
Received29January2016
Receivedinrevisedform2June2016 Accepted4June2016
Availableonline7June2016 Keywords:
Clusteranalysis Comparativemethods Sustainableurbanwatersystems Waterbudget
Wateruse
a
b
s
t
r
a
c
t
Thesustainabilityofurbanwatersystemsisoftencomparedinsmallnumbersofcasesselectedasmuch fortheirfamiliarityasfortheirsimilaritiesanddifferences.Fewstudiesexaminelargeurbandatasets toconductcomparisonsthatidentifyunexpectedsimilaritiesanddifferencesamongurbanwater sys-temsandproblems.Thisresearchanalyzedadatasetof142citiesthatincludesannualpercapitawater use(m3/yr/cap)andpopulation.Itaddeda0.5◦gridannualwaterbudgetvalue(P-PET/yr)asanindex ofhydroclimaticwatersupply.Withtheseindicesofurbanwatersupplyanddemand,weconducted ahierarchicalclusteranalysistoidentifyrelativesimilaritiesamong,anddistancesbetween,the142 cases.Whilesomeexpectedgroupingsofclimaticallysimilarcitieswereidentified,unexpectedclusters werealsoidentified,e.g.,citiesthatusewateratgreaterratesthanlocalclimaticwaterbudgets pro-vide.Thosecitiesmustseekwaterfromgreaterdistancesandgreaterdepths.Theyfacegreaterwater andwastewatertreatmentcosts.Tobecomemoresustainabletheymustincreasewateruseefficiency, demandmanagement,reuse,andrecycling.Thesignificanceofthepopulationvariablesuggeststhat addingotherexplanatorysocio-economicvariables,aswellasmoreprecisewatersystemindices,are logicalnextstepsforcomparativeanalysisofurbanwatersustainability.
©2016TheAuthors.PublishedbyElsevierLtd.ThisisanopenaccessarticleundertheCCBY-NC-ND license(http://creativecommons.org/licenses/by-nc-nd/4.0/).
1. Introductionandconceptualframework
Comparativeurban water researchis importantfor drawing generalizationsaboutsustainabilityandforadaptinglessonsfrom one set of cities for consideration in others. The current sta-tusof comparativeurbanwaterresearchis limited(Mollinga& Gondhalekar,2014;Wescoat,2014).Many studiesexamine sin-glecasestudies(e.g.,Gandy,2014).Someselectcasesthatreflect theauthors’expertise(Novotny,Ahern,&Brown,2010;Wörlen etal.,2016).Othersgroupcasestudiesunderpredefinedheadings, e.g.,arid,tropical,low-income,megacities,etc.(Fletcher&Deletic, 2008).Moststriveforgeneralizablemodelsandmethodsbut with-outanalyzingalargenumberofcases(Mollinga&Gondhalekar, 2014).Asaresult,comparisonsandtheconclusionsthatcanbe drawnfromthemtendtobelimitedandqualitative(Mollinga& Gondhalekar,2014;Wescoat,2009;Wescoat,2014).Thisstudylays afoundationforcomparativeresearchonurbanwater sustainabil-ityusingclusteranalysismethods.
Thesustainabilityframeworkemployedhereinvolvestwo sim-plemassbalancevariablesforurbanwatersystems.Thefirstisan
∗ Correspondingauthor.
E-mailaddresses:knoiva@mit.edu,knoiva@gmail.com(K.Noiva).
annualclimaticwaterbudgetforeachurbanarea,whichsubtracts potentialevaporationfromprecipitation(elaboratedinthe meth-odssectionbelow)(Willmott,Rowe,&Mintz,1985).Waterbalance analysisestimatesclimaticwater supply(P) anddemand(PET). Somecitieshaveanannualwaterbalancesurplusthatcanbestored ormanagedasrunoff,whileothershaveclimaticwaterdeficitsthat mustbemanagedthroughrainwaterharvesting, wateruse effi-ciency,recycling,reuseand,barringthosemethods,longdistance waterimports(Plappally&Lienhard,2012;Plappally&Lienhard, 2013).Thesecondmetricisgrossannualwaterusepercapitain eachcity.Thesetwovariablesprovideannualestimatesofclimatic watersupplyandgrosspercapitawaterdemand.Whileonewould expectsomecorrelationbetweensupplyanddemand,citieshave historicallysupplementedlocalwatersupplieswithlongdistance watertransfers,aquiferdepletion,andinsomecasesdesalination (McDonald,Weber, Padowski,Flörke,&Schneider,2014).These variablesareweaklycorrelatedandaretreatedhereasindependent variablestoclassifythesustainabilityofurbanwaterpatterns.
The water balance approach may be compared with other sustainabilityheuristicssuchaswater footprint analysis,which examinesdifferenttypesandamountsofwateruseina system (HoekstraandChapagain,2007;Hoff,Döll,Fader,Gerten,&Hauser, 2014).Herewe adaptthefootprintideainanurbanWaterUse and ClimateIndex (WUCIin m2/cap)(See Section 2).Thistype
http://dx.doi.org/10.1016/j.scs.2016.06.003
2210-6707/©2016TheAuthors.PublishedbyElsevierLtd.ThisisanopenaccessarticleundertheCCBY-NC-NDlicense(http://creativecommons.org/licenses/by-nc-nd/4. 0/).
