Journal of Environmental

Science and Engineering A

Volume 12, Number 5, Sep.-Oct. 2023 (Serial Number 105)

David Publishing

David Publishing Company

www.davidpublisher.com
Publication Information:
Journal of Environmental Science and Engineering A (formerly parts of Journal of Environmental Science and Engineering
ISSN 1934-8932, USA) is published monthly in hard copy (ISSN 2162-5298) and online (ISSN 2162-5301) by David
Publishing Company located at 616 Corporate Way, Suite 2-4876, Valley Cottage, NY 10989, USA.

Aims and Scope:

Journal of Environmental Science and Engineering A, a monthly professional academic journal, covers all sorts of researches
on environmental management and assessment, environmental monitoring, atmospheric environment, aquatic environment
and municipal solid waste, etc..

Editorial Board Members:

Dr. Geanina Bireescu (Romania), Dr. Balasubramanian Sellamuthu (Canada), Assistant Prof. Mark Eric Benbow (USA), Dr.
Khaled Habib (USA), Dr. Satinder Kaur Brar (Canada), Dr. Sergey Kirpotin (Russia), Dr. Ali Noorzad (Iran), Dr. Bo Richter
Larsen (Italy), Dr. Mohamed Abu-Zeid El-Nahrawy (Egypt), Prof. Anton Alexandru Ciucu (Romania), Associate Prof.
Hideki Kuramitz (Japan), Prof. N. Rama Swamy (India), Dr. Bisheng Wu (Australia).

Manuscripts and correspondence are invited for publication. You can submit your papers via Web Submission, or E-mail to
environmental@davidpublishing.org, environmental@davidpublishing.com or info@davidpublishing.com. Submission
guidelines and Web Submission system are available at http://www.davidpublisher.com.

Editorial Office:
616 Corporate Way, Suite 2-4876, Valley Cottage, NY 10989, USA
Tel: 1-323-984-7526, 323-410-1082
Fax: 1-323-984-7374, 323-908-0457
E-mail: environmental@davidpublishing.org; environmental@davidpublishing.com; info@davidpublishing.com

Copyright©2023 by David Publishing Company and individual contributors. All rights reserved. David Publishing Company
holds the exclusive copyright of all the contents of this journal. In accordance with the international convention, no part of
this journal may be reproduced or transmitted by any media or publishing organs (including various websites) without the
written permission of the copyright holder. Otherwise, any conduct would be considered as the violation of the copyright. The
contents of this journal are available for any citation. However, all the citations should be clearly indicated with the title of
this journal, serial number and the name of the author.

Abstracted/Indexed in:
Googel Scholar
CAS (Chemical Abstracts Service)
Database of EBSCO, Massachusetts, USA
Chinese Database of CEPS, Airiti Inc. & OCLC
Cambridge Science Abstracts (CSA)
Ulrich’s Periodicals Directory
Chinese Scientific Journals Database, VIP Corporation, Chongqing, China
Summon Serials Solutions
ProQuest

Subscription Information:
Price (per year):
Print $600, Online $480
Print and Online $800

David Publishing Company

616 Corporate Way, Suite 2-4876, Valley Cottage, NY 10989, USA
Tel: 1-323-984-7526, 323-410-1082; Fax: 1-323-984-7374, 323-908-0457
E-mail: order@davidpublishing.com
Digital Cooperative Company: www.bookan.com.cn

D DAVID PUBLISHING

David Publishing Company

www.davidpublisher.com
 Journal of Environmental
Science and Engineering A
Volume 12, Number 5, Sep.-Oct. 2023 (Serial Number 105)

Contents
Pollution

163 Trace Metal Levels of Groundwater, Surface Water and Sediments in Kinsevere Industrial Zone
and Its Surroundings, Southeastern Democratic Republic of Congo
Bamba Bukengu Muhaya and Benjamin Busomoke Badarhi

Environmental Management

176 The Management of Environment Cost Caused by Ballast Water

Nikolaos Karfakis, Odysseas Kopsidas and Michael Moros

184 Product vs. Organization Approach for the Quantification of Carbon Footprint of Events: The
Hero Dolomites Case Study
Daniele Pernigotti, Margherita Calzavara and Marta Mancin

193 A Bibliometric Analysis of the “NetZero” Process in the Energy Knowledge Domain
Carine Tondo Alves, Luciano Sergio Hocevar, Luis Oscar Martins and Rodrigo Santiago Coelho
Journal of Environmental Science and Engineering A 12 (2023) 163-175
doi:10.17265/2162-5298/2023.05.001
D DAVID PUBLISHING

Trace Metal Levels of Groundwater, Surface Water

and Sediments in Kinsevere Industrial Zone and Its
Surroundings, Southeastern Democratic Republic of
Congo

Bamba Bukengu Muhaya1 and Benjamin Busomoke Badarhi2

1. Department of Chemistry, Faculty of Science, University of Lubumbashi, Lubumbashi 1825, Democratic Republic of Congo
2. Department of Zootechnics, Faculty of Veterinary Medicine, University of Lubumbashi, Lubumbashi 1825, Democratic Republic of
Congo

Abstract: Arsenic, barium, bismuth, cadmium, cesium, chromium, cobalt, copper, iron, lead, manganese, molybdenum, nickel, strontium,
thallium, tungsten, uranium, vanadium, and zinc concentrations were investigated in forty-two groundwater samples, twenty-four surface
water and six surface sediment samples in Kinsevere industrial zone and its surroundings in February and march 2017, January, February
and March 2018 to evaluate the potential human health risk. Chemical analyses were carried out by using ICP-SF-MS (Inductively Coupled
Plasma-Sector Field Mass Spectrometry, Thermo Scientific Element II). The trace metals were detected at various concentrations in
all the analyzed samples. Pb, Mn and Fe concentrations exceeded the European Union acceptable maximum limits for water intended
for human consumption in 4.76%, 28.57% and 61.90% of the groundwater samples, respectively and in 0%, 50% and 100% of the surface
water samples, respectively. As, Cr, Cu and Ni concentrations exceeded the recommended lower sediment quality guideline values in
33.33%, 50%, 83.33% and 83.33% of the surface sediment samples, respectively. All those elevated trace metal concentrations in the
groundwater, surface water and sediments represent a risk for the health of local population as well as for aquatic organisms.

Key words: Trace metals, groundwater, surface water, sediments, DR Congo.

1. Introduction areas where industrial and artisanal mining and ore

processing activities have been carried out since early
Trace metal contamination of surface water and
groundwater is of concern worldwide, mainly due to 1910, many reports have indicated high trace metal
industrialization. Safe drinking water is scarce, especially contamination of surface water [1, 2], surface
in most developing countries such as the DRC sediments [3, 4] and groundwater [5-7].
(Democratic Republic of Congo) where many people Sediment-associated trace metals may persist in
living in urban and rural areas are not covered by water aquatic environment and represent a risk for benthic
supply facilities. Those people have therefore to resort organisms and for those living in the water column,
to groundwater and/or surface water to meet their water especially invertebrates and fish, but also for humans
needs for drinking, cooking, bathing, washing, and for through human food chain [3, 4, 8-11]. Indeed,
watering their animals and plants. resuspension events from natural and anthropogenic
In many parts of the Upper-Katanga province origin can disturb the biogeochemistry of sediments
(Southeastern DRC), such as the Lubumbashi and Kipushi and potentially result in trace metal remobilization

Corresponding author: Bamba Bukengu Muhaya, Ph.D.,

professor, research fields: assessment of environmental and
health impacts of abandoned mines.
164 Trace Metal Levels of Groundwater, Surface Water and Sediments in Kinsevere Industrial Zone and
Its Surroundings, Southeastern Democratic Republic of Congo

from sediment particles to the water column [3, 4, 12]. The Kinsevere mining and ore processing plants are
Numerous other researchers have reported on various operated by MMG (Minerals Mining Group) company.
deleterious effects of trace metals on the health of
2.2 Sampling Campaign
people who live near mining and ore processing areas
in the province [13-19]. Forty-two groundwater samples were collected from
The objective of this study was to investigate trace six public drilled wells and one private spade-sunk
metal levels of groundwater, surface water and (hand-dug) well, twenty-two surface water samples and
sediments in Kinsevere mining and hydrometallurgical six sediment samples were collected from two rivers
plant zone and its surroundings to evaluate the potential (Kandulwe and Kiswishi rivers) and MMG
human health risk. No similar study had been carried hydrometallurgical plant effluent in the Kinsevere
out in the area in the past. mining and ore processing zone and its surroundings.
Sampling campaigns were conducted once a month in
2. Material and Methods
February and March, 2017 and January, February and
2.1 Study Area March 2018. At each sampling campaign, two water
The study area (Fig. 1) is located in Kinsevere samples were collected from each one of the sampling
mining and ore processing zone and its surroundings in sites. The depth of the private hand-dug well was 3 m
Kipushi territory, one of the six rural administrative and that of the public drilled wells ranged from 20 to
territories (Kambove, Kasenga, Kipushi, Mitwaba, 70 m. The six surface sediment samples were collected
Pweto and Sakania) of the Upper-Katanga province. at 20-cm depth in February and March 2017.

Fig. 1 Location of the sampling sites in Kinsevere mining and ore processing zone and its surroundings, Kipushi territory,
Upper-Katanga province.
 Trace Metal Levels of Groundwater, Surface Water and Sediments in Kinsevere Industrial Zone and Its 165
Surroundings, Southeastern Democratic Republic of Congo

