managing the risks of chemicalsstockholm convention on persistent organic pollutants (pops), which...

UNEP

ISSN 0378-9993Industry and EnvironmentVolume 27 No. 2-3April – September 2004

A publication of the United Nations Environment ProgrammeDivision of Technology, Industry and Economics

Une publication du Programme des Nations Unies pour l'environnementDivision Technologie, Industrie et Economie

Una publicación del Programa de las Naciones Unidas para el Medio Ambiente División de Tecnología, Industria y Economía

industry andenvironment

◆ Internationalstrategies

◆ Sectoralapproaches

◆ The public'sright toknow

Managing the risks of chemicals

Managing the risks of chemicals

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C o n t e n t s

2 ◆ UNEP Industry and Environment April – September 2004

3 Editorial: Balancing the benefits of chemicals with their health and environmental risks.

4 The chemical industry and international cooperation to manage chemical risks: facts and figures

7 Global strategy on chemicals management: opportunities and risks – by Rainer Koch

9 The Rotterdam Convention: why is it here and what is it trying to achieve? – by William Murray and Sheila Logan

12 A science-based strategy for chemicals control – by Sven Ove Hansson and Christina Rudén

16 The precautionary principle and EU chemicals policy – by Mary Taylor

19 Integrated chemical management: dream or reality in the developing world? – by Laurraine H. Lotter

23 The Montreal Protocol: lessons for successful international chemicals management

27 The future of pesticide use in world agriculture – by J.D. Knight

30 Mexico’s success in eliminating chlordane within a regional cooperation framework – by Mario Yarto

33 Effects of an environmental tax on pesticides in Mexico – by Carlos Muñoz Piña and Sara Avila Forcada

37 The Africa Stockpiles Programme: cleaning up obsolete pesticides; contributing to a healthier future – by Clifton Curtis and Cynthia Palmer Olsen

39 The evolution of Canada’s approach to minimizing environmental and health risks from mercury – by Wanda M. A. Hoskin

43 Cleaner production in the Indian dye and dye intermediate industry: a successful preventive environmental management strategy for waste minimization and resource conservation – by P.K. Gupta and S. Kalathiyappan

47 Implementation of Design for the Environment (DFE) in a Mexican chemical group – by Margarita Ferat

52 A Danish company’s use of Best Available Techniques for waste handling and treatment – by Vagn S. Christiansen, Lennart Scherman, Per Kjærgaard and Per Andreasen

56 Shipbreaking and e-waste: the international trade in hazardous waste continues – by Kevin Stairs

58 Fighting environmental crime and protecting the environment:UNEP’s Green Customs Initiative

62 Safer road transportation of hazardous material in India: TransAPELL in practice – by Krishan C. Gupta

65 Transparency and communities’ right-to-know: working towards better disaster management through the OECD – by Marie-Chantal Huet

68 Financial sustainability at a National Cleaner Production Centre: the experience of theHonduras NCPC – by Mily Cortés Posas and Nonita T. Yap

72 Developing a consistent approach to estimating greenhouse gas emissions for the petroleumindustry – by Susann Nordrum, Christopher P. Loreti, Mike McMahon and Karin Ritter

76 World News

78 Industry Updates

79 UNEP Focus

82 Books and Reports

85 Web Site Highlights

◆ News ◆ Actualités ◆ Actualidades

◆ Other topics

◆ Managing the risks of chemicals

ContentsIndustry and Environment is a quarterly re-view published by the United Nations Envi-ronment Programme Division of Technology,Industry and Economics (UNEP DTIE), TourMirabeau, 39-43 quai André-Citroën, 75739Paris Cedex 15, France. Tel: +33 1 44 37 1450; Fax: +33 1 44 37 14 74; E-mail: [email protected]; http://www.uneptie.org

DirectorMonique Barbut

Editorial BoardMichael ChadwickClaude FusslerNay HtunAshok KhoslaWilliam H. Mansfield IIIHaroldo Mattos de LemosWalter RetzschSergio C. Trindade

Editorial StaffFrançoise RuffeRobert BissetRanvir NayarJohn SmithThalia Stanley

Editorial PolicyThe contents of this review do not necessarily re-flect the views or policies of UNEP, nor are theyan official record. The designations employedand the presentation do not imply the expressionof any opinion whatsoever on the part of UNEPconcerning the legal status of any country, terri-tory or city or its authority, or concerning the de-limitation of its frontiers or boundaries.

The non-copyrighted contents of this reviewmay be reprinted without charge provided thatIndustry and Environment and the author orphotographer concerned are credited as thesource and the editors are notified in writingand sent a voucher copy.