of accountingis taken furtherin studies of virtualwater trade and sustainable supply chain analysis (e.g., Daniels, Lenzen, & Kenway,2011;Ercin,Aldaya,&Hoekstra,2011;Hoffetal.,2014; Konar,Dalin,Hanasaki,Rinaldo,&Rodriguez-Iturbe,2012;Suweis, Konar,Dalin,Hanasaki,&Rinaldo,2011).Explanatorysustainability heuristicssuchastheIPATequation(I=P*A*T)relate environmen-talimpacts(e.g.resourceuse)(I)topopulationsize(P),affluence (A),andtechnology(T)(Rosa,York,&Dietz,2004).TheIPAT equa-tiontakesmultipleforms.OnepopularversionisI=P*F,whereFis impactpercapita(Chertow,2001).WhileIPATispresentedasan equation,itismoreofaheuristicofdrivingandameliorating fac-tors(Chertow,2001).Greateremphasisonexplanatoryanalysisof watersupplyanddemandpatternsisneededineachapproach,but afirststeptowardthataimisidentifyingandcharacterizingurban waterpatterns,whichcanthenenablesystematicsubsamplingand comparison.
Applicationofstatisticaldata-miningtechniquessuchascluster analysistourbansocio-economicclassificationiswell-established (Astel,Tsakovski,Barbieri,&Simeonov,2007;Bettencourt,2013; Kim,1997; Batty,Axhausen,Giannotti,Pozdnoukhov,&Bazzani, 2012; MacCannell,1957; Kennedy, 2011). Applicationto water issueswithincitiesisamorerecentdevelopment(Yuetal.,2013; Diao,Farmani, Fu,Astaraie-Imani,&Ward,2014), as is classifi-cation of urban water systems within a particular country(Yu &Chen,2010;Rahill-Marier &Lall,2013;Rao&Srinivas,2008a, Chapter 3; Rao &Srinivas, 2008b,Chapter 3).In reviewing the waterresourcesliterature,Mollingaand Gondhalekarsuggested anapproachforassessing‘small-N’and‘medium-N’casestudies (Mollinga&Gondhalekar,2014).Forexample,clusteringhasbeen appliedtotheproblemofforecasting short-termwaterdemand withinasinglecityormunicipalwatersystem,whichfallsunderthe categoryofasmall-Nanalysis(Garg,2007;Candelieri&Archetti, 2014;Wu,Lv,Dong,Wang,&Xu,2012).Otherclusteringstudies fallintothemedium-Ncategoryofcomparativeanalysis,including onethatincludesak-meansclusteringofcitiesbasedonwater foot-print,energyconsumption,andmunicipalwastewithintheUnited Kingdom(Khamis,2012).AstudybyMayeretal.usedcluster anal-ysistoclassifywatershedsintheGreatLakesbasinaccordingto socialandenvironmentalattributes(Mayer,Winkler,&Fry,2014). Andalarge-NstudybytheColumbiaUniversityWaterCenterused hierarchicalclusteringtoanalyzeutilityratesintheUnitedStates withregardstofinancialsustainability(Rahill-Marier&Lall,2013). Thispaperusesclusteringalgorithmstoanalyzewatersupply anddemandfor142citiesaroundtheworldtodevelopan interna-tionalclassificationofurbanwatersustainabilitysituations.Ituses theMITUrbanMetabolismdatabase(Fig.1),whichwascreated todevelopanurbansustainabilitytypologybasedonfour predic-torvariables(population,populationdensity,affluence[GDPper capita],andclimate[Köppenclassification]); andeightresponse variables(percapitaconsumptionofconstructionminerals, indus-trialminerals,biomass,water,totalenergy,totalmaterials,fossil fuels, and electricity) (Saldivar-Sali, 2010; Ferrão & Fernández, 2013,Chapter 4).Our analysisuses the same set of cities and expandsthelarge-Nanalysisofurbanwaterissuesaselaboratedin thenextsection.
2. Dataandmethods
TheUrbanMetabolismdatasetincludes142citiesdistributed acrossmajorcontinentsandclimates.Wefocusedparsimoniously ontwovariablesintheUrbMetdatabase,addedawaterbudget variable,andthenusedthemtoconstructaWaterUseandClimate Index(WUCI).Thesevariableswere:
1.Percapita water consumption (CONS), toassess thescale of urbanwateruse.
2.Population(POP),toassessthepotentialsignificanceofcitysize. 3.Netannualclimaticwaterbudget(DIFF),toassesshydroclimatic
watersupplies.
4.WaterUseandClimateIndex(WUCI),toprovideameasureof urbanwaterusepercapitaindexedtoannualprecipitation.
Themain watervariableintheUrbMetdatasetis percapita wateruseincubicmetersperyear(m3/cap/year)(Table1).This valuewasdrawninmostcasesfromtheWorldBank-supported International Benchmarking Network (IBNET)supplemented by city-specificdatawhennotavailableinIBNET(Saldivar-Sali,2010; IBNET,2015).ThedefinitionofpercapitawateruseinIBNETis grossannualwaterproduction bya utilitydividedbythe num-berofpeopleintheservicearea.Percapitawateruserangedfrom 14m3/cap/year(Yangon)to355m3/cap/year (Cairo).Wedidnot disaggregatepercapitauseintoresidentialandcommercial sub-sectors,thoughthatwouldbeavaluableextensionofthisresearch. Climaticwaterbalanceanalysiswasemployedtoestimategross annual water supplies, usingthe University of Delaware’s 0.5◦ gridWebWIMP1tool(Willmottetal.,1985).TheannualDifference
(DIFF)betweenPrecipitationandPotentialEvapotranspiration,in meters peryear (m/yr),for each of the 142cities wasscraped fromthedatabase.The 0.5◦ resolution wascoarse,butdeemed appropriateforindexingthewaterbalanceofmajorurbanareas, whichgenerallyoccupyanddrawuponlargercatchmentareas out-side theiradministrativeboundaries. Citiesinthedatabasehad DIFFvaluesrangingfrom−1.446m/yr(AbuDhabi)to+3.833m/yr (Anchorage).
