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Environmentally Sound Technologies for Sustainable Development Revised 21/09/03

(FRONT COVER)

REVISED DRAFT

Environmentally Sound Technologies

for Sustainable Development

May 21, 2003

International Environmental Technology Centre Division of Technology, Industry and Economics

United Nations Environment Programme


(INSIDE FRONT COVER)

Environmentally Sound Technologies The definition of Environmentally Sound Technologies (ESTs) is based on Agenda 21, which arose from the UN Conference on Environment and Development (UNCED), otherwise known as the Earth Summit, held in 1992. Chapter 34 of Agenda 21 defines ESTs as technologies which:

• protect the environment; • are less polluting; • use all resources in a more sustainable manner; • recycle more of their wastes and products; and • handle residual wastes in a more acceptable manner than the technologies for which they

are substitutes. ESTs are therefore technologies that have the potential for significantly improved environmental performance relative to other technologies. Agenda 21 also contains several other important statements to guide interpretation of this definition, with emphasis on facilitating the accessibility and transfer of technology, particularly in developing countries, as well as the essential role of capacity building and technology cooperation in promoting sustainable development. It states that:

New and efficient technologies will be essential to increase the capabilities (in particular of developing countries) to achieve sustainable development, sustain the world’s economy, protect the environment, and alleviate poverty and human suffering. Inherent in these activities is the need to address the improvement of technology currently used and its replacement, when appropriate, with more accessible and more environmentally sound technology.

ESTs are not just individual technologies. They can also be defined as total systems that include know-how, procedures, goods and services, and equipment, as well as organisational and managerial procedures for promoting environmental sustainability. Based on these characteristics, the definition of ESTs:

• applies to the transition of all technologies in becoming more environmentally sound; • captures the full life cycle flow of the material, energy and water in the production and

consumption system; • covers the full spectrum from basic technologies that are adjunct to the production and

consumption system, to fully integrated technologies where the environmental technology is the production or consumption technology itself;

• includes closed system technologies (where the goal is zero waste and/or significant reductions in resource use), as well as environmental technologies that may result in emissions; and

• considers technology development within both the ecological and social context. The adoption and use of ESTs must be underpinned by the concomitant development of more holistic environmental management strategies, taking into account the need for culturally appropriate, ecologically sustainable solutions. Transparency and accountability are fundamental prerequisites. Baselines, benchmarks, codes of practice and indicators of sustainable development are tools for assessing the performance of technological systems on a continuous basis and for modifying future strategies.


Executive Summary Sustainable development is development that meets the needs of the present without compromising the ability of future generations to meet their own needs. It is a process of change in which the use of resources, investment strategies, technological development, and institutional change are all in harmony and enhance both current and future potential to meet human needs and aspirations. Because sustainable development is a context-driven concept, different societies tend to define it based on their own values, needs and expectations. Our global interdependence and vulnerability have never been more pronounced. We are now experiencing an extraordinary period of innovation, when a combination of new technologies and new lifestyle choices can help us to reduce dramatically the environmental “footprint” each of us imposes on the world. New and emerging technologies offer enormous opportunities for raising productivity and living standards and for improving health, while at the same time reducing consumption and conserving the earth’s natural resources. Ecology is at the centre of these interactive natural, social and technological forces, and for the survival of society the very highest priority must be given to maintaining the integrity of the ecosystem as a whole. The scale of a particular technology or technological system, the intensity and dynamics of its application and its interaction with society all have to be taken into account. Our human capacity to understand the workings of our ecosystem confers upon us the responsibility to do this. Better policies and procedures are urgently needed to reduce the extent of damage to the biosphere until more adequate, ecologically sound approaches can be provided. Two strategies for change are required – a near term, adaptive strategy to manage current conditions; and a long term, reconstructive strategy to establish comprehensive goals for sustainable development and to implement the necessary actions for their attainment. These strategies must be designed to prevent high risk, irreversible decisions that might result in the foreclosure of future possibilities. If the determination of priorities is to reflect sound judgement, a precondition must be the integration of ecological factors within the decision-making process. Improved means of measuring and forecasting ecological changes are certainly needed, as are ecological monitoring and observation techniques to identify what should and should not be done. Avoiding unnecessary foreclosure of future opportunities and avoiding unwanted irreversible effects, based on a precautionary approach, is often more effective than remedial measures or complex programmes that may not be operationally viable. Environmentally Sound Technologies (ESTs) are technologies that have the potential for significantly improved environmental performance relative to other technologies. ESTs protect the environment, are less polluting, use resources in a sustainable manner, recycle more of their wastes and products, and handle all residual wastes in a more environmentally acceptable way than the technologies for which they are substitutes. ESTs are not just individual technologies. They can also be defined as total systems that include know-how, goods, services, and equipment, as well as organisational and managerial procedures. The environmental performance of a technology is reflected in its impacts on specific human populations and ecosystems, and is influenced by factors such as the availability of supporting infrastructure and human resources for the management, monitoring and maintenance of the technology. The environmental soundness of technology is also influenced by temporal and geographical factors. What could be environmentally sound in one country or region might not be in another. It is also important to recognise that the development and implementation of


complex, sophisticated, and very expensive new technologies may exacerbate existing inequalities between rich and poor nations, or create new ones. This makes it important to ensure that the adoption and use of technologies reflects local circumstances and meets local needs and priorities, to increase the likelihood of successful application. The environmental performance of technologies is not well understood by many decision-makers, largely due to the inadequacy of information and decision support tools used to quantify and qualify their benefits. Linking environmental practices to commercial success in a financially credible manner can have profound implications on how environmental performance information is collected, analysed, and communicated. Unfortunately, uniform reporting measures remain elusive, and the variety of approaches for reporting environmental performance information often makes it difficult, if not impossible, to compare technologies, products and services. The challenge is even greater in the context of developing countries, given the complexity of factors that influence and determine investment decisions. Encouraging the adoption and use of ESTs requires a combination of voluntary approaches and a regulatory framework that nurtures both innovation and environmental accountability. There needs to be greater clarification of existing environmental rules and regulations, as well as better coordination and harmonisation with international standards. Enacting policies that lower costs and stimulate a demand for ESTs is also necessary to achieve the environmental benefits that otherwise might not be realised. The effectiveness of ESTs depends on having both broad-based and expert input into their development, adoption and ongoing monitoring. Governments, the private sector and citizens must all be involved. Systems for collecting, synthesising and feeding back information and knowledge on ESTs must be developed and maintained. By focusing public and private interests on the needs of developing countries, substantial progress could be made. To guide this process, actions are urgently needed now to establish policy objectives and priorities within a strategic framework which are supportive of environmentally sound technologies, ultimately leading to their adoption and use.


Table of Contents Preface ............................................................................................................................................. 1 1. Technology and Sustainable Development ............................................................................. 2

1.1 The Emergence of Technology ....................................................................................... 2 1.2 Technology and Society .................................................................................................. 2 1.3 Technology and Science.................................................................................................. 3 1.4 Environmentalism and Sustainable Development ........................................................... 3 1.5 Technological Innovation................................................................................................ 5 1.6 Technological Diversity .................................................................................................. 5 1.7 Technology Dissemination and Globalisation................................................................. 7

2. Technology Applications and Market Drivers ........................................................................ 8 2.1 Enabling Technologies .................................................................................................... 8

2.1.1 Information and Automation ................................................................................... 8 2.1.2 Biotechnology.......................................................................................................... 8 2.1.3 Advanced Materials and Processes.......................................................................... 9

2.2 Energy ............................................................................................................................. 9 2.2.1 Renewable Energy................................................................................................. 10 2.2.2 Energy Efficiency.................................................................................................. 10

2.3 Water ............................................................................................................................. 11 2.4 Urbanisation .................................................................................................................. 12

2.4.1 Buildings and Infrastructure .................................................................................. 13 2.4.2 Transportation........................................................................................................ 14 2.4.3 Waste Management ............................................................................................... 14

2.5 Eco-Efficiency............................................................................................................... 14 3. Environmentally Sound Technologies .................................................................................. 16

3.1 Defining Environmentally Sound Technologies ........................................................... 16 3.2 Technology Development Cycle ................................................................................... 18 3.3 Appropriateness of Technology..................................................................................... 18 3.4 Ecological Engineering ................................................................................................. 19 3.5 Cleaner Production and Zero Emissions ....................................................................... 20 3.6 Ecological Services ....................................................................................................... 21

3.6.1 Valuation of Ecological Services .......................................................................... 21 3.6.2 Managing Ecological Services .............................................................................. 22

4. Factors Influencing the Adoption and Use of ESTs .............................................................. 24 4.1 Technology Transfer and Cooperation .......................................................................... 24 4.2 Building Capacity.......................................................................................................... 25 4.3 Science and Technology Investment ............................................................................. 27 4.4 Budgeting and Procurement .......................................................................................... 28 4.5 Balancing Voluntary and Regulatory Approaches ........................................................ 29 4.6 International Standards.................................................................................................. 30 4.7 Ecosystems Integrity ..................................................................................................... 30 4.8 Risk Management.......................................................................................................... 31 4.9 Political and Institutional Considerations...................................................................... 32 4.10 Stakeholder Involvement........................................................................................... 33

5. EST Performance .................................................................................................................. 37 5.1 Linking Environmental and Financial Performance...................................................... 37 5.2 A Framework for EST Selection ................................................................................... 39 5.3 Environmental Performance Indicators ......................................................................... 40 5.4 EST Criteria................................................................................................................... 42


5.5 Monitoring and Reporting ............................................................................................. 43 6. Applying Various Assessment Tools .................................................................................... 45

6.1 Technology Assessment ................................................................................................ 47 6.2 Environmental Risk Assessment ................................................................................... 47 6.3 Life Cycle Assessment .................................................................................................. 48 6.4 Ecosystems Valuation ................................................................................................... 48 6.5 Third Party Conformity Assessment ............................................................................. 48

6.5.1 Verification............................................................................................................ 49 6.5.2 Certification........................................................................................................... 50 6.5.3 Accreditation ......................................................................................................... 50

6.6 Examples of Conformity Assessment............................................................................ 50 6.6.1 Product Labelling .................................................................................................. 50 6.6.2 Technology Verification........................................................................................ 51 6.6.3 GHG Emissions Verification................................................................................. 52 6.6.4 Environmental Management Systems ................................................................... 52 6.6.5 Environmental Benchmarking and Reporting ....................................................... 53 6.6.6 Environmental Technology Information Systems ................................................. 53

6.7 EST-PA: An Integrated Approach to EST Performance Assessment ........................... 54 7. EST Action Plan .................................................................................................................... 56

7.1 Establishing Objectives and Priorities for ESTs............................................................ 57 7.2 Implementing EST Policies and Programmes ............................................................... 58

7.2.1 Social Systems....................................................................................................... 59 7.2.2 Corporate Systems................................................................................................. 59 7.2.3 Legal Systems........................................................................................................ 59 7.2.4 Financial Systems.................................................................................................. 59 7.2.5 Technological Systems.......................................................................................... 60 7.2.6 Information Systems.............................................................................................. 60

7.3 EST Initiative - Partner Organisations........................................................................... 60 7.4 EST Initiative – Next Steps ........................................................................................... 61 7.5 Anticipated Benefits ...................................................................................................... 62

Appendix A – Proposed Checklists for Identifying and Selecting ESTs ...................................... 63 Appendix B -- Selected EcoLabelling Programs........................................................................... 67 Appendix C -- Selected Environmental Technology Verification Programs ................................ 76 Appendix D -- Selected GHG-Related Verification Initiatives..................................................... 81 Appendix E -- Selected EMS Programs ........................................................................................ 87 Appendix F -- Selected Reporting and Benchmarking Initiatives................................................. 91 Appendix G -- Selected Environmental Technology Information Systems .................................. 95 Appendix H – EST Initiative: Commitments of Partner Organisations ...................................... 100 Bibliography................................................................................................................................ 103


Preface Many of the world’s environmental problems are due to a lack of understanding of the impact of human activity upon the environment. New management methods and decision support tools must therefore be developed and applied. The implementation of sustainable solutions must be part of an integrated management and governance framework which addresses the needs of the present without compromising the ability of future generations to meet their own needs (WCED 1987). This involves improving the quality of human life while living within the limits of supporting ecosystems (IUCN/UNEP/WWF 1991). It involves transforming decision-making and basing it upon the triple imperative of long-term ecological, social and economic security (“the triple bottom line”), specifically:

• living within the limits of local and global biophysical carrying capacity and biodiversity (the ecological imperative);

• ensuring that basic needs are met through democratic systems of governance and equity (the social imperative); and

• ensuring a vibrant economy based on eco-efficiency and sustainability (the economic imperative).

Sustainable development is central to the mandate of the International Environmental Technology Centre (IETC) of the United Nations Environment Programme (UNEP). This document has been prepared to highlight the importance of environmentally sound technologies (ESTs) in achieving sustainable development objectives. It provides a foundation for the UNEP Initiative on ESTs. The initiative arose from Agenda 21 of the 1992 United Nations Conference on Environment and Development (UNCED) and has subsequently evolved in support of the implementation plan of the 2002 World Summit on Sustainable Development (WSSD). In launching this initiative, UNEP is seeking to promote the application of ESTs in developing countries and countries with economies in transition. This involves improving access to information on ESTs and helping to build global capacity for their identification, adoption and use. This document can be considered in two parts. The first, consisting of Sections 1 through 4, provides a perspective on the role of technology in sustainable development. Section 1 offers an introductory perspective on technology, science and society in relation to sustainable development and globalisation. Section 2 examines the emergence of the “enabling technologies” and some key areas such as energy, urbanisation and waste, where eco-efficient technology applications are needed. Section 3 focuses on the definition of environmentally sound technologies and some of the related concepts which offer the potential for integrated solutions which take into account social, economic, and environmental factors. Section 4 reviews some of the factors which influence the adoption and use of ESTs, and examines the transfer and diffusion of environmentally sound technologies and the nurturing of technological capacity in developing countries. The second part, consisting of Sections 5, 6 and 7, focuses on tools and methodologies for promoting the adoption and use of environmentally sound technologies, as well as recommended actions for moving forward. Section 5 provides an overview of the key indicators and criteria for determining the environmental performance of technologies. Section 6 focuses on the application of various decision support tools to facilitate the selection of ESTs. Section 7 outlines some of the areas where actions are required to facilitate the adoption and use of ESTs.

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1. Technology and Sustainable Development

1.1 The Emergence of Technology

The word “technology” refers to the application of science and engineering to study problems and provide solutions. It is derived from the Greek word tekhne, which means art, craft or skill. Today, technology is usually defined more broadly to include tools, extensions of humankind’s capabilities and the evolution of societal and ecological systems. Basic tools, such as the early hunting tools of humans, were originally used to serve simple needs, characterised by sameness and repetition. Over time, some of these tools were refined, but their functions generally remained unchanged. When the quantities of tools produced were relatively small, humans could remain detached and anything that seemed dangerous and unsatisfactory could be abandoned. Humans simply moved to new hunting grounds or pastures and nature had the capacity to absorb the minor interferences of humans over time. In this early stage of human evolution, needs were thought of as a collection of independent parts which could be dealt with separately, and hence adequate control of the immediate environment seemed to be achievable. Technology and population growth transformed the search for enough to the quest for more. The Industrial Revolution is illustrative of this. It produced a cluster of interrelated changes, from new technologies to political-economic-social reforms . The invention of the steam engine resulted in new production processes which in turn generated new production units and work patterns. Factories were built, resulting in the movement of people from country to city. Capital resources were used to intensify mechanisation and automation, eventually leading to new social structures and cultural changes driven by technological and economic demands. More recently over the past 50 years, global markets began to open up and trans-national corporations began to decentralise. Older industrial centres declined, while new plants were constructed, often in poorer countries with cheaper labour and fewer regulations. Capital was freed from its traditional dependence on labour, and a new international economic order surfaced. In many countries, the trading and industrial production activities which emerged increased society’s appetite for even more. Today, the rapidity of change and the impact of technological developments on society are dramatic. Around the world, new technologies – especially information, both biotechnological and military – are being developed and applied at rates faster than ever before. In many cases, the speed of this increase is far greater than the ability of society to adapt. With this accelerated pace and increased scale of production and consumption, it has become clear that previous experiences and old ways of thinking are no longer adequate in dealing with new problems. The complexity of factors with which humans must now deal has become so great that it is virtually impossible to grasp them in the framework of a simple deterministic relationship. As a result, stresses between humans and their habitat have intensified.

1.2 Technology and Society

Technology serves humans collectively as well as individually and is dependent on social structure. The institutional framework that emerges from this influences our comprehension of technology. The more useful the technology, the greater the change it can bring to behavioural patterns and social structure. Society has become very dependent on technologies, and for the most part cannot function without them. However, by their very presence, technologies often

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lead us to search for solutions to problems that are perceived as technological, even though the problem may not have been technological to begin with. Technologies are not just tools that we put to good or bad use. They reflect our cultural values and have altered the nature of human consciousness. The history of human endeavour is often characterised by the struggle to overcome physical limitations. As a result, success in reaching beyond natural limitations forms the cultural tradition of many societies. For example, some view technology as a means to control nature. They believe that the problems created by one technology can be solved by another. Yet humans are both part of and dependent on nature. The human and environmental consequences of technological choices and the extent to which we are shaped by technology needs to be recognised.

1.3 Technology and Science

The swift growth of science is at the core of technological growth. Science has been so successful that it has given considerable power to those who control its development. Jeremy Rifkin notes that:

All technologies are power. Technologies change the equation of nature by giving human beings a distinct advantage over each other and other species… The tools we create are saturated with power because their whole reason for being is to provide us with an advantage. (Rifkin 1985)

The principal achievement of science is the accumulation of precise knowledge, and the potential to apply it in a variety of beneficial ways. However, it is important to recognise that scientific work is usually undertaken with some purpose in mind and therefore cannot be value free. As Milbrath points out:

every expenditure of energy, time, and money in scientific inquiry is an expression of one or more values. A scientist choosing a line of inquiry is expressing a belief in that line of inquiry as being more valuable than others. (Milbrath 1989)

Evaluating and applying scientific knowledge inevitably leads to difficult choices which are ultimately shaped by values. When scientists choose to proceed with a line of inquiry, they are usually only addressing a part of reality. It is therefore better to regard science as an evolutionary process in which accepted “truth” is subjected to rigorous review and criticism from different disciplines and stakeholders from all segments of society. The belief of many scientists that scientific activity is value free makes it difficult for the scientific community to regulate itself. Political authorities also have difficulty understanding and controlling science. Thus, the control of science, and the power it creates, usually resides within those societal entities that control funding for its development. In market-driven societies, much of this control and power is within large corporations and therefore it is incumbent upon them to manage their activities and investments in an environmentally and socially responsible manner.

1.4 Environmentalism and Sustainable Development

Although many cultures around the world are based on harmonious relationships with nature, environmentalism as a popular concept within industrialised nations surfaced in the 1960s. During this period, many scientists began to express their concern for environmental issues such as the effects of pollution and the depletion of non-renewable natural resources. There was also an increase in public concern for the welfare of the natural environment and nature conservation organisations and public interest groups were formed specifically to draw attention to this.

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Environmentalism in the ‘60s and ‘70s was generally seen as antagonistic towards industry and economic growth, and initially had little support from mainstream economists and industrialists. However, while some governments were reluctant to acknowledge the presence of global environmental problems, or to recognise the possibility of a global ecological crisis, others, mostly in wealthier nations, responded to public pressure and introduced pollution control regulations and other forms of environmental legislation. In 1968, the Biosphere Conference recommended that member states of all United Nations organisations:

develop comprehensive and integrated policies for management of the environment, and that international efforts and problems be considered in the formulation of such policies. (UNESCO 1969)

Building on this, the United Nations General Assembly convened the United Nations Conference on the Human Environment in 1972. This conference provided the basis of a framework for international cooperation in addressing environmental problems. A second wave of environmentalism began to gain momentum in the late 1980s, driven by evidence about depletion of the ozone layer and the build-up of greenhouse gases in the atmosphere. An important milestone was the release of the Brundtland Report in 1987 by the United Nations World Commission on Environment and Development. The Brundtland Report argued that the world needs both environmental protection and economic development and that sustainable forms of development should be encouraged. The report defined sustainable development as “development that meets the needs of the present without compromising the ability of future generations to meet their own needs”, noting that:

sustainable development is a process of change in which the exploitation of resources, the direction of investments, the orientation of technological development, and institutional change are all in harmony and enhance both current and future potential to meet human needs and aspirations.

The Brundtland Report was approved in the UN General Assembly and sustainable development was accepted as a national goal by the governments of 100 nations. While many individuals and interest groups agree that the environment must be protected, they often have different ideas about what specific aspects should be protected and how it should be protected. In other words, although they may agree that the pursuit of sustainable development is important and necessary, they often disagree about how it should be pursued. The Brundtland Report recognises this and makes room for different interpretations of sustainable development to suit different societal goals. Nevertheless, some critics of the Brundtland Report have argued that the report considers the environment from the perspective of affluent industrialised nations, and should instead examine development and the environment from the perspective of poorer communities in developing countries. Thus, rather than primarily focusing on reducing the environmental impact of existing economic practices, affluent industrialised nations should focus on changing existing economic practices in order to ensure that poorer nations have the potential to secure a sustainable future. Others see the Brundtland Report as a major milestone in raising awareness about the importance of global ecosystems. They argue that global change is a dynamic process that must be understood from a holistic and ecological perspective. What happens on one part of the planet will have some kind of effect, at some time, on all other parts. In describing the interaction of parts within the whole, physicist Fritjof Capra uses the metaphor of a web of interrelated events, relationships and technologies all in relatively stable patterns within a global ecosystem. Similarly, the Brundtland Report refers to “a complex and interlinked ecosystem”, and the need to

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take into account “the system-wide effects of exploitation”. Sustainable development requires the conservation of ecosystems and the maintenance of biodiversity in order to enhance the options of future generations. Common to both of these perspectives is the recognition that our global interdependence and vulnerability have never been more pronounced. On the one hand, through science and technology, humans are in the unique position of being largely responsible for their own environment, while on the other, unexpected threats have arisen from the by-products of scientific and technological developments. Ecology is at the centre of these interactive natural, social and technological forces and thus it can be argued that the highest survival value for society is to maintain the integrity of the ecosystem as a whole. Our human capacity to understand the workings of our ecosystem confers upon us the responsibility to do this.

1.5 Technological Innovation

Technological innovation confers new capabilities or allows old functions to be performed with greater efficiency. New technologies are rooted in scientific developments on the one hand, and in responses to market and societal demand on the other. This implies a creativity that is not always based on rational behaviour. It also implies that in order to be able to respond to societal changes and demands, one must try to foresee these demands, as well as the factors and issues that may inhibit innovation. We are now in the middle of an extraordinary period of innovation, when a combination of new technologies and new lifestyle choices can help us to reduce dramatically the environmental “footprint” each of us imposes on the rest of the world. Some refer to this as an era of super-innovation, where different technologies spur each other on to create totally unexpected solutions to problems that many people thought were insoluble. It is also important to recognise that the sharp separation we have drawn in order to compare the negative and positive aspects of technological progress is a somewhat artificial one. For example, negative environmental impacts such as automobile emissions can give rise to a new wave of innovation in the transportation sector. This type of innovation, initially directed at a narrow problem, can stimulate exploration of related “breakthroughs” that may not have been thought of had the negative externality not occurred. Another important technology innovation driver is the effect of a particular innovation in generating demand for others that may be required to make it economically successful. An example is the impact of information technology and communications on the demand for innovative energy and materials technologies and processes. Another example is the development of closed-cycle manufacturing or food production systems in which most of the unused material inputs and production wastes are recycled. Understanding how clustering and synergism among innovations affect the generation of both negative and positive externalities is a major challenge. There is the need to better understand cross-industry and cross-national linkages among innovations and their qualitative and quantitative importance within the context of economic growth, investment, trade and overall economic performance.