2.3 Analytical Methods Foundation for Statistical Computing. It is part of the

list of GNU packages. GNU is a free software
2.3.1 Sample Pretreatment
distributed under the terms of the GNU General Public
The collected water samples were filtered on 0.45 µm
License and available under GNU/Linux, FreeBSD,
disposable syringe filters (Chromafil, cellulose mixed
NetBSD, OpenBSD, MacOS X and Microsoft
ester) and acidified with concentrated hydrochloric
Windows. For this study, we used the version 4.3.0
acid after determining the pH of the samples.
released in April 2023.
2.3.2 Trace Metal Analysis
Trace element analysis was carried out by ICP-SF- 3. Results and Discussion
MS (Inductively Coupled Plasma-Sector Field Mass
The results of chemical analyses of the water samples
Spectrometry) (Thermo Scientific Element II). The
from seven groundwater wells (one private and six
instrument was equipped with an ESI (Elemental
public wells), two rivers and one hydrometallurgical
Scientific Incorporation) Fast autosampler, PFA-ST
plant effluent and surface sediment samples from those
(Perfluoroalkoxy Series Type) MicroFlow nebulizer, rivers and hydrometallurgical plant effluent in Kinsevere
Peltier cooled glass cyclonic spray chamber, quartz are presented in Tables 1 and 2. A total of nineteen trace
injector and torch and Ni cones. Regarding the metals were detected at various concentrations in each
resolutions used, low resolution was used for strontium, one of the analyzed samples. The trace metals included
molybdenum, cadmium, caesium, lead, bismuth and arsenic (As), barium (Ba), bismuth (Bi), cadmium (Cd),
uranium; medium resolution was used for vanadium, cesium (Cs), chromium (Cr), cobalt (Co), copper (Cu),
chromium, nickel, copper, zinc, manganese, iron, iron (Fe), lead (Pb), manganese (Mn), molybdenum
cobalt; high resolution was used for arsenic. Rhodium (Mo), nickel (Ni), strontium (Sr), thallium (Tl),
(1 ppb) was used as internal standard in all resolutions. tungsten (W), uranium (U), vanadium (V), and zinc (Zn)
Standard solutions were prepared from multi- (Tables 1 and 2, and Figs. 2-4).
element standard solutions and single element standard The levels of some of these trace metals were
solutions. Blanks, standards and QC (Quality Control) elevated and higher than the EU (European Union) [20],
samples were reanalysed throughout the procedures. US EPA (United States Environmental Protection
The reference materials SW1 (SPS) and LGC6139 Agency) [21] and/or World Health Organization [22]
were used as QC samples for water and sediments, acceptable maximum contaminant levels for drinking
respectively. water. That was the case of Pb with a mean concentration
of 5.181 µg/L in the Kiswishi village public drilled well
2.4 Statistical Analysis
(3EPF-KISW). Fe concentrations were higher than the
The data were statistically processed by R statistical EU [20] indicator parameter for water intended for
software before being filed by Excel and Excelstat. human consumption (200 µg/L) or the US EPA [21]
With the R software, we calculated the means and drinking water health advisory indicator (300 µg/L) in
standard deviations of trace metal concentrations in the all the sampled wells, except the public drilled well in
groundwater, surface water and sediments in Kinsevere the 36th electricity pylon village (1EPF-36PT) and in
industrial zone and its surroundings. The correlations the private hand-dug well of the 4-Coins village
that would exist between metals in the media have been (7EPA-4COI). Mean Fe concentrations were more than
verified. 7 fold higher than the EU [20] indicator parameter of
R statistical software is an open source of statistics 200 µg/L in the public drilled well of the 45th
and a data science software supported by the R electricity pylon village 2EPF-45PT (14,926.71 µg/L),
Table 1 Mean concentrations and standard deviations of trace metals in groundwater wells and rivers (µg/L) in Kinsevere and its surroundings in 2017 and 2018, and
acceptable maximum contaminant levels set for drinking water by the EU [20], the US EPA [21] (2018) and the WHO [22].
As
Sr Mo Cd Cs Ba W Tl Pb Bi U V Cr Mn Fe Co Ni Cu Zn
MCLs (µg/L
(µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L)
)
EU (2020) Na Na 5 Na Na Na Na 5 Na 30 Na 50 50* 200* Na 20 2,000 Na 10
US EPA (2018) 4,000** 40** 5 Na 2,000 Na 2 15 Na 30 Na 100 300* 300** Na 100** 1,300 2,000 10
WHO (2017) Na Na 3 Na Na Na Na 10 Na 30 Na 50 Na Na Na 70 2,000 Na 10
Sample Sr Mo Cd Cs Ba W Tl Pb Bi U V Cr Mn Fe Co Ni Cu Zn As
Sampling site
code (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L) (µg/L)
1EPF-36PT 1EPF 146.444 0.099 0.340 0.090 61.987 0.229 0.017 1.207 0.004 0.949 0.870 0.388 20.424 136.659 16.392 1.748 22.706 40.107 1.710
SD 10.991 0.075 0.325 0.062 27.807 0.227 0.017 0.761 0.001 0.863 0.360 0.317 20.129 1.411 12.857 0.630 3.676 44.574 0.953
2EPF-45PT 2EPF 121.883 0.570 0.129 0.054 96.372 0.247 0.018 1.562 0.006 1.084 0.802 0.451 52.388 360.728 2.018 2.759 26.435 27.564 2.503
SD 56.152 0.986 0.179 0.001 55.388 0.223 0.012 0.047 0.004 0.118 0.778 0.260 46.929 28.345 0.524 0.164 8.619 1.940 1.505
3EPF-KISW 3EPF 78.978 0.132 0.131 0.060 23.636 0.164 0.003 5.181 0.003 0.518 0.462 0.413 45.352 1,596.589 12.451 5.493 27.393 65.763 0.888
SD 5.887 0.301 0.267 0.020 16.587 0.378 0.001 0.276 0.001 0.055 0.327 0.327 49.382 1,131.932 0.676 4.611 11.602 31.036 0.119
4EPF-KAND 4EPF 122.625 0.250 0.630 0.073 22.698 0.186 0.004 1.302 0.004 0.880 0.696 0.566 8.398 245.068 1.431 1.367 8.227 195.447 1.983
SD 33.506 0.066 1.658 0.029 2.618 0.181 0.002 0.528 0.000 0.019 0.089 0.163 8.483 106.595 2.201 0.924 3.310 211.317 1.394
7EPA-4COI 7EPA 106.595 0.789 0.035 0.041 44.048 0.299 0.004 3.471 0.005 0.235 0.337 0.816 23.180 135.183 2.032 4.384 35.626 39.165 0.966
SD 34.315 0.136 0.018 0.023 34.145 0.093 0.001 1.401 0.004 0.206 0.079 0.302 1.323 34.609 0.919 0.001 29.699 2.498 0.939
8EPF-KILO 8EPF 70.517 0.232 0.045 0.070 56.535 0.690 0.006 2.795 0.004 0.672 0.455 0.737 64.723 146.258 9.360 4.888 63.628 58.689 2.707
SD 67.734 0.011 0.001 0.018 37.120 0.043 0.003 1.478 0.004 0.018 0.083 0.264 0.633 122.904 5.228 4.257 39.347 23.604 1.132
10EPF-PUND 10EPF 25.441 0.056 0.054 0.071 30.262 0.042 0.004 2.440 0.002 0.105 0.479 0.835 35.315 955.396 1.381 3.904 20.737 34.852 1.418
SD 1.528 0.064 0.012 0.002 0.078 0.011 0.001 0.905 0.001 0.019 0.144 0.330 1.554 922.624 0.078 0.366 2.077 18.419 0.365
5ERV-KAND 5ERV 111.419 0.173 0.049 0.032 41.484 0.110 0.005 2.030 0.003 0.405 0.741 0.409 54.306 615.981 1.614 2.237 14.902 19.156 1.310
SD 1.493 0.031 0.000 0.023 2.392 0.214 0.001 0.207 0.002 0.061 0.197 0.462 14.258 3.333 0.574 0.883 8.266 7.084 0.578
6ERV-KISW 6ERV 102.615 0.063 0.036 0.028 68.730 0.063 0.004 1.286 0.003 0.351 0.958 0.308 53.984 675.713 1.744 0.640 8.984 46.788 1.045
SD 8.106 0.040 0.001 0.018 14.154 0.109 0.002 0.658 0.005 0.003 1.104 0.537 17.647 500.560 0.841 0.692 4.933 21.166 0.023
9EFL-PUND 9EFL 142.662 0.652 0.082 0.090 87.154 0.633 0.047 2.376 0.003 3.282 0.718 1.296 36.158 2,312.887 44.423 2.681 46.211 15.851 1.916
SD 1.698 0.054 0.057 0.009 52.078 0.386 0.024 0.717 0.002 0.555 0.655 1.189 16.387 1132.144 42.559 1.872 4.502 5.196 0.316
* European Union Drinking Water Indicator Parameters; ** United States Environmental Protection Agency Drinking Water Health Advisories.
Table 2 Mean concentrations and standard deviations of trace metals in surface sediments (mg/kg dw) in Kinsevere industrial zone and its surroundings in February and
March 2017, and the recommended sediment quality guideline values [24].
Recommended Sr Mo Cd Cs Ba W Tl Pb Bi U V Cr Mn Fe Co Ni Cu Zn As
SQGV (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg)
SQGV Na Na 1.5 Na Na Na Na 50 Na Na Na 80 Na Na Na 21 65 200 20
SQGV-high Na Na 10 Na Na Na Na 220 Na Na Na 370 Na Na Na 52 270 410 70
Splng Sple Sr Mo Cd Cs Ba W Tl Pb Bi U V Cr Mn Fe Co Ni Cu Zn As
site code (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg)
5ERV-
5ERV 9.18 0.88 0.17 4.47 105.79 1.48 12.53 12.53 0.23 1.21 101.82 54.24 288.00 31,300.5 55.89 29.04 73.27 34.00 15.01
KAND
SD 0.54 0.03 0.01 0.28 8.12 0.35 0.59 0.59 0.01 0.12 8.85 5.76 16.97 2,335.57 7.05 1.46 13.08 2.83 1.42
6ERV-
6ERV 7.55 1.50 0.22 2.00 139.84 1.14 14.16 14.16 0.32 1.54 128.41 93.69 840.00 52,242.5 95.54 37.02 238.89 49.00 63.65
KISW
SD 0.51 0.04 0.01 0.08 1.10 0.12 0.40 0.40 0.01 0.04 5.30 3.82 12.73 4,169.81 56.21 2.07 59.86 1.41 5.74
9EFL-
9EFL 6.42 0.89 0.15 4.25 113.39 0.57 6.54 6.54 0.27 1.79 111.26 59.32 139.00 27,616.0 98.41 22.22 363.59 14.50 12.41
PUND
SD 1.59 0.37 0.13 0.12 7.86 0.16 1.73 1.73 0.01 0.78 61.42 36.00 16.97 15,451.7 68.73 3.46 317.52 2.12 7.13
Reference Sr Mo Cd Cs Ba W Tl Pb Bi U V Cr Mn Fe Co Ni Cu Zn As
material (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg) (mg/kg)
LGC6139 127.86 0.93 2.51 6.59 1,355.76 11.87 0.72 166.64 1.12 1.12 63.1 91.63 1,134.0 27,308.0 14.8 42.57 85.32 530.0 29.69
Certified
concentration Na Na 2 Na Na Na Na 160 Na Na Na 80 Na Na Na 38 92 513 27
LGC6139
dw: dry weight; Feb: February; KAND: Kandulwe river; KIN: Kinsevere zone; KISW: Kiswishi river; Mar: March; Na: no available data; PUND: MMG hydrometallurgical plant
effluent flowing near Pundu village; SED: sediment; Sple: sample; Splng: Sampling; SQGV: lower sediment quality guideline value; SQGV-high: upper sediment quality guideline
value.
168 Trace Metal Levels of Groundwater, Surface Water and Sediments in Kinsevere Industrial Zone and
Its Surroundings, Southeastern Democratic Republic of Congo

almost 7 fold higher in the public drilled well of the metals are still dangerous due to their respective
Kiswishi village 3EPF-KISW (1,346.59 µg/L), more toxicity [17, 26-29].
than 3 fold higher in the public drilled well of the The trace metal concentrations noted in groundwater
Kandulwe village 4EPF-KAND (624.351 µg/L), more wells in this study were much lower compared with
than 11 fold higher in the public drilled well of the those reported for groundwater wells in Lubumbashi,
Kilongwe village 8EPF-KILO (2,331.64 µg/L), 5 fold Kampemba and Kamalondo communes (municipalities)
higher in the public drilled well of the Pundu village of Lubumbashi city [6] and in Katuba and Kenya
10EPF-PUND (1,000.4 µg/L), more than 3 fold higher municipalities of Lubumbashi city [7]. Also, Cr, Cu, Fe,
in the Kandulwe river 5ERV-KAND (615.98 µg/L), 3 Pb, and Zn concentrations reported for groundwater in
fold higher in the Kiswishi river 6ERV-KISW (600.93 Haramaya Woreda, Oromia Regional State, Ethiopia
µg/L), and more than 15 fold higher in MMG [30] were higher than those found in the present study,
hydrometallurgical plant effluent 9EFL-PUND except the Fe concentration of 530 µg/L that was much
(3,113.43 µg/L). lower than the mean concentrations of that element
Also mean Mn concentrations in the public wells noted in groundwater wells in this study.
2EPF-45PT (52.388 µg/L) and 8EPF-KILO (64.723 The mean trace metal levels of surface water samples
µg/L), in the Kandulwe river 5ERV-KAND (54.306 from Kandulwe and Kiswishi rivers and from MMG
µg/L) and Kiswishi river 6ERV-KISW (53.984 µg/L) hydrometallurgical plant effluent were also lower than
were higher than the EU [20] indicator parameter of 50 those reported for water of Lubumbashi river basin,
µg/L for water intended for human consumption. The Kafubu, Kimilolo and Kinkalabwamba rivers in
high concentrations of Mn in the groundwater and Lubumashi city [1] and for water of Naviundu river
surface water represent a high risk for the health of basin, Luano and Ruashi rivers and Luwowoshi spring
people who consume that water. Batschauer et al. [23] in Lubumbashi city [2]. The mean levels of Cd, Cr, Cu,
reported that there is an increasing concern about daily Fe, Mn, Pb and Zn noted in the current study were also
exposure to low doses of Mn beyond nutrient less elevated than those of 0.03 to 0.04 mg/L, 0.03 to
requirements and the possible toxicity of this metal, 0.05 mg/L, 0.11 to 0.17 mg/L, 2.5 to 7.6 mg/L, 0.86 to
especially to children, in which it may induce cognitive 4.3 mg/L, 0.03 to 0.06 mg/L and 0.11 to 0.16 mg/L,
and behavioral disorders. They concluded that respectively reported for surface water of Megech river
developmental exposure to environmental relevant (Ethiopia) by Engdaw et al. [31] and they were within
doses of Mn can affect cognition, particularly related to the international guidelines for drinking water.
short-term and long-term memory, and anxiety. Seven of the nineteen trace metals only, including Co,
The concentrations of the other sixteen trace Cr(III), Cu, Fe, Mn, Mo and Zn noted in this study are
elements (As, Ba, Bi, Cd, Cs, Cr, Co, Cu, Mo, Ni, Sr, essential for human body and they play an important
Tl, U, V, W, and Zn) were lower than the permissible biological role at low concentrations in the body [27,
maximum levels set for drinking water by the EU [20], 32]. However, in the case of deficiency or high
US EPA [21] and WHO [22]. As and U concentrations concentrations of these substances in the body, adverse
found in groundwater wells in the current study were health effects may occur and induce some dysfunction
also much lower than those reported for some wells in of the body [27, 32, 33]. The other twelve trace metals
the State of Connecticut (United States of America) by found in water in this study have no known biological
Communications and Publishing [25]. Despite the low importance for human body and most of them are toxic
concentrations of As and U noted in groundwater in to humans, even at low concentrations [27]. Tl, Cd, As,
Kinsevere industrial zone and its surroundings, those Pb, U, Cr(VI) and Ni are those which respectively have
 Trace Metal Levels of Groundwater, Surface Water and Sediments in Kinsevere Industrial Zone and Its 169
Surroundings, Southeastern Democratic Republic of Congo

the most deleterious impacts on human body, even at by the red color. The more bright-red is the color, the
very low concentrations [17, 27-29, 35-39]. Although greater the correlation between the metals from 60% to
no international drinking water standards have been set 100%. The less vivid it is from 1% to 50% and the
so far for the other trace metals such as Bi, Cs, Sr, V, threshold is above or moderately above the EU [20]
and W found in groundwater, surface water and standards for drinking water: Cd and Cu, Cd and Ni, Cd
superficial sediments in this study (except Sr for which and U, Cd and W, and Cd and Zn. Then there is a weak
the US EPA drinking water standard is 4,000 µg/L), all correlation and the threshold is below 50% of the
these trace metals have been reported to be toxic to acceptable MCLs (Maximum Concentration Limits) set
humans [17, 29, 37, 39-46]. Mean W concentrations in by EU [20] for the trace metals in drinking water. The
surface waters and sediments noted in the current study color is white when the correlation is zero (0%
were respectively higher than those reported by correlation).
Steenstra et al. [46] for surface waters and sediments In Fig. 3, some of the trace metals grouped/gathered
(0.217 µg/L and 0.669 mg/kg) in watersheds with W- in dimension 1 (Dim 1), such as Cd, U and Ni, are very
bearing underlying rock types and those (0.068 µg/L toxic and they have very high concentrations. They are
and 0.352 mg/kg) in watersheds without such shown in very dark blue/navy blue color. Other Dim 1
underlying geology in Washington States (USA). trace metals such as W, Cu, and Zn are potentially toxic,
Trace metals always evolve together. Thus, the they also have high concentrations and they are shown
presence of one indicates the presence of another or in midnight blue color. Other potentially toxic metals
more others. Thanks to statistical analysis, trace metals of Dim 1 have relatively low concentrations and they
which evolve together were predominantly found in the are indicated in yellow color (Pb, Tl, V, and Co) and
studied groundwater (Fig. 2). The correlation is shown yellowish color (Cs and Mn). Others, such as Mo, Bi,

Fig. 2 Correlations between metal concentrations in water at various sampling sites in Kinsevere industrial zone and its
surroundings.
170 Trace Metal Levels of Groundwater, Surface Water and Sediments in Kinsevere Industrial Zone and
Its Surroundings, Southeastern Democratic Republic of Congo

river (238.89 mg/kg dw and 37.015 mg/kg dw), and in

Dim 1

Dim 2

Dim 3

Dim 4

Dim 5
MMG hydrometallurgical plant effluent (363.59 mg/kg
Sr 88 dw and 22.215 mg/kg dw), respectively (Table 2). Fig. 4
illustrates the evolution of metal concentration variances
Mo98
in surface sediments of Kandulwe river, Kiswishi river
Cd114
and MMG hydrometallurgical plant effluent in
Cs133
Kinsevere industrial zone and its surroundings, with Cd
Ba138
having the highest variance percentage (32%) and Mo
W183 having the lowest percentage (1.9%).
Tl205 The mean trace metal levels of surface sediments
Pb208 recorded in this study were lower than those noted in
Bi209 most surface sediments of Lubumbashi river basin, Kafubu,
U238 Kimilolo and Kinkalabwamba rivers in Lubumbashi
V51 city [3] and in some surface sediments in Naviundu
Cr52 river basin, Luano and Ruashi rivers and Luwowoshi
spring in Lubumbashi city [4]. They were also far lower
Mn55
than those reported for surface sediment samples from
Fe56
Lwilu and Musonoie rivers in Kolwezi [10] but the
Co59
Cu maximum concentration (370.8 mg/kg) in surface
Ni60
sediments of Musonoie river was similar to that
Cu63
recorded in surface sediment samples from MMG
Zn66
hydrometallurgical plant effluent. Mean As and Cr
As75
concentrations in surface sediment samples from
Fig. 3 Classification of potentially toxic metal Kiswishi river exceeded the recommended SQGV of 20
concentrations in water into five dimensions of toxicity in mg/kg and 80 mg/kg, respectively. Also, mean Cu and
Kinsevere industrial zone and its surroundings.
Ni concentrations exceeded the recommended SQGV
Fe, Sr, and As, have low concentrations and are shown (65 mg/kg and 21 mg/kg, respectively) in all the
in red to reddish color. The other potentially toxic analyzed superficial sediment samples with a
elements grouped in Dim 2, Dim 3, Dim 4 and Dim 5 maximum of 363.59 mg/kg in samples from the MMG
are indicated in various colors according to their hydrometallurgical plant effluent and 37.015 mg/kg in
concentrations and toxicity levels. High concentrations samples from the Kiswishi river, respectively. The elevated
and toxicities are illustrated with navy blue and concentrations of As, Cr, Cu and Ni in the surface
midnight blue colors, relatively low concentrations and sediments of those rivers and hydrometallurgical plant
toxicity are shown in bluish color and yellowish to effluent represented a risk for aquatic organisms and for
reddish colors. human beings as resuspension events from natural and
In this study, mean trace metal concentrations in anthropogenic origin could disturb the biogeochemistry
surface sediments that exceeded the recommended of sediments and potentially result in trace metal
lower sediment quality guideline values [24] were As remobilization from sediment particles to the water
in Kiswishi river (63.65 mg/kg dw), Cr in Kiswishi column [3, 4, 12].
river (93.69 mg/kg dw), Cu and Ni in Kandulwe river Mean concentrations of Co, Cu, Fe, Mn, Pb and Zn
(73.27 mg/kg dw and 29.035 mg/kg dw), in Kiswishi in the current study were much higher than those
 Trace Metal Levels of Groundwater, Surface Water and Sediments in Kinsevere Industrial Zone and Its 171
Surroundings, Southeastern Democratic Republic of Congo