City population data (POP) from the UrbMet database was includedtoassessthepotentialdifferencethatcitysizemakesfor classifyingpatternsofurbanwatersupplyanddemand.Population sizerangesfrom270,000(BandarSeriBegawan)to14.34million (Shanghai).Thesepopulationestimatesfromtheearly2000sare conservativelybasedoncityboundariesvis-à-vislarger metropoli-tanregions.
The aforementioned WebWIMP tool also provided average annualprecipitationdata(PREC)inmetersperyearforeachcity. PREC2wasusedtocalculateWaterUseandClimateIndex(WUCI),
whichhadunitsofm2/capita: WUCI =CONS/PREC
WUCIwasnotincludedasametricintheclusteranalysis,butwas usedinvisualizingtheresults.
Severalmethodswereusedtovisualizeindividualurbanwater variables andrelationshipsamongthem.Priortoclustering,we exploredthedatausingqq-normalplots,histograms,and scatter-plots.Wefirstplotteddataforeachmetriconabarchartwherethe citiesaresortedaccordingtotheirvalueforthatmetric(Fig.2a–c). Fig.2aandbhaveasimilardistributionofpositivevalues,witha longertailofsmallercitiesinFig.2aandamoreevenprogression ofwaterconsumptionvaluesinFig.2b.Incontrast,Fig.2cincludes negativeaswellasescalatingpositivevaluesfornetannualwater balance(Fig.3).
Priortoclustering,thesevariables weretransformedusinga base-10logarithmictransformation(log10),whichreduced skew-nessandimprovedthesymmetryoftheirdistribution(Fig.4aand
1WebWIMPisshortforthe“Web-based,Water-Budget,Interactive,Modeling
Program”andisavailablethroughtheUniversityofDelawareat:http://climate. geog.udel.edu/∼wimp/.
2PRECwasusedinsteadofDIFFincalculatingWUCI,sinceDIFFhadvaluesclose
tozeroandthereforecouldnotbeusedinthedenominator.However,PRECwas highlycorrelatedtoDIFF.
Fig.1.Worldmapofthe142citiesintheUrbMetdatabase.
Table1
DescriptivestatisticsforCONS,DIFF,POP,andWUCIfortheUrbMetdatabase.
Metric Unit QuartileBreak
0% 25% 50% 75% 100% Mean St.Dev.
CONS m3/cap/year 14.0 57.3 86.5 148.5 355.0 110.8 75.2
DIFF m./year −1.446 −0.241 0.089 0.447 3.833 0.124 0.752
POP millions 0.0273 0.647 1.649 3.764 14.350 2.883 3.182
WUCI m2/cap 5.717 49.04 117.9 189.1 14200.0 303.7 1223.0
b).Aconstant,a,wasaddedtoDIFFpriortothetransformsuchthat a=1−DIFFmin(whereDIFFminwastheminimumvalueofDIFF).
Whileitmightbeexpectedtofindcorrelationbetweenthesize ofthe populationorwater consumption and local water avail-ability(i.e.,DIFF),thecorrelationwasfoundtobelow.Asseenin Table2,thervalueforlog10(CONS)vs.log10(DIFF+a)wasfound tobe0.02withasignificancelevelofp=0.8373,whilethervalue for log10(POP) vs. log10(DIFF+a) wasfound tobe 0.01 with a p=0.9261.Inotherwords,thelog10transformsofCONSandDIFF werefoundtobeindependent,aswerethelog10transformsof DIFFandPOP.Asmallnegativecorrelationofr=−0.12wasfound betweenlog10(CONS) vs. log10(POP),but the significance level wasonly0.1684.Inotherwords,thesethreevariablesseemtobe independentofeachother,justifyinganexploratorydata-mining approachtothedata.
2.1. Clusteranalysismethods
Clusteranalysisis usedin exploratorydataminingtogroup objects in a dataset in such a way that those within a group aremoresimilartoeach otherthantoobjectsin othergroups. Commonclusteringapproachesincludehierarchicalclustering, k-meansclustering, and model-based clustering. For purposes of
exploringthesedata,hierarchicalclusteringwaschosen.Weused t-DistributedStochastic Neighbor Embeddingto reduce dimen-sionalityinthedataforvisualizationandclustering(vanderMaaten &Hinton,2008).Afterthelog10transformationeachmetricwas scaledtounity.Adistancematrixwasthencalculatedusingthedist functionfromthestatslibraryinRandtheEuclideandistance for-mulainwhich||a−b||2=SQRT(SUM(ai−bi)2).ThebasicEuclidean distanceformulawasusedastherewerenotheoreticalreasonsto preferamorecomplexformula,andotherformulasdidnotproduce substantiallydifferentormoreinterestingresults.These visualiza-tionmethodsarebrieflydescribedbelowanddisplayedasFigs.6–8 intheresultssection.