1.6 Technological Diversity

In the early stages of the emergence of a new industry built around a fundamental innovation, the structure of the industry is very fluid, characterised by a high degree of diversity and

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experimentation. Frequently, there are many small firms, exploring somewhat different technological approaches. Competition tends to be focused on technological innovations aimed primarily at product performance rather than price, or even on certain qualities such as reliability, compatibility with other products of the same genre, or service and maintenance. As competition continues, one particular technological approach begins to emerge as the dominant technology. Competition begins to centre more on successive incremental improvements to this dominant technology and on cumulative manufacturing and managerial innovations that bring down production costs and improve reliability and standardisation. As the dominant technology emerges, its competitive position increasingly benefits from the cost advantages due to higher volume production than its competitors, both in terms of direct economies of scale and in terms of the progressive refinement of manufacturing, services and marketing. The very success of the dominant technology, however, tends to steadily narrow the technical basis of competition and the search for cumulative improvements covers a smaller and smaller domain of technical possibilities, even as it becomes more intensive within that domain. In the process, many possibilities which may have been very promising in their early experimental stage of development often decline. Options that might have been inherently superior either in cost or performance or both, but might require more development or depend on more numerous or more problematic ancillary innovations, may simply fall by the wayside because of the growing cost advantage of the dominant technology. Moreover, in a technical race increasingly focussed on cost reduction, factors pertaining to the social impacts or the risks of the technology also receive less attention. As the technology and the industry mature and the scale of application increases, certain disadvantages often begin to appear. New problems arising from the scale of application emerge just when the broad type of R&D program that might have helped anticipate such problems has been phased out, because it was no longer in the main line of development necessary for the commercial success of the dominant technology. It is often at this point that the dominant technology can become vulnerable to unexpected side effects which can generate a societal reaction against it. The phenomenon of unexpected side effects arising from the application of dominant technologies is sometimes referred to as “technological monocultures”. This idea is analogous to agricultural or forest monocultures which, because of their density, become vulnerable to insect pests, pathogens, environmental stresses, or the absence of ancillary inputs, such as water or fertiliser. Like agricultural monocultures, technological monocultures are highly successful in a stable and predictable environment or market. While generally more efficient than the alternatives, they are often less robust when conditions become less predictable. Similar to the maintenance of genetic diversity in natural and constructed ecosystems, there is an inherent value in the maintenance of technological diversity. The existence of diversity and the considerable depth of knowledge about many alternative technological options is a potential source of systemic self-renewal and adjustment to new circumstances. Such technological diversity has a social value that is not captured by the usual considerations of efficiency, market share, or organisational growth, which tend to drive the evolution of technological systems in industrial societies. An overall system that is less efficient or more costly because it requires the infrastructure for a diversity of technologies may nevertheless have greater viability or survival potential in an environment subject to sudden changes or discontinuities in the longer term. However, because there are usually very few immediate rewards to organisations, or even nations, in directing their efforts toward maintaining such diversity, the advantages of such diversity are more likely to be realised over a longer period of time.

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1.7 Technology Dissemination and Globalisation

The potential of a particular technology depends on its application in a particular economic, social and political field, which dictates how, when, and where it will be used. Even though a technology or a technological system may be developed, it will not be implemented or exploited in the absence of supporting political and economic infrastructure. Conversely, economics or politics can act as a driver for some technological developments. These choices are further complicated by the emergence of new technologies that, combined with information technologies, are transforming our collective knowledge and our lives. Even though technology gives us the means to communicate globally, the way we do it depends on non-technical choices. The globalisation of the world economy has been accompanied by globalisation of the process of technological innovation. Innovations developed by one industry in one country often become standard practice for that industry worldwide. Increasingly, this is happening in a much shorter time than in the past. This leaves less time for society to assess the potential impacts of new technologies and affords less opportunity for countries to control or regulate the secondary effects of technology within their own boundaries. Furthermore, international competition often forces the rapid adoption of some technologies internationally, with little opportunity for individual societies to decide whether or not they wish to accept (or have the capacity to accept) the associated social or environmental consequences. It is somewhat misleading to describe the adoption and spread of new technologies as exclusively positive or benign. The acceleration of the adoption of a new technology frequently implies acceleration of the abandonment of an old one, or the displacement of a part of the labour force. Moreover, the sudden acceleration of adoption rates beyond a certain threshold leaves less time for assessment of longer term social costs and for planning the necessary social adaptations, such as retraining the work force, managing new types of effluents or wastes, or changing international trade relations. An important related aspect is regulation, which for the most part is decided upon through national, political mechanisms. National controls on the use of technologies, particularly new or emerging technologies, are difficult or impossible to implement without a high level of cooperation and agreement with the proponents of these technologies, as well as with other nations. Technological progress has also greatly reduced the dependency of human societies on the diversity of resources from their immediate environments. People are now capable of moving resources over large distances and transforming them extensively. In many cases, with access to greatly expanded resource catchments, people no longer suffer from depletion of resources in their immediate environments. Unfortunately, when this occurs, there is often little motivation for sustainable use and promotion of diversity of resources at the local level. In some cases, the pressures of resource extraction are transferred to locations further away, often inhabited by people with little economic or political influence. For the societies in these peripheral areas, this can result in the loss of control over their own resources and the inability to regulate the unsustainable use of these resources. Under such circumstances, the motivation to use local living resources in a sustainable manner and conserve local biodiversity is often lost, and they become suppliers of whatever they can gather for larger markets. This tends to occur in an unsustainable fashion, contributing to overall environmental degradation.

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2. Technology Applications and Market Drivers As noted in the Brundtland Report:

Technology will continue to change the social, cultural, and economic fabric of nations and the world community. With careful management, new and emerging technologies offer enormous opportunities for raising productivity and living standards, for improving health, and for conserving the natural resource base. Many will also bring new hazards, requiring an improved capacity for risk assessment and risk management.

There is no single variable called “technology”. The scale of a particular technology or technological system, the intensity and dynamics of its application, and its interaction with the society, must all be considered.

2.1 Enabling Technologies

Three major groups of technologies are revolutionising industrial processes around the world – information, biotechnology and advanced industrial materials. Referred to as the “enabling technologies”, they are responsible for creating a multitude of new products and services and transforming production methods in almost every sector of the global economy. In a knowledge-based economy, scientific understanding and appropriate applications of these enabling technologies are important determinants of sustainable economic growth. They represent an opportunity for society to move towards more sustainable, eco-efficient industries, processes and products. Governments have a key role in stimulating and participating in the development of these enabling technologies.

2.1.1 Information and Automation

Information and automation, based chiefly on advances in micro-electronics and computer science, is one of the enabling technology areas. Coupled with rapid advances in the means of communication, information and automation can help improve productivity and resource efficiency. In industrialised nations, computerisation and automation have transformed traditional manufacturing and service industries. Similarly, the use of geographic information systems (GIS), incorporating remote sensing and satellite imagery, is helping to optimise the use of the earth’s resources, permitting the monitoring and assessment of long-term trends in climate change, marine pollution, soil erosion rates, and plant cover. GIS-based weather forecasting services provided through satellite and communication networks can help farmers decide when to plant, water, fertilise and harvest crops. Information technologies encourage decentralised information flow and generally improve access to information. This tends to encourage networks instead of hierarchies, processes instead of products, and cooperation instead of competition.

2.1.2 Biotechnology

Biotechnology is another enabling technology, and its rapid application in recent years has resulted in an explosion of knowledge and innovation. Biotechnology offers the potential for cleaner and more efficient alternatives to many processes and products, as well as new techniques to treat solid and liquid wastes. There are also numerous examples of genetic engineering applications which can dramatically improve quality of life. Examples include new drugs for controlling disease, energy derived from plants that can substitute for non-renewable fossil fuels, and new high-yield crop varieties resistant to unfavourable weather conditions and pests.

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Although biotechnology can provide many innovative environmental management solutions, some biotechnology products and processes have significant social and environmental implications. Effective strategies and operational procedures are needed to ensure that waste streams do not become a route for accidental releases of genetically engineered organisms. There needs to be full consideration of the magnitude and diversity of issues and socio-political, economic and environmental risks which surround biotechnology and an open dialogue in order to ensure that the objectives of sustainable development and biological diversity are not compromised. Some feel that until these questions are answered in a satisfactory way, the development of biotechnology should be limited to the effective use of existing genetic material. They point out the wealth of genetic diversity, especially in tropical areas such as rain forests, and that wild plants and organisms are sources of gums, oils, resins, dyes, tannins, vegetable fats and waxes, insecticides, and many other compounds that can help in the manufacture of fibres, detergents, starch, pharmaceuticals and other products.

2.1.3 Advanced Materials and Processes

Similar to information technology and biotechnology, advanced materials and processes are altering the production and consumption patterns of society. Cutting across multiple industries, they permit more flexible approaches to manufacturing and resource utilisation. Examples of these cross-cutting technologies are ceramic composites for combustion purposes, inert anodes for aluminum smelting, advanced electrodialysis for chemical separation, and impulse drying for forest products, among others. These advanced industrial materials and process technologies are more resource and energy efficient, and for the most part, more environmentally appropriate than conventional technologies. A related area is the application of nanotechnology, the science of constructing or disassembling materials and products atom by atom, similar to the way that things are structured in nature. This is radically different than conventional material processing technologies which handle molecules in bulk, through heating, hammering, cutting, etc.

2.2 Energy

Regardless of how energy is produced and consumed, there are significant economic , environmental and social impacts. As suggested in Figure 1, these impacts span the full energy cycle ranging from collection, conversion and transmission, through to energy use and recovery. Since 1950, humankind has consumed more natural resources and produced more pollution and waste than in history. Today, perhaps the most significant environmental problem associated with excessive resource consumption is climate change. Society needs to learn how to use energy more efficiently and to reduce energy consumption without materially affecting quality of life. There is also the need to increase the overall proportion of renewables within the total energy mix.

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Figure 1: Simplified Schematic of the Energy Cycle

Collection Conversion Transmission Application Recovery

2.2.1 Renewable Energy

An important concept in the definition of energy options is the distinction between “soft” and “hard” energy. Soft energy is produced in smaller units that can be widely dispersed and readily controlled by ordinary people. By contrast, hard energy structures are large, centralised and difficult for ordinary people to control. An example of hard energy is nuclear power, which in its current configuration is too complex to allow many dispersed units to become providers. An example of soft energy is solar energy, which utilises comparatively simple technologies that can be understood and constructed by many people. Soft technologies can be locally constructed, maintained and controlled with minimal environmental impacts. Because there are many production units using a variety of technologies, the entire energy mix of a community is less vulnerable to breakdown. Also, because the producing units are small and dispersed, the technology is more adaptable to social change. Large, centralised structures, by contrast, lock society into their long term use and maintenance. Renewable sources of energy offer the potential for huge amounts of sustainable energy in perpetuity, available in one form or another to people worldwide. Most renewable energy systems operate best at small to medium scales and are often more labour intensive, which is an added benefit where jobs are needed. They are less susceptible than fossil fuels to wide price fluctuations and foreign exchange costs, which can help countries move towards energy self-reliance. As noted in the Brundtland Report, a steady transition to a broader and more sustainable mix of energy sources is needed. Renewable energy sources could contribute substantially to this, however a sustained commitment to further research and development is still necessary for this potential to be fully realised. The wider scale development and utilisation of renewable energy also depends on the reduction or removal of certain economic and institutional constraints. In some countries, hidden subsidies built into legislative and energy programmes for research and development, depletion allowances, tax write-offs, and direct support of consumer prices, tend to favour conventional fuels versus renewables.

2.2.2 Energy Efficiency

Energy efficiency is perhaps the most environmentally benign, cost-effective “source” of energy. The energy consumption per unit of output from efficient processes and technologies is one-third to one-half that of more conventional equipment. This is true of appliances for cooking, lighting and refrigeration, and space cooling and heating – needs that are growing rapidly in most countries and putting considerable pressure on existing energy supply systems. This is also the case for agricultural cultivation and irrigation systems, the automobile and many other industrial processes and equipment.

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Given the large disproportion in per capita energy consumption between developed and developing countries, the scope and need for energy saving is potentially much higher in industrialised than in developing countries. Nonetheless, energy efficiency is important everywhere and there are significant opportunities for reducing energy consumption and peak power demand without the loss of output or social wellbeing. The Brundtland Report points out that:

…the woman who cooks in an earthen pot over an open fire uses perhaps eight times more energy than an affluent neighbour with a gas stove and aluminum pans. The poor who light their homes with a wick dipped in a jar of kerosene get one-fiftieth of the illumination of a 100-watt electric bulb, but use just as much energy. These examples illustrate the tragic paradox of poverty. For the poor, the shortage of money is a much greater limitation than the shortage of energy. They are forced to use ‘free’ fuels and inefficient equipment because they do not have the cash or savings to purchase energy-efficient fuels and end-use devices. Consequently, collectively they pay much more for a unit of delivered energy-services.

The appropriate application of cost effective, energy efficient technology can help address this problem. Recently, for example, the Light Up the World Foundation has developed an innovative light system based on light-emitting diodes which can be powered by solar panels and rechargeable batteries. A single white diode uses less than a tenth of a watt of power and can provide safe, reliable lighting at a fraction of the cost of other systems. Over the past year, the Foundation has helped to install this system in about 1000 homes in Africa, South Asia and Central America.

2.3 Water

Over a billion people worldwide lack access to adequate water, and close to two billion suffer the consequences of poor sanitation; millions of people die each year from contaminated water. Water quality, expressed as secondary pollution and toxic algal blooms, continues to decline in aquatic ecosystems around the world. Furthermore, thousands of rivers, lakes and reservoirs are continuously affected directly or indirectly by human activities causing enormous environmental problems related to hydrology, ecosystem functioning and biodiversity. These impacts are sobering evidence that catchment-scale water management does not necessarily guarantee sustainable water use. Technical approaches to pollution control, such as sewage treatment plants and regulation of hydrological processes for flood and drought control, are important but by themselves not sufficient. Purely technical controls, without understanding and consideration of biota dynamics, reflect a trial and error approach to water management rather than the implementation of a policy toward sustainable use of water resources. As shown in Figure 2, water resources management spanning the full water cycle ranges from catchment, treatment and conveyance through to water consumption and reuse.

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Figure 2: Simplified Schematic of the Water Cycle

Catchment Treatment Conveyance Consumption Reuse

In most parts of the world, urbanisation has caused progressive occupation and development of open land and land reclamation from water basins, causing changes in ecology and hydrology. Heavy consumption of water in cities, combined with suburban sprawl, resource overexploitation and the technical, political and economic challenges of meeting water demands, has created growing pressure to build in new areas and maintain older systems. In developing countries, providing enough safe water to meet basic human needs is a serious problem. Areas without adequate water supply tend to remain underdeveloped because of widespread disease and unsanitary living conditions. Where infrastructure does exist, water resource managers are struggling to meet water quality goals and regulations. Historically, problems of poor water supply and inadequate wastewater treatment have persisted because of limited resources and funding, and an absence of effective policies, planning, management practices and regulations. Even when funding has been available, the conventional response has been to build large, centralised treatment plants, often without sufficient consideration of the need to overhaul and maintain existing supply infrastructure. The potential for degraded infrastructure to jeopardise safe water supply is often ignored. For example, it is not unusual for poor distribution systems to leak 50 percent or more. Similarly, the construction and operating costs of conventional wastewater treatment systems are often too high, and much of the world's wastewater is discharged untreated. As a result, there is growing interest in developing more affordable, decentralised solutions based on natural systems which combine natural wastewater purification and nutrient recycling, including the use of phytotechnologies, such as constructed wetlands, for wastewater treatment.

2.4 Urbanisation

Cities are pollution sources and people living in them utilise resources and generate waste. Due to inadequate systems and poor planning, cities are disproportionately driving global warming, deforestation, and increasing water scarcity. The world’s cities take up just two percent of the Earth’s surface, yet account for roughly 78 percent of the carbon emissions from human activities, 76 percent of industrial wood use, and 60 percent of the water tapped for use by people. Cities import resources and export pollutants, but have limited carrying capacities. If the carrying capacity of a city is eroded, it becomes increasingly difficult, if not impossible, to achieve sustainable development goals. For example, trucking garbage to landfills outside of a city becomes increasingly costly, the further from the city the landfills are located. Similarly, importing fresh water to replenish a city's depleted aquifers becomes increasingly costly, the greater the distance the water must be piped. A major challenge is to reform urban systems so that they mimic the metabolism of nature. Rather than devouring water, food, energy, and processed goods, and then belching out the remains as pollutants, cities need to align their consumption with realistic needs, produce more of their own food and energy, and put much

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more of their wastes to use. This requires an understanding of the interactive process and flows which determine the patterns of urban development. An example of these interactions is illustrated in Figure 3 in relation to the energy and water cycles.

Figure 3: Water and Energy Interactions

Collection Conversion Transmission Application Recovery

Resource Availability

Augmentation Flow Utilisation Replenishment

Catchment Treatment Conveyance Consumption Reuse

The crisis of cities is a symptom of simultaneous change and growth. Together, these two factors have transformed relatively simple problems which previously may have been resolved locally wherever they occurred, into immense, complex problems with repercussions beyond the territories in which they originated. The urban environment is a dynamic one, where transformation and adjustment is continuous and so rapid that past, present and future blend into one. Hence, there is a need to address chronic problems, while at the same time attending to critical needs.

2.4.1 Buildings and Infrastructure

The visible superstructure of the urban environment is analogous to the tip of an iceberg. What we see above does not reveal the immense, invisible supporting technological mass below; the greater the quantity, complexity, sophistication, and cost of modern technology, the greater the intensity, density and frequency of its use. Buildings, infrastructure and the environment are inextricably linked. Energy, materials, water and land are all consumed in the development and operation of buildings and infrastructure, while the urban environment itself affects our living conditions, social wellbeing and health. Urban society is inevitably committed to subsidising technological advances while at the same time doing its best to monitor the sociological effects of the inappropriate use of technologies. It is therefore important to develop and apply environmentally and economically sound processes and technologies in the design of buildings and infrastructure that are sustainable, healthy and affordable. The concept developed by UNEP/IETC of “cities as sustainable ecosystems”, or CASE, provides a framework for examining and understanding the interactions of urban activity

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and the environment and how these can be transformed into a sustainable relationship. CASE is the multidisciplinary study of urban and economic systems and their linkages with natural systems. It provides a conceptual framework upon which understanding and reasoned improvement of current practices can be based.

2.4.2 Transportation

Transportation is a major consumer of energy, accounting for 50-60 percent of total petroleum use in most developing countries, and contributing significantly to urban air pollution. With markets for automobiles growing rapidly in developing countries, this situation is expected to deteriorate further. There is a relationship between the essential inhabited places and transportation flows within the urban environment. Extending mass transit in metropolitan areas to reduce traffic congestion should therefore coincide with a process for restoring pedestrian areas. Open air and enclosed pedestrian meeting places, such as marketplaces, meeting halls, green spaces, etc., are an essential part of the liveable urban environment. With effective, integrated planning geared towards intense/frequent use situations, the considerable costs of public transportation and other related services can be more easily absorbed and equitably distributed.

2.4.3 Waste Management

Waste management is another area where environmentally sound, cost effective solutions are required. The closure of existing open dumpsites and the introduction of sanitary landfills is an urgent priority in many places, especially in the developing world. However, even where well-managed sanitary landfills exist, and complementary disposal technologies such as composting or energy from waste facilities are used, there is still a requirement to monitor the contents of waste streams to optimise the potential for material recovery, recycling and reuse. One of the most important tasks to be undertaken in waste management planning is to determine the sources, types and quantities of waste generated; the present methods of waste collection, transport and treatment; and how these might change in the future. As prevention is the highest priority in the waste management hierarchy, efforts should be made to reduce the quantity of waste generated.

2.5 Eco-Efficiency

Most western societies have market economies that emphasise production, growth and material wealth that often encourage waste. People who buy a lot of something typically get a better price than people who buy only a little. Another wasteful practice is charging lower electricity rates to those who consume the most; heavy users with cheap rates have no incentive to reduce consumption at times of peak demand, thus forcing power companies to build standby generating capacity to cover the peak demand. One of the central challenges is to “dematerialise” our economies and societies. In simple terms, we must learn to do more with less, using fewer raw materials, and less water and energy. The speed of the increase in quantity of waste is far greater than the speed of adaptation to its pressures. Because of this and the combined impact of population growth and environmental pollution, it has been suggested that a “factor 10” revolution in our technologies is needed. This means that, as a minimum, we need to produce ten times more from the same amount of raw material.

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The term “eco-efficiency” refers to the efficiency with which society uses environmental, natural and other resources to generate quality of life. The “eco-efficiency” concept was developed by the World Business Council for Sustainable Development (WBCSD) as a bridge concept bringing together several ideas, including:

• meeting the combined goals of business, the community and the environment • harnessing technical and social innovation • adopting life cycle approaches, and • using indicators and benchmarks to monitor progress.

Although these ideas are not new, the concept of eco-efficiency combines them in a way which can facilitate effective communication amongst governments, businesses, local communities and others. Hence, improving eco-efficiency is an important strategy for sustainable development within cities and communities. While there are a number of possible routes to improve eco-efficiency, the greatest potential lies in initiatives that combine technical and social changes to improve quality of life with less material consumption.

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3. Environmentally Sound Technologies Environmentally sound technologies (ESTs) are technologies that have the potential for significantly improved environmental performance relative to other technologies. As stated in Chapter 34 of Agenda 21, ESTs protect the environment, are less polluting, use resources in a sustainable manner, recycle more of their wastes and products, and handle all residual wastes in a more environmentally acceptable way than the technologies for which they are substitutes. ESTs are not just individual technologies. They can also be defined as total systems that include know-how, procedures, goods and services, and equipment, as well as organisational and managerial procedures for promoting environmental sustainability.

3.1 Defining Environmentally Sound Technologies

Defining environmentally sound technologies in an absolute sense is difficult since the environmental performance of a technology depends upon its impacts on specific human populations and ecosystems, and the availability of supporting infrastructure and human resources for the management, monitoring and maintenance of the technology. The environmental soundness of technology is also influenced by temporal and geographical factors, to the extent that some technologies may be environmentally sound now but may be replaced in the future by even cleaner technologies. Likewise, what could be environmentally sound in one country or region might not be in another. Agenda 21 also contains several other important statements to guide interpretation of this definition with emphasis on facilitating the accessibility and transfer of technology, particularly in developing countries, as well as the essential role of capacity building and technology cooperation in promoting sustainable development. It states that:

new and efficient technologies will be essential to increase the capabilities, in particular of developing countries, to achieve sustainable development, sustain the world’s economy, protect the environment, and alleviate poverty and human suffering. Inherent in these activities is the need to address the improvement of technology currently used and its replacement, when appropriate, with more accessible and more environmentally sound technology.

Trends in modes of production and consumption, in organisational models of commerce and industry, and changes in the fundamentals of economic policy, also require a careful examination of how ESTs are perceived. As stated in Agenda 21, ESTs in the context of pollution are process and product technologies that generate low or no waste, for the prevention of pollution. They also cover end of the pipe technologies for treatment of pollution after it has been generated. Furthermore, ESTs are not just individual technologies, but total systems that include know-how, procedures, goods and services, and equipment as well as organisational and managerial procedures. This implies that the human resource development and local capacity-building aspects of technology choices, including gender issues, must also be addressed when considering the adoption and use of ESTs. From this, it is clear that the definition of ESTs contained in Agenda 21:

• applies to the transition of all technologies in becoming more environmentally sound; • captures the full life cycle flow of the material, energy and water in the production and

consumption system;

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• covers the full spectrum from basic technologies that are adjunct to the production and consumption system, to fully integrated technologies where the environmental technology is the production or consumption technology itself;

• includes closed system technologies (where the goal is zero waste and/or significant reductions in resource use), as well as environmental technologies that may result in emissions;

• considers technology development within both the ecological and social context and the production and consumption systems in which they are designed and operated.