Cd114 Cu63 Zn66 W183 Pb208 Ni60 Ba138 Tl205 Fe56 Mo98
Fig. 4 Evolution of variance percentages of metal concentrations in sediments in Kinsevere industrial zone and its
surroundings.

reported by Hasimuna et al. [47] for surface sediments samples from one private hand-dug well and six public
of Solwezi and Kifubwa rivers in Northwestern drilled wells, and in surface water and sediment
province (Zambia), except for Zn concentration in samples from two rivers and one hydrometallurgical
surface sediment samples from MMG hydrometallurgical plant effluent in the Kinsevere mining and ore
plant effluent that was lower than the 39 ± 14 mg/kg processing zone and its surroundings. Trace metal
reported by those authors for surface sediment of analysis was performed by ICP-SF-MS (Inductively
Kifubwa river. Mean As, Cd, Cr, Co, and Cu Coupled Plasma-Sector Field Mass Spectrometry).
concentrations noted in surface sediments in the current Concentrations of Pb, Mn and Fe were respectively
study were also higher than those reported by elevated in many of the groundwater and surface water
Tshibanda et al. [48] for sediments of Lukaya and samples and exceeded the European Union acceptable
N’djili rivers in Kinshasa (DRC) but Pb and Zn levels maximum limits for water intended for human
of sediments in this study were much lower than those consumption. As, Cr, Cu and Ni concentrations in most
recorded at most sampling sites by those authors. of the surface sediment samples respectively exceeded
the recommended lower sediment quality guideline
4. Conclusion
values. The elevated trace metal levels of groundwater,
Concentrations of nineteen trace metals were assessed surface water and sediments represent a risk for the
and detected at various concentrations in groundwater health of local population who use the groundwater and
172 Trace Metal Levels of Groundwater, Surface Water and Sediments in Kinsevere Industrial Zone and
Its Surroundings, Southeastern Democratic Republic of Congo

surface water to meet their drinking water needs, and Journal of Environmental Science and Engineering A 6 (7):
329-36. https://doi.org/10.17265/2162-5298/2017.07.001.
for organisms dwelling in those surface water and
[3] Muhaya, B. B., Kayembe, M. W. K., Kunyonga, C. Z.,
sediments. Mulongo, S. C., and Cuma, F. M. 2017. “Assessment of
Authors suggest that further research be carried out Trace Metal Contamination of Sediments in the
to investigate seasonal variation of trace metal Lubumbashi River Basin, Kafubu, Kimilolo and
Kinkalabwamba Rivers in Lubumbashi City, Democratic
concentrations in groundwater, surface water and
Republic of Congo.” Journal of Environmental Science
sediments in the area. and Engineering A 6 (4): 167-77. https://doi.org/10.17265/
2162-5298/2017.04.001.
Acknowledgements [4] Muhaya, B. B., Kunyonga, C. Z., Mulongo, S. C.,
Mushobekwa, F. Z., and Bisimwa, A. M. 2017. “Trace
This study was carried out in the framework of the
Metal Contamination of Sediments in Naviundu River
research project entitled “Assessing and Mapping the Basin, Luano and Ruashi Rivers and Luwowoshi Spring in
Environmental and Health Impacts of Abandoned and Lubumbashi City, Democratic Republic of Congo.”
Ongoing Mining Activities in Lubumbashi and Its Journal of Environmental Science and Engineering B 6 (9):
456-64. https://doi.org/10.17265/2162-5263/2017.09.003.
Neighborhood, Democratic Republic of Congo” with [5] Muhaya, B. B., Numbi, R. M., Lubala, F. T., Mugisho, J.
UNESCO-Sida Project funds (Contract No. B., and Tshibanda, D. K. 2015. “Heavy Metal
4500309530). The authors would like to express their Contamination of Well Water in the Kipushi Mining Town
appreciation to UNESCO-Sida Project for the financial (Democratic Republic of Congo).” Journal of
Environmental Science and Engineering B 4 (8): 403-18.
support. They are also thankful to Professors Martine https://doi.org/10.17265/2162-5263/2015.08.001.
Leermakers and Willy Baeyens of the AMGC [6] Muhaya, B. B., Mulongo, S. C., Kunyonga, C. Z.,
(Analytical, Environmental and Geochemistry) Mpomanga, W. A., and Kalonda, M. E. 2021. “Assessment
Laboratory at VUB (Vrije Universiteit Brussel) in of Trace Metal Levels of Groundwater in Lubumbashi,
Kampemba and Kamalondo Communes of Lubumbashi
Belgium for their partial financial contribution to the City, Democratic Republic of Congo.” Journal of
chemical analyses of the samples. Also, Ms. Sonia Environmental Science and Engineering A 10 (1): 9-25.
Catherine Mulongo, Senior Assistant Lecturer at the https://doi.org/10.17265/2162-5298/2021.01.002.
[7] Muhaya, B. B., and Badarhi, B. B. 2022. “Trace Metal
Department of Geology and Mr. Alexis Woot
Contamination of Groundwater and Human Health Risk in
Mpomanga, Research Assistant at the Department of Katuba and Kenya Municipalities of Lubumbashi City,
Geography and Environment, Faculty of Science of the Southeastern Democratic Republic of Congo.” Journal of
University of Lubumbashi are respectively thanked for Environmental Science and Technology 16 (3): 91-110.
her participation in all sampling campaigns and her https://doi.org/10.5897/AJEST2021.3087.
[8] UNEP (United Nations Environment Program). 2011.
elaboration of the study area map.
Water Issues in the Democratic Republic of the Congo—
Challenges and Opportunities. Technical Report, UNEP,
References
Nairobi. https://wedocs.unep.org/handle/20.500.11822/
[1] Muhaya, B. B., Kayembe, M. W. K., Mulongo, S. C., 22067.
Kunyonga, C. Z., and Mushobekwa, F. Z. 2017. “Trace [9] Mohiuddin, K. M., Ogawa, Y., Zakir, H. M., Otomo, K.,
Metal Contamination of Water in the Lubumbashi River and Shikazono, N. 2011. “Heavy Metals Contamination in
Basin, Kafubu, Kimilolo and Kinkalabwamba Rivers in Water and Sediments of an Urban River in a Developing
Lubumbashi City, Democratic Republic of Congo.” Country.” International Journal of Environmental Science
Journal of Environmental Science and Engineering B 6 (6): and Technology 8 (4): 723-36. https://link.springer.com/
301-11. https://doi.org/10.17265/2162-5263/2017.06.002. article/10.1007/BF03326257.
[2] Muhaya, B. B., Mulongo, S. C., Kunyonga, C. Z., [10] Atibu, E. K., Devarajan, N., Thevenon, F., Mwanamoki, P.
Mushobekwa, F. Z., and Kayembe, M. W. K. 2017. “Trace M., Tshibanda, J. B., Mpiana, P. T., Prakar, K., Mubedi, J.
Metal Contamination of Water in Naviundu River Basin, I., Wildi, W., and Poté, J. 2013. “Concentration of Metals
Luano and Ruashi Rivers and Luwowoshi Spring in in Surface Water and Sediment of Lwilu and Musonoie
Lubumbashi City, Democratic Republic of Congo.” Rivers, Kolwezi-Katanga, Democratic Republic of Congo.”
 Trace Metal Levels of Groundwater, Surface Water and Sediments in Kinsevere Industrial Zone and Its 173
Surroundings, Southeastern Democratic Republic of Congo
Applied Geochemistry 39: 26-32. Luboya, N. O. 2021. “Les métaux lourds plus polluant
https://doi.org/10.1016/j.apgeochem.2013.09.021. dans la malnutrition chez l’enfant de moins de 5 ans à
[11] Mubedi, J. I., Devarajan, N., Le Faucheur, S., Mputu, J. K., Lubumbashi.” Revue Africaine de Médecine et de Santé
Atibu, E. K., Sivallingam, P. et al. 2013. “Effects of Publique 4 (1): 21-5. file:///C:/Users/admin/AppData/
Untreated Hospital Effluents on the Accumulation of Local/Temp/les-metaux-lourds-plus-polluant-dans-la-
Toxic Metals in Sediments of Receiving System under malnutrition-des-enfants-de-moins-de-5-ans-a-
Tropical Conditions: Case of South India and Democratic lubumbashi.pdf.
Republic of Congo.” Chemosphere 93 (6): 1070-6. [19] Ngoy, M. J., Mukalay, W. M. A., Laurence, R., Banza, L.
https://doi.org/10.1016/j.chemosphere.2013.05.080. N. C., Koba-Bora, B., Bilonda, M. E., Musa, O. P., and
[12] Muhaya, B. B., Leermakers, M., and Baeyens, W. 1997. Okitundu, L. E.-A. D. 2021. “Caractéristiques
“Total Mercury and Methylmercury in Sediments and in électroneurologiques des adultes diabétiques et non
the Polychaete Nereis Diversicolor at Groot Buitenschoor diabétiques à Lubumbashi, milieu exposé aux éléments
(Scheldt Estuary, Belgium).” Water, Air and Soil Pollution traces métalliques, République Démocratique du Congo.”
94 (1-2): 109-23. file:///C:/Users/admin/Downloads/ Revue d’Epidémiologie et de SantéPublique 69 (1): S68-
280860.pdf. 9. https://doi.org/10.1016/j.respe.2021.04.117. (in French)
[13] Mudekereza, M. A., Gray, K., Tamubango, K. H., and [20] EU (European Union). 2020. “Directive (EU) 2020/2184
Numbi, L. 2016. “Eléments traces dans le sérum des of the European Parliament and of the Council of 16
enfants malnutris et bien nourris vivants àLubumbashi et December 2020 on the Quality of Water Intended for
Kawama dans un contexte d’un environnement de Human Consumption (Recast) (Text with EEA
pollution minière.” Pan African Medical Journal 24 (1): Relevance).” Official Journal of the European Union.
11. https://doi.org/10.11604/pamj.2016.24.11.9236. (in https://eur-lex.europa.eu/eli/dir/2020/2184/oj.
French) [21] USEPA (United States Environmental Protection Agency).
[14] Mukendi, M. R. A., Banza, L. N. C., Mukeng, C. A. K., 2018. 2018 Edition of the Drinking Water Standards and
Ngwe, T. M. J., Mwembo, N.-A.-N. A., and Kalenga, M. Health Advisories Tables. Washington, DC:
K. P. 2018. “Exposition de l’homme aux éléments traces Environmental Protection Agency.
métalliques et altération du sperme: étude menée dans les https://www.epa.gov/sites/production/files/2018-
zones minières au Haut-Katanga en République Démocratique 03/documents/dwtable2018.pdf.
du Congo.” The Pan African Medical Journal 30: 35. [22] WHO (World Health Organization). 2017. Guidelines for
https://doi.org/10.11604/pamj.2018.30.35.13694. (in French) Drinking-Water Quality (4th edition incorporating the 1st
[15] Obadia, M. P., Kayembe-Kitenge, T., Haufroid, V., Banza, addendum). Geneva: World Health Organization.
L. N. C., and Nemery, B. 2018. “Preeclampsia and Blood https://www.who.int/publications/i/item/9789241549950.
Lead (and Other Metals) in Lubumbashi, DR Congo.” [23] Batschauer, A. R., Souza, T. L., Manuitt Brito, P. E., Neto,
Environmental Research 167: 468-71. https://doi.org/ F. F., Oliveira Ribeiro, C. A., and Ortolani-Machado, C. F.
10.1016/j.envres.2018.07.032. 2021. “Behavioral and Neurochemical Effects in Mice
[16] Cham, L. C., Chuy, K. D., Tamubango, H., Chenge, M. F., after One-Generation Exposure to Low Doses of
Kaniki, A., Mwembo, T. A., and Kalenga, M. K. 2020. Manganese: Focus on Offspring Development.” Chemo-
“Eléments traces métalliques chez les accouchées et les Biological Interactions 345: 109532.
nouveau-nés résidant aux environs des sites d’exploitation https://doi.org/10.1016/j.cbi.2021.109532.
minière dans la ville de Lubumbashi, République [24] Simpson, S. L., and Batley, G. E. 2016. “Appendix A:
Démocratique du Congo.” IOSR Journal of Dental and Sediment Quality Guideline Values.” In Sediment Quality
Medical Sciences 10 (8 series 10): 50-60. Assessment: A Practical Guide (2nd ed.), edited by S. L.
https://doi.org/10.9790/0853-1908105060. (in French) Simpson and G. E. Batley. Clayton South VIC, Australia:
[17] Malamba-Lez, D., Tshala-Katumbay, D., Bito, V., Rigo, J. CSIRO Publishing. https://www.researchgate.net/profile/
M., Kipenge, K. R., Ngoy, Y. E., Katchunga, P., Koba- Stuart-Simpson/publication/287218086_Sediment_
Bora, B., and Ngoy-Nkulu, D. 2021. “Concurrent Heavy Quality_Assessment_A_Practical_guide/links/5b2631440
Metal Exposures and Idiopathic Dilated Cardiomyopathy: f7e9b0e374d0714/Sediment-Quality-Assessment-A-
A Case-Control Study from the Katanga Mining Area of Practical-guide.pdf.
the Democratic Republic of Congo.” International Journal [25] Communications and Publishing. 2021. New USGS Report
of Environmental Research and Public Health 18: 4956. Shows High Levels of Arsenic and Uranium in Some Wells.
https://doi.org/10.3390/ijerph18094956. https://www.usgs.gov/news/state-news-release/new-usgs-
[18] Mudekereza, M. A., Chenge, B. G., Tamubango, K. H., report-shows-high-levels-arsenic-and-uranium-in-some-
Bakari, A. S., Kakoma, S. J. B., Wembonya, O. S., and connecticut-wells.
174 Trace Metal Levels of Groundwater, Surface Water and Sediments in Kinsevere Industrial Zone and
Its Surroundings, Southeastern Democratic Republic of Congo
[26] Smith, A. H., Marshall, G., Roh, T., Ferreccio, C., Liaw, Prozialeck, W., and Edwards, J. R. 2018. “Cadmium
J., and Steinmaus, C. 2018. “Lung, Bladder, and Kidney Exposure Disrupts Periodontal Bone in Experimental
Cancer Mortality 40 Years after Arsenic Exposure Animals: Implications for Periodontal Disease in Humans.”
Reduction.” Journal of the National Cancer Institute 110 Toxics 6 (2): 32-41. https://doi.org/10.3390/toxics6020032.
(3): 241-9. https://doi.org/10.1093/jnci/djx201. [37] Jain, R. B. 2018. “Trends over 1999-2014 in the
[27] U.S. Geological Survey. 2018. “Contaminants Found in Concentrations of Ba, Cs, Co, Mo, Pb, Sb, Tl, and W in
Groundwater.” https://water.usgs.gov/edu/groundwater- Urine of US Children Aged 6-11 Years.” Toxicological
contaminants.html. and Environmental Chemistry 100 (1): 115-33.
[28] Ramadan, J. A., and Haruna, A. I. 2019. “Health Risk https://doi.org/10.1080/02772248.2017.1402181.
Assessment from Exposure to Heavy Metals in Surface [38] Nuvolone, D., Petri, D., Aprea, M. C., Bertelloni, S.,
and Groundwater Resources with Barkin Ladi, North Voller, F., and Aragoni, I. 2021. “Thallium Contamination
Central Nigeria.” Journal of Geoscience and Environment of Drinking Water: Health Implications in a Residential
Protection 7 (2): 1-21. https://doi.org/10.4236/gep.2019. Cohort Study in Tuscany (Italy).” International Journal of
72001. Environmental Research and Public Health 18 (8): 4058.
[29] Khandare, A. L., Validandi, V., Rajendran, A., Singh, T. https://doi.org/10.3390/ijerph18084058.
G., Thingnganing, L., Kurella, S., Nagaraju, R., [39] Li, X., Fan, Y., Zhang, Y., Huang, X., Huang, Z., Yu, M.,
Dheeravath, S., Vaddi, N., Kommu, S., and Maddela, Y. Xu, Q., Han, X., Lu, C., and Wang, X. 2021. “Association
2020. “Health Risk Assessment of Heavy Metals and between Selected Urinary Heavy Metals and Asthma in
Strontium in Groundwater Used for Drinking and Cooking Adults: A Retrospective Cross-Sectional Study of the US
in 58 Villages of Prakasam District, Andhra Prakadesh, National Health and Nutrition Examination Survey.”
India.” Environmental Geochemistry and Health 42: 3675- Environmental Science and Pollution Research 28: 5833-
701. https://doi.org/10.1007/s10653-020-00596-1. 41. https://doi.org/10.1007/s11356-020-10906-w.
[30] Fito, J., Bultossa, G., and Kloos, H. 2019. “Physicochemical [40] Ngwa, H. A., Ay, M., Jin, H., Anantharan, V., and
and Heavy Metal Constituents of Groundwater Quality in Kanthasamy, A. G. 2017. “Neurotoxicity of Vanadium.”
Haramaya Woreda, Oromia Regional State, Ethiopia.” Advances in Neurobiology 18: 287-301. https://doi.org/
International Journal of Energy and Water Resources 3: 10.1007/978-3-319-60189-2-14.
23-32. https://doi.org/10.1007/s42108-019-00009-9. [41] Al-Khatib, I. A., Arafeh, G. A., Al-Qutob, M., Jodeh, S.,
[31] Engdaw, F., Hein, T., and Beneberu, G. 2022. “Heavy Hasan, A. R., Jodeh, D., and Van der Valk, M. 2019. “Health
Metal Distribution in Surface Water and Sediment of Megech Risk Associated with Some Trace and Some Heavy Metals
River: A Tributary of Lake Tana, Ethiopia.” Sustainability Content of Harvested Rainwater in Yatta Area, Palestine.”
14: 2791. https://doi.org/10.3390/su4052791. Water 11 (2): 238. https://doi.org/10.3390/w11020238.
[32] Boyers, L. 2018. “Benefits of Trace Minerals.” SFGATE [42] Roshandel, G., Nejabat, M., Hesari, Z., and Joshaghani, H.
Newsletters. https://healthyeating.sfgate.com/benefits- 2020. “Strontium and Antimony Serum Levels in Healthy
trace-minerals-4784. Individuals Living in High- and Low-Risk Areas of
[33] Leyssens, L., Vinck, B., Van Der Straeten, C., Wuyts, F., Esophageal Cancer.” Journal of Clinical Laboratory Analysis
and Maes, L. 2017. “Cobalt Toxicity in Humans—A 34 (7): e23269. https://doi.org/10.1002/jcla.23269.
Review of the Potential Sources and Systemic Health [43] Water Resources. 2021. “Many Americans May Be
Effects.” Toxicology 387: 43-56. https://doi.org/10.1016/ Drinking Groundwater with High Strontium Levels.”
j.tox.2017.05.015. https://www.usgs.gov/news/strontium-us-groundwater-
[34] Guo, C., Qian, Y., Yan, L., Li, Z., Liu, H., Li, X., Wang, used-drinking-water-source.
Z., Zhu, X., Wang, Z., Wang, J., and Wei, Y. 2021. “The [44] Bolt, A. M., and Mann, K. K. 2016. “Tungsten: An
Changes of Essential Trace Elements in Residents from E- Emerging Toxicant, Alone or in Combination.” Current
Waste Site and the Relationships between Elements and Environmental Health Reports 3: 405-15. https://link.
Hormones of the Hypothalamic-Pituitary-Thyroid (HPT) springer.com/article/10.1007/s40572-016-0106-z.
Axis.” Ecotoxicology and Environmental Safety 112513. [45] Wasel, O., and Freeman, J. L. 2018. “Comparative
https://doi.org/10.1016/j.ecoenv.2021.112513. Assessment of Tungsten Toxicity in the Absence or
[35] Osorio-Rico, L., Santamaria, A., and Galvan-Arzate, S. Presence of Other Metals.” Toxics 6 (4): 66.
2017. “Thallium Toxicity: General Issues, Neurotoxicological https://doi.org/10.3390/toxics60640066.
Symptoms, and Neurotoxic Mechanisms.” Advances in [46] Steenstra, P., Strigul, N., and Harrison, J. 2020. “Tungsten
Neurobiology 18: 345-53. https://doi.org/10.1007/978-3- in Washington State Surface Waters.” Chemosphere 242:
319-60189-2_17. 125151.
[36] Browar, A. W., Koufos, E. B., Wei, Y., Leavitt, L. L., https://doi.org/10.1016/j.chemosphere.2019.125151.
 Trace Metal Levels of Groundwater, Surface Water and Sediments in Kinsevere Industrial Zone and Its 175
Surroundings, Southeastern Democratic Republic of Congo
[47] Hasimuna, O. J., Chibesa, M., Ellender, B. R., and Maulu, C. K., Otamonga, J. -P., and Poté, J. W. 2021. “Influence
S. 2021. “Variability of Selected Heavy Metals in Surface of Watershed on the Accumulation of Heavy Metals in
Sediments and Ecological Risks in the Solwezi and Kifubwa Sediments of Urban Rivers under Tropical Conditions:
Rivers, Northwestern Province, Zambia.” Scientific Africa Case of N’djili and Lukaya Rivers in Kinshasa, Democratic
12 (2008): e00822. https://doi.org/10.1016/j.sciaf.2021. Republic of the Congo.” Watershed Ecology and the
e00822. Environment 3: 30-7. https://creativecommons.org/licences/
[48] Tshibanda, J. B., Malamba, A. M., Mpiana, P. T., Mulaji, by-nc-nd/4.0/.
Journal of Environmental Science and Engineering A 12 (2023) 176-183
doi:10.17265/2162-5298/2023.05.002
D DAVID PUBLISHING