Industry and Environment welcomes for pos-sible publication feedback from readers, newson their sectors of activity, or articles.

Industry and Environment is available on-lineat www.uneptie.org/media/review/ie_home.htm.

Industry and Environment is printed on100% chlorine free paper.

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E d i t o r i a l

UNEP Industry and Environment April – September 2004 ◆ 3

The goal of balancing the economic and social benefitsof chemicals with their health and environmental risks iseasy to understand and agree to. But how to achieve

this balance is a highly complex problem – or rather, itrequires understanding and solving many complex problems.

Managing the risks of chemicals is interconnected withmany other issues, including wastes and pollution, globalwarming, resource depletion, agriculture, biotechnology, loss of biodiversity, poverty and women’s rights.

Wastes (including hazardous wastes), pollution and climatechange have received increasing attention in the last two or three decades, even if much remains to be done inindustrialized and developing countries.

One of the lessons of the last few decades is that what isgood for the environment generally turns out to be good forbusiness. The costs of wasteful processes (e.g. raw materialsloss, wasted energy, waste treatment and disposal) are a good argument for improving these processes, and this hashappened worldwide. Companies and countries have beenworking together to find ways to put the concept of cleanerproduction into practice.

Chemical plants, like other types of factories, are gettingcleaner and greener. However, they are still responsible for alarge percentage of emissions of pollutants, such as volatileorganic chemicals (VOCs).

The chemical industry uses natural resources to makeproducts for almost every industrial sector. Its primary sourceof raw materials is the petroleum industry. One problem thatsome far-sighted analysts are looking at is: what will thechemical industry use for raw materials when petroleumresources – which are finite – run out? The evolving field of“green chemistry” may help to answer this question. Green chemistry has been defined by one scientist as “thedevelopment of greener technologies to convert newrenewable resources into valuable products in a sustainablemanner.”

Agrochemicals have been subject to a great deal of scrutinyin the last decades. This attention is not disproportionate totheir importance. There have been calls for switching to“organic” or chemical-free agricultural production. Somecompanies and scientists maintain that genetically modifiedcrops can dramatically reduce the amounts of pesticides andother chemicals used in agriculture. Again, the issue is highlycomplex and there are compelling arguments for proceedingwith caution (see the article “The future of pesticide use inworld agriculture” in this issue).

The poor, particularly poor women, are uniquely vulnerable

to environmentally related health problems. These are oftendue to exposure to chemicals, especially in developingcountries. It is well-documented that hazardous chemicalshave been transported to the Arctic, where they aredetectable in the milk of breast-feeding mothers. TheStockholm Convention on Persistent Organic Pollutants(POPs), which entered into force in May, seeks to protecthuman health and the environment from toxic chemicals thatremain intact in the environment for long periods and arewidely distributed geographically.

Another treaty, the Rotterdam Convention on priorinformed consent (PIC), which entered into force in February,will help protect people in chemical-importing countries.

It is difficult to imagine anyone connected with the chemicalindustry not being an advocate of biodiversity protection.Here, too, there is still much to be learned. Internationalefforts to halt the destruction of animal and plant species havebeen inadequate up to now. One reason to protectendangered species is that doing so could produce enormouseconomic benefits.

The chemical industry is not in the business of disseminatingproducts that deliberately harm human health and theenvironment. Governments and international organizations,working with the industry, are engaged in applyingharmonized testing and assessment methods to as manychemicals and chemical products as possible and sharing thisinformation.

The hazards of some chemicals are already well-known.UNEP’s Mercury Programme has been established to promotenational, regional and global actions to reduce or eliminatethe use of mercury and its release in the environment.

Today, partly in response to the public’s demand to knowmore about their safety, vast amounts of information aboutchemicals are available from universities, regulatory bodies,specialized publications and other sources – much of it on-line. This information can be highly complex and subject tocontradictory interpretations (compare, for example, the sitesof chemical industry organizations with those of some of theorganizations that are sceptical about the industry’s goodfaith).

Since UNEP’s proposal for a Strategic Approach toInternational Chemicals Management (SAICM) was endorsedby the World Summit on Sustainable Development in 2002,efforts have been ongoing to further develop this strategy.SAICM will advance the sound management of chemicalsworldwide, building on progress already made in the last 20 to 30 years. ◆

Balancing the benefits of chemicals with their health and environmental risks

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We live in a chemical world. Man-madechemicals are found in almost everyproduct we use or consume. Global

chemicals production in 1930 was about 1 mil-lion tonnes; today it is something like 400 milliontonnes. Global chemicals output last year wasestimated at close to US$ 2000 billion.1

The 25 EU Member States make up the world’slargest single chemicals producing region (34% oftotal sales in 2003). Two-thirds of global chemi-cal production takes place in Europe and theUnited States (Figure 1). The EU is the leadingchemicals exporter and importer, accounting forhalf of all global trade. The largest chemical trad-ing regions are the EU, Asia and North America.