2.1.1. t-DistributedStochasticNeighborEmbeddingin scatterplots
The t-SNE method for reducing dimensionality enhances visualization in scatterplots by iterativelyassigning each high-dimensionalobject to a point in a two-dimensional space.The pointsareassignedsuchthatneighborsaremoresimilartoeach otherthantodistantobjects.Inatwo-dimensionalvariablespace, thehumaneyecantosomeextentdistinguishclusteredgroups of observations fromone another. As dimensionalityincreases, thetaskbecomessubstantiallymoredifficultandlessintuitive.In
Fig.2. Population(millions),percapitawaterconsumption(cu.m./cap/year),andannualdifference(calculatedasthedifference(DIFF)betweenprecipitationandpotential evapotranspirationinm/year).
reducingdimensionality,thet-SNEapproachenablesobservations tobevisualizedinawaythatismoreintuitivetothehumaneye.
Thedistancematrixproducedbydistwasusedasthe dissimilar-itymatrixgivenastheargumenttot-SNE(t-DistributedStochastic NeighborEmbedding).t-SNEproducedtwo vectorscontainingthe
coordinatesembeddingeach citywithinthet-SNEspace.These vectorswerethen scaledtounityandaseconddistancematrix wasconstructedfromthesedata.Thisseconddistancematrixwas thenpassedasanargumenttothehierarchicalclusteringalgorithm hclust,whichtakesanagglomerativeapproachtohierarchical
clus-Fig.3. Wateruseandclimateindexinm2/capita(WUCI=CONS/PREC).
Table2
Pearson’scorrelationcoefficientandsignificanceofbase-10logarithmic transfor-mationsofaverageannualpercapitawaterconsumption(CONS),averageannual difference(DIFF),andpopulation(POP).
Metric log10(CONS) log10(DIFF+a) log10(POP) log10(CONS) 1.00 0.02,p=0.8373 −0.12,p=0.1684
log10(DIFF+a) 1.00 0.01,p=0.9261
log10(POP) 1.00
tering. Each observation starts in its own cluster, and pairs of clustersarejoinedateachiterativestep.Ateachiterativestep,the
hclustgroupsarecomparedbasedonalinkagecriterion.Several commonlinkagecriteriaexist.WeusedWard’sminimumvariance method,whichminimizesthesquaredEuclideandistance.This cri-terionledtoadecreaseinvariancefortheclusterbeingmerged:at eachstep,thepairofclustersmergedisbasedontheoptimalvalue oftheerrorsumofsquares(dij=d({Xi},{Xj})=||Xi−Xj||2).
2.1.2. Dendrograms
Theresultsofhierarchicalclusteringwerealsovisualizedusinga tree-likestructureknownasadendrogram,whichrepresents rela-tionshipsofsimilarityamongsttheobservations.Thedendrogram ofclusterresultsshowsthestep-wisepairingofexisting subclus-ters.Eachbranchiscalleda“clade”andeachterminalnodeisa “leaf”.Thehorizontaldistanceofeachbranchindicatesameasure ofthedistancebetweenclades.Thedendrogramis“cut”toadesired heightornumberofclusterstodeterminethemembershipofeach leaf(i.e.,city).
2.1.3. Violinplots/boxplots
Theclusterresultswerealsoplottedasviolinplotswithboxplots superimposedoverthem.Theviolinplotisessentiallyaboxplot witharotatedkerneldensityplottedinsteadofabox.The box-plot(orbox-and-whiskerplot)depictsthemedianvalueofeach clusterasabandwithinthebox.Thetopandbottomofeachbox (the“hinges”)representthefirstandthirdquartiles.Boxplotsmay include“whiskers”—verticallinesextendingfromthetopsand bot-tomsoftheboxes.Thelengthofthewhiskersisdeterminedbythe inter-quartilerange(IQR),whereIQR=Q3−Q1:i.e.,thedifference betweenthethirdandfirstquartiles.Thewhiskersextendfrom eachhingetothevaluethatiswithin1.5*IQRofthehinge.Any valuebeyondthewhiskersisanoutlierandisplottedasapoint.
3. Clusteranalysisresults
Theclusteranalysisyieldedinterestingresultsatseverallevels ofdivisionandgrouping.Weexaminedtheresultsfromtwotoeight clusters,andfoundthatsixclustersyieldedthemostvariedyetstill legibledifferenceswitheachofthefourvisualizationmethods.The typologygeneratedbythesixclustersispresentedanddiscussed here.TheworldmapinFig.5displayshowthesetypesappear spa-tially.Ithassomeclearpatterns,suchasEastAsian,SouthAsian, CentralAfricancities,andothermixed/gradientpatternsinEurope andNorthAmerica.However,ithastoomuchcomplexityto char-acterizefromvisualinspectionalone.
ThedendrograminFig.6depictsthepositionsofthe142cities acrossthefullrangeofclusters(i.e.,from1to142);citiesare col-oredbytheselectedsixcluster-typology.ThescatterplotinFig.7 depictsthecitiesinthetwo-dimensionalspaceproducedusing t-SNE,whichconveysmoreclearlytherelativesimilaritybetween citiesandclusters.
However,thesixclustersare mostreadilyinterpretedusing theviolinboxplotsshowninFig.8.Thesegraphicvisualizations madeitpossibletodiscernthesixurbanclustersinqualitativeand quantitativeterms.Table3usedthesefigurestodefinethegeneral
Fig.4. Histogramsforaverageannualpercapitawaterconsumption(CONS)(Fig.4a);andaverageannualdifference(DIFF)+a(aconstant)transformedbyabase-10logarithm (Fig.4b).
Fig.6. Dendrogramofclusterresults,withcitiescoloredbyclustermembership.
characteristicsofeachclusterandlistseveralrepresentativecities. Wenowrecasttheseresultsasaworkingtypologyofurbanwater sustainabilitysituations.Thedescriptionofeach “type”usesthe
terms“low”,“medium”,and“high”inquantitativeaswellas quali-tativeterms,astheyarebasedonthequartilebreaksandthresholds betweenclusters.