The Management of Environment Cost Caused by

Ballast Water

Nikolaos Karfakis, Odysseas Kopsidas and Michael Moros

Aegean College, Athens, 10564, Greece

Abstract: According to classical economic theory, external cost is the indirect, and uncompensated, social or environmental cost
caused to an uninvolved third party that arises as an effect of another party’s activity. In light of this, the environmental cost caused
by ballast water is considered as a negative externality. This paper aims to contribute by proposing that the environmental cost
caused by ballast water can be determined through questionnaires, and that the imposition of a Pigouvian retributive tax is required to
compensate for the environmental damage caused. The paper proceeds as follows. Firstly, ballast water management is discussed.
Second, the environmental cost is discussed and it is asserted that it is important to have clear regulations and to update them
frequently to prevent or minimize ballast water’s negative impact on the environment. Finally, it is suggested that the environmental
cost caused by ballast water can be determined by questionnaires and, more specifically, by the WTP (Willingness to Pay) method,
and that a special Pigouvian corrective taxation which can internalize this cost should be imposed.

Key words: Ballast water management, external environmental cost, maritime transport, Pigouvian taxation.

1. Introduction other matters, helping ship-owners to be proactive in

complying with regulations. Ballast water treatment
Shipping carries about 80% of world trade by
solutions provide the technical as well as other
volume and 70% by value [1]. Ships are designed and
considerations for the design and production of ballast
built to operate safely when carrying cargo but need
water treatment equipment to suit the characteristics
extra weight when sailing unladen or partially laden to
of ships. Legal policy and ballast water solutions work
ensure proper stability and pressure management in together to effectively address the problem of ballast
the hull. The added weight is called ballast. In Article treatment. The International Convention on the Control
1 of the Ballast Water Convention (BMWC), ballast and Management of Ships’ Ballast and Sediments
water is defined as the water with its suspended matter (IMO, 2004) in force sets the basic provisions for the
taken on board a ship to control the ship’s course, heel, management and treatment of ballast water on ships
draft, stability or strains. In the past ships used stones, worldwide. Still, more specific regulations are
sand and metal as ballast, but technical developments necessary and regularly amended and supplemented to
led ships to use water as it is easier to load and unload suit different marine areas.
and more economical than solid ballast. Therefore, Ballast water treatment solutions play a very
today ballast water is essential for ships to operate important role in helping to reduce the negative
efficiently and safely [2]. impact of ballast water on the environment. Ballast
Environmental maritime management is a challenge water treatment requires little or no use of chemicals.
of our time and is obliged to obey international and This helps prevent harmful chemicals from being
national legislation. The legal policy regulates specific released into the environment after the ballast water is
issues related to ballast, ballast water treatment and treated. To be able to easily complete and implement
shipping activities under the BWMC, countries should
Corresponding author: Odysseas Kopsidas, Ph.D., Lecturer,
research field: environmental economics. come up with a specific policy for each country,
 The Management of Environment Cost Caused by Ballast Water 177

corresponding to each region based on the BWMC [3]. ships do not need to use ballast water, while ensuring
This will help the world’s maritime countries to be buoyancy and operational stability.
able to both comply with international regulations and The rest of the paper is structured as follows. The
have their own country-tailored development policies. second part provides an overview of the external,
Handling costs are also an issue, however, in line with environmental cost caused by ballast water and
the current trend of sustainable development, shipowners discusses the history of the adoption, current status of
are also being asked to be more responsible for the BWM Convention. The third part discusses the
international waters and ports. This is notable in the importance of clear regulations and of management
current development process that affects the environment. strategy in regard to ballast water and environmental
Regulatory policy and solutions for ballast water pollution. The paper concludes with the suggested
treatment have always been an open issue for proposal that the Contingent Valuation Method (CVM)
regulators, researchers and environmentalists. and Willingness to Pay (WTP) method could be used
There are different policies and solutions for ballast to determine the value of the environment, and that,
water treatment, however, each different policy and correlatively a Pigouvian corrective taxation should be
solution brings with it both advantages and disadvantages imposed to internalize the external cost.
when technical, environmental, and economic aspects
2. The Environmental Cost of Ballast Water
are examined. The rapid development of industries
worldwide pollutes the environment more and more. Pollution from ships is caused by emissions, oil
In particular, ballast water from the shipping industry spills, heavy metals, and cargo, a problem that presents
has a major impact on the environment. This is why formidable difficulties for environmental security [5].
legal policies are being introduced to control ballast Exhaust gases like CO2, NO2, and others have a detrimental
water for all ships in the world to ensure that ballast effect on the atmosphere’s ecosystem. Emissions from
water from ships does not affect the environment. diesel engines are usually released directly into the air
Achieving this also means that maritime organizations or water, thus causing environmental pollution [6]
and governments must act decisively. The although intelligent control techniques to successfully
introduction of the WBMC in 2004 [4] and the formal lower carbon monoxide and hydrocarbon emissions in
entry into force of the Convention in 2017 provided diesel engines also dramatically lower harmful
clear regulations for ballast processing. pollutants released by ships [7]. Additionally, ships
Stricter regulations on ballast water and ballast emit ballast water, which has a negative impact on the
handling are needed to ensure that ballast water from marine habitat. Depending on the cargo being carried,
ships does not have a negative impact on the environment. ballast water can either be accepted or rejected in
Along with updating and supplementing appropriate order to maintain a ship’s stability.
legal policies, there is also a need for more research On the other hand, ballast water introduces Invasive
on ballast water treatment technologies. Ballast water Alien Species (IASs) that pose a severe threat to
treatment will directly address invasive organisms, marine ecosystems all over the world. IASs are
harmful chemicals and bad actors in them. If the species that are introduced outside of their natural
solution is good, the ships’ ballast is clean and the habitats and brought to places they are not typically
environment will not be adversely affected. However, found. Under certain circumstances, they establish
current treatment technologies still have many themselves, and in the absence of natural predators or
limitations, such as high cost, existence of toxic pests, they grow and become invasive, endangering
chemicals, etc. It is necessary to find solutions so that the native ecosystem and its species.
178 The Management of Environment Cost Caused by Ballast Water