Between 1998 and 2003, chemicals productiongrew more strongly in the EU than in either the USor Japan (2.7 % per year, compared with 0.7% and1.3%, respectively, in those countries) (Figure 2).In this period there was very strong growth in the“emerging” countries (e.g. India and China).

Many different manufacturing and processingactivities take place in the chemical industry. Avery large share of products (up to one-third) con-tinue to be processed within the industry. Con-sumer products may not be marketed until theyhave undergone several processing stages.

The chemical industry supplies virtually everyeconomic sector (including itself ). It “underpinsinnovation across all industry sectors, rangingfrom new materials for energy systems, electronicsand modern apparel, to life science products need-ed for food production and medicine,” to quote arecent presentation by the head of the CanadianChemical Producers Association.2

Research and development is of basic impor-tance to this industry. The proportion of EUchemical industry sales (excluding pharmaceuti-cals) devoted to R&D in 2003 was 1.9%, lowerthan in the United States or Japan. The AmericanChemistry Council reports that the US chemicalindustry spends US$ 31 billion per year onresearch and development and employs 80,000research scientists, engineers and technicians. Oneout of every seven patents issued in the US is for achemical industry invention.

The chemical industry has an enormous impacton employment, trade and economic growthworldwide.3 Like other industries, it has succeededin reducing emissions of pollutants (Figure 3) andintroduced countless other improvements to pro-tect health and the environment, in many casesthrough its Responsible Care programme (see“Web Site Highlights”).

We are accustomed to thinking of the chemical

industry as dominated by a few multinationals.But a surprising number of chemical companies(in industrialized as well as developing countries)are small and medium-sized. In the EU chemicalindustry, SMEs account for 45% of added valueand 46% of employment. Only 2% of EU chem-ical companies employ more than 499 employees,though these companies generate 55% of totaladded value.

Chemical safetyThe conservation organization WWF recentlycited chemical pollution as one of the two greatenvironmental threats to the planet, along withglobal warming. WWF is especially concernedabout “persistent and accumulative” industrialchemicals and hormone-disrupting substances(endocrine disruptors).

We are continuously reminded that muchremains to be done in order to understand andcontrol chemicals. Cancer, birth defects, neuro-logical disorders and other diseases are associatedwith exposure to certain chemicals. Poisoning isone of the most frequent causes of mortality inhospital patients in some developing countries.Despite significant safety improvements at plantsand warehouses (not all of which are part of thechemical industry), and during transport, acci-dents involving chemicals continue to occur.

Following the Second World War, the numberof chemicals and chemical products increased dra-matically and concerns began to be expressedabout their potentially harmful effects. Pesticidesreceived particular attention. Most pesticides arepersistent in the environment, have a tendency tobioaccumulate, and are toxic to animals andplants other than the ones they were designed toeliminate. Especially since the 1960s, there hasbeen growing public support for determiningchemicals’ hazards and risks and regulating themaccordingly.

It has long been evident that health and envi-ronmental problems cannot be adequatelyaddressed without a thorough knowledge of thebehaviour of the chemicals involved. Today vastamounts of information about chemicals are avail-able, much of it on-line. However, there are tens ofthousands of chemicals on the market aboutwhich available data are inadequate for even roughestimates of their potential adverse effects to bemade (see the articles “A science-based strategy forchemicals control” and “The precautionary prin-ciple and EU chemicals policy” in this issue).

Many of these chemicals were placed on themarket before modern chemical notification sys-tems were established and are therefore referred toas “existing” chemicals. Efforts are under way incountries and internationally to investigate, on a

The chemical industry and internationalcooperation to manage chemical risks: facts and figures

Chemicals management

Figure 1World chemicals production, 2003

EuropeanUnion

UnitedStates

Asia* Japan China Other*** Restof Europe **

LatinAmerica

Definition: Asia*: excluding Japan and ChinaRest of Europe** – Switzerland, Norway, and other Central and Eastern Europe(excluding the accessing countries EU 10)Other*** including Canada, Mexico, Africa and Oceania

Source: Cefic

600

500

400

300

200

100

0

Che

mic

al s

ales

(€ b

illio

n)

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405

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86 8066 54

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priority basis, those existing chemicals which arebeing manufactured in the largest volumes (calledhigh production volume or HPV chemicals).4

International cooperationIn response to the public’s insistence that it has aright – and a responsibility – to know the truthabout chemicals, many laws, agreements, min-istries, agencies, and NGOs and other organiza-tions have been created at the national andinternational level.