Fig.7. Scatterplotofcities,plottedinthetwo-dimensionalspaceproducedbyt-SNE.
3.1. Type1:largecitieswithverylowpercapitawater consumption
These cities representa range of climateand supply condi-tions, buttheirnetwater balancesare predominantlynegative. ThemedianvalueofPOPforType1citiesliesinthe3rdquartile. Type1citiesfallpredominantlybelowthemedianvalueforCONS, withamedianvalueof45.0m3/cap/year,whichiswithinthefirst quartile.3ThemedianvalueforDIFFforType1alsolieswithinthe
1stquartile,andtheboxforType1onDIFFlieswithinthe1stand 2ndquartiles.Inotherwords,Type1citiestendtohavenegative valuesforDIFF.Tosummarize,Type1citiestendtohavelarge
pop-3TheWHOrecommendsaround100L/cap/dayperperson(36.5m3/cap/year).
ulations,lownatural wateravailability,andverylow percapita waterconsumption,whichraisesconcernsabouttheir sustainabil-ityinhydroclimaticandsocio-economicterms.Type1citiesare mostdissimilarfromcitiesofType3and6,whicharesmallerand wetter.TheyshowsomeoverlapwithType2andType4cities.
3.2. Type2:medium-sizedcitieswithmedium-lowwater consumptionandanetwaterbalanceofaroundzero
Type2citieshavevaluesforPOPthatfallpredominantlyinthe 2ndquartile,withamedianvalueof1.188million;Type2cities tendtobemedium-lowtomedium-sized.Thesecitieshave the second-lowestmedianvalueforCONS,afterthoseofType1.Type 2citiesalsohavelowtomoderatewaterbalancesthat(DIFF).In summary,Type2citiestendtobemid-sizecitieswithanetwater
Fig.8. Violin-andbox-plotsforPOP,CONS,DIFF,andWUCI.
Table3
DescriptiveattributesofeachurbanwatersystemType.Thedesignations‘high’,‘medium’,and‘low’aremadewithreferencetothestatisticalquartiles(shownontheviolin plotsindashedlines)andtothethresholdsbetweentypes.
Type DIFF CONS POP WUCI RepresentativeCities
1 Rangefromlowtohighbut predominantlyverylowto low(negative).
Verylow Rangefrom
medium-lowtovery large
Rangefromlowto medium,but predominantlylow
Casablanca,Jakarta, Kinshasa,Lagos,Mumbai
2 Medium-low/Medium Medium-low Medium-sized Rangefromlowto
medium,but predominantlylow
Barcelona,Hamburg, Prague,Ulaanbaatar, Vienna
3 Rangefrommediumto high(positive)
Medium Generallysmaller Rangefromlowto
medium,but predominantlylow
Bern,Boston,Copenhagen, Geneva,Hanover 4 Rangefromlowtohigh;
predominantlymedium andpositive
Rangefrommedium-hightohigh Rangefrom medium-hightohigh; predominantlyhigh
Rangefromlowto medium,but predominantly medium
London,Montreal,New York,Singapore,Sydney
5 Verylow Veryhigh Rangefromverysmall
toverylarge
Rangefromlowto medium,but predominantly medium
Cairo,Doha,Dubai,Kuwait City,Phoenix
6 Medium;generallypositive Veryhigh Lowtomedium-low High Amsterdam,Denver,Kuala Lumpur,Milan,Stockholm
balanceclosetozero(i.e.,moderatewaterresources)and medium-lowwateruse,whicharecharacteristicsthatmaybesustainable. 3.3. Type3:smallcitieswithmediumlevelsofwater
consumptionandpositivenetwaterbalances
Thesecitiestendtobesmallrelativetotheothercitiesinthe dataset;theirmedianvalueisthelowestofanyofthesixcitytypes at494,700.NearlyallType3citiesfallwithinthe1stquartilefor POP.TheyhaveamedianvalueforCONSof84m3/cap/day.Type3
citieshavethehighestmedianvalueforDIFFofanyoftheother types,at0.417m/year,andmostType3citieshavevaluesforDIFF inthe3rdand4thquartiles.Inotherwords,Type3citiestendtobe small,withrelativelyhighnaturallyavailablewaterresourcesand mediumlevelsofwaterconsumption.Thesecitieshavethelowest WaterUseandConservationIndex(WUCI),andmightthereforebe deemedthemostsustainableintermsofuse(thoughnotinterms ofriskwhichisnotconsideredinthisanalysis).Type3citiesshow similaritieswithType2andType6;andtheyaremostdissimilar fromTypes1,4,and5.
3.4. Type4:verylargecitieswithhighpercapitawater consumptionandapositivenetwaterbalance
Type4citieshavelargepopulationswithamedianvalueof4.45 million.Type4citiesalsohavehighpercapitawateruse(CONS, withamedianvalueof154.5m3/cap/year,whichfallsinthe4th
quartile).AlmostallType4citiesareinthe3rdand4thquartiles forCONSandDIFF.Theyareverylargecitieswithlargenatural watersuppliesandhighdemand,andtheythushavethepotential tobesustainable.