IAS cause environmental and economic damage subscribes. This is done by developing, implementing
and can pose a threat to human health. The main and maintaining processes, plans and procedures to
concerns currently about IAS are that their impacts are ensure this compliance;
already large and are rapidly becoming larger because d) Minimizing any significant adverse environmental
the international movement of goods and people is impacts of new developments. This is done by using
increasing due to globalization. Since it is nearly environmental management and planning processes
impossible to completely eradicate the issue produced and through environmental impact assessment, before
by IAS once they are established in the marine starting a new activity or project.
environment, they are regarded as one of the most Shipping companies should develop and provide
significant dangers to global biodiversity [8]. The their services in a way that minimizes their environmental
exotic invasive species directly causes huge damage to impact and improves its understanding at all stages by
the economy. The result of negative impacts on any of its customers and the international community,
different occupations such as fishing, aquaculture and while ensuring that they are safe for their intended use
tourism is the reduction of economic output and even and efficient in the consumption of energy and natural
other indirect effects such as human health. resources. They should also develop environmental
Now, in regard to the estimation of the external cost performance assessment procedures and related
discusses above, It have been provided a useful review indicators in order to measure the results of the
of external costs (e.g. air and water pollution) of management of environmental aspects, and should
maritime transportation, but they do not include the manage their activities with the objective of pollution
effects of ballast water which, as they say, will be prevention, using processes, practices, techniques,
treated in a different paper. We, as will be discussed materials, products, services or equivalents, to avoid,
later, instead follow a different route, proposing that reduce or control the generation, emission or disposal
the CVM and the WTP method could be used to of any type of pollutants or wastes in order to reduce
determine the value of the environment. adverse environmental effects, always promoting and
achieving zero leakage. Pollution prevention can
3. Regulations and Management Strategy
include source reduction or elimination, changes in
Shipping companies should be committed to protecting processes, products or services, efficient use of
the environment and managing environmental issues resources, conservation of materials and energy, reuse,
as an integral part of its operations both on land and at recovery, recycling, restoration and treatment.
sea. In particular, it is the policy of the Member States Furthermore, shipping companies should educate
to ensure the environmental integrity of the processes, and motivate employees to increase their awareness of
the equipment used and the working environment at the strategic importance of environmental management,
all times. Shipping companies do this by adhering to encourage interest and respect for the environment to
the following principles: enhance their skills and enable them to conduct their
a) Recognizing environmental management among activities in an environmentally responsible manner.
the highest corporate priorities and as a key Moreover, they should communicate its commitment
determinant of sustainable development; to environmental issues with all stakeholders
b) Establishing policies, programs and practices to (employees, vendors, customers and any other person
conduct business in an environmentally sound manner; or group interested in or affected by the shipping
c) Complying with all applicable legal requirements companies’ environmental effects) and showcase their
and other requirements to which the Member State environmental expertise, anticipating and responding to
 The Management of Environment Cost Caused by Ballast Water 179

concerns about potential risks and impacts of and supporting material such as fleet instruction
operations, services or issues and encourage the use of manual, circulars, letters, notices, operating and cargo
the environmental management system by suppliers handling manuals, forms and checklists, emergency
and contractors. [9]. management plan, fire training manual, waste
Where there are significant risks, shipping management plan, ballast water management plan,
companies should develop and maintain emergency refrigerator management plan, bilge/engine room oil
preparedness plans in cooperation with the emergency waste management plan, overboard recovery plan and
services, the competent authorities and the local procedures [12].
community with the aim of responding quickly and The HSE Management system policy manual is
effectively to incidents arising from its activities. They available to all company employees and selected
should continue to improve policies, programs and customers and describes the shipping company’s actions
environmental performance, taking into account regarding service quality, safety and environmental
technical developments, scientific understanding, protection, states the company’s policies and related
customer needs and community expectations, always principles, defines the scope of the management
taking legal regulations as a starting point [10]. system and the organization of the management
The top management of the company should system, and provides brief descriptions of the
operate the companies in a systematic and visible responsibilities and authority of key management
manner. The objective of top management is to create personnel/departments. It addresses the requirements
a customer-oriented organization by: a) defining of the International Safety Management (ISM) Code
systems and processes that can be clearly understood and refers to the relevant system procedures. It
through management and improvement in terms of describes the ways in which Shipping Company
effectiveness and efficiency and b) ensuring the completes its activities in the functional areas referred
effective and efficient operation and control of to in the HSE Management System, the assignment of
processes and the measures and data used to determine responsibilities and identifies the relevant records. The
satisfactory company performance. To achieve this HSE Management system’s procedures [13] include:
goal, top management should define and promote a) Procedures for preparing plans and instructions
processes that lead to improved organizational for activities affecting safety, pollution prevention and
performance, acquire and use data and process service quality;
information on an ongoing basis, directing progress b) Incident and non-compliance reporting procedures;
toward continuous improvement, and utilize appropriate c) Emergency preparation and response procedures;
methods to evaluate the improvement of processes, d) Procedures for internal audits, management
such as self-assessments [11]. inspections and implementation of corrective and
The nature and extent of the documentation is such preventive actions;
that it meets contractual, statutory and regulatory e) Procedures for maintenance of ship and
requirements, the needs and expectations of customers equipment on board;
and other stakeholders and is appropriate for the f) Procedures for document control and record
company and the vessels managed. The HSE (Health, keeping;
Safety and Environmental) (HSE) management system g) Procedures for ensuring the provision of
documentation consists of the HSE Management qualified personnel for the various tasks involved in
System Policy Manual, HSE Procedures (Quality the basic operations ashore and on board;
Procedures). These include, among others, instructions h) Procedures related to HSE issues, the objectives
180 The Management of Environment Cost Caused by Ballast Water

and the corresponding programs of the Company; practical control and influence the company may have
i) Risk assessment and management procedures; over the environmental aspects considered and
and planned, or over new developments or new or
j) Procedures to ensure compliance with trust modified activities, products and services. The
requirements, where required by ship management determination of the environmental aspects of a
agreements. shipping company is carried out by taking into
Records should be created and maintained to provide account the inputs and outputs related to its current
evidence of compliance with specified requirements and relevant past and future activities carried goods
and the effective operation of the HSE management and services. The initial determination of
system as well as to record the extent to which planned environmental aspects is carried out after a thorough
goals and objectives have been achieved. HSE records review of the following four main areas:
may include information about applicable HSE a) Legal and other requirements;
legislation or other requirements; complaint files; b) Review of all existing environmental
training records; inspection, maintenance and management practices and procedures;
calibration records; incident reports; information on c) Evaluation of feedback from the investigation of
emergency preparedness and response; suggestions for previous incidents; and
improvement and best practices; and audit results. d) Evaluation of future activities and services.
The records to be kept are indicated in the In all cases, normal and abnormal, operation on
respective procedures. These records must be legible, board and the possible emergency situation are taken
identifiable and traceable and will be retained for into account. The process for identifying significant
specified minimum periods. Authorized persons in environmental aspects takes into account both the
accordance with a specified filing system and in company’s on-board and offshore activities. In
storage facilities must keep them suitable for easy addition to those environmental aspects that the
retrieval and for protection against damage, Company can directly control, the company also
deterioration and loss. Where contractually agreed, examines aspects that it can influence, such as
HSE records will be available for inspection by the packaging and transportation of supplies used by the
customer (or their representative) for an agreed period. company and environmental performance and
Appropriate records are also made available when practices of contractors and suppliers.
necessary and upon request to classification surveyors In relation to each identified environmental aspect,
and port and flag authorities [14]. as many actual and potential positive and negative
Shipping companies have established, implement environmental impacts as possible are identified by
and maintain a process for determining the the Environmental Team, consisting of the Chief
environmental aspects of its activities, products and Executive Officer (CEO), Designated Person Ashore
services within environmental scope of the (DPA), HSE Director and Technical Director. To
environmental management system that can control determine the significance of each of the identified
and influence and determine those aspects that have or environmental impacts, an assessment is carried out
can have significant effects on the environment. This taking into account, among others, environmental
process takes into account [15] the following: a) the concerns such as the scale and severity of the impact;
cost and time of undertaking the analysis; b) the the duration of impacts, business concerns such as
availability of reliable data; and c) information already potential regulatory and legal exposure; and impact
developed for regulatory purposes and the degree of change costs and stakeholder concerns.
 The Management of Environment Cost Caused by Ballast Water 181

4. Discussion and Concluding Remarks income [25-30]. Finally, cost-benefit analysis

supporters frequently view it as a method for enacting
Having discussed ballast water management,
either Pareto-efficiency or Kaldor-Hicks efficiency,
environmental cost, and the importance of regulations
two standards that many welfare economists consider
regarding environmental management, we should not
to be normatively fundamental [31].
turn out attention to the determination of the
Environmental taxes help implement the polluter
environmental cost and the corresponding Pigouvian
pays principle since they make polluters face the full
retributive tax that, according to our view, could
cost of their polluting activities [32-35]. In practice,
compensate for the environmental damage caused,
there are a lot of data on the economic costs of
which is the main thrust of the paper.
externalities or their distribution, thus policymakers
When markets work efficiently, using the market
set the price of environmental taxes at those levels that
price is a good approximation of social cost. When it
they believe will achieve their policy goals [36, 37].
comes from inefficient markets, the price does not The impact of environmental taxes on competitiveness
reflect the true social costs. With Cost-Benefit is a subject of constant debate. The potential adverse
Analysis (CBA) all critical parameter problems are effects on international competitiveness are of concern
attributed to a single basic evaluation which facilitates to environmental policy makers when considering
the decision-making process. The basis of the their application to energy and other products related
evaluation is the comparison of benefits and costs to environmental problems. Some factors that
[16-20]. If the gains are greater, then the program or influence the effectiveness of environmental policy
activity is socially desirable. Otherwise, they are and outcomes in international trade are: the size of
considered socially beneficial. each economy and its influence on pricing
From the point of view of the public interest, a internationally, and the homogeneity or variety of
policy or program is justified and contributes to social products produced in areas affected by taxation.
welfare if the benefits received exceed the estimated Certainly, environmental taxation, especially for
costs. This approach is consistent with Kaldor-Hicks’ heavily polluting industries results in losses and
principle of potential compensation, a widely accepted demands for technical innovation, pollution reduction,
variation of the Pareto criterion. The Weak Pareto and energy conservation, which raise production costs
Condition refers to a program or policy measure that and harm the enterprise’s financial performance and
is socially acceptable when it improves the well-being profitability [38-40]. However, it has been argued that
of every member of society, while the Strong Pareto in the long run, they will have a positive impact on the
condition refers to a program or policy measure that is economic benefits of enterprises [41].
socially acceptable when it ensures improved welfare The method proposed for the determination of this
of even one person without reducing the welfare of retributive tax is the CVM [41, 42]. This method
another person [21-24]. adopts the circulation of a questionnaire with the
The Pareto principle is based on the individual question of WTP, i.e. the maximum amount that
perception of well-being, where people are seen as the someone is willing to pay in order to compensate for
best interpreters of their personal well-being through the inaction caused to the environment by his activity.
their choices. It has limited use as there is almost no The solution proposed by the authors is the
action to improve it as one can continue while making imposition of a Pigouvian retributive tax to
others worse off. Furthermore, it does not include compensate for the environmental damage caused.
concepts such as social justice or redistribution of The solution to the present problem of environmental
182 The Management of Environment Cost Caused by Ballast Water

management cannot be given by the market [12] Carson, R. T., Flores, N. E., and Meade, N. F. 2001.
“Contingent Valuation: Controversies and Evidence.”
mechanism (supply and demand) which fails to
ERE. 19: 173-210.
internalize the external environmental cost. [13] Carson, R. T. 2012. “Contingent Valuation: A Practical
Notwithstanding the limitations of classical economics Alternative When Prices Aren’t Available.” JEP. 26 (4):
and of WTP [42], government intervention is required 27-42.
[14] Cato, S. 2023. “When is weak Pareto equivalent to strong
through taxation of the activity in question in order to
Pareto?” Economics Letters 222: 110953.
reach the socially optimal point of well-being. [15] Coase, R. H. 1960. “The Problem of Social Cost.” J. Law
Econ. 3: 1-44.
References [16] Dionis, A., Adrián, M. C., González, J. A., Luis, S. R.,
[1] Adland, R., Thomassen, K., and Østensen, E. 2009. Padrón, F., and Peña, A. 2016. “Implementation and
“Environmental Management in Shipping.” In The Benefits of Environmental Management System (UNE-en
Routledge Handbook of Maritime Management, edited by ISO 14001: 2004 Standard).” Shipping Company. J. Mar.
Panayides, P. M., and Panayides, P. London: Routledge, Res. 13 (1): 79-83.
p. 80. [17] Fisher, A. R. J, and McClennen, E. F. 2011. “The Pareto
[2] Adler, M. D., and Posner, E. A. 1999. “Implementing Argument for Inequality Revisited.”
Cost-Benefit Analysis When Preferences are Distorted.” https://philpapers.org/archive/FISTPA-4.pdf.
John M. Olin Program in Law and Economics, Working [18] Green, D., Jacowitz, K. E., Kahneman, D., and
Paper No. 88. McFadden, D. 1998. “Referendum Contingent Valuation,
[3] Adler, M. D., and Posner, E. A. (eds.). 2001. Cost-Benefit Anchoring, and Willingness to Pay for Public Goods.”
Analysis. Legal, Economic and Philosophical Resour Energy Econ. 20 (2): 85-116.
Perspectives. Chicago: University of Chicago Press. [19] Hasanspahić, N., Frančić, V., Vujičić, S., and Maglić, L.
[4] Aguirre-Macedo, M. L., Vidal-Martinez, V. M., 2020. “Reporting as a Key Element of an Effective
Herrera-Silveira, J. A., Valdés-Lozano, D. S., Near-Miss Management System in Shipping.” Safety 6
Herrera-Rodríguez, M., and Olvera-Novoa, M. A. 2008. (4): 53.
“Ballast Water as a Vector of Coral Pathogens in the Gulf [20] International Maritime Organization. 2004. “International
of Mexico: The Case of the Cayo Arcas Coral Reef.” Mar. Convention for the Control and Management of Ship’s
Pollut. Bull. 56 (9): 1570-7. Ballast Water and Sediments (BWM/CONF/36).”
[5] Ambec, S., and Ehlers, L. 2014. “Regulation via the [21] Kopsidas, O., and Fragkos-Livanios, L. 2016.
Polluter‐Pays Principle.” Econ. J. 126 (523): 884-906. “Investigating the Willingness to Participate within a
[6] Aragão, A. 2022. “Polluter-Pays Principle.” In Target Population with Low Opportunity Cost as a
Encyclopedia of Contemporary Constitutionalism, edited Contribution to Historic Monuments Preservation.” JEPE.
by Cremades, J., and Hermida, C. Cham: Springer. 17 (2): 796-804.
[7] Atkinson, G., and Mourato, S. 2015. Cost-Benefit [22] Landa Rivera, G., Reynès, F., Bellocq, F.-X., and Grazi,
Analysis and the Environment. OECD Environment F. 2016. “Towards a Low Carbon Growth in Mexico: Is a
Working Papers 97. Pair: OECD Publishing. Double Dividend Possible? A Dynamic General
[8] Baumol, W. 1972. “On Taxation and the Control of Equilibrium Assessment.” Energy Policy 96: 314-27.
Externalities.” Am. Econ. Rev. 62 (3): 307-22. [23] Lakshmi, E., Priya, M., and Achari, V. S. 2021. “An
[9] Boardman, A. E., Greenberg, D. H., Vining, A. R., and Overview on the Treatment of Ballast Water in Ships.”
Weimer, D. L. 2006. Cost-Benefit Analysis: Concepts and Ocean Coast. Manag. 199: 105296.
Practice (3rd ed.). Upper Saddle River: Pearson-Prentice [24] Liu, Y., Li, Z., and Yin, X. 2018. “Environmental
Hall. Regulation, Technology Innovation Input and Energy
[10] Breidert, C., Hahsler, M., and Reutterer, T. 2006. “A Consumption: A Cross-Region Analysis in China.” J.
Review of Methods for Measuring Willingness-to-Pay.” Clean. Prod. 203: 885-97.
Innov. 2 (4): 8-32. [25] Mahaseth, H. 2017. “Analysis of the Effectiveness of the
[11] Cao, D. N., Luu, H. Q., Bui, V. G., and Tran, T. T. H. Polluter Pays Principle in India.” SSRN Electronic
2020. “Effects of Injection Pressure on the NOx and PM Journal. https://ssrn.com/abstract=2930921.
Emission Control of Diesel Engine: A Review under the [26] Mohd Zaideen, I. M. 2019. “The Paradox in
Aspect of PCCI Combustion Condition.” Energy Sources. Implementing Ballast Water Management Convention
Part A: Recovery, Utilization, and Environmental Effects. 2004 (BWMC) in Malaysian Water.” Mar. Poll. Bull. 148:
https://doi.org/10.1080/15567036.2020.1754531. 3-4.
 The Management of Environment Cost Caused by Ballast Water 183