Two types of chemical products, both in usesince the 1930s, were the target of early inter-national cooperative efforts: polychlorinatedbiphenyls (PCBs) and chlorofluorocarbons(CFCs). As long as these substances were consid-ered safe, millions of tonnes of each were produced.Once it was established that they were dangerous,their production was rapidly curtailed. Nevertheless,they are still present in the environment.

The first concerted international action to controlthe risks of a specific chemical was the 1973 Deci-sion by the Council of the Organisation for Eco-nomic Co-operation and Development (OECD) tocontrol PCBs.5 Subsequently, a 1976 EEC Directivebanned the use of PCBs except in sealed equipment.In 1979 the US Environmental Protection Agency(EPA) banned their manufacture.

Successful implementation of the MontrealProtocol, which came into force in 1989, hasbrought about major reductions in the produc-tion, consumption and releases of ozone deplet-ing substances, including CFCs (see the article“The Montreal Protocol: lessons for successfulinternational chemicals management”).

As laws to protect human heath and the envi-ronment became more stringent in industrializedcountries, these countries increased their exportsof hazardous materials to developing countriesand countries with economies in transition. TheBasel Convention on the Control of Transbound-ary Movements of Hazardous Wastes and theirDisposal, adopted in 1989, attempts to controlsuch exports. At the time of its adoption, some400 million tonnes of hazardous wastes were gen-erated each year, around 75% in industrializedcountries. The “Basel Ban” strengthening theBasel Convention was introduced a few years later.

In the decade or so preceding the landmark UNConference on Environment and Development

(UNCED) in Rio de Janeiro in 1992, there wasconsiderable emphasis on cooperation in chemi-cals control by international organizations, gov-ernments and major groups. Attention began to befocused on internationally harmonized approach-es to testing chemicals’ hazards and assessing theirrisks.

Not long after the Sandoz warehouse fire inBasel in 1986, greater attention also began to begiven to international cooperation with respect toprevention, preparation and response to chemicalaccidents in industrialized and developing coun-tries. UNEP’s APELL Programme, the OECD’sChemical Accidents Programme and related activ-ities in the chemical industry, governments andother organizations date from the late 1980s.

The UN Conference on Environmentand Development (UNCED) andbeyondThe Rio Declaration and Agenda 21 (UNCED’scomprehensive “action programme” for the 21st

century), both agreed in 1992, supported theinternational activities then being carried out andcalled for these activities to be strengthened. Theachievements of international organizations in thechemicals risk management area since 1992 large-ly respond to these two agreements, especiallyChapter 19 of Agenda 21, “EnvironmentallySound Management of Toxic Chemicals includ-

ing Prevention of Illegal International Traffic inToxic and Dangerous Products.”6

Among its recommendations, Chapter 19called for a harmonized hazard classification andlabelling system to be established by the year 2000to make the handling and use of chemicals safer.Work on the new Globally Harmonised Systemfor the Classification and Labelling of HazardousChemicals (GHS) – by individuals, governments,international organizations and others – has beencoordinated and managed under the auspices ofthe Inter-organization Programme for the SoundManagement of Chemicals (IOMC).7

Under the Johannesburg Plan of Implementa-tion, countries should implement the GHS assoon as possible, with a view to the system beingfully operational by 2008. Plans for worldwideimplementation include activities to help develop-ing countries that lack the infrastructure to imple-ment the GHS.

Three international conventions, developed inthe last two decades, provide an internationalframework for environmentally sound manage-ment of hazardous chemicals throughout their lifecycles: the Rotterdam Convention on PriorInformed Consent (PIC) (adopted 1998, enteredinto force 2004), the Stockholm Convention onPersistent Organic Pollutants (POPs) (adopted2001, entered into force 2004) and the 1989 BaselConvention.