Agenda 21 provides the basis for defining ESTs and promoting the appropriate transfer of technology at the global scale. Ideally, its implementation by nation states through the development of national sustainability plans and Local Agenda 21 plans should provide the policy context for assessing and verifying technologies that claim to be environmentally sound or sustainable. In addition, the implementation of Agenda 21 should also take into account the role of technology development in achieving inter- and intra-generational equity within countries and across nation states in the alleviation of poverty. Hence, there is a need for openness and transparency in the development, selection and management of technologies that are more environmentally sound and based on sustainable resource utilisation. As shown in Figure 4, this implies the need for a transition from technologies that are unsustainable to those which are sustainable and environmentally sound.

Figure 4: The Transition of Technology towards Sustainability

Sustainable Technologies

Environmentally

Sound Technologies

Non

Environmentally Sound

Technologies

Unsustainable Technologies

Technology Progress

Technology Regress

As noted above, the definition of environmentally sound technologies covers the full spectrum of production and consumption technologies that are more environmentally sound than the technologies for which they are substitutes. The adoption and use of ESTs involves the application of ecological principles, cleaner production, and appropriate technologies. It also involves the use of environmental technologies for monitoring and assessment, pollution prevention and control, and remediation and restoration. Monitoring and assessment technologies are used to establish and monitor the condition of the environment, including releases of pollutants and other natural or anthropogenic materials of a harmful nature. Prevention involves technologies that avoid the production of environmentally hazardous substances or alter human activities in ways that minimise damage to the environment; it encompasses product substitution or the redesign of an entire production process, rather than simply using new pieces of equipment. Control technologies render hazardous substances harmless before they enter the environment.

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Remediation and restoration technologies embody methods designed to improve ecosystems that have declined due to naturally induced or anthropogenic effects.

3.2 Technology Development Cycle

As shown in Figure 5, all technologies undergo a similar development cycle, regardless of their origin or application. The first stage is the identification of a need, problem or opportunity. Second, there is a choice of alternatives. Next comes a series of operational steps (i.e., selection of sites and technologies; design; acquisition of appropriate rights and permissions; construction; operation and maintenance). Over time, there must be monitoring and maintenance and, as required, upgrading and optimisation. The final stage involves replacement or reuse, and final disposal.

Figure 5: Technology Development Cycle

Identification of Need, Problem and/or Opportunity

Consideration of Options and Alternatives

• Technolo • Design • Approva• Construc• Operatio

Mo

Upg

Re

Rational environmental managemenresources to meet basic human needrequires a sound knowledge of the iThis suggests the need for environm

3.3 Appropriateness of Technolo

A range of factors determines whethelement is the choice of technologygiven set of circumstances, both in Ecology and economy are part of a national, regional and global. It is ilocal level, can impoverish wide are

Operational Steps:gy and/or Site Selection

ls tion

n and Maintenance

Disposal

nitoring and Evaluation

rading and Optimisation

placement and/or Reuse

t, which essentially means making the best use of natural s without destroying their sustaining environmental base, ntersecting elements within the larger frame of development. entally sound development strategies.

gy

er or not economic activities are sustainable. An important and whether or not the technology is appropriate under a terms of scale and “fit” with natural and social ecosystems. seamless web of causes and effects at different scales – local, mportant to recognise that resource exploitation, even at the as. For example, deforestation can cause destructive floods;

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acid precipitation and nuclear fallout can spread across national borders; and climate change and destruction of the ozone layer have global consequences. Appropriate technologies are needed to fit the social and biophysical context prevailing at a particular location within a particular period of time. However, it is also important to recognise that particular technologies bring with them underlying structures and assumptions which may be counterproductive or even destructive to the society in which they are introduced. If development is to become more sustainable, it is important to assess technologies against a number of different criteria before adopting them. These criteria should include technical, social, and economic factors, as well as environmental requirements. The transfer of technology, both hardware and know-how, from richer to poorer nations has economic and social consequences, both local and global. Ideally, appropriate technology should be compatible with the environment and society in which it is to be utilised. The technology and associated equipment should be relatively simple and understandable, as well as suitable for local maintenance and repair. As suggested earlier in Section 2, “softer” approaches to development involve the use of simpler technologies and equipment are usually less dependent on complex raw materials with exact specifications and are generally more adaptable to market fluctuations than highly sophisticated, or “harder”, technologies. People can be more easily trained; supervision, control, and organisation are simpler; and there is far less vulnerability to unforeseen difficulties. Appropriate technology is usually more labour intensive, lending itself to use in smaller scale applications, although it is important to recognise that neither labour intensity nor small scale necessarily implies appropriate technology. Rifkin (1985) distinguishes controlling technologies from the more empathetic appropriate technologies:

Appropriate technologies are technologies that are congenial with their surroundings, that create the least amount of disturbance, and that are used sparingly enough to ensure that the environment can be allowed to replenish itself… With controlling technologies, the emphasis is on maximising present opportunities. With empathetic technologies, the emphasis is on maximising future possibilities. With controlling technologies, a high premium is placed on optimising efficiency for the present generation. With empathetic technologies, a high premium is placed on maintaining an endowment for future generations…An empathetic approach to technology starts with the assumption that everything is interrelated and dependent on everything else for its survival, and that technological intervention should be minimised in order to do the least damage to the myriad relationships that exist in the natural world.

Since the idea of appropriate technology was first put forward by Schumacher, a number of objections have been raised. Those who can help themselves and who want immediate assistance in reaching a higher standard of living often argue that the developed world is intent on withholding the best and making the developing world settle for something inferior and outdated. Others argue that this is not usually the perspective of the poverty-stricken who lack any real basis of existence, whether in rural or urban areas, who have neither “the best” nor the “second best”, and who are often without even the most essential means of existence.

3.4 Ecological Engineering

Ecological engineering practices can help conserve and restore the environment by balancing engineering principles and environmental considerations. An ecologically sound approach to engineering takes into account that nature responds systematically, continuously and cumulatively. It also comes to terms with the social and ethical values of society and ensures that

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innovations contribute to the community as a whole. This involves employing local labour and resources as much as possible, maintaining traditional customs, and focusing on teachable know-how. Ecological engineering operates within the natural system rather than infringing on or overcoming it. Solutions are developed to be as flexible and forgiving as possible in order to avoid drastic and irreversible consequences when something goes wrong. To support this, it is important for ecologists to make available as much knowledge as possible on the dynamics of ecosystems and their particular vulnerabilities. Ecological engineering and related technology applications are dependent on the self-designing capabilities of ecosystems and nature. When changes occur, natural systems shift and food chains reorganise. As individual species are selected and others are not, a new dynamic order ultimately emerges that is usually better suited to the environment superimposed on it. Humans participate in this evolutionary process by providing choices. This focus on, and use of, biological species, communities, and ecosystems distinguishes ecological engineering from the more conventional engineering technology approaches, which rely on devices and facilities to remove, transform, or contain pollutants, but which seldom consider integrative ecosystem-based approaches. Ecological engineering involves identifying those biological systems that are most adaptable to human needs and those human needs that are most adaptable to existing ecosystems. Ecological engineering emphasises the need to understand and deal with the entire ecosystem rather than components of the system in isolation from one another. However, eco-engineering principles also maintain that it is counterproductive to eliminate or even disturb natural ecosystems unless absolutely necessary. Decision support tools such as modelling and cost-benefit analysis are important, as ecosystem design and prognosis cannot be predicted simply by adding the parts to make a whole.

3.5 Cleaner Production and Zero Emissions

Cleaner production is a recognised and proven strategy for improving the efficient use of natural resources, reducing and eliminating wastes and pollution at the source, and minimising potential risks to human health. Cleaner production is a step beyond pollution control and waste management; it deals with production processes and environmental management systems. More recently, the concept has expanded to include product cycle aspects such as eco-design, and consideration of the consumption patterns of products in use. The concept of zero emissions represents a shift from the traditional industrial model in which wastes are considered the norm, to integrated systems in which everything has its use. It advocates an industrial transformation whereby businesses emulate the sustainable cycles found in nature and where society minimises the load it imposes on the natural resource base and learns to do more with what the earth produces. The zero emissions concept envisages all industrial inputs being used in final products or converted into value-added inputs for other industries or processes. In support of the concept, industries would be reorganised into clusters such that each industry’s wastes and by-products can be fully matched with the input requirements of another industry, and the integrated whole produces no wastes of any kind. For businesses, zero emissions means greater efficiency and improved competitiveness. By producing more from less, zero emissions can serve as a benchmark for efficiency and integration. However, this involves addressing a broad range of issues, including urban and regional planning, production and consumption patterns, energy conservation, upstream industrial

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clustering, the reuse and recycling of products, and the interactions of these activities with local industries and institutions. From an environmental perspective, the elimination of all wastes represents the ultimate solution to pollution problems that threaten ecosystems at the global, national and local level.

3.6 Ecological Services

The term "ecological services" refers to the conditions and processes through which natural ecosystems sustain and fulfil human life. Ecological services are responsible for maintaining biodiversity and the production of ecosystem goods, such as food, timber, energy and natural fibre, as well as many pharmaceuticals, industrial products, and their precursors. The harvest and trade of these goods is an important part of the global economy. In addition to the production of goods, ecological services include life support functions, such as protecting watersheds, reducing erosion, providing habitats for wild species, as well as cleaning, recycling, and renewal. Ecological services have an important role in maintaining balanced global systems, including climate. There are also many aesthetic and cultural benefits. Examples of the benefits of ecological services are:

• purification of air and water • mitigation of floods and droughts • detoxification and decomposition of wastes • generation and renewal of soil and soil fertility • pollination of crops and natural vegetation • dispersal of seeds and translocation of nutrients • control of agricultural pests • protection from the sun's harmful ultraviolet rays • moderation of temperature extremes and the force of winds and waves.

3.6.1 Valuation of Ecological Services

People in the biodiversity rich areas of the world are usually dependent on the harvest of biological resources from a limited resource catchment area using their own labour. In economic terms, the value of the products extracted by the ecosystem may not be very large. Considering the non-use, preservation value of the ecosystem can often provide a better option in realising the real economic value of the ecosystem. However, although non-use values can be substantial, adequate mechanisms to quantify these values are lacking. Many of the services provided by ecosystems are external to the decision-making process and are therefore difficult to quantify. The flood control benefits, water filtration services, and species sustaining attributes of ecosystems are examples. As a result, the habitats that support complex ecosystems tend to be taken for granted, marginalised or sold too cheaply in the absence of public intervention, since the inherent social and environmental benefits are not considered in the decision-making process. Public awareness of the value of these ecosystem benefits is essential for the development and implementation of public policies for the protection of important habitats. It is therefore important to determine the values of these ecological services. The prevailing approach to ascertaining value, cost-benefit analysis, is implicitly based on utilitarian considerations, such that the value of a given living thing or amenity is determined by the amount that people would be willing to pay or sacrifice in order to enjoy it. However, fundamental issues of fairness or distribution are usually ignored in cost-benefit assessments. At best, cost-benefit analysis provides useful information on aggregate net benefits under specific

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policy scenarios. This type of information needs to be accompanied by a recognition of the distribution of the gains and losses, both across the current generation and between current and future generations in order to adequately ascertain the real value of ecological services.

3.6.2 Managing Ecological Services

Ecological services are the result of complex natural cycles driven by solar energy. These cycles operate on different scales, influencing the workings of the biosphere in different ways. Biogeochemical cycles, such as the movement of the element carbon through the living and physical environment, are global in scale, occurring throughout the atmospheric, aquatic and terrestrial environments. By contrast, the life cycles of bacteria occur at microscopic scale. Different cycles also operate at different rates. The biogeochemical cycling of carbon, for instance, occurs at orders of magnitude faster that that of phosphorous, just as the life cycles of micro-organisms are orders of magnitude faster than those of trees. Due to the dynamics of these cycles and systems, management plans for ecological services should be adaptive, based on continual monitoring of the abundance and extraction levels of resources being harvested. Extraction should be in proportion to production, which is likely to vary over space and time. Because any large scale export of materials from the ecosystem is likely to have deleterious consequences on the structure and function of the ecosystem, flexible adaptive management plans must be put in place. Depletion can also be prevented by value addition. Unfortunately, because many ecosystem products that form the basis of subsistence economies leave the point of origin in an unprocessed state, the custodians of these resources often realise very low value from extracted products. There is abundant evidence that communities in full control of their own resource base exhibit cultural practices that promote sustainable use of biological resources and conservation of biodiversity. Such practices have evolved and persist because they serve the long term interests of certain groups in ensuring sustained availability of a diversity of resources. Examples include limitations on harvest levels (e.g., number of sheep grazed on community pasture or wood harvested from community woodlots); lowering of harvesting pressures when there is evidence of over-harvesting (e.g., temporary ban on fishing on coral reef lagoons); protection of species during vulnerable life stages (e.g., breeding birds); protection of certain key resources (e.g., trees in many parts of the world); and the protection of certain biological communities (e.g., sacred ponds and forests). A fundamental cause of environmental degradation is the unequal distribution of benefits and costs of conserving natural resources and biological diversity. The benefits of biodiversity are widely dispersed, whereas the costs of conservation are highly localised. Those nations with the least capacity for managing living resources are generally those richest in species. For example, tropical countries contain approximately two-thirds of all species and an even greater proportion of threatened species. However, while many developing nations recognise the need to safeguard threatened species, they lack the scientific skills, institutional capacities, and funds necessary for conservation. Industrialised nations seeking to reap some of the economic benefits of living resources should support the efforts of developing countries in conserving these resources; they should also seek ways to help these countries realise their sustainable benefits. Restoring the control and management of ecosystem resources to local communities may help maintain these ecosystems in better health and provide higher levels of ecological goods and services. Local people are most likely to effectively manage local ecological resources because they possess the detailed spatial and temporal knowledge of the behaviour of the local ecosystems necessary for effective, adaptive management. Local people are also best situated to monitor

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human induced ecosystem impacts, and therefore to control them, provided they have the requisite authority and social structures in place to minimise wasteful exploitation of resources. However, this alone is not sufficient to motivate local communities to maintain high levels of biological diversity. Further economic incentives are required. Thus, if the ecosystems in tropical areas, for example, are to be maintained or restored to high levels of biological diversity, a mechanism should be established to reward local communities which are prepared to work towards this objective. Vesting local people with control over their own environments and paying them service charges to maintain and restore biodiversity could be an effective way of taking good care of these valuable ecosystems.

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4. Factors Influencing the Adoption and Use of ESTs The achievement of sustainable development objectives at a global scale requires radical changes, technological and otherwise, within both developed and developing countries. Economic development in developing countries will not be sustainable if these countries simply follow the historic polluting trend of industrialised countries. Development based on up-to-date information and knowledge offers the opportunity to avoid the poor practices of the past and to move at an accelerated pace towards better technologies, techniques and institutions. However, to realise this, developing countries require assistance to build human capacity, establish appropriate institutions and networks, and acquire essential equipment and tools. Technology transfer must operate at a broad level in order to meet these “software” and “hardware” challenges within a framework of sustainability. Key elements are the development of societal and organisational structures to enable well-informed technology choices as well as the establishment of financial assistance mechanisms to facilitate their acquisition.

To a large extent, the state of the environment today is the result of technological choices of yesterday. The state of the environment in the 21st century will be determined largely by the technologies we choose today. (Trindade 1991).

4.1 Technology Transfer and Cooperation

Technology transfer refers to the broad set of processes covering the flows of technology-related knowledge, experience and equipment amongst different stakeholders such as governments, private sector entities, financial institutions, NGOs and research/educational institutions. In its broadest sense, the term “transfer” encompasses diffusion of technologies and technology cooperation across and within countries. It comprises the process of learning to understand, utilise, and replicate the technology, including the capacity to choose it and adapt it to the local conditions. To some, the term technology transfer infers that technology is an object, and its transfer as a one-time transaction maintains the dependency of the recipient (Heaton et al 1994). To others, technology transfer is fundamentally part of a learning process. Hence, the terms technology cooperation and technology diffusion are frequently used to reflect the often dispersed and evolutionary nature of technological decisions that take place over time. “It is not unreasonable to say that a transfer is not achieved until the transferee understands and can utilise the technology” (Chen 1996). The promotion of sustainable development requires a concerted effort to develop and diffuse new technologies, such as those for agricultural production, the harnessing of renewable energy, and controlling pollution. Much of this effort is based upon the international exchange of information and technology – through trade in improved equipment, technology transfer agreements, expert reviews, research collaboration, and so on. The procedures and policies that influence these exchanges should help stimulate innovation and ensure widespread access to environmentally sound technologies. However, the transferability of technology is not universal, and current efforts and established processes of technology transfer are not sufficient, especially for those technologies that cannot yet be disseminated commercially. It is important therefore to go beyond improving market performance. Policies that lower costs and stimulate a demand for ESTs are necessary to achieve environmental benefits that might otherwise not be realised. Integrating human skills, organisational development and information networks are also essential for effective technology transfer. While certain products are the result of sophisticated industrial processes and cannot be produced any other way, these products are not usually urgently needed by the poor. What the poor need

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most of all are simple things – water, energy, building materials, clothing, household goods, agricultural tools, and a better return for their agricultural products. There is also the need for capacity building. For example, most agricultural communities would be helped immensely if they were able to process their own products. This is an area where the introduction of environmentally sound, sustainable technology can make a difference. Sustainable development is a context-driven concept and different societies may define it differently. Technologies that may be suitable in one context may be inappropriate in another. This makes it important to ensure that the adoption and use of technologies meets local needs and priorities, thereby increasing the likelihood of their adoption and effective use. It is also important to recognise that the development and implementation of complex, sophisticated, and very expensive new technologies may exacerbate existing inequalities, or set up new ones between rich and poor nations. For example, many technologies have an enticing allure that spreads them quickly to all societies in the world and, as long as these different realities remain as contradictions, developing countries will remain vulnerable to the very problems which now characterise the countries whose technologies they want to utilise and whose material successes they wish to emulate. Both resources and the environment form part of the global “commons”, and the interdependencies within the global environment means that what happens in the developing countries cannot be considered in isolation. The inappropriate transfer of technologies from developed to developing countries, where there are wide differences in the level of infrastructure between the two societies, can often exacerbate both global and local environmental problems. Consequently, the ability to protect ecosystems and resources on a global basis and manage development in a sustainable manner within developing countries is of great importance to the world as a whole.

4.2 Building Capacity

The challenge of sustainable development requires the capacity of people and organisations to continuously adapt to new circumstances and to acquire new skills. A wide range of technical, business, management and regulatory skills are needed for the successful development and transfer of environmentally sound technologies. Within developed and developing countries, both technology providers and technology users must work together to ensure the availability of these skills locally. Developing countries play a key role in building capacity through the training and human resources development programs they support and nurture. Effective approaches stress not only the development of technical skills, but also the establishment of capacity and competence in essential related areas, such as policy analysis, management and planning. Developed countries must ensure that training and capacity building programmes they sponsor consider the full range of related financial, legal, business services, as well as the local conditions under which these may be provided. This requires cooperation with local “receptors” of technology, including local governments, institutions and stakeholders, commercial organisations and consumers/users. The capacity to access, assess and understand information is essential for successful technology transfer and cooperation. The roles of governments and the private sector in this area are evolving rapidly and, over the past ten years, largely through the use of the Internet, private information networks have proliferated. This has lead to the creation of specialised information clearinghouses, forums, trade publications, and lobby groups. Consequently, there is a need to improve data collection on the on availability, quality and flows of ESTs, and to develop technology performance indicators and benchmarks which can help guide the implementation of

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potential technological improvements. There is also a need to link these information systems to international and regional networks In technology intensive economies, technology information tends to flow through specialised networks of financial firms, lawyers, accountants, and technical assessment groups. Government agencies, consumer groups, industry associations and NGOs all play a role in ensuring that technology meets local needs and demand. Participatory approaches are important for strengthening the integration and effectiveness of these diverse organisations and networks in contributing to technology transfer. Some areas of particular importance to the transfer of ESTs include: • Expansion of opportunities to develop organisational capacity in the areas of management,

accounting, law, investment, trade, publishing and technology assessment. • Enhancement of communications infrastructure and tools, such as Internet services, to

facilitate access to and transfer of information. • Nurturing of industry associations, professional associations and user/consumer associations. • Implementation of participatory approaches to enable citizens, public agencies, NGOs and

private sector organisations to engage at all levels of decision-making and policy formulation. The processes of generating alternative technologies, upgrading traditional ones, and selecting and adapting imported technologies should also be guided in part by environmental resource considerations. Most technological research by commercial organisations is devoted to product and process innovations with market value. However, technologies are also needed that produce social benefits, such as improved air quality or increased product life, and solve problems that may be considered outside the domain of individual enterprises. Commercial enterprises can help develop and diffuse technology, but public institutions must provide the essential framework for research and capacity building. In addition, particular attention is needed to augment the capacity of society to understand ecological systems and to ensure that biological diversity is preserved. The technologies used in industrial countries are not always suitable or easily adaptable to the socio-economic and environmental conditions of developing countries. Most academic and research institutions in developing regions are inadequately funded and the bulk of international research and development addresses few of the pressing issues facing developing countries, such as arid-land agriculture or the control of tropical diseases. Research and extension efforts in developing countries need to be expanded, especially in areas where ecological sensitivities pose special problems. In addition, recent innovations in materials technology, energy conservation, information technology, and biotechnology need to be adapted to the needs of developing countries. Nurturing the technological capabilities in developing countries requires a concerted effort to employ local resources and apply technologies that are appropriate in meeting local needs. Where possible, efforts should be undertaken to encourage: • Employment creation in areas where people are living now, and not primarily in metropolitan

areas into which they may otherwise migrate. • Affordable work opportunities that can be created in large numbers without the requirement

for unattainable levels of capital formation and imports. • Simple production methods that minimise demands for complex skills. • Production based primarily on local materials for local use.

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4.3 Science and Technology Investment

In relation to science and technology, the chronic widening of development inequities can be seen in three dimensions. First, the process of scientific and technological advancement in all its stages – basic research, applied research and blueprinting – has been heavily concentrated in developed countries. This inequitable distribution would not matter if the direction of advancement, the scientific and technological priorities, and the methods of solving scientific and technological problems were independent of where the work is carried on. However, this is not the case. In developed countries, most research and development expenditures are spent on solving the problems that concern those countries, according to their own priorities, and on solving those problems by the methods and approaches appropriate to the countries concerned. For both aspects – the identification of problems and the methods of solving them – the interests of the less developed countries are usually different. Second, wealthier countries have a virtual monopoly of research and development expenditures (in terms of institutions, equipment and number of trained scientists and technologists), and hence a virtual monopoly of determining the frontiers of knowledge. Consequently, the activities of the small number of institutions and people in developing countries are often directed towards the problems and issues defined by their counterparts in the developed world. Therefore, much of the limited expenditures made by developing countries is directed towards solving the same kinds of problems by the same methods as developed countries, rather than those that would be appropriate for their own conditions. Third, the usual remedy for the unequal distribution of research and development expenditures is the transfer of technology in ready-made form. This solution, however, poses various difficulties. In the first place, the technology is not always available for transfer, often being covered by secrecy, legal patent rights, and other restrictive agreements. Developing countries may be able to obtain this intellectual property either directly or indirectly in the form of imports of equipment or other commodities embodying the intellectual property, but usually only at excessive prices which they often cannot afford. Most important of all, the transfer of technology may not be useful or even possible unless the importing country has a domestic infrastructure capable of providing the capacity to select, adapt and introduce the appropriate technologies. This domestic capacity is often lacking. Since only limited research and development expenditure is devoted to problems of special concern to the developing countries, technology advancement in developing countries tends to be more current in those sectors (typically modern manufacturing industry) where the processes and activities are similar to those of developed countries. By contrast, there is usually little or no technological progress on problems which do not exist in the developed world (typically, problems concerning tropical agriculture, small scale production, utilisation of natural raw materials specific to the developing countries, subsistence farming, etc.). The end result is that small scale production utilising indigenous materials and local labour, remains technologically neglected, while technologies in large scale industry and sectors corresponding to the situation in developed countries (i.e., modern commercial farming) continue to be advanced. Without an indigenous scientific and technological capacity inside developing countries, the transfer of appropriate technologies from abroad often does not take root and is not adapted or sufficiently developed in a manner which meets the requirements of developing countries. This means that where new technology is introduced, its use often remains limited. This, combined with the absence of a supporting network of auxiliary industries and educational facilities in the

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developing countries, leads to institutional rigidity and inflexibility. Often linked to this is the lack of indigenous networks to propagate the type of improvements required to meet local needs. Another mechanism for facilitating technology transfer is private foreign investment. While this can help introduce new technology, it has certain drawbacks for some developing countries. Through the internalisation of the process within large international firms and the repatriation of profits and dividends, much of the reinvestment potential is lost to the developing country. Moreover, a foreign firm, especially a large transnational company, is not likely to be interested in developing labour intensive technologies. These firms typically have a preference for bringing in their own skilled personnel from abroad rather than going through the lengthy process of training local people. This means using existing home-based staff and the known technology developed at the firm’s home base, rather than spending time and money on the gradual process of local adaptation and local training. Foreign enterprises and governments can counterbalance this and build confidence in long term operations by collaborating on the development of local technologies and training or, alternatively, by providing generous compensation for expenditures on local research, development and training.