[27] Nadeau, R. L. 2019. “Brother, Can You Spare Me a [36] Schmidtchen, D., Helstroffer, J., and Koboldt, C. 2021.
Planet? Mainstream Economic Theory and the “Regulatory Failure and the Polluter Pays Principle: Why
Environmental Crisis.” S.A.P.I.EN.S. 2 (1). Regulatory Impact Assessment Dominates the Polluter
[28] Nijland, H. A., Van Kempena, E. E. M. M., Van Weeb, G. Pays Principle.” Environ. Econ. Policy Stud. 23: 109-44.
P., and Jabbena, J. 2003. “Costs and Benefits of Noise [37] Takeda, S., and Arimura, T. H. 2021. “A Computable
Abatement Measures.” Transp. Policy 10 (2): 131-40. General Equilibrium Analysis of Environmental Tax
[29] Nguyen, V. L. L., Nguyen, D. T., Al-Tawaha, A. R. M., Reform in Japan with a Forward-Looking Dynamic
and Vo, D. T. 2021. “A Study on Legal Policies and Model.” Sustain, Sci. 16: 503-21.
Solutions for Ship Ballast Water Treatment.” WCM 5 (2): [38] Teugels, J. L., and O’Brien, B. 2014. “Cost-Benefit
114-20. Analysis, Willingness to Pay.” In Wiley StatsRef:
[30] Park, S. Y., Wo, S. H., and Lai, P. L. 2021. “Market Statistics Reference Online, edited by N. Balakrishnan, T.
Structure of Short Sea Shipping in Northeast Asia.” Marit. Colton, B. Everitt, F. Piegorsch, W. Ruggeri, and J. L.
Bus. Rev. 6 (4): 414-29. Teugels. Hoboken: Wiley.
[31] Pyšek, P., Hulme, P. E., Simberloff, D., Bacher, S., [39] Tirole, J. 2008. “From Pigou to Extended Liability: On
Blackburn, T. M., Carlton, J. T., Dawson, W., Essl, F., the Optimal Taxation of Externalities under Imperfect
Foxcroft, L. C., Genovesi, P., and Jeschke, J. M. 2020. Financial Markets.” IDEI Working Papers 503, Institut
“Scientists’ Warning on Invasive Alien Species.” Biol. d'Économie Industrielle (IDEI), Toulouse.
Rev. 95 (6): 1511-34. [40] Vinayagam, N. K. 2021. “Smart Control Strategy for
[32] Rassier, D. G., and Earnhart, D. 2010. “Does the Porter Effective Hydrocarbon and Carbon Monoxide Emission
Hypothesis Explain Expected Future Financial Reduction on a Conventional Diesel Engine Using the
Performance? The Effect of Clean Water Regulation on Pooled Impact of Pre- and Post-combustion Techniques.”
Chemical Manufacturing Firms.” ERE 45: 353-77. J. Clean. Prod. 306 (5): 127310.
[33] Rodrigue, J.-P. 2020. The Geography of Transport [41] Woo, J. K., Moon, D. S., and Lam, J. S. L. L. 2017. “The
Systems (5th ed.). New York: Routledge. Impact of Environmental Policy on Ports and the
[34] Shaw, P. 1999. “The Pareto Argument and Inequality.” Associated Economic Opportunities.” Transp Res Part A
Philos. Q. 49 (196): 353-68. Policy Pract. 110: 234-42.
[35] Schläpfer, F., and Bräuer, I. 2006. “Theoretical Incentive [42] Yi, Y., Wei, Z., and Fu, C. 2021. “An Optimal Combination
Properties of Contingent Valuation Questions: Do They of Emissions Tax and Green Innovation Subsidies for
Matter in the Field?” Ecol. Econ. 62 (3-4): 451-60. Polluting Oligopolies.” J. Clean. Prod. 284: 124693.
Journal of Environmental Science and Engineering A 12 (2023) 184-192
doi:10.17265/2162-5298/2023.05.003
D DAVID PUBLISHING

Product vs. Organization Approach for the

Quantification of Carbon Footprint of Events:
The Hero Dolomites Case Study

Daniele Pernigotti1, Margherita Calzavara2 and Marta Mancin1

1. Aequilibria S.r.l.-SB, Venice 30175, Italy
2. Dept. Environmental Sciences, Informatics and Statistics, Ca’ Foscari University of Venice, Via Torino 155, 30172 Venice, Italy

Abstract: Events have always played an important role in our society since they are a way to gather and share experiences on music,
sport, culture, economy or even only for socialization. The number and variety of events has increased over the past years and the
process of globalization has facilitated the constantly increasing participation at international level. As consequence, also the impact
on climate change of events is constantly rising, as well as the awareness of citizens and participants on this topic, with the growing
request to take action on the GHG (Greenhouse Gas) mitigation. It shall be noted that there is still lack of clarity on the most suitable
quantification methodology which shall be used. The two main approaches are the CFP (Carbon Footprint of Product) and CFO (Carbon
Footprint of Organization). The most suitable one seems to be the CFP since it is more able to describe an event intended as a service
provided to the participants. An important consequence of this approach is the need to develop a PCR (Product Category Rule), with
the purpose to establish common rules for the CFP quantification, in order to increase consistency in the methodology and comparability
of the results with other events. This PCR was developed on the basis of the Hero Dolomites event case study, here described. The
clarity on the most effective methodology for the carbon footprint quantification is fundamental for allowing the implementation of
suitable GHG reduction plans by event’s organizers, considering the reliable quantification as the base for any GHG mitigation path,
even in direction of credible carbon neutrality targets.

Key words: CFP, CFO, GHG, PCR, LCA.

1. Introduction methodology is related to the CFO or, to be more

precise, the GHG inventory of Organization.
The main issue, while considering carbon footprint
When the aim is to emphasize the impact on climate
quantification of events, is the lack of clearness about
change of the whole event, from its design to all the
the most suitable methodology to use. In fact, the two post-event activities, the approach of CFP should be
most widespread ones are focalized on the CFP preferred. In the latest case the event is considered as a
(Carbon Footprint of Product) and CFO (Carbon service provided to participants, therefore in full
Footprint of Organization), following different consistency with the definition of product [1] as “goods
approaches for GHG (Greenhouse Gas) accounting. or service”.
The preference between an approach rather than The two methodologies imply a different approach
another is linked to the different interpretation which is in the consideration of indirect GHG emissions, the
given to the event itself. In the case in which the main most significant for events, and in the results
focus is on the organizers of the event (i.e., the representation that will be described further ahead in
organizing committee of an Expo), the most suitable the article.

Corresponding author: Daniele Pernigotti, M.Sc., CEO of

Aequilibria S.r.l.-SB, research fields: monitoring, reporting,
verification and accreditation on carbon management.
 Product vs. Organization Approach for the Quantification of Carbon Footprint of Events: 185
The Hero Dolomites Case Study

2. Hero Dolomites Several organizations who joined S4CA [4] have

published reports about GHG emissions quantification
Data and results reported in the present article are
as well as current and future emission reduction
the outcomes of the CFP case study of the Hero
activities. From the analysis of these reports available
Dolomites [2] event and have been presented at
online, it appears clear that the most used methodology
Sharm-el-Sheikh during the Conference of the Parties
for the GHG quantification is the CFO.
(COP) 27.
Some of the reports taken into consideration while
Hero Srl is an amateur sport association, below
assessing the state of the art of events’ GHG emissions
called Hero, which organizes the event HERO
accounting are listed below:
Dolomites, a mountain bike event usually taking place
 2018 FWC (FIFA World Cup) Greenhouse gas
in June in Selva di Val Gardena over a period of 4 days,
accounting report, which calculates its emissions
even though the main event takes place only on the
dividing them between Scope 1, Scope 2 and Scope 3;
4th day. The focus of the festival is, in fact, the  11th hour racing team 2020 sustainability report,
mountain bike marathon Hero Dolomites, which is they follow the methodology of calculating GHG
considered to be the world’s toughest mountain bike emissions separately for Scope 1, 2 and 3;
marathon and attracts 4,000 attendees from more than  Juventus Climate Report 2020/2021 follows the
40 countries every year. The event takes place from GHG Protocol methodology;
Thursday to Sunday and comprehends a few collateral  Formula E Season 7 Sustainability report
events. 2020/2021, which assesses the carbon footprint
Hero is responsible for the organization of other considering its subdivision into scopes;
races around the world (Dubai and Thailand) in  Sail GP Purpose and impact report season 2
addition to the one in the Dolomites which constitute 2021/2022 follows the GHG Protocol guidelines;
the Hero Series. Thanks to these initiatives, Hero has  McLaren racing Sustainability report 2021 as well
created a circuit of international competitions, but our follows the GHG Protocol;
study is limited to the Hero Dolomites edition.  2021 WM Phoenix Open Sustainability report,
In April 2022 Hero has joined the initiative S4CA which calculates emissions per each of the three scopes.
(Sport for Climate Action) [3] launched by the As you can notice, all reports listed above have
UNFCCC (United Nations Framework Convention on preferred the CFO approach, therefore it is now
Climate Change) Secretariat and subsequently (30th appropriate to explain why for the Hero Dolomites case
of May 2022) R2Z (Race to Zero); as a consequence, study the CFP approach was more preferred rather than
Hero is committed to reducing 50% of its GHG the CFO.
emissions by 2030 and reaching zero net emissions by It should be also noted that some of these inventories
2040. are not related to a specific event but to an organization
that participates in sport events (i.e., Juventus and
3. The UNFCCC’s Sport for Climate Initiative
McLaren).
S4CA intends to raise awareness about the carbon
4. Introduction of CFP and CFO Requirements
footprint in the field of sporting events and to promote
climate actions for the GHG mitigation. Many sporting The Carbon Footprint is a single indicator for the
societies have already committed to it and are, thus, representation of the impact of a given subject on
working towards halving their emissions by 2030 and climate change and it is expressed in units of mass (g,
reaching net-zero emissions by 2040. kg or ton) of CO2e.
186 Product vs. Organization Approach for the Quantification of Carbon Footprint of Events:
The Hero Dolomites Case Study

The applicable standards are divided in two main standard introduces the concepts of functional and
groups: for organizations (CFO) or for products (CFP). declared units, with the possibility to give a clear
Even though there are standards which are reference to the impact for single participant at the
frequently used at a market level such as the GHG event.
Protocol for organizations, in this study only the ISO A specific PCR for events has been developed
(International Organization for Standardization) according to ISO 14067, establishing a common
standards are taken into consideration because of their methodology for CFP quantification of further events.
wide acknowledgement at an international level and the These two documents guided the CFP quantification of
availability of the full package of standards [1, 5-9] for the Hero Dolomites case study here described.
the MRVA (Monitoring, Reporting, Verification and
5. CFO vs. CFP Methodology
Accreditation) of GHG emissions, from carbon
accounting (of product, organization and project) to the Even though CFO is a widely spread approach for
verification, accreditation of verifiers and the assessing the carbon footprint of events as stated before,
management of their competences. it is characterized by a crucial weakness. The
The ISO 14064-1 (CFO) standard is characterized by fundamental principle on which the CFO is based
a yearly GHG inventory which is intended to be consists in the creation of a yearly GHG inventory,
compared with the baseline GHG inventory, representing which must be compared with the reference baseline
the situation at time zero which is taken as a reference inventory calculated at time zero. The logic of the CFO
point to assess the progress of future GHG mitigation consists in comparing yearly activities which are
actions. GHG emissions were initially divided in three repeated over time in order to make a comparison with
groups, here below described using the GHG Protocol the impact of those activities at time zero. In fact, it is
terminology for a simplified understanding: a kind of tracking of the reduction path of GHG
 Scope 1 comprehends GHG emissions which are emissions undertaken by the organization over time
directly generated within the boundaries of the usually aiming at certain stated emission reduction
organization (i.e., combustion of natural gas for heating); targets. For this reason, the CFO works perfectly in the
 Scope 2 includes indirect GHG emissions due to case, for example, of manufacturing companies which
the use of electric energy; have taken part in reduction programs such as the SBTi
 Scope 3, which was optional, contains all other (Science Based Target initiative).
indirect GHG emissions not related to the use of energy In the event sector, the CFO logic could be adopted
(i.e., transport). in the case of yearly events which are repeated over
The last revision of ISO 14064-1:2019 introduced time such as yearly expositions or yearly sport
six categories in alternative to the three Scopes championship. Occasional events or events which
mentioned above, expanding the old Scope 3 in 4 require a multiannual preparation such as the Olympic
categories. Another important change introduced by Games or the Expo, do not respect the logic with which
ISO 14064-1:2019 is the request to quantify all ISO 14064-1 has been created.
significant indirect GHG emissions. This happens mainly for two reasons. The first one
ISO 14067 requires quantifying the CFP considering is the fact that the preliminary phase of preparation of
the entire lifecycle of a product (“service” in this case). the event is not, by definition, comparable with the
GHG emissions are, therefore, divided into upstream, event itself in terms of activities carried out and thus of
core and downstream that should be understood in this GHG emissions, that happens in a different year. In this
case as pre-event, event and post-event. In addition, this case the principle of the baseline of one year to be taken
 Product vs. Organization Approach for the Quantification of Carbon Footprint of Events: 187
The Hero Dolomites Case Study

as reference for future years is not meaningful and impact, which would be well displayed by the
misleading. summatory of all yearly contributions instead.
In some case this inconsistency is so evident to Another weak point of the CFO approach is also
require the adoption of an unusual double level of applicable for all events. The CFO quantification does
Scope1-3, for the preparation period and for the event not consider the “service function” of the event
(see Fig.1). minimizing any possibility of comparison between
The displayed numbers show the GHG emission similar events. A football championship attended by 24
distribution between the preparation period and the teams, even if it is managed with great attention
FWC of 2018 [10]. towards GHG emissions, will almost surely generate a
In the case of multiannual preparation and execution bigger impact if compared to a championship attended
of event, the comparison of GHG emissions year after by 12 teams which will have a considerably lower
year, without taking into account the entire service number of matches to be played. Basically, the two
life of the event, is meaningless because in the first championships are not comparable unless emissions
year only the GHG emissions of event preparation are displayed in a relative way by referring the GHG
would be reported while GHG emission of the event emissions through a comparable unit, such as a single
execution would be accounted for the following year. match. This is the principle of the functional unit that is
It shall be expected that in the year of the event GHG a key characteristic of the CFP logic.
emissions will significantly increase and in this case CFP approach is valid independently from the
there is no reason to use the CFO for tracking potential event’s duration or dimension which makes it suitable
GHG reduction over years even if the organizer for every type of event.
implemented several actions to mitigate its GHG Another reason pushing for the use of the CFP rather
emission. than the CFO for events is the key indication in the ISO
The second reason for not supporting the CFO for the 14067 standard, for considering events as a specific
GHG quantification of a multiannual event is that the kind of product, as clearly stated in paragraph 3.1.3.1:
representation of a series of yearly GHG inventories is “The product can be categorized as follows—service
not a reliable representation of the whole event’s (e.g., transport, implementation of events); …”