UNEP Industry and Environment January – March 2004 ◆ 5

Figure 2Production growth of EU chemical industry by sector, 1998-2003

Sources: Cefic, Eurostat EBT

Pharmaceuticals

Overall chemicals

Plastics & synthetic rubber

Petrochemicals

Consumer chemicals

Specialty & fine chemicals

Basic inorganics

0% 1% 2% 3% 4% 5% 6% 7%Growth in volume, % per year

6.8%

2.7%

1.6%

1.0%

0.9%

0.5%

0.2%

Sectoral breakdown

Chemical accidents: six important dates

1989: The supertanker Exxon Valdez runsaground in Alaska, dumping 10 million gallonsof crude oil into the ocean and causing exten-sive damage to the Prince William Soundecosystem. One of a series of tanker wrecks thatincreased public awareness of the lack of envi-ronmental protection measures by the oil indus-try – and of the fact that oil spills are not eventhe major cause of oil pollution of the sea. Mostoil pollution is not accidental, and much of itcomes from land-based sources.1986: Sandoz warehouse fire in Basel, Switzer-land, during which more than 30 tonnes of pes-

ticides, fungicides and chemical dyes werewashed into the Rhine, draws attention to other(unreported and under-reported) incidentsinvolving pollution of the Rhine by chemicalcompanies.1984: Release of methyl isocyanate (MCI), atoxic gas used in manufacturing pesticides, at achemical plant at Bhopal, India, heightens con-cern about safety in and around industrialinstallations, especially in developing countries. 1976: Release of toxic cloud from a chemicalplant in Seveso, Italy, increases public awarenessof dioxins (as did designation of the Love Canal

area, near Niagara Falls in the United States, asa disaster area in 1978).

(It is generally agreed that the consequencesof the Basel and Seveso accidents could havebeen very much worse.)

In addition, the nuclear accidents at ThreeMile Island in the United States (1979) andChernobyl in Ukraine (1986) were powerfulreminders that “pollution is no respecter of bor-ders” (the pollution in this case was radioactiveparticles) and that accurate information needsto be disseminated to potentially affected pop-ulations.

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At the regional level, this year is the 25th

anniversary of the Geneva Convention on Long-range Transboundary Air Pollution of the UNEconomic Council of Europe (UNECE). TheUNECE’s more recent Aarhus Convention onAccess to Information, Public Participation inDecision-making and Access to Justice in Envi-ronmental Matters (adopted 1998, entered intoforce 2001) establishes links between humanrights and “environmental rights”.8

UNEP’s proposal for a new Strategic Approachto International Chemicals Management, cur-rently being developed in cooperation with other

international organizations, builds on this inter-national cooperative work. The World Summiton Sustainable Development in 2002 supportedthe development of SAICM as a next step towardseffective worldwide chemicals management.

Notes1. A great deal of information is available aboutchemicals and the chemical industry. Amongmany other sources, see the web sites of the Euro-pean Chemical Industry Council (www.cefic.be)and the American Chemistry Council (www.americanchemistry.com), both of which were

used in the preparation of this article.2. Richard Paton, “Industry Prospects for Growth,Investment, and Recovery,” Canadian ResearchInstitute (CERI) Petrochemical Conference, 7 June2004 (www.ccpa.ca/News/news06070403. aspx).3. The effect of chemical regulation on trade is animportant issue for the industry.4. See, for example, EU Environment Commis-sioner Margot Wallström’s speech to the 2nd EU-US Chemicals Conference, Charlottesville,Virginia, 27 April 2004 (www.eurunion.org/news/press/2004/20040064.htm). Also see“Description of OECD Work on Investigation ofHigh Production Volume Chemicals” (www.oecd.org/ehs).5. OECD countries account for about three-quar-ters of global chemical production. The membercountries are Australia, Austria, Belgium, Canada,the Czech Republic, Demark, Finland, France,Germany, Greece, Hungary, Iceland, Ireland, Italy,Japan, Korea, Luxembourg, Mexico, the Nether-lands, New Zealand, Norway, Poland, Portugal,the Slovak Republic, Spain, Sweden, Switzerland,Turkey, the United Kingdom and the UnitedStates. For information about the OECD’s Envi-ronment, Health and Safety Programme, seewww.oecd.org/ehs. 6. www.unep.org/documents/default.asp?docu-mentID=52&articleID=67.7. The Inter-organization Programme for theSound Management of Chemicals (IOMC) helpscoordinate the work of seven intergovernmentalorganizations.8. UNECE has negotiated five environmentaltreaties, all of which are in force (www.unece.org/env/lrtap). Environmental treaties have alsobeen agreed in other regions. ◆


Figure 3EU chemical industry production, energy consumption and

CO2 emissions, 1990-2002

Source: Cefic

145

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Production (volume) Fuel and power consumption CO2 emissions

1990 1991 1992 1993 1994 1995 1996 1997 1998 1998 2000 2001 2003


DefinitionsBioaccumulation: Increase in a chemical’s concentrations in a biologicalorganism over time, compared to its concentrations in the environment.Compounds accumulate in living things when they are taken up andstored faster than they are broken down (metabolized) or excreted.Bioaccumulation is a normal process. It only has adverse effects when theequilibrium between exposure and bioaccumulation is overwhelmed, rel-ative to the harmfulness of the chemical in question. (Bioconcentrationand biomagnification are related terms.)