4.4 Budgeting and Procurement

In most organisations, there is a single capital budgeting pool for all projects, which means that investments in ESTs must compete with other project financing requirements. Consequently, even if an organisation has set environmental objectives, favourable investment targets for environmental projects do not automatically result. Various approaches can be considered in shifting the emphasis of capital budgeting towards ESTs. These include the use of management accounting systems, internalising environmental costs and benefits, and promoting the use of differential investment criteria for projects that incorporate ESTs. Governments can also introduce policy incentives to reduce the capital costs of ESTs (i.e., through tax credits) or to increase the operational benefits of these investments (i.e., by rational pricing of natural resources, environmental levies, preferential taxation for cleaner products, etc.). Through their procurement policies, governments and corporations help create markets for emerging technologies (i.e., a commitment to purchase "green" electricity). Similarly, programs which support R&D, demonstrate technology, establish performance benchmarks, and encourage training can help accelerate the development and application of environmentally sound technologies. Both public and private sector organisations can seek to influence the market penetration of certain technologies by specifying them for procurement or requiring suppliers to conform to specified "best practices". The performance and productivity of technologies typically increase substantially as organisations and individuals gain experience with them. In some cases, this can help support the rationale for early stage technology development and innovation. Another important area for government and private sector cooperation is in the development and implementation of marketplace policies. The availability of reliable, transparent information is a prerequisite to a smoothly functioning market, and most governments have measures in place requiring mandatory information disclosure by self-regulated industries. Marketplace policies such as these facilitate transactions between parties, help ensure a fair and efficient market structure, and promote an economic climate conducive to continued innovation and growth.

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4.5 Balancing Voluntary and Regulatory Approaches

Encouraging the adoption and use of ESTs requires the application of voluntary approaches within a transparent regulatory framework which allows organisations to innovate in meeting their environmental obligations. The strengths of voluntary initiatives are that they are market-based and flexible. There are also clear benefits in terms of potential partnerships, positive spillover effects, environmental improvements, and lower costs. Voluntary initiatives vary widely in relation to: • Regulatory regime • Level of commitment required • Performance expectations • Reporting and monitoring requirements, and • Incentives to join or perform. Not all existing government and corporate policies support sustainable development, and it is not surprising that some policies and programs developed for other purposes may even pose barriers. Policy measures should consider a mix of approaches to motivate action and penalise inaction within an overall policy framework that considers both positive and negative drivers for voluntary action. Voluntary initiatives that are applied inappropriately, or not supported, can lead to the perception of inadequacy or failure. Therefore it is essential that objectives and expectations for voluntary initiatives are understood by all parties from the outset. Voluntary initiatives require clear, measurable objectives, baselines and targets to inform decision-makers and to provide a basis for monitoring, evaluation and reporting, both internal and external. Roles and responsibilities must be clearly defined and appropriate relative to the capacity to deliver on expectations. One of the key impediments to the implementation of voluntary initiatives is the lack of good information about the environmental impacts, costs and benefits of current and possible actions. Organisations require the necessary skills to track relevant information in order to monitor and evaluate the implementation of a given initiative. In some cases, it may be necessary to introduce new analytical tools. Voluntary initiatives should be performance-based, and developed and implemented in a participatory and transparent manner. The factors which encourage or impede progress must be considered, including the existence of motivators, drivers and incentives to action. Voluntary initiatives can be implemented on a sectoral basis. Companies within a sector can join together, usually as an industry association, to develop a common standard of performance for its members. They can also act voluntarily in support of environmental protection and cleaner production through internal reporting programs to encourage compliance or improve efficiency. Thus voluntary initiatives can serve as a complement to other policy levers (including regulation) and market forces, providing innovative, more flexible approaches in meeting existing or potential policy requirements. Regulations play an important role in establishing a policy framework conducive to enhanced voluntary action. They influence the structuring of markets (i.e., the existence of a regulatory framework to support voluntary emissions trading activities) and the design of products (i.e., by regulating the use of certain materials and processes). They also influence the environmental attributes of products indirectly (i.e., pollution prevention planning requirements, and user pay and extended producer responsibility policies that increase costs of releasing wastes into the environment).

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Regulations can encourage eco-efficient innovations by setting the environmental standards to be met without specifying the technologies to be employed. This helps industries initiate voluntary measures based on efficient, economically viable and environmentally responsible approaches that support sustainable development objectives. Conversely, some environmental regulations may actually discourage the implementation of voluntary approaches. For example, in some cases, environmental licensing regimes can inhibit the development of new cleaner production technologies and, as an unintended consequence, may act as a barrier to voluntary action to improve eco-efficiency. Removing unnecessary regulatory barriers to resource efficiency, recycling and new technology investment is an equally important element of an effective policy framework for supporting voluntary action.

4.6 International Standards

As access to information continues to broaden, and barriers to trade and investment are eliminated, standardisation is taking on an increasingly important role in global affairs. New international agreements, codes and guidelines for an expanding range of health, safety and environmental issues are emerging. Well-defined, internationally accepted and harmonised standards for social and public policy issues, such as the protection and preservation of the environment, and the promotion of health and safety, serve to shape society in a positive manner. There is enormous potential for standardisation processes to help reduce the costs of regulation, facilitate trade and technology transfer, and enhance the adoption and use of ESTs. Examples include incorporating standards into regulations, using standards as alternatives or supplements to regulation, and relying on private sector conformity assessment processes to promote and monitor compliance. Through standards, environmental goals are more likely to be achieved without compromising consumer confidence and safety. With increasing globalisation, the potential exists for unnecessary and costly duplication of conformity assessment practices. In some markets, bilateral and multilateral agreements such as Mutual Recognition Agreements (MRAs) between and among accreditation and certification organisations can help reduce redundant testing and certification procedures, thereby lowering costs, avoiding delays and expanding trade opportunities. Global accreditation mechanisms should be considered and used where appropriate in accordance with priorities established for international standards activities, and where the public interest is not jeopardised.

4.7 Ecosystems Integrity

Development can be described as a complex process of purposeful change in the attitudes, behaviours, and institutions of human societies. An ecological viewpoint is essential to any valid concept of development because the development process itself is inherently ecological. In other words, it is a process of purposeful change in the systematic interrelationships of living and inanimate things as they have evolved and continue to evolve in a biosphere dominated by human society. Development, when based on incomplete initial assessment, may fail to achieve its objectives, and may also produce costly and damaging consequences. Conversely, although development may attain its goal, the process of attainment may entail unforeseen harmful ecological side effects. Throughout the development process, ecological deterioration may coexist with technical success. Indeed, for some countries, quality of life and the possibilities of future opportunities may actually decrease as gross national product increases.

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Most of the practical suggestions for more ecologically oriented development relate to specific management and operational methods. Most frequently mentioned among these are pre-investment and feasibility studies, project selection and evaluation, guidelines, checklists, and post-audits. Among the tools of improved decision-making in development is cost-benefit analysis. However, there are many ways of comparing costs with benefits, and the difficulty of placing a quantitative value on ecology has been a major impediment in promoting ecological approaches to development. For instance, how does one evaluate the costs of perpetual management of artificial ecosystems (such as irrigated areas) against the opportunity costs of reliance upon self-renewing capabilities and limitations of natural systems? Regardless of the scope of development projects, the conceptual framework in which they are planned and implemented should be comprehensive. It is not in the actual development plans that comprehensiveness is needed, but in the initial determination of the scope of possible action. Elaborate and far-reaching plans may exceed the capacity of a developing country and what is actually achieved may in fact be limited. Comprehensiveness that exceeds administrative capabilities can result in both economic and ecological failure of development efforts. Comprehensiveness is therefore needed primarily to determine priorities and to reduce, as much as possible, the risks of inadvertent consequences. This should not be a theoretical “take everything into account” assessment that could indefinitely delay all action; it should be focused and refined in relation to critical factors. Systematic methods for identifying these factors and estimating their importance are urgently needed, taking into account the potentialities and significance of ecological impacts. Ecological approaches to development are difficult to achieve because the task of synthesis has not been adequately understood or cultivated in the practices of contemporary science, politics and public administration, and the science of ecology, potentially the most complex of all sciences, is itself underdeveloped. Two strategies for change are therefore required – a short term, adaptive strategy to cope with conditions as they are, and a long term, constructive strategy to establish comprehensive goals for sustainable development and implement the necessary plans for their attainment. The destructive potential of development has become so great, and the misapplications of science-based technology so common, that better policies and procedures are urgently needed to reduce the extent of damage to the biosphere until more adequate, ecologically sound approaches can be provided. Such strategies must be designed to prevent the foreclosure of future possibilities that might otherwise occur because of present, high risk, irreversible decisions. This requires a precautionary approach, based on knowing what ought to be avoided. If the determination of priorities is to reflect sound judgement, a precondition must be the identification of critical ecological factors. There is already enough experience over a wide range of development efforts making it feasible to include gross estimates of potential risks in most development plans. Better means of measuring and forecasting ecological changes are certainly needed, as are ecological monitoring and observation techniques to identify what should not be done. Avoiding unnecessary foreclosure of future opportunity and avoiding unwanted irreversible effects is often a more valuable accomplishment than the formulation of complex programs that may not be operationally viable.

4.8 Risk Management

The process of development involves certain built-in risks that must be recognised and, where possible, insured against if the prospects for favourable outcomes are to be maximised. There is good cause for attempting to maximise the possibilities for success in development, because the opportunities for failure are more abundant. Human intervention in nature is more likely to be

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harmful than good because there is an infinite number of wrong answers to any given problem. Considering that traditional societies and natural ecosystems have passed the evolutionary test of survival, it is arguable whether the deliberate manipulation of culture and the environment, in the end, produces better results in human health, happiness and survival than those produced over time through trial and error. Environmental risks arising from technological and developmental decisions impinge on individuals and areas that have little or no influence on those decisions. National and international institutional mechanisms are needed to assess the potential risks and possible impacts of new technologies before they are widely used, in order to ensure that their production, use, and disposal do not overstress environmental resources. New technologies are not all intrinsically benign, nor do they have only positive impacts on the environment. The large-scale production and widespread use of new materials can lead to unforeseen health hazards (i.e., the use of gallium arsenate in the microchip industry). The need for caution in introducing a new technology is also evident in the agricultural sector, which, despite formidable achievements, is experiencing problems related to over-dependence on relatively few crop strains and large doses of agri-chemicals. Another example is genetically modified foods; new life forms produced through genetic engineering must be carefully tested and assessed for their potential impact on health and on the maintenance of genetic diversity and ecological balance before they are introduced into the environment. Nothing is static and absolute and hence our capacity to make choices and changes exists within a framework of dynamic and relative systems. Moore and Woodhouse have proposed a set of guidelines that they call “sophisticated trial and error” for cautiously adopting new technologies, which includes: • Taking initial precautions to protect against the worst consequences of errors • Erring on the side of caution • Learning from error by establishing monitoring mechanisms to report and interpret negative

feedback • Conducting tests to accelerate our ability to assess potentially negative feedback • Setting priorities so that key uncertainties get the most attention • Adjusting initial precautions as uncertainties are clarified (reducing them if potential threats

are less serious than anticipated, or enhancing the necessary precautions where warranted). These guidelines recognise the reality that the greatest latitude of choice exists prior to the introduction of a particular technology, technique or system. Once economic investment, infrastructure and social systems are in place, the original flexibility vanishes. Hence, there is a need to examine technologies for their social and political characteristics during the earliest stages of any proposed technology development or initiative.

4.9 Political and Institutional Considerations

There is a human tendency to define problems in a way that corresponds to our ability to deal with them, rather than to define problems as they really are. The latter approach may delay action while the problem is being analysed in all its significant ramifications. While such a delay may be ecologically desirable, it may be politically unacceptable in instances where there is widespread demand for action. Furthermore, once an organisation has been structured and staffed to meet problems in a certain way, it is very difficult for it to abandon the assumptions underlying its creation. The creative role of development is often subordinated to the more conventional tasks of program formulation and execution, while the potential opportunity for a major

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reorientation of the approach to development is diminished by the drag of institutional inertia. The self-perpetuating character of development assumptions should therefore be recognised as a potential impediment to development. Deployment of a technology is not merely an economic or technological action; it is also a social and political action. The political structure of international development and the pressure on officials in aid-receiving countries to produce quick and visible results often combine to form a major impediment to ecologically sound development. Scientific investigation, pre-investment studies and careful ecological assessment of possible side effects do little to relieve the pressures on national leaders or enhance their reputations. The pragmatic attitude toward dealing with ecological consequences, if they are even considered, is usually to address them as they arise. To the extent that development is the application of science and technology to the physical and socio-economic betterment of human life, a continuing reconciliation of science and politics is essential. However, it is also important to recognise that the specialised nature of science itself often promotes reductionist thinking instead of the integrated synthesis necessary for realising ecologically sound, sustainable development objectives. Thus, it is equally important to integrate local, traditional knowledge within the decision-making process. The determining element in defining development does not appear to be the process itself, but rather the goals toward which it is directed. The process is deliberate and purposeful, implying assumptions, goals and procedures that are open to evaluation by some criteria. But the purposes of development and the scientific criteria by which it may be evaluated are culturally determined and the varied interpretations of development demonstrate the divided and specialised state of knowledge in society. The sociologist, the political scientist, the economist and the ecologist see the development process through disciplinary lenses that are highly selective in what they reveal and what they screen out. Furthermore, those affected by development may experience it quite differently from those who administer it or observe it selectively. It is worth noting here as well that in addition to the risks incurred by the omission of important scientific competencies are the difficulties of communication among the specialists who may be brought together. The task of synthesis among specialists is further complicated by the cross-cultural character of international development. Project teams in which nationalities and languages are mixed often have linguistic and semantic problems of communication, in addition to possible differences in conceptual thinking and professional terminology. Even if incremental reforms were accomplished to encourage more ecologically sound development, major institutional difficulties would stand in the way. A number of ecological problems cannot easily be dealt with under existing institutional arrangements. As populations increase, and as science and technology, in effect, shrink the size of the earth and increase the interdependency of all peoples, new problems are becoming apparent. Some of these problems concern the use of the oceans and the upper atmosphere and are beyond effective jurisdiction of national governments. Other problems arise out of conditions and events within the territorial jurisdiction of individual national states that have potentially adverse global implications. Thus, there needs to be a “regional” approach to development, and a conscious effort to develop and apply technologies that are appropriate to local needs.

4.10 Stakeholder Involvement

Sustainable development depends on community knowledge and support, which entails greater public participation in the decisions that affect the environment. This can usually be obtained by decentralising the management of resources upon which local communities depend, and giving

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these communities an effective say over the use of these resources. Strengthening the ability of communities to live by their own efforts and resources and encouraging them to determine their own future is more likely to foster the development of environmentally sound technologies and methods of production that can be used and controlled at the neighbourhood or community level with the participation of both producers and consumers. This also promotes the efficient use of resources, encouraging their recycling and conservation for future generations, while avoiding unnecessary impacts to ecosystems and the biosphere. Figure 6 provides a summary of principal stakeholder motivations and their influence on technology transfer.

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Figure 6: Stakeholder Motivations and Influence on Technology Transfer Stakeholders Motivations Areas of Influence Governments • National/federal • Regional/state/

provincial • Local/municipal

- Development goals - Environmental goals - Competitive advantage - Security

- Taxation - Import/export policies - Innovation policies - Education and capacity-building - Regulatory programmes - Institutional development - Credit and investment

Private sector business • Transnational • National • Local/micro-enterprise (including producers, users, distributors, and financiers of technology

- Profits - Return on investment - Market share - Competitive advantage

- Capital investment - Technology R&D/commercialisation - Marketing - Skills/capabilities development - Acquisition of information - Technology transfer - Technology transfer pathways - Lending/credit policies (producers, financiers) - Technology selection (distributors, users)

International development institutions • Multilateral banks • Bilateral aid agencies • Other special agencies

(i.e., GEF, WTO,UN, OECD, etc.)

- Development goals - Environmental goals - Return on investment - International dialogue

- Investment - Procurement - Technical assistance - Information dissemination - Decision support tools - Stakeholder facilitation - Conditional reform requirements - Project selection and design criteria

National and local development institutions • Research centres/labs • Technology

advancement centres • Universities • Extension services

- Basic and applied knowledge - Research - Teaching - Knowledge transfer - Perceived credibility

- Research and development - Technology commercialisation - Technology transfer - Technology transfer pathways

Media/public groups • TV, radio, newspapers • Schools • Community groups • NGOs

- Information dissemination - Education - Awareness - Informed decisions - Collective welfare

- Promotion and advertising - Educational programmes - Community programmes - Lobbying for resources - Information dissemination

Individual consumers • Urban • Rural

- Survival - Quality of life - Information - Affordable solutions

- Purchase decisions - Information selection - Learning pathways - Application of knowledge

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In building local technological capacity, it is essential from the outset to identify needs and define the different functions that must be performed at the local and regional levels within a country, and not just at the national level. This includes the supply of production inputs, the marketing and processing of products, the development and dissemination of technical knowledge, the establishment of credit mechanisms, the building of service infrastructure, the promotion of local and regional industrial and commercial activities, and the strengthening of education programmes. Related to the identification of key functions, is the need to define national, regional and local policies through which the numerous challenges of development can be addressed. Much of the responsibility for planning and implementation should be delegated to regional or local institutions because the majority of development work will be done at regional and local levels. Innovative approaches and systems for solving problems at the local level are also needed. The key here is to organise a system which allows people to learn through their own experiences and make their own decisions.

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5. EST Performance Environmentally sound technologies (ESTs) are an essential part of an integrated, preventive and continuous strategy directed towards the development and delivery of products and services aimed at reducing risk to humans and the environment. However, promoting the adoption and use of ESTs is difficult and there are many technical, institutional and economic barriers to their successful adoption and use, including lack of information and resistance to change. ESTs can be economically attractive due to reduced costs of input materials, energy and water, and waste treatment and disposal, as well as increased production and better output quality. There is also the potential for additional environmental benefits arising from the conservation of natural capital. However, these benefits are usually not factored into conventional accounting practices. Furthermore, ESTs are less likely to be economically attractive in countries with inadequate environmental regulations, under-priced or under-valued natural resources, and limited capacity to advocate on behalf of the environment. New strategies and approaches are therefore needed to create greater awareness and acceptance of environmentally sound technologies that embrace the principles of pollution prevention, energy efficiency and cleaner production.

5.1 Linking Environmental and Financial Performance

Historically, many of the impacts arising from technological and developmental decisions have arisen due to the inability of individuals to influence those decisions. Sustainable development depends on broad-based knowledge and support, which entails greater public participation in the decisions that affect the environment. This is best secured by giving stakeholders an effective say over how resources are used. Institutional mechanisms are therefore needed to facilitate the provision of meaningful information for assessing the potential impacts of new technologies before they are widely used, in order to ensure that their production, use, and disposal do not exacerbate environmental sensitivities. Users of environmental performance information represent a range of different stakeholders, each with particular interests. The primary expectation of these stakeholders is that the information reported should be a reasonable representation of reality. They expect the providers of information to be accountable for reporting in a meaningful way. Furthermore, the reporting of information must be sufficiently frequent, complete and reliable for stakeholders to assess on a timely basis the extent to which their expectations of performance are being satisfied. Figure 7 summarises some information needs of key stakeholders.

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Figure 7: Examples of Key Stakeholder Information Needs Stakeholder Information Needs Management • Strategic decision-making

• Approval of plans, acquisitions and investment proposals • Performance evaluation and monitoring for improvements, both

financial and non-financial, and • External reporting, both mandatory and voluntary.

Capital Markets • Financial performance evaluation, and • Assessment of potential liabilities and corporate sustainability.

Regulators and Governments • Compliance monitoring, and • Formulation of policy, economic/trade incentives, etc.

Other Interests • Impact of activities on human health and environment, and • Information on processes, products and services.

The investment community spends considerable time and money analysing performance, profitability and growth in order to maximise returns over short investment periods. Environmental factors are generally viewed as liabilities, typically characterised by expenditures on things like contaminated land clean-up, litigation and compliance. Environmentally sound technologies and practices which go beyond compliance, such as pollution prevention, energy efficiency and cleaner production usually receive limited attention in the valuation process. This is also the case for many of the beneficial ecosystem services provided by nature itself. Consequently, the business rationale for and expected financial outcomes associated with environmentally sound technologies are seldom emphasised. Due to the inadequacy of information and decision support tools used to quantify and qualify the merits of ESTs and related investments, the environmental performance of ESTs is not well understood by many decision-makers. This problem is even greater in the context of developing countries, given the complexity of factors that influence and determine investment decisions. It is generally accepted that environmental stakeholders – local, regional and global – are entitled to information about the state of environmental capital and changes to it. What is less certain, however, is the precise information, both quantitative and qualitative, that can be provided to these stakeholders about how human activities and the performance of individual organisations affects environmental capital. Linking financial and environmental performance is therefore essential in ensuring that the true costs and benefits of ESTs are recognised. The financial accounting systems of most organisations do not consider the costs of environmental impacts arising from activities and products that are not reflected in marketplace transactions Unaccounted for costs include the costs to society of various forms of environmental degradation or depletion of natural resources. Equally overlooked are the benefits of ecosystem "services" which arise as a result of the adaptive and assimilative capacity of nature itself. Recognising this, it has been argued that financial performance measures alone send incomplete signals to the marketplace, consumers and investors alike regarding the sustainability of the environmental capital base.

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One option for rectifying these accounting and reporting shortcomings is to give investors a relevant and reliable set of indicators about environmental performance which, when used together with financial information, would provide a more balanced and complete picture of overall performance, trends and prospects relative to factors that drive competitiveness and value generation. The key to this approach is to provide financial stakeholders with environmental performance information that is relevant, reliable, timely and comparable, and as verifiable as the financial information with which they are accustomed. Linking environmental practices to commercial success in a financially credible manner can have profound implications for how environmental performance information is collected, analysed, and communicated. Companies that believe they derive competitive advantage from superior environmental performance have a commercial incentive in shaping how the financial community interprets and acts on environmental information when assessing strategic competitiveness. Effectively demonstrating the integral role of environmental performance in relation to future profitability and growth can lead to positive changes in how companies are perceived by investors, with long term implications for stock price and the cost of capital.

5.2 A Framework for EST Selection

Governments, communities and other stakeholders must work together at the strategic level to build the necessary capacity and technological capabilities to facilitate the realisation of sustainable solutions and clear policies are needed to encourage and support the adoption and use of ESTs. Figure 8 outlines the principal characteristics of ESTs that are economically, socially and environmentally sustainable. Environmental sustainability considers protection of ecosystems and resources. Economic sustainability considers operating and maintenance costs as well as long term productivity. Social and cultural sustainability considers health protection and the preservation of social and cultural values.