Fig. 1 GHG emissions distribution per scope and period.

188 Product vs. Organization Approach for the Quantification of Carbon Footprint of Events:
The Hero Dolomites Case Study

Finally the CFP requires the aggregation of GHG the division number 96 (recreational, cultural and
emissions into three logic blocks: upstream, core and sporting services) and group number 962 (performing
downstream, that fit well with the key characteristics of: arts and other live entertainment event presentation and
the preparation (pre-event), execution (event) and the promotion services).
decommissioning or closure (post-event). To ensure full comparability between the impact
assessment results, in the PCR the functional unit is
6. A New PCR for Events
defined as 1 person participating in the event of any
The ISO 14067 requires the use of a PCR for each dimension, magnitude and duration organized by public
product category to ensure a consistent approach during and private entities. Results are expressed in kg of
the CFP quantification and facilitate the comparability CO2e per attendee regardless of the geographic location.
of the studies. As additional information, it is possible to report as
Therefore, the development of a PCR shall be considered declared unit, namely the global impact related to the
the first fundamental step in the CFP development whole event.
process, when a PCR is not already available. For the purpose of different data quality rules and for
In the case of event a PCR was missing, therefore a the presentation of results, the life cycle of products is
new PCR was developed under the CFI (Carbon split into three different life cycle stages:
Footprint Italy) program for the Hero Dolomite’s study.  Pre-event;
The product category assessed in the PCR  Event;
corresponds to the UN CPC code, defined under the  Post-event;
UNSD-CPC Ver 2.1 classification. Events are part of as shortly summarized in Fig. 2.

Fig. 2 System diagram illustrating the main processes of the Hero’s event.
 Product vs. Organization Approach for the Quantification of Carbon Footprint of Events: 189
The Hero Dolomites Case Study

Regarding the cut-off rules, data for elementary For some data emission factors are available on the
flows to and from the product system contributing to Ecoinvent database, however, for other data literature
a minimum of 95% of the declared environmental research has been necessary to estimate their emission
impacts shall be included. The check for cut-off rules factors.
in a satisfactory way is through the combination of While associating the most appropriate emission
expert judgment based on experience of similar factor to the data provided by Hero, some assumptions
product systems and a sensitivity analysis in which it have been made, as follow:
is possible to understand how the un-investigated (1) Cars: medium size, diesel, EURO 4;
input or output could affect the results. (2) Freight transport: subdivision between ship and
road travel for goods coming from abroad through
7. Hero’s Case Study
Ecotransit;
The CFP study quantifies the GHG emissions related (3) Attendees’ accommodation: number of guests
to the event HERO Dolomites according to the ISO per night estimated as a percentage of the total
14067: 2018 requirements. The scope of the study is number of people overnighting in the area referred to
related to the strong interest of Hero’s organizers to average numbers of previous years (12,188 tourist
have a full understanding of the impact of this event on presences);
climate change and for identifying the most effective (4) Camping: 3 people per camper staying for an
areas where a GHG mitigation is possible. Finally, average of 3 nights;
there is the will to share this information with event’s (5) Quad and motorcycle: same fuel consumption
partners, attendees and the public since their behaviors and comparable to motor scooters for which data are
and choices play an active role in the generation, available;
management, and reduction of GHG emissions. A (6) Waste: average density of compost 0.4 kg/L and
communication towards the national program CFI and average distance traveled between event’s venue and
the operators of the S4CA program will be provided as disposal site equal to 32 km;
well. (7) Attendees’ travel: <1,500 km car, >1,500 km
The objective of conducting a CFP study is to airplane; return trip with the same vehicle and for the
calculate the potential contribution of a product to same distance;
global warming, expressed in CO2e, by quantifying all (8) Staff travel: 180 people traveling round trip to the
significant emissions and removals of GHG over the event every day, average car occupancy of 4 people;
life cycle of the product. 180 people living close to the event’s venue thus no
As mentioned above, the functional unit has been transport has been considered.
identified in the PCR as 1 attendee taking part in the Once all emission factors needed have been collected,
event, while the declared unit is considered the whole divided into fossil, biogenic and direct Land Use
event. Change (dLUC), they have been multiplied by the total
Specific data have been collected by the organization activity data related to the event such as km travelled or
before, during and after the event about all activities liters of beverages consumed. In such a way CFP
included in the study (Table 1). When primary data are related to the declared unit has been calculated, results
not available, secondary data were obtained by have been expressed for each activity and as total. To
database or literature. Those activities have been obtain data related to the functional unit, previously
associated to the different event’s phases and emission obtained data have been divided by the total number of
factors for each datum have been gathered. attendees which is 2,344.
190 Product vs. Organization Approach for the Quantification of Carbon Footprint of Events:
The Hero Dolomites Case Study

Table 1 Main information collected for the Hero’s study.

Event Phases Activities
Transport of organizers
Printing
Pre-event
Meals
Beverages
Freight transport
Staff accommodation
Attendees’ accommodation
Event Live broadcast
Attendees’ transport
Staff transport
Electrical energy
Attendees’ transport
Post-event Freight return
Waste

It shall be noted that the activities responsible for the

8. Results
greatest impacts are characterized by data of low
Table 2 and Fig. 3 display the results of the CFP quality (i.e. the route and means of transport of
study for the case study. The table contains the total attendees)
CFP expressed in kg CO2e according to the declared The identification of weaknesses in the data quality
and functional unit and the percentage for the three collected for this edition of the event is useful to
phases of the event. Fig. 3 below details the percentages improve the methodology for collection of higher data
of contribution to the total CFP for each of the activities quality in the future.
considered during the study. It should also be noted that in the specific case study
The largest impacts are generated during the of a mountain bike race there are not significant GHG
event and post-event phases. Hotspots of GHG emissions during the event, in comparison with a car
emissions are attendees’ travel and accommodation and race or a big concert, where a different GHG
freight transport which are not directly under the contribution could be expected among event, attendee’s
organization’s control. transport and accommodation.

Table 2 GHG emission of the Hero’s CFP presented as GHG for FU (attendee), DU (entire event) and as percentage.
Category Total CFP (kg CO2e/DU) Total CFP (kg CO2e/FU) % CFP
Pre event 12,102 5.16 1.036%
Event 1,119,293 477.51 95.843%
Post event 36,442 15.55 3.120%
Total 1,167,837 498.22 100%
 Product vs. Organization Approach for the Quantification of Carbon Footprint of Events: 191
The Hero Dolomites Case Study

CFP categories (%)

2.12%
3.12%
7.56%

20.18%
Other
Freight transport
Attendees' accommodation
Attendees' transport (round trip)
Freight return

67.02%

Fig. 3 Most important processes contribution to the HERO’s CFP.

the pre-event, event, and post-event contribution,

9. Conclusions
through the use of the life cycle assessment
The great variability of events in term of core topic methodology, where all upstream and downstream
(i.e., music, sport, etc.), time duration, number of contributions to the GHG emissions are considered.
attendees and participants/visitors does not allow In addition, the use of the PCR allows a consistent
identifying a single rigid solution for the quantification approach in the CFP quantification, such as the
of all these carbon footprints. identification of the Functional Unit and the Declared
In the case of single event developed with a Unit; a crucial issue for avoiding the GHG quantification
multiannual timescale, it shall be more appropriate the of events with very different boundaries that does not
adoption of the CFP methodology instead of the CFO, allow any comparison between similar events.
due to the evident weakness of the CFO where a year
“zero” baseline is not applicable for the comparison of References
the year-by-year results. [1] ISO/TC 207/SC 7. 2018. “ISO 14067:2018 Greenhouse
The CFO is considered the most appropriate solution Gases—Carbon Footprint of Products—Requirements and
Guidelines for Quantification.”
in the case of GHG emissions quantification of an
[2] Hero Dolomites Website. 2023. Accessed October 17,
organization participating in events (i.e., Juventus and 2023. https://www.herodolomites.com/it.
McLaren mentioned above). [3] Sport for Climate Action Website. 2023. Accessed October
The Hero Dolomite’s case study showed that in all 17, 2023. https://unfccc.int/climate-action/sectoral-
engagement/sports-for-climate-action.
other cases of single event or events repeated each year
[4] Participant in the Sports for Climate Action Framework.
the CFO approach is possible, however the CFP is 2023. Accessed October 17, 2023. https://unfccc.int/
considered more suitable, because it can better describe climate-action/sectoral-engagement/sports-for-climate-
192 Product vs. Organization Approach for the Quantification of Carbon Footprint of Events:
The Hero Dolomites Case Study
action/participants-in-the-sports-for-climate-action- [7] ISO/TC 207/SC 7. 2019. “ISO 14064-3:2019 Greenhouse
framework. Gases—Part 3: Specification with Guidance for the
[5] ISO/TC 207/SC 7. 2018. “ISO 14064-1:2018 Greenhouse Verification and Validation of Greenhouse gas Statements.”
Gases—Part 1: Specification with Guidance at the [8] ISO/TC 207/SC 7. 2020. “ISO 14065:2020 General
Organization Level for Quantification and Reporting of Principles and Requirements for Bodies Validating and
Greenhouse Gas Emissions and Removals.” Verifying Environmental Information.”
[6] ISO/TC 207/SC 7. 2019. “ISO 14064-2:2019 Greenhouse [9] ISO/TC 207/SC 7. 2011. “ISO 14066:2011 Greenhouse
Gases—Part 2: Specification with Guidance at the Project Gases — Competence Requirements for Greenhouse Gas
Level for Quantification, Monitoring and Reporting of Validation Teams and Verification Teams.”
Greenhouse Gas Emission Reductions or Removal [10] Yulkin, M. 2016. “In Consortium with: Climate Change
Enhancements.” Global Services (CCGS) LLC.”
Journal of Environmental Science and Engineering A 12 (2023) 193-199
doi:10.17265/2162-5298/2023.05.004
D DAVID PUBLISHING

A Bibliometric Analysis of the “NetZero” Process in the

Energy Knowledge Domain

Carine Tondo Alves1,2, Luciano Sergio Hocevar2, Luis Oscar Martins3 and Rodrigo Santiago Coelho4
1. Instituto Nacional de Ciência e Tecnologia em Energia & Ambiente, INCT E&A-UFBA, Salvador, Bahia 40170-115, Brazil
2. Federal University of Reconcavo of Bahia, Energy Engineering Department, Feira de Santana, Bahia, 44085-132, Brazil
3. Federal University of Reconcavo of Bahia, Production Engineering Department Feira de Santana, Bahia, 44085-132, Brazil
4. SENAI CIMATEC, Materials and Fabrication Department, Salvador, Bahia, 41650-010, Brazil

Abstract: This work aimed to elucidate the key research findings within the realm of NetZero, specifically within the energy field.
Employing advanced data visualization tools, particularly VOSviewer, scientific maps were meticulously crafted to explain the
evolving landscape of research in this domain. The results showed that the nations that most vigorously committed to the NetZero
endeavor are the United Kingdom, United States, China, Australia, and Canada, signaling a global consensus on the urgency of
addressing climate change. Furthermore, this study reveals pivotal trends in the field and keywords such as “renewable energy”,
“decarbonization”, “netzero”, and “sustainability” have gained remarkable prominence, especially in recent research. In conclusion,
this work offers a comprehensive overview of the NetZero landscape within the energy field, emphasizing the urgency of international
collaboration, and identifies key trends that will likely shape the future of sustainable energy research and policymaking.

Key words: Netzero, renewable energy, decarbonization, sustainability.