Biocides: Natural or synthetic substances (e.g. herbicides, insecticides,rotenticides) that are toxic to other organisms. European Community leg-islation distinguishes between “plant protection products” and “biocidalproducts”.

Chlorinated hydrocarbons (CHCs): Compounds containing chlorine, car-bon and hydrogen. This term is used to describe organochlorine pesticides(e.g. lindane and DDT), industrial chemicals (e.g. PCBs) and chlorinewaste products (e.g. dioxins and furans). CHCs are persistent in the envi-ronment. Most bioaccumulate in the food web. Health and environmentaleffects depend on individual compounds.

Dioxins: Toxic, probably carcinogenic family of chemicals. Persistent andbioaccumulated, they are widely distributed in the environment. Manypeople have detectable levels of dioxins in their tissues.

Endocrine disruptors: Chemicals that can disrupt endocrine systems, caus-ing developmental and reproductive problems. There are concerns thatendocrine disruptors in the environment threaten the health of humansand wildlife.

Heavy metals: Metallic elements that have relatively high density and aretoxic, highly toxic or poisonous at low concentrations. Mercury, cadmi-um, arsenic and lead are examples. Apart from the toxicity of individualheavy metals (e.g. lead is a neurotoxin), they are dangerous because theytend to bioaccumulate.

Hydrofluorocarbons (HFCs): Compounds containing fluorine, carbonand hydrogen. Since they do not contain chlorine and do not directly affectstratospheric ozone, certain chemicals within this class of compounds areconsidered acceptable alternatives to CFCs and HCFCs by industry andsome scientists. However, HFCs have other adverse environmental effects.

Persistence: The longer chemicals persist in the environment in anunchanged form, the greater the potential is for human or environmentalexposure to them. Persistence is usually measured or estimated with respectto air, water, soil and sediment.

Polychlorinated biphenyls (PCBs): Toxic, possibly carcinogenic com-pounds used as coolants and lubricants. PCBs are not readily broken downin the environment. In countries where they have been banned, they con-tinue to be released to air; water and soil. PCBs can only be destroyed inspecial incinerators at extremely high temperatures.

Persistent organic pollutants (POPs): Substances that persist in the envi-ronment, bioaccumulate through the food web and present a risk ofadverse effects to human health and the environment. There is evidence oflong-range transport of these substances to regions where they have neverbeen used or produced.

Stable: Not easily decomposed or otherwise chemically modified.

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Chemicals management means ensuring thesafe use and handling of chemicals alongthe product chain. While chemicals man-

agement has been practised by the chemicalindustry for many decades, it has not always beenvisible to (or noticed by) the general public. Thetools and techniques applied in managing chem-icals have become increasingly sophisticated overtime. However, there is still a need for improve-ment along the product chain and at global level.The basic principle of chemicals management hasbeen, and remains, that it should be based on thepotential risk that chemicals could pose to healthand the environment if they are not handled safe-

ly. This principle has its roots in a concept estab-lished by the Renaissance physician Paracelsus:“The dose alone makes the poison.”

Public scepticism about chemicals managementhas grown in recent years, culminating in the fearthat “nobody knows how many chemicals are onthe market, and even worse nobody knows howmany of these are toxic chemicals.” This situation(especially regarding the public’s perceptions) hasled to some easily observable consequences: ◆ a permanent decrease in public confidence inthe chemical industry;◆ a continuous increase in the number of regula-tory systems related to chemicals management at

the national and regional levels;◆ a call to regard the precautionary principle as thekey to chemicals management;◆ the search for “natural” chemicals (i.e. “safer”products) as substitutes for synthetic ones.

The chemical industry is no longer confrontedwith national or regional legislation only. Since the1992 UN Conference on Environment andDevelopment (UNCED) there has been a cleartendency for intergovernmental organizations andnational governments to regulate hazardouschemicals and products globally by developinginternational treaties (e.g. the Basel Convention onHazardous Wastes,1 the Stockholm Conventionon Persistent Organic Pollutants2 and the Rotter-dam Convention on Prior Informed Consent3).On 15 February 2002, at its seventh Special Ses-sion/Global Ministerial Environment Forum inCartagena, Colombia, UNEP’s Governing Coun-cil decided that there is a need to further develop aStrategic Approach to International Chemicals Man-agement (SAICM).4 The International Forum onChemical Safety (IFCS) Bahia Declaration and itsPriorities for Action beyond 20005 were endorsedas the foundations of this approach.