Figure 8: Characteristics of ESTs in Relation to Sustainability

Protection ofEcosystems

Protection ofResources

EnvironmentalSustainability

Low Operatingand Maintenance

Costs

Long TermResource

Productivity

EconomicSustainability

Preservation andEnhancement of Social

and Cultural Values

Protection andEnhancement

of Health

Social and CulturalSustainability

Environmentally Sound Technologies

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In addition to these principal characteristics, it is also important to consider the following variables when identifying and selecting ESTs: • Cultural values and perceptions – Public perception and cultural perspectives, such as

environmental awareness, play a key role. What may be perceived as sustainable or environmentally sound to one particular society may not be to another. Furthermore, within a given society, what may be seen as environmentally sound at one point in time indeed might not be at a later point in time. Since social and cultural values themselves evolve, judging the future with today’s values is problematic.

• Technological context – New technologies can replace or supplement existing technologies in a way that enhances sustainability or environmental soundness, as might be the case by reducing material and energy consumption per unit of socio-economic benefit. Yet the reverse might also occur.

• Location and scale – Factors such as climate, resource availability, geographical context, and location are all important, as are the scale of a project or the degree of spatial diffusion of a particular development concept.

• Rates of change – There are limits to the rates at which institutions and infrastructure can change, patterns of behaviour can readjust, and the environment can regenerate or assimilate the effects of economic activity. For these reasons, rates of growth of population, production and resource use are key factors.

• Time – Time is a significant variable, given the dynamic evolutionary nature of sustainable development.

Recognising the importance of social, cultural and economic factors in relation to sustainable development, there is a need to define a suitable set of indicators and criteria for addressing the environmental performance characteristics of technologies in relation to Agenda 21. This requires an iterative approach focussing initially on the environmental aspects of ESTs. Figure 9 provides a simple framework that outlines the process of qualifying environmental performance information for the identification and selection of ESTs and ultimately their adoption and use.

5.3 Environmental Performance Indicators

An Environmental Performance Indicator (EPI) measures and indicates some aspect of environmental performance and can serve as an important tool for reporting environmental information in a meaningful way. For example, an EPI may provide information on the efficiency of energy, water, raw material and other resource use. The types of EPIs vary and depend on the goals and concerns of the various stakeholders, as well as the nature of potential impacts on the environment. Indicator profiles should include a statement of purpose that reflects the policy relevance of the indicator (including its relationship to sustainable development), a methodological description of the indicator (including a short description of the indicator in relation to overall policy objectives), and information on the interpretation and design of the indicator. An assessment of the availability of relevant data from various sources should also be provided. Thus, in general terms, good indicators should:

• Reflect a trend, with an appropriate timeline • Be easy for stakeholders to understand • Be supported by data • Be sensitive to data collection cost • Be verifiable and reproducible • Reflect local circumstances and goals as well as those at the regional and/or national level • Reflect an understanding the relationships between the economic, environmental, and

social elements of sustainability.

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Quantitative EPIs can be classified as absolute or relative. Absolute EPIs report the basic data with little or no manipulation (i.e., total energy consumed/year). The advantage of absolute indicators is that the magnitude of a particular problem can be assessed; the disadvantage is that relative efficiency cannot be evaluated or compared. Relative EPIs are normalised to some aspect of production outputs, inputs, or a previous year (i.e., total energy consumed/unit produced/year). The advantage of this approach is that efficiency, inefficiency or change can be assessed and evaluated; the disadvantage is that the magnitude of potential problems is often hidden.

Figure 9: Framework for the Identification and Selection of ESTs Environmental Information

(How to collect and analyse…)

Environmental Performance Indicators (How to define and apply…)

Environmental Performance Criteria (How to define and apply…)

Guidelines for Assessing and Evaluating Environmental Performance (How to define and apply…)

Identification and Selection of ESTs

Adoption and Use of ESTs

Certain aspects of environmental performance could be better described through the development and use of more comprehensive indicators, including the following:

• Life Cycle Impacts – An assessment of life cycle impacts attempts to determine the environmental impacts (i.e., solid wastes, hazardous wastes, air emissions, water effluents, energy consumption, water consumption, and ozone depletion) of a technology, product or service through all its life cycle stages: extracting and processing raw materials, manufacturing, transportation and distribution, use/reuse, recycling and waste management. Life cycle impact assessment helps determine where actions can be taken to reduce environmental impacts. When translated into a lifetime cost index, this type of assessment can assist in making comparable material choices, reflecting anticipated future environmental management costs.

• Productivity and Energy Intensity - Some countries have already implemented indicators for productivity and energy intensity. Emerging international consensus on the need to control human activities that may influence climate change could help build support for more widespread use of this type of eco-efficiency indicator.

• Toxic Release Data - Indicators for toxic dispersion or releases are both desirable and feasible, since toxic release data for specified substances are already routinely tracked and recorded under existing laws and international treaties. Based on this, the potential exists to

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design and implement toxic release indicators related to the goal of virtual elimination of persistent bioaccumulative toxic substances.

One of the principal drivers for the development of meaningful environmental performance indicators is the need to raise awareness about the benefits of ESTs, thereby encouraging more investment in their development and use. Although it is generally understood that superior environmental performance can translate into reduced operating risk, lower costs and competitive advantage, two prerequisites are necessary to make environmental considerations a routine part of investment and lending decisions. First, a clear, quantifiable link must be made between environmental and financial performance. In this regard, it is particularly important that leaders in the financial community work with business, academics and others to expand the understanding of the economic benefits of environmental performance indicators. Second, a standardised framework to guide reporting must be used to help clarify and fill information gaps. In this regard, it is important to establish a transparent and comparable performance reporting format that can be used by multiple stakeholders. Uniform reporting measures remain elusive. Consequently, the variety of approaches to reporting environmental performance information often makes it difficult, if not impossible, to compare products, facilities, companies, sectors and countries. A unified reporting framework that embraces transparency, comparability and completeness should include a minimum set of four environmental performance indicators: materials use, energy consumption, non-product output, and pollutant releases. Such information-based strategies can help close the gap between financial and environmental performance information. Without such a framework, governments, communities and companies may be overwhelmed by contradictory, disconnected and incomparable measures of performance.

5.4 EST Criteria

Criteria are principles or standards against which something is judged. They reflect a certain bias based on previous experience and expectations, and therefore must be considered as part of a dynamic process. Appropriate criteria are needed to help guide the identification and selection of ESTs in a manner consistent with sustainable development objectives. However, without a clear definition and understanding of the specific context in which they are applied, the usefulness of criteria is limited. Recognising these limitations, Figure 10 provides a selected set of generic environmental criteria and guidelines that can be used in assessing and evaluating ESTs. A more detailed checklist, provided in Appendix A, was developed in March 2002 by the UNEP Expert Group on Environmentally Sound Technologies as an initial working template in an effort to define the essential criteria and possible indicators for identifying and selecting ESTs. The more detailed checklist in Appendix A is comprised of two parts – the first part lists key environmental criteria and related indicators; the second part lists some important socio-economic criteria and indicators.

Figure 11: Generic Environmental Criteria and Guidelines for Assessing ESTs Criteria Guidelines Sustainable resource development and utilisation

• Plans for the sustainable resource development and use have been developed • Expenditures on sustainable resource development and utilisation have been taken

into account • Expenditures on sustainable resource augmentation (i.e., reforestation) have been

taken into account

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Protection of freshwater quality and supply

• Annual withdrawals of ground and surface water and water consumption have been determined

• Opportunities for water conservation and efficiency improvements have been determined

• Potential sources of water pollution have been determined • Plans and facilities for water and wastewater treatment and hydrological

monitoring are in place • Expenditures on water and wastewater treatment have been taken into account

Protection of adjacent water bodies and shoreline/coastal resources

• Potential releases of nitrogen, phosphorus and other contaminants to adjacent water bodies have been determined

• Plans for the protection of water bodies and shoreline/coastal resources are in place • Expenditures on protecting water bodies and shoreline/coastal resources have been

taken into account Protection of terrestrial resources

• Population growth and distribution, and land use changes have been taken into account, including compatibility of various facilities and systems

• Plans for integrated planning and management of terrestrial resources are in place, including consideration of geomorphology and ecohydrology

• Decentralised local-level natural resource management is in place • Potential for soil contamination and erosion has been taken into account

Conservation and biological diversity

• Plans for the protection of biological diversity and preservation of endangered species are in place

• Expenditures on the protection and preservation of endangered species and sensitive habitats have been taken into account

Protection of the atmosphere

• Ambient concentrations of pollutants in urban areas have been determined • Potential releases of air emissions have been determined • Plans and equipment for the management of air emissions (i.e., criteria air

contaminants, toxics and GHGs) are in place • Expenditures on air pollution abatement have been taken into account

Environmentally sound management of solid wastes and sewage

• Potential generation of solid waste, industrial waste and sewage has been determined

• Opportunities for waste minimisation and material efficiency improvement have been determined

• Plans and facilities for waste management and sewage treatment are in place • Waste recycling and reuse plans and facilities are in place • Expenditures on waste management and sewage treatment have been taken into

account Environmentally sound management of toxic chemicals and hazardous wastes

• Potential generation of toxic chemicals and hazardous wastes has been determined • Opportunities for toxic chemical and hazardous waste minimisation have been

determined • Plans and facilities for the management of toxic chemicals and hazardous wastes

are in place • Expenditures on toxic chemicals management and hazardous waste treatment have

been taken into account

5.5 Monitoring and Reporting

Ongoing monitoring and reporting are essential activities that must be included as part of the overall framework for the selection and use of ESTs. Effective monitoring and reporting strengthens the credibility of the assessment process and provides an opportunity for proponents and stakeholders to review and augment efforts to implement necessary improvements. The essential elements for effective monitoring and reporting are summarised in Figure 11.

Figure 11: Key Elements and Guiding Principles for Monitoring and Reporting Key Elements

Guiding Principles

Objectives, key • All stakeholders should be involved in defining key results, state what they are and show

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results and strategic priorities

links to objectives. Emphasis should be given to outcomes (vs. process, activities and outputs).

Defining roles and responsibilities

• The roles and contributions of each stakeholder should be clearly defined, including what each party is expected to contribute to achieve the desired outcomes

Establishing balanced performance expectations

• Performance expectations should take into account the capacities (authorities, skills, knowledge and resources) of each stakeholder to ensure that expectations are realistic

• Contextual information from external sources (e.g. societal factors) should be taken into account

Measuring performance

• Appropriate monitoring and review tools should be identified and information management systems should be put in place

• Common databases should be used where possible and information should be shared • Indicators should be identified to measure progress on objectives and results. Where

possible, comparative and societal indicators should be used. Reporting • Reporting should be transparent, open, credible and timely

• The reporting strategy and expectations should be identified at the outset • Performance information should be incorporated into existing reports and costs should be

linked to results where possible • Independent assessments should be used • Appeals and complaints should be reported publicly but in a manner which ensures that

confidentiality and privacy needs are met • Easy public access to information should be provided

Resolving stakeholder disputes

• A process should be established for corrective action if responsibilities and expectations are not fulfilled or when adjustments are needed to address stakeholder complaints

Sharing lessons learned

• Lessons learned and good practices should be documented and made available • Mechanisms should be established for implementing improvements and innovations

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6. Applying Various Assessment Tools Assessing and evaluating ESTs involves the application of various assessment approaches and management tools. The selection of the most appropriate assessment and evaluation tools depends on the nature of the technology application and the capacity of decision-makers and stakeholders to understand and apply these tools. Other factors that need to be considered include the scope and boundaries of the assessment, and the differences between stand-alone technologies that might be assessed under ideal operating conditions, and integrated technologies that should be assessed as part of a larger, more variable system or development. For example, bounded developments, such as community infrastructure and power plants, are implemented in a predefined space and are usually characterised by more centralised management decisions with direct consequences, making them easier to evaluate using established assessment methods. By contrast, unbounded developments typically involve the introduction of products, practices or technological systems (i.e., the automobile, chemical fertilisers, etc.) whose subsequent uses depend on widely diffused decisions with potentially larger cumulative consequences, thus requiring more complex prospective evaluation methods. In selecting and applying technology it is important to apply the precautionary principle which recognises that the greatest latitude of choice exists prior to the introduction of a particular technology, technique or system. Once economic investment, material equipment and social infrastructure are in place, alternatives have already been selected and flexibility vanishes. As noted previously in Section 4, there is a need to examine technologies for their social and political characteristics during the earliest stages of any proposed technology development or initiative. Equally important is the need to differentiate between the criteria and tools used to assess technology at the generic or global level, and the approach used at the site specific application or local level. This difference is illustrated in Figure 12 for the assessment of all technologies, including production and consumption technologies, as well as those designed explicitly for environmental enhancement, protection and remediation.

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Figure 12: Process for Evaluating Environmental Soundness of Technologies: Generic Technology Level vs Site Specific Application Level*

Technology Screening

EAss

T

GeneA

Gene

CaGene

AA

Generic Factors - Guidelines - Criteria - Benchmarks

Generic Tec * Applicable to production andenvironmental enhancement, p

Generic nvironmental essment of the echnology

Assessment

Performance Verification

Implementation

Monitoring & Evaluation

ric Performance ssessment

ric Technologies Database

se Studies of ric Technologies S

ASp

hnology Assessment Site Spe

consumption technologies, as well as technologies drotection and remediation.

Site Specific Environmental ssessment of the pplication (EnTA)

Site Specific Applications

Database

Case Studies of Site

pecific Applications

ssessment of Site ecific Application

Site Specific Factors - Conditions - Needs - Values/ aspirations

cific Technology Assessment

esigned explicitly for

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6.1 Technology Assessment

Technology assessment is the process of trying to understand the likely impacts of the use of technology. It implies both an element of scientific analysis and an element of communication amongst all stakeholders. Environmental technology assessment focuses on the effects of technology on the environment, human health, ecological systems and natural resources. The term technology assessment is generally applied to interdisciplinary research directed at:

• The systematic investigation, appraisal, and evaluation of the potential of technologies, their impacts and the conditions for their application

• The identification and analysis of areas of socio-economic conflict, which could arise as a result of the application of the technologies

• The identification and assessment of measures for the socially and environmentally compatible design and application of the technologies.

Many different forms of technology assessment exist and are in use, however, as an institutionalised practice, technology assessment is unequally applied in different countries. Some countries have established formal technology assessment organizations within government or industry. Other countries have loosely organised networks for technology assessment activities. The extent to which technology assessment is used to support decision making processes also varies. Technology assessment is more than an analytical method for supporting technological development and an instrument for supporting decision-making on scientific and technological issues. It has also evolved as a tool for supporting technology policy and for encouraging the development of socially desirable and acceptable technologies. Accordingly, the following functions of technology assessment can be distinguished:

• Assessing in the earliest possible stage of technological development possible problematic and unwanted consequences (i.e., “early warning”).

• Supporting decision-making by clarifying and evaluating problems and issues. • Identifying and developing socially desirable and useful technology development options. • Supporting stakeholders in the formulation of their strategies for technological

development. • Strengthening policy-making through an enlargement of the knowledge base related to

scientific and technological developments, and making it easier to exert a positive influence on these developments.

• Contributing to long term policy by providing information about possible development alternatives.

• Promoting the public acceptance of technology-related developments.

6.2 Environmental Risk Assessment

Technologies and infrastructure developments are not all intrinsically benign, nor do they have only positive impacts on the environment. As an organised information gathering process for identifying and understanding the bio-physical and socio-economic effects of development proposals, environmental risk assessment is a useful planning and decision-making tool for governments and other organisations seeking to achieve sustainable development objectives. This type of assessment early in the planning stages of a proposed project can save time and money by identifying, assessing, and where possible, preventing and minimising potential negative effects before irreversible decisions are made. The environmental risk assessment

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process itself promotes public discussion about project proposals and technologies, which is important for ensuring an open and balanced approach and for encouraging consideration of those effects, costs and benefits which cannot always be identified or measured by scientific or technological means.

6.3 Life Cycle Assessment

Life Cycle Assessment (LCA) attempts to determine the environmental and socio-economic impacts of a technology or product through all its life cycle stages: extraction and processing of raw materials, manufacturing, transportation and distribution, use/reuse, recycling and waste management. Assessing environmental life cycle impacts includes an evaluation of solid wastes, hazardous wastes, air emissions, water effluents, energy consumption, water consumption, and ozone depletion through all stages of the life cycle of a particular technology, product or service. Life cycle assessment is a useful tool for measuring environmental performance, and helps determine where actions can be taken to reduce environmental and socio-economic impacts. When translated into a lifetime cost index, LCA can assist in making comparable material choices, reflecting anticipated future environmental management and sustainability costs.

6.4 Ecosystems Valuation

As discussed earlier in Section 3, ecosystems themselves help maintain biodiversity and the production of natural goods such as food, timber, energy and fibre, as well as many pharmaceuticals, industrial products, and their precursors. In addition to the production of goods, ecological services include life support functions such as cleaning, recycling, and renewal, as well as many aesthetic and cultural benefits. Many of the services provided by ecosystems are usually external to the decision-making process. As a result, the habitats and processes which support complex ecosystems tend to be taken for granted, marginalised or inadequately valued in the absence of public intervention, since the inherent social and environmental benefits are not considered. Greater public awareness of the value of these ecosystem benefits is essential for the development and implementation of policies for the protection of important habitats and essential ecosystem functions. Effective decision support tools are needed in this area to ensure that the value of ecological services and natural capital are taken into account.

6.5 Third Party Conformity Assessment

A combination of factors contribute to the concerns and expectations of stakeholders regarding the quality and credibility of information reported to them. This gives rise to the need for assurance provided by independent third parties regarding whether or not the reported information satisfies specific criteria. Conformity assessment determines if the requirements of an objective or standard are being met. Whether through self-determination or third party audit, stakeholders look for assurance that the determination was performed rigorously and fairly. Activities associated with conformity assessment can include testing, verification, certification and accreditation. Assessing the need for assurance requires an understanding of the expectations of the principal users of environmental performance information. This understanding can be achieved through dialogue and consultation with and among users in order to achieve consensus as to what is reasonable to expect in terms of assurance and verification, and the means of obtaining this. Effective reporting and communication of environmental information requires the selection and definition of those indicators and performance criteria which best portray reality. Verifying

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conformity to both product and process standards is usually carried out by independent, third party bodies at the national level. The advantages of third party conformity assessment include certainty, transparency and enhanced market acceptance, as well as other associated benefits for project proponents, technology developers, consumers, regulators and financial investors. Verifying conformity of performance against accepted criteria and standards is an effective strategy for communicating information about the benefits of environmentally sound technologies, and cleaner production processes and practices. As shown in Figure 13, it requires a systematic approach to monitoring, auditing, verification, certification and accreditation.

Figure 13: Key Elements of a Conformity Assessment System Element Description Monitoring the data acquisition process for a project, technology, process, sector or

within an organisation

Auditing checking data through internal mechanisms (to evaluate a technology, project, process or an organisation) or through external mechanisms (to report an achieved value or level of performance)

Verification the output of an external, third party entity, which has independently evaluated internal data and undertaken sufficient quality assurance and control to validate the data

Certification the output of an external, third party agency, which has independently evaluated conformity or compliance with specific requirements set out in particular standards

Accreditation the role of a recognised, independent authority to set performance standards for certification entities

6.5.1 Verification

Verification is the process of determining, through application of guidelines or pre-determined criteria and, substantiated by investigation, statistical analysis and other means, that a program, project, technology, process or service is technically sound and will produce the results described in a performance claim. Verification is not an isolated process. It is part of a larger system that includes monitoring, auditing, certification and accreditation. Verification guidelines outline the procedures and information requirements needed to verify performance against agreed upon criteria. This is particularly important when communicating information on the performance of environmentally sound technologies, processes and practices. The principal characteristics of a verification system include: • Credibility - The process should involve credible organisations working in conjunction with

internationally recognised bodies that accredit competent organisations to verify and certify. • Transparency - The process should be open and transparent with information shared

amongst interested parties. • Compatibility - Verification guidelines should be relevant to national and international

applications, and

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• Continuous Improvement - The verification system should be designed to accommodate continuous improvement, taking into account new, emerging information and knowledge.

6.5.2 Certification

Certification is a related mechanism which can help governments and companies achieve environmental quality goals by significantly improving the quality of information monitoring, reporting and verification. Certification can serve as an effective policy instrument by supplementing traditional regulatory controls and fiscal incentives. Certification adds value because it is based on the results of tests, inspections and audits carried out by a competent (i.e. accredited or registered) third party. There are generally two types of certification: • Product certification – which attests that a technology, product or process complies with

specifications set out in particular standards, and • Organisational certification – which demonstrates that an organisation’s services, policies

and procedures conform to specific requirements set out in particular standards.

6.5.3 Accreditation

Accreditation is the means that an authoritative body uses to give formal recognition that a certification organisation, for example, is competent to carry out certain tasks. Accreditation is part of a comprehensive, systematic approach towards the achievement of recognised quality practices and procedures. An illustration of this is the International Standards Organisation (ISO) and its ISO 14000 program which provides a measure of control over the activities of accredited environmental management system registrars. Under this program, accreditation bodies approve registrars as competent to carry out ISO14000 registration of environmental management systems. Accreditation auditors evaluate a prospective registrar’s written policies and procedures, including the credentials of its auditors. An audit team then performs a rigorous on-site examination of the registrar’s internal operations and witnesses the registrar conducting a complete client audit.

6.6 Examples of Conformity Assessment

Examples of programs and initiatives involving environmental conformity assessment include: • Product labelling • Technology verification • GHG emissions verification • Environmental management systems • Environmental benchmarking and reporting • Environmental information systems.

6.6.1 Product Labelling

One way in which consumers seek to lessen the environmental impacts of daily activities is by purchasing and using products perceived to be less environmentally harmful. Companies, in turn, have responded to this demand by labelling particular products and packaging as having certain environmental attributes, advertising these environmental attributes, introducing new products, and, in some cases, even redesigning existing products and packaging. Both government and the private sector have acknowledged that this trend offers an opportunity to not only decrease the environmental impacts of consumption patterns but also to increase consumer education and sustain interest in addressing environmental issues.

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In addition to self-declared product claims, an increasingly common approach is the use of third party environmental assessment and certification programs, whereby an independent group evaluates products according to their relative burden on the environment. These programs provide a market-based incentive for producers to develop new products and processes that are less environmentally harmful. In an increasingly global marketplace, manufacturers may also be expected to meet the criteria of internationally recognised environmental certification programs in order to compete effectively. Three fundamental elements are common to all types of third party product labelling programs. First, the product evaluations are conducted by groups independent from product manufacturers and marketers, and are therefore considered “third party” as opposed to “first party” environmental claims made by the companies themselves. Second, participation in these programs can be voluntary or mandatory. Third, labelling programs can be positive, neutral or negative; that is, they can promote the positive attributes of products, they can require disclosure of information that is inherently neither good nor bad, or they can require negative warnings about the hazards of certain products.

Figure 14: Types of Environmental Labelling Programs Programme Voluntary Mandatory Seal of Approval X Single Attribute Certification X Report Card X Information Disclosure X Hazard Warning X Figure 14 lists five types of environmental labelling programs. The three types of voluntary programs are seal of approval, single attribute certification and report card. Seal or stamp of approval programs identify products or services as being less harmful to the environment than similar products or services with the same function. Single attribute certification programs typically indicate that an independent third party has validated a particular environmental claim made by the manufacturer. Report cards offer consumers neutral information about a product and/or company’s environmental performance in multiple impact categories (e.g. energy consumption, water pollution). In this way, consumers can weigh for themselves what they think the most important environmental impacts are. Examples of mandatory labelling programs are information disclosure and hazard warning. Information disclosure specifications, like report cards, are usually neutral, disclosing facts about a product that would not otherwise be disclosed by the manufacturer. Unlike report cards, they are often required by law. Hazard/warning labels are negative warnings concerning the product’s adverse environmental or health impacts (similar to health advisory labels found on cigarette packaging). Appendix B profiles some examples of ecolabelling programs.