1. Introduction For instance, Mouallem et al. [2] conducted a meta-

analysis focusing on carbon capture storage and its
The concept of “NetZero” has garnered substantial
implications for emissions reduction. Meanwhile,
attention in recent years, amid the escalating climate
McPherson et al. [3] conducted a comprehensive review
crisis that looms over the world. In the context of this
of energy system models across diverse domains,
work, a robust bibliometric analysis was employed to
furnish a comprehensive retrospective view of the evaluating their potential in shaping future NetZero
intricate research landscape that envelops “NetZero” strategies. Lastly, Alves et al. [4] undertook a bibliometric
energy strategies. Notably, the urgency of addressing analysis of the energy matrix in countries such as Brazil,
NetZero strategies is underscored by the sobering Germany, France, and the United Kingdom, assessing
projections delineated by the Intergovernmental Panel their contributions to GHG emissions reduction. Their
on Climate Change [1]. These projections portend dire findings illuminated that significant progress remains
consequences should GHG (Greenhouse Gas) emissions necessary, particularly among developed nations.
persist at their current trajectory. By 2030, a 0.4 °C The objective of this work was to analyze publications
increase in temperature could unleash profound ecological spanning from 2004 to 2023, scrutinizing the quality
and societal disruptions, including heightened extreme and quantity of NetZero studies within the energy field
weather events, sea-level rise, and an existential threat over this period. To fulfill this aim, a comprehensive
to food security. bibliometric keyword analysis was deployed, utilizing

Corresponding author: Carine Tondo Alves, Ph.D., associate

professor, research fields: renewable energy, biofuels, biomass,
bioenergy.
194 A Bibliometric Analysis of the “NetZero” Process in the Energy Knowledge Domain

the Scopus bibliographic database in conjunction with of countries, citation indicators are utilized, which
the powerful VOSviewer software to construct intricate gauge the prominence and influence of nations in the
scientific maps that unveil the evolving contours of this research landscape. In the case of authors, a
dynamic research domain. combination of citation and co-authorship indicators is
applied. Co-authorship analysis, on the other hand,
2. Methodology unveils the intricate social fabric of research, revealing
2.1 Bibliometric Analysis collaborative networks among countries and authors.
For the analysis of keywords, co-occurrence analysis is
Bibliometric analysis examines bibliographic material employed.
from an objective and quantitative perspective, organizing
information within specific knowledge domains [5-7]. 2.4 Software
Thus, a bibliometric analysis using keywords enables VOSviewer, an open-source information technology
the examination of information on key research topics software developed by van Eck and Waltman [12], was
within a subject of interest [8]. The current research employed. Within the operational environment of
followed the following stages, as outlined by Castillo- VOSviewer, the initial configurations were established
Vergara et al. [9]: (a) definition of the study area; (b) as follows: the creation of a map based on bibliographic
selection of the research database; (c) refinement of data and the extraction of data from bibliographic
search criteria; (d) coding of publications; (e) analysis database files, specifically the CSV file sourced from
of the generated information. Scopus.

2.2 Choice of Database 3. Results and Discussion

This investigation spanned the timeframe from 2004, The number of publications identified in the
marking the inception of term occurrence, through literature amounted to 1,948 articles. The distribution
2023 [10]. The search string, meticulously crafted for of publications from 2004 until 2023 is illustrated in
precision, was formulated within the advanced search Fig. 1. Remarkably, in the initial year of our analysis,
field of Scopus as follows: 2004, merely two articles were published on the subject.
(TITLE-ABS-KEY (netzero) OR TITLE-ABS-KEY This relatively low output persisted until 2010.
(“net zero”)) AND (LIMIT-TO (SUBJAREA, However, a notable shift occurred in the following
“ENER”)) AND (LIMIT-TO (PUBSTAGE, “final”)) decade, spanning from 2011 to 2019, where the average
AND (LIMIT-TO (SRCTYPE, “j”)) AND (LIMIT-TO annual number of publications surged to 36 articles.
(LANGUAGE, “English”)) AND (LIMIT-TO This growth trajectory reached its zenith in the most
(DOCTYPE, “ar”) OR LIMIT-TO (DOCTYPE, “re”)). recent period, from 2020 to 2023, with over 400
publications. International agreements and
2.3 Used Indicators
commitments made during this period, notably the
In accordance with the indicator definitions Paris Agreement, have underscored the urgency of
proposed by Zupic and Čater [11], this work employs NetZero initiatives as a crucial component of climate
quantity-based metrics to assess research productivity action. The emergence of the COVID-19 pandemic
at both individual and national levels, focusing on the brought renewed attention to society and the
number of publications and citations. The analysis economy’s vulnerability to global threats, further
encompasses three primary units of analysis: countries, emphasizing the need for sustainable and resilient
authors, and keywords. To evaluate the research impact solutions [13-15] (Fig. 1).
 A Bibliometric Analysis of the “NetZero” Process in the Energy Knowledge Domain 195

Fig. 1 Annual distribution of publications.

The leading country in terms of publications and of citations, totaling 360, goes to Y. Lu. His research,
citations within the energy field concerning NetZero is conducted between 2015 and 2022, predominantly
the United Kingdom, boasting an impressive tally of 500 revolves around the development of energy efficiency
articles and 5,678 citations. Following closely is the models aimed at promoting NetZero initiatives [18, 19].
United States, with 334 publications and 5,595 citations. Lu’s work has evidently garnered significant attention
China secures the third position with 254 articles, although within the academic community and beyond,
it garners fewer citations compared to Canada, which emphasizing its relevance and impact.
occupies the fifth spot of citation numbers, just behind The most highly cited article in this research domain
Australia. China accumulates 4,061 citations, while is titled “A Global Review of Energy Consumption,
Canada edges ahead with 4,079. The specific publication CO2 Emissions, and Policy in the Residential Sector
and citation figures for these countries demonstrate (with an Overview of the Top Ten CO2 Emitting
their substantial contributions to the discourse surrounding Countries)”, published in 2015 in the journal Renewable
NetZero strategies within the energy domain. To and Sustainable Energy Reviews. In this seminal article,
provide a visual representation Fig. 2 illustrates the the authors provide a comprehensive overview of
countries most engaged in the subject of interest. global GHG emissions originating from the residential
Based on the information analysis, it is notable that sector, offering valuable insights into this critical
the author with the highest number of published articles aspect of the energy landscape. Turning the attention to
on NetZero is B. K. Savacool, having published a total the social dynamics within the research field, characterized
of 16 works. These studies are recent, from 2021 to by the necessity for effective collaborations among
2023, and primarily focus on decarbonization strategies authors, it is evident that such collaborations remain
within specific industry sectors [16, 17]. This limited. Employing stringent criteria, requiring a
demonstrates his ongoing contributions to the evolving minimum of two documents and a minimum of 20
discourse in this critical domain. In contrast, the citations per author within the VOSviewer environment,
distinction of being the author with the highest number our analysis revealed the presence of 43 authors
196 A Bibliometric Analysis of the “NetZero” Process in the Energy Knowledge Domain

dispersed across 30 distinct clusters. This configuration exhibit noteworthy similarities. Fig. 3 shows the
results in an average of merely 1.4 authors per cluster, collaborative landscape within this field of research.
signifying that despite the substantial volume of The most frequently employed terms in this research
publications on NetZero within the energy field, a landscape are “Renewable Energies”, “Decarbonization”,
significant proportion of authors continue to operate in “Net-Zero”, and “Sustainability”. These keywords
relative isolation, even when their research themes have gained prominence relatively recently, with their

Fig. 2 Intensity of publications and citations by country.

Fig. 3 Social structure of NetZero research in the energy area.

 A Bibliometric Analysis of the “NetZero” Process in the Energy Knowledge Domain 197

Fig. 4 Keyword co-occurrence analysis.

usage becoming prominent since 2019, indicating their research endeavors on this subject. Fig. 4 illustrates the
status as emerging areas of interest. From 2019 to 2023, prevalence of these terms in the research, offering a
the selected sample of articles for this study garnered a visual representation of their significance and
total of 26,417 citations, representing a substantial 86% prominence within the scholarly discourse.
share of the citations received throughout the broader
4. Conclusions
period spanning from 2004 to 2023. It is noteworthy
that among the most highly cited articles from 2019 to The bibliometric research has unveiled a thriving
2023, all of them incorporated at least some of these and diverse field of study closely linked to the NetZero
commonly used terms. For instance, in 2019, the article process within the Energy sector. Over the course of
titled “Daily-Seasonal Operation in a Net-Zero Energy just two decades, a substantial body of work has
Building Powered by Hybrid Renewable Energies and emerged, comprising 1,948 works and garnering more
Hydrogen Storage Systems” not only featured the term than 30,700 citations, all dedicated to exploring
“net-zero” in its title but also prominently included it in various facets of this critical subject. Significantly,
the keywords and abstract. Similarly, the article “The most of these studies are notably recent, with an
Role of the Power Sector in Net-Zero Energy Systems”, astonishing 96% of both publications and citations
published in 2021 and cited 32 times, along with the originating from 2015 onwards. This timeline
2023 article “Exquisite Workmanship through Net- underscores the growing urgency and scholarly
Zero Emissions? The Effects of Carbon Emission attention directed towards NetZero initiatives. In terms
Trading Policy on Firms’ Export Product Quality”, of geographical involvement, the research spotlights
which received 10 citations, all prominently incorporated the primary countries that have been at the forefront of
these crucial terms. This substantial alignment between this subject matter. The United Kingdom, United
highly cited articles and the identified common terms States, China, Australia, and Canada emerge as the
underscores the vibrant research landscape in the field most prominent contributors, collectively accounting
of NetZero within the energy domain. It also provides for approximately 45% of all publications and 40% of
valuable insights into potential avenues for future the total citations.
198 A Bibliometric Analysis of the “NetZero” Process in the Energy Knowledge Domain

Acknowledgments [9] Castillo-Vergara, M., Alvarez-Marin, A., and Placencio-

Hidalgo, D. 2018. “A Bibliometric Analysis of Creativity
The authors thank INCT Energia & Ambiente, CNPq in the Field of Business Economics.” J. Bus. Res. 85: 1-9.
https://doi.org/10.1016/j.jbusres.2017.12.011.
for the financial support to this work.
[10] Thelwall, M. 2018. “Dimensions: A Competitor to Scopus
Conflicts of Interest and the Web of Science?” J. Informetr. 12 (2): 430-5.
https://www.sciencedirect.com/science/article/pii/S17511
The authors confirm that there are no conflicts of 5771830066X.
[11] Zupic, I., and Čater, T. 2015. “Bibliometric Methods in
interest.
Management and Organization.” Organ. Res. Methods 18
(3): 429-72.
Data Availability
[12] van Eck, N. J., and Waltman, L. 2014. “Visualizing
On behalf of all authors, the corresponding author Bibliometric Networks.” In Measuring Scholarly
Impact, edited by Ding, Y., Rousseau, R., and Wolfram,
states that there is no conflict of interest.
D. Cham: Springer International Publishing, pp.
285-320. http://link.springer.com/10.1007/978-3-319-
References
10377-8_13.
[1] IPCC. 2019. Refinement to the 2006 IPCC guidelines for [13] Coaresma Neto, C., da Cunha, M. P., and Guilhoto, J. J. M.
national greenhouse gas inventories. Londres: IPCC. 2021. “Assessment of Socioeconomic Impacts, Emissions
[2] Mouallem, J., Arif, M., Raza, A., Glatz, G., Rahman, M. and Share Potential of the Sugar-Energy Sector in the
M., Mahmoud, M., et al. 2024. “Critical Review and Meta- Brazilian Electricity Matrix, in the Context of NDC,
Analysis of the Interfacial Tension of CO2-Brine and H2- Applying a Bottom-Up Approach and Input-Output
Brine Systems: Implications for CO2 and H2 Geo-Storage.” Modeling.” Biofuels, Bioproducts and Biorefining 15 (5):
Fuel 356: 129575. 1245-63. https://onlinelibrary-wiley.ez10.periodicos.capes.
[3] McPherson, M., Rhodes, E., Stanislaw, L., Arjmand, R., gov.br/doi/full/10.1002/bbb.2231.
Saffari, M., Xu, R., et al. 2023. “Modeling the Transition [14] Ferreira, A. L., Tsai, D. S., Silva, F. B., Cremer, M. S., and
to a Zero Emission Energy System: A Cross-Sectoral Soares, M. Y. 2018. Emissões dos setores de energia,
Review of Building, Transportation, and Electricity processos industriais e uso de produtos: documento analise
System Models in Canada.” Energy Reports 9: 4380-400. 2018 [Internet]. Sistema de Estimativas de Emissões e
[4] Alves, C. T., Hocevar, L. S., Martins, L. O. S., Fernandes, Remoções de Gases de Efeito Estufa [SEEG].
F. M., and Coelho, R. S. 2023. “Evaluation of Energetic https://energiaeambiente.org.br/wp-
Matrix Scenario between Brazil, Germany, France and UK content/uploads/2018/01/Emissoes-dos-Setores-de-
to Attend NetZero Expectation: A Bibliometric Analysis.” Energia-e-Processos-Industrias-Documento-de-Analise-
Chem. Eng. Trans. 100: 583-8. 2018.pdf. (in Portuguese)
[5] Albort-Morant, G., and Ribeiro-Soriano, D. 2016. “A [15] Martins, L. O. S., de Amorim, I. R., de Mendes, V. A.,
bibliometric Analysis of International Impact of Business Silva, M. S., Mendonça Freires, F. G., and Torres, E. A.
Incubators.” J. Bus. Res. 69 (5): 1775-9. https://linkinghub. 2023. “Price and Income Elasticities of Industrial
elsevier.com/retrieve/pii/S0148296315004774. Electricity Demand in Brazil: Estimates and Implications
[6] Martín-Martín, A., Orduna-Malea, E., Thelwall, M., and of COVID-19.” International Journal of Energy Sector
Delgado López-Cózar, E. 2018. “Google Scholar, Web of Management.
Science, and Scopus: A Systematic Comparison of [16] Sovacool, B. K., Bazilian, M., Griffiths, S., Kim, J., Foley,
Citations in 252 Subject Categories.” J. Informetr. 12 (4): A., and Rooney, D. 2021. “Decarbonizing the Food and
1160-77. Beverages Industry: A Critical and Systematic Review of
[7] Barbose, G., Wiser, R., Heeter, J., Mai, T., Bird, L., Developments, Sociotechnical Systems and Policy
Bolinger, M., et al. 2016. “A Retrospective Analysis of Options.” Renewable and Sustainable Energy Reviews 143:
Benefits and Impacts of U.S. Renewable Portfolio 110856.
Standards.” Energy Policy 96: 645-60. https://linkinghub. [17] Griffiths, S., Sovacool, B. K., Furszyfer Del Rio, D. D.,
elsevier.com/retrieve/pii/S0301421516303408. Foley, A. M., Bazilian, M. D., Kim, J., et al. 2023.
[8] Marques, R. S., Martins, L. O. S., Fernandes, F. M., Silva, “Decarbonizing the Cement and Concrete Industry: A
M. S., and Freires, F. G. M. 2020. “Wind Power and Systematic Review of Socio-Technical Systems,
Competitiveness: A Bibliometric Analysis.” Inf. & Soc: Technological Innovations, and Policy Options.”
Est. 30 (2): 1-37. Renewable and Sustainable Energy Reviews 180: 113291.
 A Bibliometric Analysis of the “NetZero” Process in the Energy Knowledge Domain 199

[18] Lu, Y., Alghassab, M., Alvarez-Alvarado, M. S., Gunduz, Building Design.” Sustainability 12 (14): 5570.
H., Khan, Z. A., and Imran, M. 2020. “Optimal [19] Lu, Y., Zhang, X. P., Li, J., Huang, Z., Wang, C., and Luo,
Distribution of Renewable Energy Systems Considering L. 2019. “Design of a Reward-Penalty Cost for the Promotion
Aging and Long-Term Weather Effect in Net-Zero Energy of Net-Zero Energy Buildings.” Energy 180: 36-49.