At its 22nd Session on 3-5 February 2003,6 theGoverning Council recalled the Cartagena deci-sions and the decisions of the World Summit onSustainable Development (WSSD) in Johannes-burg and decided to proceed with the de-velopment of the SAICM – with a view tocontributing to sustainable consumption and pro-duction, and as part of the overarching goal ofsupporting sustainable development. This deci-sion also calls for the process to be “open, trans-parent and inclusive, providing all stakeholdersopportunities to participate.”

A first SAICM Preparatory Committee (Prep-Com) meeting took place in Bangkok on 9-13November 2003.7 A second PrepCom meeting isscheduled in Nairobi on 4-8 October of this year.8

SAICM and the chemicals industryperspectiveThe global chemical industry supports, as an over-arching goal of SAICM, what was agreed upon inparagraph 23 of the WSSD Plan of Implementa-tion in Johannesburg in 2002.9 SAICM should beconsidered a road map for achieving that goal.Continuous improvement globally in the safe useof chemicals will require joint, coordinated activ-ities among producers, distributors, users, gov-ernments and other stakeholders, based on sharedresponsibility at each relevant stage of the product

Summary A Strategic Approach to International Chemicals Management (SAICM), growing out of previ-ous international activities related to chemicals safety, has received the support of UNEP’s Gov-erning Council. The global chemical industry considers that SAICM should be treated as a roadmap for achieving goals agreed at the World Summit on Sustainable Development. Continu-ous global improvement in the safe use of chemicals will require joint, coordinated activities byproducers, distributors, users, governments and other stakeholders, based on shared responsi-bility at every relevant stage of the product chain. In this respect, the development of a globalstrategy provides an opportunity to build a new partnership approach to chemical safety. IfSAICM were the basis for additional stringent regulatory approaches at the national, regional orinternational levels, however, it might not have the desired impact.

RésuméL’approche stratégique de la gestion internationale des produits chimiques (SAICM), fruit d’activ-ités internationales antérieures dans le domaine de la sécurité chimique, a reçu le soutien duConseil d’administration du PNUE. Pour l’industrie chimique mondiale, la SAICM doit être con-sidérée comme une voie à suivre pour atteindre les objectifs fixés lors du Sommet mondial pourle développement durable. Pour que l’usage des produits chimiques devienne de plus en plus sûrsur toute la planète, il faut une action conjointe et coordonnée des fabricants, des distributeurs,des utilisateurs, des gouvernements et des autres parties concernées, fondée sur le principe d’uneresponsabilité partagée à tous les niveaux de la chaîne de production. De ce point de vue, l’élab-oration d’une stratégie mondiale est l’occasion d’adopter une nouvelle approche de la sécuritéchimique fondée sur des partenariats. Par contre, si la SAICM devient un prétexte pour renforcerla réglementation et la rendre plus drastique au niveau national, régional ou international, ellerisque de ne pas avoir l’effet voulu.

ResumenEl Consejo de Administración del PNUMA ha otorgado apoyo a un enfoque estratégico para lagestión internacional de sustancias químicas (SAICM), derivado de actividades previas vincu-ladas a la seguridad en el manejo de sustancias químicas. La industria química mundial consid-era que el SAICM debe adoptarse como guía hacia el cumplimiento de los objetivos convenidosdurante la Cumbre Mundial sobre Desarrollo Sostenible. La mejora continua en el uso inocuo delas sustancias químicas exigirá la coordinación de actividades conjuntas por parte de los produc-tores, distribuidores, usuarios, gobiernos y otras partes interesadas a partir de su responsabili-dad compartida en cada etapa importante de la cadena del producto. En este sentido, laformulación de una estrategia mundial constituye la oportunidad de crear un nuevo enfoque deformación de alianzas orientadas a la seguridad en el manejo de las sustancias químicas. Noobstante, en caso de que el SAICM fuera tomado como base para la formulación de otros enfo-ques normativos más rigurosos en la escala nacional, regional o internacional, podría perderse elimpacto deseado.

Global strategy on chemicals management:opportunities and risks

Rainer Koch, Chairman of the Techical Affairs Group of the International Council of Chemical Associations (ICCA),

Bayer AG, Governmental and Product Affairs, Gebäude 9115, D-51368 Leverkusen, Germany ([email protected])

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chain. In this respect, the development of a glob-al strategy provides an opportunity to build a newpartnership approach to chemical safety.