6.6.2 Technology Verification

Technology verification can be defined as the mechanism or process for establishing or proving the truth of the performance of a technology under specific, predetermined criteria or protocols

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and adequate data quality assurance procedures. It generally involves the assessment and validation of performance claims by an independent third party. Environmental technology verification (ETV) programs have been designed as a means of accelerating the market acceptance of innovative technologies by providing technology users, government decision-makers and investors with information about performance of these technologies. Examples of well-established environmental technology verification programs currently operating at the national level are the United States Environmental Protection Agency ETV Program, Environment Canada's ETV Program, and the Korean ETV Program. A number of countries, including Japan, Taiwan, Singapore, Spain, and the Netherlands are also investigating the concept while others, namely, Australia, China, Indonesia, the Philippines and the UK, are actively developing programmes. Appendix C profiles some examples of technology verification and certification programs.

6.6.3 GHG Emissions Verification

The Kyoto Protocol includes various requirements for greenhouse gas emissions reporting and hence the need to verify GHG emissions-related information, including GHG emissions reduction claims. Verification will also be necessary to confirm emissions reduction credits resulting from the Clean Development Mechanism (CDM) and Joint Implementation (JI), as well as various domestic and international trading schemes that are under development around the world. Meeting these verification challenges will require agreement on verification principles, development of international guidelines for verification, and sanctioning by the Conference of Parties (COP) to these principles and guidelines. Verification is an important part of the process of meeting the Kyoto targets, as it confirms that the reporting of emissions and emissions reductions is real, credible and measurable, and that GHGs were in fact reduced as claimed. Appendix D profiles some examples of GHG emissions verification initiatives.

6.6.4 Environmental Management Systems

An Environmental Management System (EMS) provides a systematic way to track and manage environmental issues consistently and systematically. An EMS can also assist an organisation comprehensively address environmental issues and establish credibility with regulatory agencies, clients and other stakeholders. Effectively applied, an EMS can help integrate environmental considerations within an organisation’s overall management system. It sets out environmental policies, objectives and targets for an organisation with pre-determined indicators that provide measurable goals, and a means of determining if the performance level has been reached. While an EMS is primarily a tool for managing environmental issues, it also sends a positive signal to stakeholders indicating that environmental issues are being seriously considered. An EMS is an effective mechanism for promoting positive change because it focuses attention upon a number of critical areas, including productive processes and technologies, management styles and systems, worker education and participation, internal communications, and relations with regulatory agencies and other stakeholders. The process of establishing an EMS requires “buy-in” from different levels of management and from the employees of the organisation. The successful implementation of an EMS can lead to increased environmental awareness, continuous improvement and the adoption and use of environmentally sound technologies. Appendix E profiles some examples of initiatives related to environmental management systems.

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6.6.5 Environmental Benchmarking and Reporting

Environmental benchmarking is a voluntary approach that can help organisations innovate and improve their environmental performance. Benchmarking requires clear, measurable objectives, baselines and targets to inform decision-makers and to provide a basis for monitoring, evaluation and reporting, both internal and external. One of the impediments to the implementation of benchmarking is the lack of good information about the environmental impacts of current and possible actions, as well as the costs and benefits of these impacts. Organisations must have the necessary skills to monitor and evaluate the relevant information in order to effectively implement benchmarking. Benchmarking can be implemented on a sectoral basis, where companies join together, usually as an industry association, to develop a common standard of performance for its members. Examples of this are the application of operational codes of practice and environmental policies. Organisations can also use benchmarking for internal reporting programmes to encourage compliance or improve efficiency. Thus, benchmarking can serve as a complement to other policy levers (including regulation) and market forces, in providing innovative, more flexible approaches for meeting existing or potential policy requirements. Appendix F provides some examples of environmental benchmarking and reporting initiatives.

6.6.6 Environmental Technology Information Systems

A thriving industry has grown up around the collection and dissemination of information. The number of databases around the world has increased dramatically and the dissemination of products and services via the Internet is central to the new global economy. Greater accessibility to information on ESTs is an important component of the technological transformation needed to achieve sustainable development. Even though solutions to many environmental problems already exist, information is not always available. Developing countries and countries with economies in transition in particular are often unaware of the range of technological alternatives available to solve the specific environmental problems they face. Raising awareness about ESTs and their availability is an important step toward solving these environmental problems. It is important to know where the information is, how to access it and how much the information costs. The Internet is central to this, both in terms of stakeholder engagement and in the transformation of products and technologies. Internet users are becoming more proficient at determining which information sources are credible and reliable. The Internet also encourages proactive customised interactions amongst stakeholders. Increasingly, users are deciding what they need and how they want it packaged. When technology users seek information about potential technological or management improvements, they should be directed at the earliest stage to relevant sources of information about appropriate ESTs. They need information about the costs, benefits, environmental impacts, successes and failures of technologies. Some of the challenges in improving the effectiveness of EST information systems and networks include:

• Understanding the current state of EST information collection and dissemination throughout the world.

• Establishing links to foster communication and collaboration with organisations involved with ESTs.

• Encouraging institutions with experience in EST information dissemination to share their experience more widely.

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• Providing objective information on specific ESTs, thereby offering decision-makers a wider range of technology choices.

• Providing relevant information to decision-makers on scientific and technical aspects of particular ESTs in order to facilitate understanding of the implications of the technology.

• Ensuring appropriate quality assurance and quality control in the provision of EST information.

Appendix G provides some examples of environmental technology information systems.

6.7 EST-PA: An Integrated Approach to EST Performance Assessment

The use of unproven technologies with potentially significant environmental impacts is a major concern in many countries around the world. Integrated approaches using internationally accepted protocols for evaluating the environmental performance of technologies are urgently required. The application of Environmentally Sound Technology Performance Assessment (EST-PA) as a technology screening and assessment tool is an effective option for augmenting the capacity of decision-makers to make informed decisions leading to the selection of technologies which are more environmentally sound. The goal of EST-PA is to identify suitable environmentally sound technologies for specific applications through comprehensive assessments based upon established criteria and recognised technical protocols which incorporate sound science and statistical analysis. The principal elements of EST-PA involve: • Implementation of a controlled pathway through which technology-related proposals are

processed – the government entity responsible for assessing candidate technologies serves as the focal point for this. All technologies submitted for screening are required to provide basic physical, chemical and cost information. Technologies brought forward without the necessary documentation are “screened out” and not accepted until the requisite baseline information is made available.

• Development of detailed criteria for screening, assessing and verifying environmentally sound technologies – this is done through stakeholder consultation, thus ensuring local involvement and acceptance of the technology selection process.

• Development of testing protocols – testing protocols based on the established criteria are used to validate the performance of technologies and, in some cases, identify possible improvements.

• Establishment of a team of credible experts to screen proposed technologies based upon the accepted criteria – team members include representatives of government, academia, international agencies and local NGOs, and in some cases, outside experts.

• Organisation of an independent third party assessment – after the initial screening, candidate technologies undergo assessment by an independent third party. EST-PA offers guidance in outlining the preferred protocols for independent laboratories and testing agencies in performing the assessment, as well as in facilitating the testing of technologies under conditions of expected use.

In addition to evaluating the environmental performance of technologies, EST-PA can assist governments and other organisations in establishing appropriate institutional mechanisms through which the environmental performance of technologies can be evaluated. For example, EST-PA can be used by local agencies to establish a technical and social oversight process for evaluating technological options in relation to environmental quality improvements. EST-PA also helps build core capacity within scientific and technical organisations to independently assess and

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evaluate proposed technology options. Where necessary, local technology expertise and infrastructure can be strengthened through related institutional capacity building and training programmes. For example, the use of EST-PA involves the application of quality assurance/quality control (QA/QC) protocols and technical procedures which can assist the efforts of government agencies and scientific bodies ultimately responsible for assessing the environmental performance of technologies. Developing countries can use EST-PA to assess the appropriateness and applicability of technologies, and to evaluate technology performance leading to the identification and selection of appropriate, environmentally sound technologies. The assessment process can be structured to take into account social and economic parameters specific to the needs of these countries. Where feasible, local laboratory facilities and technology institutions are used to provide technical and organisational oversight. Technology proponents can use EST-PA for determining actual operational parameters and for identifying strengths and weaknesses of candidate technologies under field conditions. In some cases, successful completion of a detailed laboratory assessment can be used to support the review and verification of technology performance claims as part of an internationally recognised assessment and evaluation process. Another benefit of EST-PA is the strengthening of linkages with international organisations that can provide technical assistance to support of the adoption and use of ESTs. This helps to ensure that country-specific EST-PA procedures and protocols are internationally recognised. Through the deployment of EST-PA, UNEP is seeking to collaborate with national governments, international agencies and NGOs in establishing a comprehensive, internationally recognised technology assessment procedure for the review and selection of environmentally sound technologies. UNEP recognises the need for national governments to have the necessary tools to develop their own knowledge base and assume responsibility for their own decisions. Working in association with government agencies and technical organisations, UNEP is promoting the use of EST-PA as a tool for providing fundamental information about technology performance, facilitating informed decision-making, and augmenting the dissemination of this information. Through the application of EST-PA, government agencies, international agencies and local NGOs can also cooperate in developing information and education programmes leading to the increased adoption and use of environmentally sound technologies.

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7. EST Action Plan To meet the objectives of sustainable development, we need to improve and strengthen the capacity of administrators and decision-makers in local authorities, institutions, NGOs and communities to identify, assess, evaluate and select environmentally sound technologies and infrastructure. This includes know-how, operating procedures, goods and services, and equipment, as well as organisational and managerial procedures. It covers the full spectrum from basic technologies adjunct to the production and consumption system, to fully integrated technologies. It also captures the full cycle flow of the material, energy and water in the production and consumption system. For developing countries in particular, there is a need to facilitate stakeholder involvement in the identification and selection of ESTs. As a result, UNEP and its partners are working together in implementing a strategic framework for promoting the adoption and use of ESTs. This includes defining a process for assessing the environmental characteristics, benefits and risks associated with technologies and infrastructure. The elements of this strategic framework are outlined in Figure 16.

Figure 16: Strategic Framework for Promoting the Adoption and Use of ESTs Baseline

Situation Established

Efficiency Gains

Achieved Innovation Sustainability

• Stage 1: Baseline Situation – Baselines, benchmarks, codes of practices and indicators of sustainable development are essential tools for assessing performance on a continuous basis and for modifying future strategies and approaches. Knowing where things are, where they fit and where the gaps are is essential for developing strategies and engaging the champions for sustainability. This involves conducting inventories, studies, audits, and assessments, as well as the implementation of performance targets and benchmarks. It also requires the establishment of a compliance management system.

• Stage 2: Efficiency Gains – Once the baseline situation has been established, leverage can be obtained through partnerships and the effective application of knowledge, leading to technology, process, and system improvements. Consultation and education, as well as triple bottom line accounting and performance reporting, are essential elements.

• Stage 3: Innovation – Increasing access to and market penetration of ESTs involves leveraging strategic advantages, demonstrating results, and spinning off solutions to other areas. Encouraging socially responsible investment is important, together with external verification of environmental or sustainability performance. At this stage, the potential to address upstream urban and industrial transformation opportunities is more likely to be realised.

• Stage 4: Achieving Sustainability – The fourth element of the strategic framework involves proactively influencing market conditions and ultimately being better positioned to achieve sustainability.

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7.1 Establishing Objectives and Priorities for ESTs

ESTs include a wide range of production and consumption technologies and therefore complementary objectives must be established to enhance their development, use and dissemination. As shown in Figure 17, there are six priority areas where actions are required to ensure that the principles of sustainable development are addressed as part of the overall framework for promoting ESTs.

Figure 17: Complementary Objectives for Guiding the Development, Use and Dissemination of ESTs

Integrated Planning &

Management

Eco-Efficiency & Environmentally Sound Design

Stakeholder Involvement

Full Cost Accounting

Good Governance

Precautionary Approaches

• Integrated Planning and Management – Integrated planning and management is needed to

improve quality of life while taking into account the interactions amongst the various elements and flows within the environment, namely energy, water, transportation and communication, and their impacts on ecological processes. The setting of objectives and priorities for infrastructure development should consider such features as quality, flexibility, adaptability, reliability, cost effectiveness, and crisis management. Networks for information exchange and collective effort should be strengthened to improve integrated approaches.

• Precautionary Approaches –The greatest latitude of choice exists prior to the introduction

of a new technology or system, hence precautionary approaches are needed. Detailed environmental hazard contingency plans should be drawn up and made available to government authorities and other stakeholders for all scales of potential ecological impacts at the local and regional levels. Where possible, administrative procedures should allow for processes to readjust in a distributed, decentralised manner with a minimum of central intervention and control, except in the event of catastrophic breakdown.

• Environmentally Sound Design – The transformation of production and consumption systems to work within the limits of supporting ecosystems must recognise the intrinsic value of natural ecosystems, their productive and regenerative capacities, and the need for their protection and restoration. The concepts of eco-efficiency and "industrial metabolism" need

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to be better understood in order to make processes more efficient through the use of by-products and wastes. Environmental impacts can be reduced through flexible management practices that involve innovative reuse, remanufacturing and recycling of "wastes". The setting of objectives and priorities should also encourage environmentally sound design. It is at the design stage that strategies can be developed and applied to address environmental issues, including consideration of the types of resources and manufacturing processes to be employed, which in turn determine the detailed characteristics of the by-products and waste streams. This offers the potential for improved quality, reduced costs, and increased economic competitiveness.

• Full Cost Accounting – Full cost accounting of production and consumption processes and

their ecological impacts is necessary to help justify investment practices that are more environmentally sound.

• Stakeholder Involvement - Improving the identification of specific opportunities and

barriers to the introduction of ESTs by consulting with stakeholders is a basic requirement. This includes ensuring that local technology needs and social impacts of technologies are adequately assessed so that the transfer of and investment in ESTs meet local demands. Partnerships between different stakeholders for the transfer, evaluation and adjustment of ESTs to local conditions can include technology assessment, development of prototypes, demonstration projects and strengthening linkages with manufacturers, producers and end users.

• Good Governance - Continuing to improve macroeconomic, social and political stability to

facilitate ESTs to be transferred is at the core of sustainable development. This includes using legislation, enhancing transparency, and increasing participation by civil society to reduce corruption in conformity with international conventions.

7.2 Implementing EST Policies and Programmes

Policies and programmes that integrate the elements of capacity building, information and knowledge into comprehensive approaches for EST transfer and cooperation can achieve more than individual actions by themselves, and can contribute to the creation of an innovation culture. This should involve partnerships at all stages of the development process, and ensure the participation of private and public stakeholders, including business, legal, financial, and other stakeholders within both developed and developing countries. Although many ESTs are in common use and could be diffused through commercial channels, their spread is often hampered by risks such as those arising from inadequate legal and regulatory mechanisms. Governments therefore have a key role to play. Through sound economic policy and regulatory systems, transparency and political stability, they can create an enabling environment for encouraging the adoption and use of ESTs. The development and dissemination of ESTs can be enhanced by supportive programmes and measures, including well-enforced regulations, taxes, codes, and standards, and the removal of subsidies to capture the full environmental and social costs. As shown in Figure 18, this can be achieved through targeted actions within a framework of complementary policies and programmes.

Figure 18: Framework for the Implementation of EST Policies and Programmes

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Social Systems • Training • Education • Capacity Building

Corporate Systems • Leadership • Fair Competition • Product Awareness

Information Systems

• Access • Infrastructure

Technological Systems• Technology Transfer • Research & Development • Procurement

Financial Systems

• Financial Reform • Export Policies • Development Assistance

Legal Systems • Regulatory Reform • Intellectual Property

7.2.1 Social Systems

An intensive public education effort is needed to explain the scientific basis for concerns regarding air pollution, stratospheric ozone depletion, climate change, and pollution of the oceans, land and groundwater, especially in relation to choices in human behaviour. Targeted capacity building, information access, and training for both public and private stakeholders is also required. This includes strengthening scientific and technical education institutions in the context of technology needs.

7.2.2 Corporate Systems

Discouraging restrictive business practices and promoting open markets and fair competition in EST markets can facilitate the realisation of economies of scale and other cost reducing opportunities. Actions are required to encourage multinational companies to demonstrate leadership and apply high standards for environmental performance wherever they operate. Creating awareness about products, processes and services that use ESTs through means such as eco-labelling, product standards, industry codes, and community education is also important.

7.2.3 Legal Systems

A better understanding is needed of the effects of government regulations on the development and dissemination of ESTs. Legal procedures which are cumbersome and unclear can discourage investment. Actions are needed to reduce regulatory risk by reforming administrative law and ensuring that public regulation is accessible to stakeholders and subject to independent review. Protecting intellectual property rights and licenses to foster innovation is also needed. It is equally important, however, to avoid the misapplication of intellectual property policies which may impede access to and diffusion of ESTs.

7.2.4 Financial Systems

The promotion of ESTs can be enhanced by actions which encourage open and competitive markets, and capital flows that support direct investment. Governments can implement financial reforms and facilitate lending for ESTs through policies that allow the design of specialised credit instruments and capital pools, as well as through public/private partnerships. Reforming export credit, political risk insurance and other subsidies for the export of products or production

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processes can also encourage investment in ESTs. This includes developing environmental guidelines for export credit agencies to promote the transfer of ESTs while ensuring that the transfer of obsolete technologies is discouraged. Increasing flows of national and multilateral assistance, including funding, for environmentally sound technologies is another important area. Governments can use their leverage to direct multilateral development banks to account for the environmental consequences of their lending. Attention should also be given to long term capacity building, and improving the flow of information and knowledge among developing countries to support the transfer of ESTs.

7.2.5 Technological Systems

Pathways and modalities for technology transfer among developing countries should be improved through the sharing of information on the performance of ESTs and through joint demonstration programmes. Increasing funding for R&D on ESTs should be undertaken to reflect the high rate of social return, and wherever possible, the flows of ESTs arising from publicly funded R&D programmes should be enhanced by entering into cooperative R&D partnerships with international research institutions. This should include expanding R&D programmes, aiming at the development of ESTs that are appropriate in developing countries and adaptable to local conditions. Simplifying and making transparent programme and project approval procedures and public procurement requirements is another important related area where actions are required.

7.2.6 Information Systems

The collection, assessment and sharing of specific technical, commercial, financial and legal information is essential for enhancing the adoption and use of ESTs. This includes developing the necessary physical and communications infrastructure to support interest and investment in ESTs. It also involves the establishment of cooperative mechanisms with intermediary organisations which provide information services. In addition, land use planners need a dynamic clearinghouse of ecological information that can be continuously updated and made publicly available prior to the implementation of land use decisions.

7.3 EST Initiative - Partner Organisations

UNEP is well-positioned to provide an effective platform for meaningful interaction and dialogue in support of the harmonisation of assessment approaches and methodologies related to ESTs. To demonstrate the benefits of ESTs, UNEP has established an EST Initiative with a number of partner organisations. A key objective is the transparent reporting of environmental performance information related to technologies. This involves differentiating between the supply side and the demand side of the technology equation to determine specific needs and the requirements for appropriate decision support tools. This is important in ensuring that the users of EST are well-informed and given the necessary tools and information to make good decisions. To enhance the uptake of technologies in developing countries, the users of EST information should be directly involved in the design of the information systems and decision support tools which support the application of ESTs.

Figure 19: EST Initiative Partners External Internal Industry Research Institutes Development Assistance Agencies Cooperation Centres

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Other Funding Agencies Regional Offices National Governments Other UNEP Divisions Technology Advancement Organisations Other UN Agencies Academic Institutions NGOs and Community-Based Organisations As shown in Figure 19, a broad range of stakeholders are involved in this process. To date, UNEP has consulted with the organisations listed in Appendix H to obtain their specific suggestions and proposals for areas where they are prepared to cooperate.

7.4 EST Initiative – Next Steps

The inadequacy of information and decision support tools used to quantify and qualify the merits of environmentally sound technologies represents a significant challenge. The effectiveness of ESTs depends on having both broad-based and expert input into their development, adoption and ongoing monitoring. Leverage and synergy through cooperation amongst governments, industry associations, corporations and the financial community is needed for investments in ESTs to occur. At the same time, systems for collecting, synthesising and feeding back information and knowledge on ESTs must be developed and maintained. Third party performance assessment mechanisms such as verification and certification can assist in meeting this need for transparent, credible information on which decisions can be based. Continuous review and improvement will be essential to ensure the establishment of an effective system that is responsive to changing social, economic and political realities. To support this, the following next steps have been proposed as the basis for UNEP and its partner organisations in moving the EST Initiative forward:

1. Establishment of a mechanism and approach amongst participating organisations on how to assess technologies in a transparent manner.

2. Cooperation amongst participating organisations to define a meaningful set of environmental indicators and performance criteria relevant to the adoption and use of ESTs.

3. Augmentation of mechanisms and approaches for the provision, acquisition and dissemination of information on ESTs.

4. Documentation of technology performance assessment procedures and making this information available.

5. Identification and compilation of case studies to more clearly communicate the importance of ESTs.

6. Development of a communications plan for the EST Initiative, taking into account opportunities to promote the Initiative in a strategic manner by linking to key events.

7. Preparation of various “co-branded” products and fact sheets on selected topics, targeting decision-makers within local authorities, as well as banks, insurers and other financial institutions.

8. Further elaboration of the action plan and a process for harmonising performance assessment criteria, benchmarks and guidelines. This could lead to the establishment of a standard for assessing ESTs and could involve positioning the EST Initiative to eventually go forward as an ISO standard.

9. Establishment of an appropriate mechanism for monitoring and evaluating progress, and measuring success.

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7.5 Anticipated Benefits

The anticipated benefits arising from the implementation of this Action Plan include: • Meaningful results in addressing global issues • Strengthened policies, strategies, and mechanisms for integrating ecosystem approaches • Identification of needs, requirements and priority areas of developing regions • Better understanding of what needs to be done in addressing issues and barriers to the

adoption and use of ESTs • Guidance in addressing the needs of decision-makers as well as the practicalities of

technology transfer • Strengthening of institutional and intellectual capacities already available in both

developed and developing countries • Effective use of different assessment and decision support tools and processes for different

situations • Bringing together information, technical solutions and action plans at the local government

level • Provision of an information database and clearinghouse on projects and case studies

involving ESTs • Increased awareness and information sharing based on relevant projects and experiences • Identification of appropriate funding sources and mechanisms for supporting positive

actions and the implementation of projects involving ESTs • More effective collaborative partnerships and leverage • Better communication and increased profile in promoting sustainable solutions.

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Appendix A – Proposed Checklists for Identifying and Selecting ESTs Criteria are principles or standards against which something is judged. Appropriate criteria are needed to help guide the identification and selection of ESTs in a manner consistent with sustainable development objectives. This Appendix includes two checklists of selected generic criteria and possible indicators that can be used in assessing and evaluating ESTs. These checklists were developed in March 2002 by the UNEP Expert Group on Environmentally Sound Technologies as an initial working template in an effort to define the essential criteria and indicators for identifying and selecting ESTs. The first checklist includes key environmental criteria and related indicators. The second checklist includes some important socio-economic criteria and related indicators. As part of the EST Initiative, UNEP’s principal interest is to identify an initial set of generic environmental criteria and indicators that can be used to facilitate the identification and selection of ESTs.

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Proposed Checklist of Environmental Indicators for ESTs Criteria Proposed Indicators Quantitative

Indicators (i.e., amount

saved/spent and/or reduced/

increased)

Qualitative Indicators (i.e., based on potential local,

regional and global impacts)

Technical Suitability

• Addresses fundamental scientific and engineering principles (i.e., laws of thermodynamics and reactivity)

• Production or process yield • Contaminant removal rates or treatment

efficiency • Potential for generation of secondary

pollutants/byproducts • Noise • Thermal losses and radiation emissions • Performance at different settings and different

locations • Sensitivity to specific operating conditions • Reliability • Replicability • Potential for system failure • Profiling of risks and uncertainties

Compliance with Regulations and Standards

• Quantity of waste generated (water, air and solids)

• Quantity of waste controlled by environmental permits

• Compliance with local and regional standards • Compliance with MEAs (i.e., POPs, Biosafety,

etc.) and other internationally recognised standards (i.e., ISO, etc.)