3.5. Type5:citiesofvariedsizewithveryhighpercapitawater consumptionlocatedinhighlyaridenvironments
Thesecitieshavethesecond-highestmedianvalueforCONS,at 209.0m3/cap/year;almostallofthesecitieshaveCONSthatfalls
withinthe4thquartile.However,Type5hasthelowestDIFFofany ofthetypes,withamedianvalueof−1.36m/yearandamaximum valueof−0.916m/year.ThePOPofType5citiesrangesfromthe smallesttothelargest:from32,400to6.759million.Tosummarize, Type5citieshaveawiderangeofpopulationsize,andtheyare characterizedbyhighwateruseandverylowwaterbudgets.This patternraisesseriousconcernsabouttheirsustainability.
3.6. Type6:medium-sizedcitieswithveryhighpercapitawater consumptionandlowpositivewaterbalance
Thesecitiestendtobemedium-sizedcities,withhighpercapita waterconsumptionandlow,positivewaterbalances.Theyareone ofthemostrapidlygrowingformsofurbanizationindeveloping countries,andthispatternraisesconcernsabouttheir sustainabil-ity.Type6citiesaremostsimilartoType1,Type2,andType3cities. TheyaremostdissimilarfromType1andType5cities,especially intermsofDIFF.
4. Discussion
4.1. Discussionoftypes
4.1.1. Thelargecities:verylowvs.highCONS(Types1&4)
Thelargestcities,withfewexceptions,appear inType1and Type4.ThemaindistinctionbetweenType1andType4isthatType 1citieshaveverylowCONSwhileType4citieshavehighCONS.As wouldbeexpected,Type1citieshaveaWUCIthatismuchlower thanthatofType4cities.However,Type1citiestendtohavealow
DIFF,andthismeansthattheWUCIofType1citiesismoresimilar tothatofType2andType3citiesthanitwouldbeotherwise.
Thehighpercapitawater consumption exhibitedbyType4 citiessuggeststhatthesecitiescurrentlyhavesufficientwater sup-plyandurbanwaterinfrastructure.Type4citiesalsotendtobe locatedinareaswithhighernaturalwateravailabilitythanseveral othercitytypes,suchasType1.However,becausethe popula-tionofType4citiestendstobesolargeandconsumptionisso high,thesecitieslikelyfacemanychallengesinsecuringsufficient watersupplynowandinthefuture.Thisisindeedwhatwefind. Evencitieswithabundantnaturalresources,suchasSingaporeand NewYork,haverecentlymadesubstantialinvestmentsin promot-ingwaterconservationandininnovativewaterinfrastructure(e.g., desalinationandreclamation).
BothType1andType4citiesarelikelytohavechallengesin obtainingsufficientwaterresourcesfortheirlargeurban popula-tions.However,differencesexistbetweenthesetwotypes.Many Type1 cities arelocated indeveloping countries and undergo-ingrapidurbanization.Theirwaterresourceschallengesmaybe heightenedbylownaturalwateravailability,rapidurbanization, andlowaccesstofinancialresources.Thelowwaterconsumption inthesecitiesmayalsobeassociatedwithrelativelylowlevelsof infrastructure.EventhoughType1citiescurrentlyconsumeless waterthanType4cities,itwouldnotnecessarilybeappropriateto saytheyare“moresustainable”thanType4cities.IfType4cities areabletomanageresourceswithintheirwatershedareas prop-erly,theymaybeassustainablerelativetotheirwatersupplyas Type1cities.AsType1citiescontinuetogrowanddevelop,sotoo willthesizeoftheircatchmentareas;Type1citiesmayeventually becomeType4cities.
Type1citieshavetheopportunitytoimplementnewtypesof technologiesand pioneeringwater managementpractices, such asmoredecentralized,neighborhoodlevelwater treatmentand reuse,ratherthantryingtocopythedevelopmentofwatersupplies inType4cities.ThiswouldbeanexcellentopportunityforType1 citiestocollaboratewithType4citiesforknowledgeexchange. 4.1.2. Thesmall,wetcities(Type3)
Type3citiesarecharacterizedbylowpopulationsthathave low-tomedium-levelsofpercapitawaterconsumptionand medium-tohigh-naturalwatersupply.Thesecitiesarelikelytohavethe fewestissueswithsustainablewatersupplyofanyofthetypes. WatersupplystressesmaybelessacuteforType3cities.However, inspiteofrelativelylowCONSandabundantwaterresources,many ofthecitiesinType3stillfacechallengeswithsustainableurban watermanagement.Thesemayincludechangesinwaterquality duetourbanization,aginginfrastructure,andflooding.
4.1.3. Themedium-sizedcities:mediumvs.highCONS(Types2& 6)
Withafewexceptions,medium-sizedcities(thoseinthe2nd and3rdquartilesofPOP)tendtofallintoTypes2and6.Type6 citieshavehighernaturallyavailablewaterresources.Another dis-tinctionbetweenthetwotypesisthatType6citieshaveveryhigh CONS,whichraisesconcernsabouttheirsustainability,whilethose ofType2havemedium-lowCONS.
4.1.4. Thearidcities:lowDIFF(Type5)
Type5citieswerelocatedinhighlyaridenvironments:these cities had negative values of DIFF, which means that there is muchlessrainfallthanpotentialevapotranspiration.Yet surpris-inglythesecitieswerealsodistinguishedbytheirhighlevelsof waterconsumption(CONS).Thesecitiesarethereforelikelytorely extensivelyonwatertransfersorwaterimportsforwatersupply, eitherasriversorcanals(e.g.,CairoandPhoenix),conversionof saltwatertofreshwater(e.g.,DubaiandAbuDhabi),andminingof
fossilaquifers.Transportingwateroverlargedistances, desalina-tion,andreclamationareallassociatedwithrelativelylargecosts and issues of financialsustainability and management capacity (Plappally&Lienhard,2012;Plappally&Lienhard,2013).Thewater resourcesforcitiesinType5areparticularlyvulnerableto eco-nomicshocks,energyshortages,andpoliticalchanges(sincethey maybeobtainingwaterfromoutsidetheirjurisdiction).Cost recov-eryandconservationmayhelpType5citiesincreasetheresilience oftheirurbanwatersystemstoclimatechangeandexternal pres-suresonwatersupplies.