• Availability of reliable data • Part of a 3rd party assessment programme (i.e.,

Ecolabelling, ETV, etc.)

Eco-Efficiency and Conservation of Biodiversity

• Useful life (in accordance with optimal performance specifications)

• Efficiency of energy, water and materials use relative to the service provided

• Lifecycle performance (i.e., overall GHG emissions throughout lifecycle)

• Use of renewable resources • Incorporation of closed loop processes • Design for the environment • Cumulative air, water and waste emissions • Impact on ecosystems health & integrity

(including biodiversity and ecological footprint)

Protection of Water Resources

• Water use • Conservation of water • % use of recycled water • Wastewater treatment requirements • Level of treatment (primary, secondary, tertiary) • Overall water efficiency

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Optimisation of Materials and Energy Use

• Use of fuels and energy resources • Quantity of renewable resources • Quantity of non-renewable resources • % of recyclable and reused materials in the

production process • Use of environmentally friendly materials • Use of locally sustainable resources • Duration of product use or useful life • Energy efficiency and savings • Overall efficiency of resource use

Minimisation of Toxic Materials and Waste

• Quantity of waste (air, water and solids) • Quantity of toxic and hazardous waste used

and generated • % of waste materials used as raw materials

for other industries (i.e., based on industrial ecology and CASE principles)

• Quantity of byproduct recovered • Cost of pollution control abatement

technology • Need for waste treatment and disposal • Ultimate disposal costs of unmarketable

byproducts and waste • Overall operations and maintenance cost

Protection of Terrestrial Resources

• Space required for construction • Compatibility with immediate or adjoining

facilities and systems • Transportation and materials flow

requirements • Potential for soil contamination • Potential for geomorphology, landscape and

ecohydrological impacts

Protection of the Atmosphere

• Air emissions • Potential for long range transport of

atmospheric pollutants • Potential for climate change impacts

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Proposed Checklist of Selected Socio-Economic Indicators for ESTs

Criteria Proposed Indicators Quantitative Indicators (i.e., amount

saved/spent and/or reduced/

increased)

Qualitative Indicators (i.e., based on potential local, regional and

global impacts) Financial Viability

• Capital investment • Return on investment • Payback period

Operations & Maintenance Viability

• Management and labour costs • Expertise and skills requirements for operation and

maintenance • Utilities cost (water and energy) • Cost of other consumables • Cost of pollution prevention and control • Cost of residuals management and solid waste disposal • Cost of environmental remediation and restoration • Cost of natural capital • Cost of environmental health and safety liabilities • Frequency of maintenance • Parts and service cost • Overall cost effectiveness

Responsive to Local Needs and Benefits

• Public acceptance • Public health & safety risk • Social benefits • Cultural value • Employment • Use of local resources • Capacity building requirements

Quality of Information

• Reliability of data • Existence of a QA/QC programme • Available comparisons to existing systems • Transparency of data collection and reporting • 3rd party substantiation

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Appendix B -- Selected EcoLabelling Programs

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Program: Blue Angel

Country: Germany

Type: Product Labelling

Operator: Federal Ministry for the Environment, Nature Conservation and Nuclear Safety

Stakeholder Consultation Process: • Environmental Label Jury made up of representatives from citizen, environmental,

industry, and union organisations makes final decisions on product categories and award criteria.

• There is no official public review process. Main features: • World’s first national ecolabelling program. • A voluntary program viewed as a “soft instrument” of environmental policy by the

German government to guide the consumer in purchasing quality products with smaller adverse environmental impacts and to encourage manufacturers to develop and supply environmentally sound products.

• Once a product category is proposed, usually by manufacturers seeking Blue Angel ecolabels for their products, three institutions – the Environmental Label Jury, the German Institute of Quality Assurance and Labelling (RAL), and the Federal Environmental Agency (Umweltbundesamt) – work out the award criteria, define appropriate tests, and set up expert hearings to discuss and develop the criteria proposal.

• Experts are drawn from consumer, environmental, manufacturing, and trade union organisations.

• Criteria for awarding the Blue Angel includes: the efficient use of fossil fuels, alternative products with less of an impact on climate, reduction of greenhouse gas emissions, and conservation of resources.

• Once the award criteria for a product category have been established, a manufacturer may apply for an ecolabel; the RAL checks whether the product meets all Blue Angel requirements.

• If the product meets all of the ecolabel’s requirements, then the RAL and the manufacturer work out a civil contract defining the appropriate use of the logo.

• An award is valid for three years, after which the manufacturer must reapply for the ecolabel, whose requirements may have changed in the interim.

• The Blue Angel logo may be used only on the approved product itself and in direct advertisement for that particular product.

Contact information: German Institute for Quality Assurance and Labelling (Deutsches Institut für Gütesicherung und Kennzeichnung e.V. - RAL), Siegburger Straße 39, 53757 St. Augustin, Tel: 02241/1605-23, -36 http://www.blauer-engel.de/ Federal Environmental Agency (Umweltbundesamt), Postfach 33 00 22, 14191 Berlin, Tel: 030/8903-3705, -3678

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http://www.blauer-engel.de/


Program: Environmental Choice Program (ECP)

Country: Canada


Operator: TerraChoice Environmental Services Inc. delivers the program under license agreement with Environment Canada

Stakeholder Consultation Process: • Draft guidelines for product and service categories are subject to a 4-8 week public

review period (as announced in the Canada Gazette) • Notification is also sent directly to interested individuals and groups • Comments and supporting information are taken into account when modifying the final

guideline, as appropriate Main features: • A voluntary program designed to help consumers identify products and services that

help ease the burden on the environment and to create market incentives for manufacturers and suppliers to reduce the burden on the environment of their products and services

• If no criteria exist for a product or service type, a Technical Briefing Note is prepared that reviews the lifecycle of the product, and outlines the environmental, technical, market and economic considerations associated with the proposed category

• Review Committees made up of scientific, technical, and industrial experts establish scientifically-based criteria to define good environmental performance and set benchmarks for identifying environmental leaders and innovators in specific market segments

• Products or services may be licensed by one of two processes: 1. Technical Guideline Process: where an ECP guideline exists, an applicant

undergoes verification procedures that may include product testing, audit of the manufacturing location, or review of quality control systems

2. Panel Review and Certification Process: where a technical guideline does not yet exist, products or services that achieve a significant reduction in the environmental burden may be considered for certification by an independent expert panel which recommends certification based on the documentation submitted by the applicant

• TerraChoice auditors visit plant sites to assess products and processes against Environmental Choice Program criteria

• Once verification is completed, the selected criteria are incorporated into a license agreement

• Certification entitles the company to incorporate the EcoLogo in their marketing campaigns

• Products and services certified against Technical Guideline criteria remain certified as long as compliance with pertinent criteria is maintained; licensed companies must submit annual attestations confirming their continued compliance

• Products and services certified against Panel Criteria remain certified for at least two years at which time the Panel reviews whether initial claims and assigned criteria remain relevant

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Contact information: TerraChoice Environmental Services Inc. 2781 Lancaster Road, Suite #400 Ottawa, Ontario Canada K1B 1A7 Tel: (613) 247-1900 Fax: (613) 247-2228 Email: [email protected]: www.terrachoice.ca

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mailto:[email protected]

http://www.terrachoice.ca/


Program: Nordic White Swan Label

Country: Sweden, Norway, Finland, Iceland


Operator: • Swedish Standards Institution • Norwegian Foundation for

Environmental Labelling • Finnish Standards Association • Iceland Ministry of the Environment

Stakeholder Consultation Process: • Members of the national boards represent consumers, environmental authorities, non-

governmental organisations, trade and industry, and research institutes • Draft criteria are sent out for review on a broad basis throughout the four countries Main features: • World’s first multi-national harmonized ecolabelling scheme • Voluntary program administered in Sweden, Norway, Finland, and Iceland by national

boards organised under the Nordic Coordinating Body for Ecolabelling • Ecolabels are awarded to products that satisfy specific criteria • Proposals for new product categories are handled by the program agency in each

country; the other Nordic countries are consulted to avoid duplication of effort • The Nordic Coordinating Body sanctions each new category which also decides which

country will be responsible for preparing a proposal • After product requirements have been drafted, the country sends the proposal to other

participating countries for comment, revises accordingly, and then forwards the proposal to the Coordinating Body which may accept, reject, or modify the proposal

• Once approved by the Coordinating Body, a product category and its criteria are valid in all the Nordic Council countries

• Manufacturers send applications to the ecolabelling agency in their own country, accompanied by technical documentation, test reports, measurement results

• When a product has been approved for ecolabelling in one country, the license is valid in the other Nordic countries in which the label is used

• Each ecolabelling agency has the right to perform repeated control checks; if the company’s product(s) no longer satisfy the requirements of the license, it may be revoked

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Contact information: Sweden: SIS Eco-labelling, the Swedish Standards Institution P.O. Box 6455 S-113 82 Tel: +46 - 8 610 3000 Fax +46 - 8 34 20 10 S-113 82 Stockholm, Sweden Norway: Ecolabelling Norway Kristian Augusts gate 5 N-0164 Oslo, Norway Tel: +(47) 22 36 57 40 Fax: +(47) 22 36 07 29 Email: [email protected]: www.ecolabel.no Finland: The Finnish Standards Association SFS, Environmental Labelling PO Box 116 FIN-00241 Helsinki, Finland Tel: + 358 -0 149 9331 Fax: + 358 -0 1499 3320 E-mail: [email protected] Iceland: Umhverfismerki , Ministry of the Environment PO Box 8080 IS-128 Reykjavik, Iceland Tel: + 354 -5 68 88 48 Fax: + 354 - 5 68 18 96 E-mail: [email protected]

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http://www.ecolabel.no/


Program: Green Seal

Country: U.S.


Operator: Green Seal, part of the Environmental Partners Program

Stakeholder Consultation Process: • Public review process involving manufacturers, environmental organizations, consumer

groups and government agencies Main features: • Green Seal is a non-profit environmental labeling organization that awards the Green

Seal of approval to products that cause less harm to the environment than other similar products. Before a product gets the Green Seal, it must pass rigorous tests and meet stringent environmental standards.

• Green Seal develops these environmental standards on a category by category basis. Industry, environmentalists, consumer groups and the public are invited to suggest product categories for review. Categories are generally chosen according to the significance of the associated environmental impacts, and the range of products available within the category.

• Once a category is selected, a study of the environmental impacts of products in that category is conducted. The study identifies the characteristics of the product, the manufacturing process, the use of the product and the disposal practices that have significant environmental affects. The study is then released in the form of a proposed standard.

• Proposed standards are circulated for public review and comment. Manufacturers, trade associations, environmental and consumer groups, government officials and the public are invited to comment. After reviewing the comments, Green Seal publishes a final standard.

• Products certified in over 50 categories including paints, water-efficient fixtures, bath and facial tissue, re-refined engine oil, printing and writing paper, energy efficient lighting, paper towels and napkins, household cleaners, energy efficient windows and major household appliances

• 101 new members registered in its new Environmental Partners “green” procurement program for institutions, with over $5 billion in purchasing power

• Publishes a series of Green Buying Guides Contact information: U.S. Environmental Protection Agency Pollution Prevention Clearinghouse (PPIC) 401 M Street, SW (7409) Washington, DC 20460 Tel: 202 260-1023 Fax: 202 260-4659 E-mail: [email protected] www.epa.gov/opptintr/labeling

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http://www.epa.gov/opptintr/labeling


Program: Global Ecolabelling Network (GEN)

Country: International


Operator: Various ecolabelling organizations from Europe, Asia, North and South America

Stakeholder Consultation Process: • Membership open to national or multinational ecolabelling organizations run by not-

for-profit organizations without commercial interests. Consultation is based on voluntary participation of potential licensees. Seek advice from and consult with stakeholder interests.

Main features: • collection, compilation and provision of information on ecolabelling programs,

including product criteria and relevant reports • participation in activities of The United Nations Environment Programme (UNEP),

International Organization for Standardization (ISO), World Trade Organization (WTO), and others

• development of position papers and analyses on issues such as ecolabelling and trade, harmonization of programs, etc.

• exploring mutual recognition among programs • conducting technical assistance program to developing programs • information exchange among members with regard to setting criteria, marketing green

procurement, etc. • publishing of newsletter Contact information: Brazil – Associacao Brasileira de Normas Tecnicas (ABNT) Canada – Terra Choice Environmental Services Inc., Environment Canada Croatia – Ministry of Environmental Protection and Physical Planning Czech Republic – Ministry of the Environment Denmark – Ecolabelling Denmark EU – European Commission, DG X1, E4 Germany – Federal Environmental Agency (FEA) Greece – ASAOS, Supreme Council for Awarding the Ecolabel Hungary – Hungarian Eco-Labelling Organization (HALO) India – Central Pollution Control Board (CPCB) Israel – The Standards Institution of Israel Japan – Japan Environment Association (JEA) Korea – Korea Environmental Labelling Association (KELA) Luxembourg – Ecolabel Commission, Ministry of the Environment New Zealand – International Accreditation New Zealand (IANZ) Norway – Norwegian Foundation for Environmental Labelling R.O.C. (Taiwan) – Environment and Development Foundation (EDF) Spain – Associacion Espanola de Normalizacion y Certificacion (AENOR) Sweden (SIS) – SIS Ecolabelling AB Sweden (SSNC) – Swedish Society for Nature Conservation (SSNC) Sweden (TCO) – TCO Development Thailand – Thailand Environment Institute (TEI) United Kingdom – Department of the Environment, Food and Rural Affairs (DEFRA) USA – Green Seal Zimbabwe – Environment 2000 Foundation

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GEN Secretariat TerraChoice Environmental Services Inc. 2781 Lancaster Road, Suite 400 Ottawa, ON Canada K1B 1A7 Tel. +1-613-247-1900 Fax. +1-613-247-2228 E-mail. [email protected] GEN General Affairs Office Japan Environment Association (JEA) 7F Toranomon Takagi Bldg. 1-7-2 Nishi-shimbashi, Minato-ku, Tokyo 105-0003, Japan Tel. +81-3-3508-2662 Fax. +81-3-3508-2656 E-mail: [email protected]

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Appendix C -- Selected Environmental Technology Verification Programs

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Program: Environment Canada Environmental Technology Verification Program

Country: Canada

Type: Performance Verification/Certification

Operator: ETV Canada Inc. under license agreement with Environment Canada

Stakeholder Consultation Process: • A vendor-based program Main features: • A voluntary program designed to provide third-party independent assessment and

validation of vendors’ claims regarding the performance of their technologies. • Delivered on behalf of Environment Canada by ETV Canada Inc., a private sector

organisation which is licensed to use the ETV logo and issue verification certificates. • Environmental technology vendors apply to ETV Canada Inc. for verification of the

claims they make concerning the performance of their products. • Testing is conducted by “verification entities,” e.g. specialised laboratories and other

organisations under contract with ETV Canada who are qualified to provide technology performance verification and related technical services

• Successful vendors are awarded a Verification Certificate as authenticated proof of completion of the ETV Program; they are also issued a Technology Factsheet stating that the company has successfully completed the ETV Program verification process and describing the verification claim in detail, as well as Verification Report.

• ETV Canada has a letter agreement with US EPA’s ETV Program to examine harmonization as well as MOUs with the California Environmental Protection Agency Hazardous Waste Environmental Technology Certification Program and the New Jersey Corporation for Advanced Technologies Verification Program.

Contact information: Ed Mallett ETV Canada 867 Lakeshore Road Burlington, Ontario Canada L7R 4A6 Tel: (905) 336-4546 Fax: (905) 336-4519 E-mail: [email protected]: www.etvcanada.com

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http://www.etvcanada.com/


Program: United States Environmental Protection Agency Environmental Technology Verification Program

Country: United States


Operator: U.S. Environmental Protection Agency

Stakeholder Consultation Process: • Stakeholder Groups consisting of representatives of all verification customer groups

(e.g. regulatory personnel, consulting engineers, technology purchasing organizations, developers and vendors) for particular technology sectors guide and inform the EPA and its verification partners

Main features: • A voluntary program that verifies the environmental performance characteristics of

commercially-ready technology through the evaluation of objective and quality-assured data.

• A five-year pilot phase was undertaken from 1995-2000 operating 12 pilot sector-specific programs.

• Verification partners, selected from both the public and private sectors, including federal laboratories, states, universities, and private sector facilities, design testing and quality assurance protocols with input from the EPA and all major stakeholder/customer groups.

• Following the test(s) that are carried out by an independent third party, a verification statement is issued by the EPA, along with a data report.

• Verification statements are published on EPA’s ETV website. • The US/EPA ETV Program has also provided assistance internationally, for example in

the Philippines, to help countries meet specified environmental performance requirements.

Contact information: Teresa Harten Director, Technology Coordination Office US Environmental Protection Agency 401 M Street SW Washington, DC 20460 Tel: (513)-569-7565 Fax: (513) 564-0075 Email: [email protected]: www.epa.gov/etv

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http://www.epa.gov/etv


Program: California Hazardous Waste Environmental Technology Certification Program



Operator: State of California Environmental Protection Agency Department of Toxic Substances Control (DSTC)

Stakeholder Consultation Process: • Proposed certification decisions are published for public comment in the California

Regulatory Notice Register; comments are responded to and the evaluation report and decision modified as appropriate; final certification decisions are published.

Main features: • A voluntary program that offers participating technology developers, manufacturers,

and vendors an independent, recognised third-party evaluation of the performance of environmental technologies.

• California certification verifies the performance of a technology with respect to specific conditions, but also predicts the performance that can be achieved when the technology is operated under a range of conditions specified in the certification statement.

• Technologies that may be certified include, but are not limited to, hazardous waste management technologies, site mitigation technologies, and waste minimization and pollution prevention technologies.

• Certification can be used by the applicant to support marketing efforts and to provide information to regulatory agencies in support of a permit, thereby streamlining permitting requirements.

• Companies are also authorised to use the Program logo in their marketing efforts. • The program cooperates with the US EPA ETV Program. It also has MOUs with ETV

Canada, the State of New Jersey, Bavaria, and others. Contact information: Cal EPA P.O. Box 2815 1001 I Street Sacramento, CA 95814 (916) 445-3846 Tel: (916) 327-5789 Fax: (916) 327-4494 http://www.calepa.ca.gov/CalCert/ E-mail [email protected]

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http://www.calepa.ca.gov/CalCert/



Program: Environmental Management Corporation (EMC) ETV Program, Korea

Country: Korea


Operator: Environmental Management Corporation (EMC), a public corporation under the Ministry of Environment (MOE)

Stakeholder Consultation Process: This program was developed in consultation with technology developers and regulatory agencies in Korea. Main features: • Initiated in 1998 following a survey of other ETV programmes around the world. • EMC manages the program and uses verification entities with specialised expertise to

undertake the verification. • Fact sheet and ETV Certificate are issued by MOE; verification results are reported in

the official gazette and announced to local governments • Verified technologies are advertised in various publications and technical journals, as

well as on the websites of the National Environmental Technology Information Centre (KONETIC) and EMC

• Verified technologies receive priority for use in public facilities Contact information: Environmental Management Corp. Environmental Research Complex Kyungseo-Dong, Seo-gu Incheonl, Korea Tel 032-560-2151-2153 Fax. 022-560-2289 Website: www.emc.or.kr

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http://www.emc.or.kr/


Appendix D -- Selected GHG-Related Verification Initiatives

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Program: Greenhouse Gas Emissions Trading


Type: GHG-Related Verification

Operator: UNCTAD

Stakeholder Consultation Process: • Involves governments, industry, financial institutions and NGOs Main features: • The goal of the project is to reduce the impact of climate change by helping to foster

the development of an integrated global emissions trading system in which all countries would participate based on the accepted principle of common but differentiated responsibilities.

• The secretariat issued a major report on the subject in May 1992, as a contribution to the work of the Earth Summit held in Rio de Janeiro in June 1992.

• Since then UNCTAD has contributed its experience and expertise in commodities trading towards research and capacity building in the area of greenhouse gas emissions trading.

Contact information: UNCTAD/Earth Council Carbon Market Programme UNCTAD Palais des Nations CH-1211 Geneva 10, Switzerland Tel: +41 (22) 917-2116 Fax: +41 (22) 917-0504 Email: [email protected] Website www.unctad.org/ghg/index/html

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http://www.unctad.org/ghg/index/html


Program: Kyoto Protocol



Operator: United Nations Framework Convention on Climate Change (UNFCCC)

Stakeholder Consultation Process: • Extensive international consultations have taken place with national governments. Main features: Under the Kyoto Protocol, there are a number of approaches currently being considered for reducing GHG emissions: • Allowance System – This would involve specific industry sectors, regions or countries

being allotted a cap on GHG emissions that they cannot surpass. Companies would be able to trade permits in order to achieve the allowance targets. The verification, certification and registration of emission allowances at a company level will be important in this system to ensure that targets are being met. Companies will want to ensure that they are receiving real emissions reductions when they trade.

• Regulatory Standards - A system of regulatory standards would use penalties for non-compliance as a means to drive businesses and industry sectors to meet their pre-determined targets. Regulatory standards require verification, certification and registration of GHG emissions to ensure that the standards are being met, and that commitments to meet reductions are occurring.

• Carbon Charges - A carbon charge is a measure that might be likely applied to the consumption of carbon (e.g., fuels such as oil, gas and coal) at a rate dependent on the amount of carbon emissions produced. Verification would also be needed for this approach.

• Credit for Early Action - Rules for early action credits will provide incentives to organizations to reduce emissions earlier rather than later. In doing so, credits for early action could be created which may have value in trading systems. Regardless of how the rules emerge, companies claiming credits for early action would have to verify that these are legitimate and real.

• Verification will also be part of the substantiation accompanying country reports under the Kyoto framework.

Contact information: UNFCCC P.O. Box 260124 D-53153 Bonn Germany Tel: (49-228) 815-1000 Fax: (49-228) 815-1999 E-mail: [email protected] page: www.unfccc.int

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http://www.unfccc.int/


Program: World Bank Pilot Validation, Verification and Certification of GHG Mitigation Activities Implemented Jointly (AIJ) Projects



Operator: The World Bank

Stakeholder Consultation Process: • Involves government and private sector stakeholders Main features: • Pilot projects to test validation, certification and verification procedures to meet the

Kyoto Protocol (India Agricultural Demand-Side Management project to increase efficiency of electricity usage, and Mexico ILUMEX project to replace incandescent bulbs with compact fluorescent bulbs in two cities).

• Development of monitoring and verification protocol for India project has served as a pilot for the certification and verification efforts.

• For the project in Mexico, a Norwegian certification company was hired to analyse the work of the ILLUMEX project and to verify the resulting offsets from the project.

• This initiative has assisted in the development of a monitoring and verification protocol for AIJ projects.

Contact information: The World Bank Environment Department 1818 H St. NW. Washington, DC. 20433 USA Tel. (202) 473-2013 E-mail: [email protected] www.worldbank.org

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http://www.worldbank.org/


Program: Greenhouse Gas Emission Reduction Trading Pilot (GERT)

Country: Canada


Operator: Natural Resources Canada

Stakeholder Consultation Process: • Involves industry, government, NGOs and the financial sector Main features: • Sellers post emission credits available for trade on an internet site. • Participants submit paper trail for projects and trades to Technical Committee to review

and determine if reductions are measurable, verifiable and surplus. • Submit required documentation annually for Registered Emission Reductions (RER) • Third party audit is recommended, but not required. • Provides practical experience in trading through a market based approach. • Project concluded in 2002. Contact information: Howard Loseth, Pilot Manager Greenhouse Gas Emission Reduction Trading Pilot Saskatchewan Department of Industry and Resources 2101 Scarth Street - 8th floor Regina, Saskatchewan Canada S4P 3V7 phone: (306) 787-3379 fax: (306) 787-2333 e-mail: [email protected] www.gert.org

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Program: GHG SMART

Country: Canada


Operator: TEAM Operations Office

Stakeholder Consultation Process: • GHG SMART was developed through extensive consultations with key stakeholders

and experts, in Canada and internationally Main features: • TEAM (Technology Early Action Measures) Projects are required to measure and

report the performance and impacts of the project • TEAM has developed a methodology GHG SMART (System of Measurement And

Reporting to TEAM) to guide this process • There are 3 main objectives for the GHG SMART:

- To provide guidance to the proponents and federal authority project managers for the measurement and reporting of their TEAM projects;

- To provide the Government of Canada an acceptable methodology for the evaluation of projects that intend to have a mitigating impact on GHG emissions; and,

- To provide the international community an illustration of an approach used in Canada to assess the GHG impact of such projects.

• Guiding principles of GHG SMART include accuracy, best practices, completeness, comparability, consistency, cost-efficiency, practicability, reliability, transparency, and validity.

• GHG SMART involves: - Up-front planning, coordination of stakeholders and identification of roles

and responsibilities - Scoping of the boundaries and benchmarks for the verification, including

what should be measured and what should be compared - Selection of GHG emissions factors - Collection and reporting of GHG emissions and other related information

in accordance with a specific set of guidelines and templates. Contact information: Thomas Baumann, Project Verification Officer TEAM Operations Office Climate Change Technology Early Action Measures 580 Booth Street, 13th Floor Ottawa, Canada, K1A 0E4 Tel: 613-943-5913 Fax: 613-947-1016 E-mail: [email protected] www.climatechange.gc.ca

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http://www.climatechange.gc.ca/


Appendix E -- Selected EMS Programs

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Program: ISO 14000 series


Type: Environmental Management System

Operator: International Organisation for Standardization (ISO)

Stakeholder Consultation Process: • Technical Committee (TC) 207 and its subcommittees and working groups are made up

of representatives from thirty-five countries, each of which formulates a national position; working drafts, committee drafts, and draft international standards are developed, commented upon, and subjected to formal balloting before finalisation

Main features: • A series of voluntary generic standards that provide business management with the

comprehensive framework for managing the environmental impacts of a company’s processes and activities

• The standards include a broad range of environmental disciplines, e.g. basic management system, auditing, performance evaluation, labelling, and lifecycle assessment

• The standards are all guidance documents (i.e. “descriptive”) except for ISO 14001 which is a specification document (i.e. “prescriptive”) and the model for an environmental management system

• ISO 14001 is the standard against which a company’s environmental management system will be audited – by an internal auditor or a third-party independent auditor – and certified

• The European Commission has accepted ISO 14001 certificates as fulfilling most of the management system requirements in the EMAS regulation, and has withdrawn all other national standards, including BS 7750, in its favour

Contact information: International Organization for Standardization (ISO) 1 rue de Varembe Case Postal 56 CH-1211 Geneva 20 Switzerland Tel: 41 22 749 01 11 Fax: 41 22 733 34 30 E-mail [email protected] www.iso.org

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http://www.iso.org/


Program: The ISO 14000 Registry



Operator: Canadian Institute of Chartered Accountants / E2 Management Corporation

Stakeholder Consultation Process: • Consultations with small and medium-sized enterprises Main features: • The purpose of this Registry is to allow organizations to publicly announce their

conformance (either through self-declaration or third party certification/registration) to ISO 14000. While the focus is primarily small and medium sized companies, the Registry is open to any enterprise regardless of size, sector, organizational profile, or geographic location.

• Self declaration means that an organization has met all the requirements for achieving conformance with ISO 14001. The organization, in using the Registry, is stating that it has made a self-determination and is self-declaring its conformance to the requirements of the International Standard.

• The burden of proof that the organization has met all the requirements of ISO 14001 remains with the organization. Self-declaration to ISO 14001, as with registration/certification, only involves the assessment of an organization’s environmental management system (EMS) and does not apply to products.

• The Registry does not offer registration/certification services. However, it does provide a mechanism using commonly accepted auditing procedures to determine the existence of an EMS of an organization.

• Professional accountants who wish to provide this type of auditing service to clients can take the necessary training online through the Registry.

• Contact information: The ISO 14000 Registry 18 Timber Run Court Campbellville, Ontario Canada L0P 1B0 Tel: (905) 659-4462 Toll-free Tel: 800 277-3776 Fax: (905) 659-4463 Website www.14000registry.com

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http://www.14000registry.com/


Program: Eco-Management and Audit Scheme (EMAS)

Country: European Union


Operator: European Commission

Stakeholder Consultation Process: • The EC consulted extensively with industry, environmental non-governmental

organisations, and trade unions in developing the EMAS requirements Main features: • A voluntary scheme, backed by the Eco-Management and Audit Regulation (EMAR),

that encourages the adoption of EMAS standards and approaches for continuous environmental performance improvements by industry in all EC countries

• EMAS is similar to, but more rigorous than, ISO 14001, requiring full compliance with all environmental regulations and comprehensive public performance reporting

• Companies are required to publish an environmental statement detailing the company’s environmental impact and performance

• The policy statement, program and management system, and audit cycles are reviewed and validated by an external accredited EMAS verifier at least once every three years

• Under recent revisions, EMAS II allows companies that meet the standard to display a logo announcing their adherence to the program’s strict requirements

Contact information: EMAS Help Desk c/o Bradley Dunbar Associates Scotland House Rond-Point Schuman 6 B-1040 Brussels Tel +32 2 282 84 54 Fax +32 2 282 84 54 E-mail- [email protected] Website www.europa.eu.int/comm/environment/emas

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http://www.europa.eu.int/comm/environment/emas


Appendix F -- Selected Reporting and Benchmarking Initiatives

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Program: CERES Report


Type: Reporting/Benchmarking

Operator: CERES

Stakeholder Consultation Process: • Involves corporations, governments, ENGOs and the financial sector Main features:

• Since CERES' inception in 1989, a major driver of its programs has been the CERES Report, the first standardized corporate environmental report format crafted through the collaboration of Fortune 500 companies and progressive smaller companies, institutional investors and many of the nation's largest environmental organizations. The CERES Report is revised annually through a collaborative industry-environmental-investor process.

• CERES believes that more and better information on the environmental performance of companies is essential for better corporate environmental management and improvement; and encourages greater corporate accountability for environmental impact. The CERES Report represents a major milestone towards ensuring greater public participation in promoting environmentally responsible corporate behavior.

• The CERES Report is the first and only standardized environmental report format to carry the explicit backing of over $300 billion in investor assets of member institutional investors, as well as many of the major environmental and public interest organizations. The CERES Report is designed to stimulate changes at companies which complete it - lowering pollution, improving management and stakeholder responsiveness. The rigor and quality of the CERES Report is globally recognized.

• The CERES Report standardizes the disclosure of environmental performance data. It facilitates the establishment of baselines and goals, allowing a firm to track its own performance in quantifiable ways. The Report functions as both an internal management tool and an external communication device. Participating companies receive feedback on their reports, creating a mechanism for mutually assessing trends, recommending improvements and suggesting new resources.

Contact information: Brad Sperber CERES Director of Coalition Programs 11 Arlington Street, 6th Floor Boston, MA 02116 Phone: (617) 247-0700 Fax: (617) 267-5400 Email: [email protected]: www.ceres.org

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http://www.ceres.org/


Program: European Environmental Benchmarking Network

Country: Europe


Operator: International Network for Environmental Management (INEM)

Stakeholder Consultation Process: • Involves companies, industries, universities, governments and the public Main features: • Environmental benchmarking is considered by many to be an important environmental

management tool that provides a substantial contribution to the improvement of environmental performance by facilitating the identification of the gap between a company’s expected performance and a given performance.

• The Network promotes the adoption of environmental benchmarking in various types of organisations (companies, industry associations, universities and others). It provides a reference for companies and other stakeholders launching environmental benchmarking activities.

• The Network is an initiative of the European Commission, Directorate General for Industry in conjunction with: - International Network for Environmental Management (INEM) - Fondazione Eni Enrico Mattei (Italy) - Technical University of Delft (the Netherlands) and - Groundwork (UK).

• Throughout the Network, information is disseminated to a wide public audience. The network also facilitates pilot projects.

Contact information: Dr. Georg Winter Chairman International Network for Environmental Management (INEM) Osterstrasse 58 20259 Hamburg Germany Tel.: +49-40-4907-1600 Fax: +49-40-4907-1601 Email: [email protected] www.inem.org/

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http://www.inem.org/


Program: Responsible Care

Country: North America


Operator: American Chemistry Council/ Chemical Manufacturers Association (CMA)

Stakeholder Consultation Process: • Involves companies, governments, NGOs, citizens Main features: • Six organized Codes of Management Practices supported by 106 descriptive

management practices • “Cradle to grave” initiative, includes public commitment to demonstrate improved

performance in the EH&S areas associated with the research, development, scale-up, production, use, distribution, and final disposal of products

• Voluntary Responsible Care Management Systems Verification (MSV) process reviews management systems to handle chemicals responsibly throughout the total supply chain of a company

• MSV process calls for third party verification by team of current and former industry employees and public participants

• Responsible Care is comprised of ten elements: - Guiding Principles - Codes of Management Practices - Dialogue with the Public - Self-Evaluations - Measures of Performance - Performance Goals - Management Systems Verification - Mutual Assistance - Partnership Program - Obligation of Membership

• 28 countries have published the required codes/guidelines for implementation, 29 countries are reporting on a range of performance indicators, and 20 of these are making these indicators public and discussing them with interested parties.

Contact information: American Chemistry Council 1300 Wilson Blvd. Arlington, VA 22209 USA Tel: (703) 741-5000 Fax: 703-741-6000 E-mail [email protected] www.cmahq.com

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http://www.cmahq.com/


Appendix G -- Selected Environmental Technology Information Systems

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Program: maESTro


Type: Information System

Operator: UNEP/DTIE/IETC

Stakeholder Consultation Process: • Involves technology information users and providers Main features: • maESTro is a searchable EST directory database designed to ensure the systematic and

integrated collection and provision of objective, targeted and quality reviewed information on Environmentally Sound Technologies (ESTs) related to the management of large cities and of freshwater basins, such as lakes and reservoirs. The information available through maESTro can help facilitate the informed choice and use of ESTs by relevant organisations in developing countries and countries with economies in transition.

• MaESTro users can archive, manage and retrieve in-house environmental data, access information provided by others, and communicate with other maESTro users.

• Access to information on ESTs, as well as other related institutions and information systems can be regularly updated through electronic mail, CD-ROM, floppy disk, or hard copy.

• The key to the easy access and transfer of information in maESTro is the international, easy-to-use standardized Directory Interchange Format (DIF). DIF is used by NASA, the World Bank, UNEP, and other major international organizations.

• MaESTro is available free of charge • Other benefits include:

- Enhanced networking of information - Wide dissemination - Regular updating - Use of a common format

Contact information: Robert Rodriguez IETC 2-110 Ryokuchi Koen, Tsurumi-ku Osaka 538-0036 Japan Tel: 81-6-6915-4581 Fax: 81-6-6915-0304 E-mail: [email protected] www.unep.or.jp/

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http://www.unep.or.jp/


Program: International Cleaner Production Information Clearinghouse (ICPIC)



Operator: UNEP/DTIE

Stakeholder Consultation Process: • Involves government, industry, NGOs Main features: • The collection and dissemination of cleaner production (CP) information is one of the

important ways that UNEP fulfils its commitment to the cleaner production concept. • ICPIC is a collection of cleaner production databases that can assist industry,

government, non-governmental institutions and academia implement cleaner production in developing as well as developed countries. This is done by providing examples of technical and policy applications, abstracts of available publications, lists of expert contact institutions, and information from sources available from UNEP/DTIE.

• ICPIC also provides hard copy documentation and has an e-mail connection which enables users to pose questions about cleaner production. This query response service provides individualized response.

• ICPIC is an information tool that is continuously being updated and improved. UNEP/DTIE solicits feedback on the content and operation of ICPIC in order to determine the usefulness and appropriateness of the material.

• A related ICPIC product is Cleaner Production: A Guide to Sources of Information. This hard copy publication helps identify relevant sources of information and technical assistance, including institutional support.

Contact information: The ICPIC databases are on the web and searchable, or can be ordered from UNEP DTIE. The direct E-mail and web addresses are: E-mail: [email protected]: http://www.unepie.org/icpic/icpic.html

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http://www.unepie.org/icpic/icpic.html


Program: Sustainable Alternatives Network (SANet)



Operator: UNEP and GEF

Stakeholder Consultation Process: SANet is based on collaboration with multiple organizations interested in promoting sustainable technology from a variety of directions. SANet works closely with existing MEA clearinghouses and other UNEP sites, other inter-governmental groups, industry associations, and NGOs dedicated to encouraging sustainable technology. Main features: • Builds a network of sustainable technology marketplaces, with seamless access to

relevant market, financial, technology and policy information. • Aims to reduce transaction times and costs through provision of access to on-line

procurement tools for cleaner technology alternatives. • Catalyzes targeted dialogues and partnerships among various stakeholder groups

influencing technology markets and sustainable alternatives. • Supports informed decision making through targeted on-site advisory, coaching and

mentoring services, and incentives for alternative feasibility studies. • Facilitates targeted stakeholder dialogues. • Seeded initially with funds from GEF, SANet aims to become self-sustaining. • This additional funding will be a combination of funds already programmed for use in

related areas by potential operating partners, matched by funds donated by financial sponsors with an interest in promoting sustainable technologies.

Contact information: Frank Rittner General Manager, Sustainable Alternatives Network United Nations Environment Programme Division of Technology, Industry & Economics Tour Mirabeau - 39-43, quai Andre Citroen 75739 Paris Cedex 15, France Tel: (33-1) 44 37 30 08 Fax: (33-1) 44 37 14 74 Email: [email protected]: www.SustainableAlternatives.net

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http://www.sustainablealternatives.net/


Program: aboutRemediation.com

Country: Canada


Operator: OCETA

Stakeholder Consultation Process: • Developed in consultation with government and private sector stakeholders Main features: • aboutREMEDIATION.com (AR) is an on-line "one stop" reference source on site

remediation, brownfields redevelopment, and property cleanup information, technologies and solutions for the Canadian and selected international markets.

• The aboutREMEDIATION.com web portal provides users with free access to: - Property cleanup evaluation and assessment tools - Property valuation and records review - Legislation, regulations and polices - Insurance, legal and financing options - Remediation news and case studies - Technology and company profiles - Links to other valuable resources

• It also houses Canada’s largest online database of site remediation technologies. For a low annual fee, subscribers can gain access to a continually updated and searchable directory of proven remediation technologies for soil, sediment, water and air.

• aboutREMEDIATION.com (AR) demonstrates the willingness of different economic sectors and organizations to work together to provide superior site remediation information to Canadians and others around the world. The partners include Environment Canada - Ontario Region, Ontario Centre for Environmental Technology Advancement (OCETA), Royal LePage Commercial Inc., Southam Environment Group, Province of Ontario - Ministry of the Environment (MOE) and Gowlings Lafleur Henderson LLP (Gowlings - Smith Lyons)

Contact information: Tammy Lomas-Jylha, Program Manager OCETA 63 Polson Street, 2nd Floor Toronto, ON Canada M5A 1A4 Tel: (416) 778-5264 Fax: (416) 778-5624 e-mail [email protected]: www.oceta.on.ca

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http://www.oceta.on.ca/


Appendix H – EST Initiative: Commitments of Partner Organisations

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External Partners • FIDIC - The International Federation of Consulting Engineers (FIDIC) has done extensive work in the area of value engineering and its membership provides this type of service on a routine basis. Quality management is an effective way of augmenting sustainable development objectives, and value engineering can serve as a mechanism for a third-party review and assessment of projects and initiatives in support of these objectives. FIDIC is also involved in promoting an integrity initiative which includes a guidance document to help managers ensure that transparency and integrity are part of all business transactions, including tendering, contracts and procurement.

• CIB – The International Council for Research and Innovation in Building and Construction (CIB) is working with UNEP on a multi-sectoral initiative to put in place a credible system for assessing the environmental performance of technologies, including a standard for EST assessment and evaluation in the construction sector. CIB has a number of products that could be incorporated into the EST Initiative, including guides for decision-makers on performance criteria for environmentally sound building and construction.

• ISWA - The International Solid Waste Association (ISWA) is already cooperating with UNEP on the development of an Introductory Guide for Decision-makers on Solid Waste Management Planning, and a series of training modules on various aspects of solid waste management related to landfill design and operation. In addition, ISWA has established a special fund, the ISWA Development Fund (IDF), to assist the involvement of developing country representatives in various ISWA projects and programmes.

• IWA - The International Water Association (IWA) has 54 specialist groups and represents a major source of expertise in the water and wastewater area. IWA is in the process of launching its new strategic plan to help address the needs of the developing world in the areas of water supply and sanitation. IWA sees the EST Initiative as a mechanism for cooperation and collaboration linked primarily to the activities being undertaken by IWA in developing countries.

• ISTT - The International Society for Trenchless Technologies (ISTT) is committed to cooperating with UNEP in moving forward with the EST Initiative. An Introductory Guide for Decision-makers on Trenchless Technologies has already been developed by ISTT, and the Association is prepared to work with UNEP to better define the concept of ESTs in relation to equipment and services in the trenchless technologies area.

• ICLEI - The International Council for Local Environmental Initiatives (ICLEI) was formed as a result of Local Action 21 Agenda 21 and is a key UNEP partner. The two organisations are already working cooperatively in a number of areas. Collaborative initiatives include an Environmental Management Systems (EMS) train-the-trainer kit for local authorities a project on green procurement, and the promotion of the Melbourne Principles, leading to the establishment of a global charter for sustainable communities. With approximately 500 member municipalities, ICLEI is well-positioned to assist UNEP in promoting the EST Initiative to decision-makers within local governments. It is envisaged that this would lead to the more widespread adoption of alternative environmentally friendly products and services throughout the world.

• OCETA – The Ontario Centre for Environmental Technology Advancement (OCETA) is a not-for-profit corporation which provides services to promote the development and dissemination of new environmental technologies and the adoption of better management

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practices by governments and the private sector. OCETA has considerable experience in selecting, evaluating, verifying and field evaluating environmentally sound technologies. In support of the EST Initiative, OCETA has developed the EST Performance Assessment (EST-PA) decision support tool as a screening mechanism to facilitate the selection of environmentally sound technologies.

• GLOBE Foundation - The GLOBE Foundation is prepared to promote the EST initiative at their biennial GLOBE Conference. The next GLOBE Conference will take place in Vancouver in March of 2004.

Internal Partners UNEP itself plays a catalytic and facilitation role in creating and implementing strategies for transformation and change. This involves harmonising approaches which move beyond local to global sustainability. • GPA - The UNEP Global Programme of Action for the Protection of the Marine Environment from Land-based Activities (GPA) sees the need for a simplified technology selection process to address the needs of users in developing countries in determining their options for wastewater treatment. This could include a simplified classification system outlining categories of ESTs and their specific performance characteristics.

• IETC – The International Environmental Technology Centre (IETC) is extensively involved in promoting the adoption and use of ESTs. This involves data gathering and information packaging on ESTs, as well as the development of decision support tools to assess life cycle performance and environmental benefits of ESTs. It also involves technology transfer and capacity building initiatives to assist in the development, demonstration and dissemination of ESTs.

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Bibliography Caldwell, Lynton K., “An Ecological Approach to International development: Problems of Policy and Administration”, in Farvar, M. Taghi and John P. Milton, eds, The Careless Technology: Ecology and International Development, Garden City, N.J., Natural History Press, 1972. Clark, W.C., and R.E. Munn, eds, Sustainable Development of the Biosphere, Cambridge, the Press Syndicate of the University of Cambridge, 1986. Engaging Stakeholders 1999: The Internet Reporting Report, SustainAbility Ltd. and the United Nations Environment Programme, The Beacon Press, 1999. Global Environment Outlook 2000, UNEP, London, Earthscan Publications, 1999. Globe and Mail, “Calgarian’s Bright Idea Wins Recognition”, October 2002. Methodological and Technological Issues in Technology Transfer: Summary for Policy Makers, A Special Report of Working Group III of the Intergovernmental Panel on Climate Change. Milbrath, Lester W., Envisioning a Sustainable Society, Albany, State University of New York Press, 1989. Mungall, Constance, and Digby J. McLaren, eds, Planet Under Stress: The Challenge of Global Change, Toronto, Oxford University Press, 1991. National Academy of Engineering, Engineering within Ecological Constraints, Washington, D.C., National Academy Press, 1996. Neate, John, “United Nations Environment Programme Cleaner Production Initiatives: Encouraging Cleaner Production Investments”, Paper prepared for presentation at the United Nations University Zero Emissions Symposium, Tokyo, Japan, Oct. 19-20, 2000. Neate, John, “Water and technology - trends and challenges”, Water Quality International, January/February 1999. Ontario Centre for Environmental Technology Advancement, Advancing Tomorrow’s Technologies – 2001/02 Annual Report, 2002. Protecting Our Planet, Securing Our Future: Linkages Among Global Environmental Issues and Human Needs, United Nations Environment Programme, U.S. National Aeronautics and Space Administration and The World Bank, Nairobi and Washington, November 1998. Schumacher, E.F., Small is Beautiful, London, Blond & Briggs Ltd., 1973. Singer, Hans W., “A New Approach to the Problems of the Dual Society in Developing Countries”, Background Paper No. 7 prepared for the United Nations Meeting of Experts on Social Policy and Planning, Stockholm, 1-10 September 1969. The World Commission on Environment and Development, Our Common Future, Oxford, Oxford University Press, 1987.

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Trindade, Sergio C. (Coordinating Lead Author), Toufiq Siddiqi and Eric Martinot (Lead Authors), Richard J.T. Klein and Mary-Renee Dempsey-Clifford (Contributing Authors), Managing Technological Change in Support of the Climate Change Convention: A Framework for Decision-making. UNEP Survey of Information Systems Related to Environmentally Sound Technologies, United Nations Environment Programmes, 1997. Work-Book for Training in Environmental Technology Assessment for Decision-Makers: A Pilot Programme, Technical Publication Series [5], UNEP International Environmental Technology Centre, Osaka/Shiga, 1997. UNEP International Environmental Technology Centre EST Expert Group Meeting, Bangkok, Thailand, Sept. 2001. UNEP International Environmental Technology Centre EST Expert Group Meeting, Jeju Island, Korea, Feb. 2002. UNEP International Environmental Technology Centre EST Expert Group Meeting, Osaka, Japan, March 2002. UNEP International Environmental Technology Centre EST Initiative Meeting, Rotterdam, Netherlands, July 2002.

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(BACK COVER)

United Nations Environment Programme International Environmental Technology Centre The International Environmental Technology Centre (IETC) is an integral part of the Division of Technology, Industry and Economics (DTIE) of the United Nations Environment Programme (UNEP). Established in 1994, IETC has offices at two locations in Japan – Osaka and Shiga – and receives support from the Government of Japan and two Japanese Foundations – the Global Environment Centre Foundation (GEC) and the International Lake Environment Foundation (ILEC). The mandate of IETC is based on Agenda 21 of the 1992 United Nations Conference on Environment and Development (UNCED), otherwise known as the Earth Summit. Consequently, the main function of IETC is to promote the application of environmentally sound technologies (ESTs) in developing countries and countries with economies in transition. This involves improving access to information on ESTs and helping to build capacity for the adoption and use of ESTs. IETC’s activities assist decision makers in governments and other organisations by: • Identifying and solving environmental problems • Assessing and evaluating new technologies for current application • Promoting and demonstrating environmentally sound technologies. The Centre integrates water and urban environmental issues by raising awareness, exchanging information, building capacity, and facilitating technology demonstration projects.

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(front cover) revised draft - unep.or.jp · environmentally sound technologies for sustainable ......

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