4.2. Discussionofthresholds
ThethresholdsforDIFFsuggestthatcitiesinregionswith nat-urallyabundantwaterresourcesmaybefundamentallydifferent fromthoseinmorearidcontexts.Types3,4,and6predominantly havevaluesforDIFFgreaterthanzero,whichsuggeststhat,allother thingsbeingequal,thesecitiesmayhaverelativelymoreeaseat obtainingwaterresourcesthantheothertypes.
ThethresholdsforPOPraiseintriguingquestions.Arethere sig-nificantdifferencesinprovidingurbanwaterresourcesforcities largerthan1million?Types1and4tendtobethelargestcitiesin thedatabase,butthesetwotypesdifferinCONSandDIFF.Cities ofType1haveverylowCONSandlowDIFF,whilethoseofType4 havehighCONSandapositiveDIFF.Thissuggeststhatcitysizeis notdeterministicallyrelatedtoclimateorconsumption.
4.3. Discussionofoutliersandoverlaps
Itisimportanttorememberthatthesetypesarebasedonthe statisticalclusteringofcontinuousvariables.Citieswithinatypeare mostlikelytobemoresimilartoeachotherthantoothercities,and distinctfromothertypesinsomestatisticallysignificantway.The differenttypesofcitiesidentifiedintheclusteringwererelatively distinctononeortwovariablesbutmayhaveotherwiseoverlapped withanothertypeonanother.Becauseofthis,citieswith differ-entmembershipmayhavesimilarmetricsandthereforefacesome commonsustainabilitychallenges.Forinstance,CairoandParisare membersofType5andType2,respectively,andduetotheir rela-tivesizesarelikelytosharesimilarchallengeswithcitiesofType1 andType4,respectively.
TheseoverlapsanddistinctionscanbeunderstoodfromFig.7, thescatterplotofthet-SNEresults,inwhichthecitiesthatfallclose tooneanotheraremostsimilar,whilethosethatarefurtherapart aremostdissimilar.Twocitiesthatlieinatransitionzonebetween adjacenttypesmaybehavedifferenttypologicalmembershipbut bestatisticallysimilartoeach other. Withinthe variablespace showninFig.7,itisalsopossibletovisuallyidentifysub-groupings. AsubgroupingofDenver,Tbilisi,Vladivostock,Victoria,Stockholm, Dublin,Ottowa,andKathmanducanalsobeidentifiedinthe den-drogram.Withinthissubgroupingtherearenon-intuitivepairings intheterminalleafnodes,suchasKathmanduwithDublinand VladivostockwithDenver,whichmayidentifyunexpected simi-larities.
4.4. Discussionofintuitiveandunexpectedresults
Someof these results are surprising while others are more expected.Forinstance,itisnotmuchofasurprisethatcitiesinvery aridclimatesweregroupedtogether.However,priorto applica-tionoftheclusteringalgorithmthiswasnotaforegoneconclusion, andtheresultsdistinguishedsignificantdifferencesinwater con-sumptionofaridcities.Thishighlightstheabilityoftheapproach toyieldmeaningfulresults.Itisperhapsalsonotmuchofa sur-prisethatthelargestcitiesweregroupedtogether,astheywerein Type1andinType4.Atthesametime,somemayfindit
surpris-ingtoseeLondon,LosAngeles,Singapore,Sydney,andNewYork togetherinaclusterinlightoftheirclimaticdifferences.However, examinationofcontemporarywaterissuesinthesecitiessupports thisgrouping.Allofthesecitieshavereachedasizewherewater isimportedfromlongdistancesanddesalinationhasbeenatleast consideredifnotimplemented;allofthesecitieshaveissueswith waterqualityandstormwaterrunoff.Watersustainabilityplans forthesecitiesmaythusbeexpectedtohavesomesimilarities. It mightalsohave beenexpectedthat large, rapidlyurbanizing citiesindevelopingcountrieswouldbegroupedtogether,asthey wereinType1.Forinstance,itmighthavebeenpossibletoidentify SãoPauloandMumbaiashavingsimilarchallengesinmeetingthe demandsoftheirburgeoningpopulations,butwearenotawareof previousresearchthathascomparedtheseurbanwatersystems.It isnotablethatthismeaningfulpairing,andothers,wereidentified througharelativelysimplecombinationofmetrics,withrelatively widelyavailabledata,usingaveryscalablemethod.
Theresultsalsoidentifiedmoresurprisinginternational group-ings.ConsiderthesubgroupingofHanover,Durban,Copenhagen, Vilnius,andSanSalvadorinType3.Whileitisperhapsless sur-prisingthat Copenhagen,Hanover,and Vilniusare similar,it is surprisingtoincludeDurbanandevenmoresoSanSalvadorwith those three.Yetupon examiningthescatterplots ofthese mid-rangevaluesonmostvariables,itmakessensewhythesecities were clustered. The identification of such sub-groups demon-stratestheutilityofapplyingquantitativedata-miningalgorithms touncoversignificantandintriguingpatternsofcitiesaroundthe world.
5. Conclusionsandfuturework
Ourresultsprovideaninitialanswertothequestion—how sim-ilarandhowdifferentarecitiesintermsoftheirwaterresource supplyand usagepatterns?One ofthemainaimsof thisstudy wastousesimplemetricsforwatersupplyanddemandto iden-tifygroupsofsimilaranddifferentcities.Usingstatisticalclustering identifiedsixmeaningfulclustersofurbanwatersustainability con-ditions.Werecasttheseclustersasatypology,andindicatedhow ourresultscanbeusedforstratifiedsamplingofsmallernumbers ofcasesformorefine-grainedcontextualandcomparative inter-nationalwaterresearch.
Ourworkalsoprovidesacontextforassessingwater manage-mentchallengesand policyalternativesina meaningfulway.It identifiedbothexpectedandsurprisingpairingsandgroupingsof citiesthatcanbeexploredthroughfurthercomparativeanalysis insmall-Normedium-Nstudies.Forinstance,thetypology identi-fiedunanticipatedsimilarities,mostnotablyamongcasesofcities thatconsumedfarmorethantheirlocalsupply,evenwhenthose suppliesvariedfromaridtohumid.
Our results primarily demonstrate the utility of statistical clusteringof a small number of metricsto supportmeaningful internationalcomparisonofcities.Therelevanceofthistypology toagenda-settingandpolicy-makingforsustainabilitydependson theassertionthatcitiesaremorelikelytosharesimilar sustain-abilitychallengeswithothercitiesthathavesimilarsupplyand demandmetrics.Whilewebelievethatcitieswithinatype,or adja-centtoeachotherinFig.7,aremorelikelytosharesimilarissuesin urbanwaterresourcemanagement,therelativeproximityor dis-similarityoftwocitiesalonecannotdeterminewhetherthemost pressingwaterresourceandmanagementchallengesthesecities faceare,infact,similar.Furtherworkthatlinkssmall-N,medium-N, andlarge-Nscalesofcomparativeanalysismustbedonetouncover morenuancedpredictiverelationshipsbetweenwatersupplyand demandmetricsandsustainabilityissues.
Thethresholdsinourresultsprovideabasisforposingquestions withtestablehypotheses.ThethresholdsforPOP,CONS,andDIFF areintriguing,butwhethertheyareinfactmeaningfulrequires furtherstudy.Forinstance,thelevelsforthesethresholdsor typo-logicalmembershipofparticularcitiesmaychangeifthedatabase ofcitiesisexpandedoriftheclusteringisrepeatedonthesameset ofcitiesatadifferentpointintime.Hopefully,astimeprogresses wemightseetheemergenceofnewtypes,suchasthatoflarge, affluentcitieswithlowwateruse.
Anextstep in thisanalysis wouldbetoexamine the sensi-tivityoftheclusteringtotheunderlyingdataset.Thereareother opportunitiesfornextstepsintheanalysis.High-priority exten-sionsofthisanalysisareexpandingthesetofcitiesandintegrating additionalmetrics,suchasawater qualityvariable,partitioning waterconsumptionintomunicipalandindustrialcomponents,and addingmetricsassociated withmore socio-economicaspectsof watermanagement,includingGDPorhouseholdincome. Includ-ingdataonthefinancial,energy,material,andlanduseintensity ofurbanwatersupplycouldprovideinsightintotheurban water-land-energynexus.Thedatasetcouldalsobeaugmentedbythe inclusionofperformanceindicatorssuchasleakageratesandcost recoveryratesincludedindatabases suchasIBNET. Thiswould allowforamorerefinedapproachtoidentifyingtypesofwater sys-temsandtargetareastoenhancethesustainabilityofurbanwater management.
Anotherattractivestepwouldbetoincludespatialand tem-poralvariationsintheunderlyingdata.Forinstance,theclimate metric couldbedisaggregated toamonthly waterbudget.This wouldallowfordistinctionstobemadeamongcitieswithlarge intra-annualvariationintheirwaterbudgets,sincethisvariation canhaveimportantimplicationsforwaterstorage,management, andreuse.Expandingthedatasettoincludemultipleyearsofdata forcitiesmightallowforidentificationoftypesbasedonvariability andtrends—forinstance,citiesthathaveincreasingordecreasing percapitawateruse(CONS).
Insummary,weappliedstatisticaldata-miningtechniquesto develop aninitialurbanwater typology basedoncity size,per capitawater consumption, and netannual water balance.This typologyisanimportantfirststepincharacterizingurbanwater supply and demand patterns around theworld and will facili-tatetransferofknowledgeandmeaningfulcasestudyresearchto furtherourunderstandingofsustainableurbanwaterresources management. We demonstrated that statistical clustering is a useful method for developing a quantitative basis for small-N and large-N comparative urban water management case study research.Thetypology presentedhereis asignificant contribu-tiontothiseffort,butitisonlyastart.Itwillbenefitfromfuture casestudyresearch,standardizationofdata,expansionofmetrics toconsidertemporalandspatialvariation,disaggregationofwater consumptionandnetannualwaterbalancedata,andtheinclusion ofmorecities.
Acknowledgements
Thisresearchwasmadepossiblewithgenerousfundingfrom the Rambøll Foundation and Liveable Cities Lab for a research projectonEnhancing Blue-GreenInfrastructureand Social Per-formanceinHighDensityUrbanEnvironments(2014–2016).We thankRicharddeNeufville,anonymousreviewers,andtheeditors forhelpfulfeedback.
AppendixA. Supplementarydata
Supplementarydataassociatedwiththisarticlecanbefound,in theonlineversion,athttp://dx.doi.org/10.1016/j.scs.2016.06.003.
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