A high level of cooperation on global chemicalissues has already been achieved between produc-ers and governments, notably in the Rotterdamand Stockholm Conventions and the High Pro-duction Volume (HPV) Chemicals Initiative ofthe International Council of Chemical Associa-tions (ICCA).10 Further enhancement of cooper-ation among all stakeholders is needed in order tobridge the gap in chemicals management betweendeveloped and developing countries, as one of thekey goals of the strategy. It is important in thiscontext to note that the UNEP GC/GMEFrecently decided that there is a need to prepare anintergovernmental strategic plan for technologysupport and capacity building.11

Governments, NGOs and industry are in-volved in a political process aimed at developing astrategic framework that consists of principles, ele-ments and concrete measures concerned with safeproduction, use and disposal of chemicals andchemical products across the product chain at theglobal level.

This strategy, which will be embedded in theoverall issue of sustainable consumption and pro-duction, will contribute to sustainable develop-ment. It should be recognized that not only will thestrategy have impacts on the chemical industry’sbusiness, but it will also have much broader conse-quences affecting other industries, our customersand (directly or indirectly) the final consumer.These impacts may be social or environmental aswell as economic in nature.

Development of the strategy will clearly beinfluenced by national/regional chemical policies,trade and economic aspects, environmental andhealth policies, agriculture and industry policy, and(in principle) countries’ general public policy.

OpportunitiesThe chemical industry sees the strategic approachas an excellent opportunity to improve publicconfidence in the safe and environmentally soundmanagement of chemicals, and to further promotethe benefits of chemistry to the global society.

From the chemical industry perspective, it iskey that the strategy provides the means to bridgethe gap in chemicals management between devel-oped and developing countries. It is a prerequisitethat chemicals policy will become a building blockof a more general public policy. The strategyshould build on the obligations and responsibili-ties for safe use of chemicals that are shared by pro-ducers, distributors, users and governments andare obtained as a result of a new partnershipapproach towards chemical safety. This approachshould involve all stakeholders (particularly gov-ernments, business and representatives of civilsociety), keeping in mind the need to reduce oreliminate the differences between developed anddeveloping countries as agreed at the WSSD.

Capacity building (in the sense of buildinginfrastructure, and promoting and supportingeducation and training for using cleaner tech-nologies and handling chemicals safely) should

therefore be a key element of this strategy.A global strategy should be integrative. To

ensure efficiency, consistency and coherence in thebasic concepts required for regulatory approaches,it should provide mechanisms for the improve-ment of internal and external coordination at thegovernmental and intergovernmental levels. Itshould also enhance synergies and cooperationamong relevant international and regional treaties,secretariats and agencies.

SAICM could provide the opportunity toremove trade barriers, so as to reduce and (further)avoid unnecessary costs and bureaucracy, stream-line regulatory approaches, promote voluntaryactivities, and provide public access to infor-mation on the safe management of chemicals andprocesses, while protecting legitimate corporateinterests in technical or commercial information.

The strategy should encourage the develop-ment of efficient and transparent mechanisms anda policy framework for sharing best practicesamong companies in the global product chain, aswell as among governments. It should provide themeans to eliminate unnecessary barriers to inno-vation, and to set up conditions to ensure thatindustry can share best practices and use cleanerand (whenever possible) best available technolo-gies and innovative products for the benefit of theglobal society.

The strategy should be the basis for a consistentglobal approach, to be implemented regionallyand/or nationally in ways that support innovation,avoid duplication, and maximize sharing of knowl-edge and the use of synergies. Implementation inspecific regions and countries should consider thedifferences in national or regional regulatoryapproaches and in societal, economic and politicalconditions. In line with this vision, the chemicalindustry has actively contributed (with govern-ments and other stakeholders) to the developmentof regulations and is publicly engaged in providingits technical expertise to ensure better chemicalsmanagement at the local level.

RisksHowever, there are also threats on the horizon.This strategy framework could be the basis foradditional, even more stringent, legally bindingregulatory approaches at the national, regional orinternational levels, which would not always con-tribute to more effective chemical safety. Differ-ences in societal, economic, cultural and politicalconditions at the national/regional level may leadto greater divergence in the implementation ofregulatory systems, resulting in contradictorymeasures. This would widen even further the gapbetween developed and developing countries interms of safe chemicals management and have anegative impact in respect to WTO free traderules. Taking into account the importance of thechemical business globally, the consequencescould affect the living conditions of large popula-tions, notably those most in need.

It is also obvious that the call for a life-cycleassessment approach and its implementation willimpact on downstream users of chemicals, espe-cially small and medium-sized enterprises. These

businesses, whether they are located in developedor developing countries, are generally not well pre-pared technically or economically to respond tocomplex demands such as those related to life-cycle assessments.

Last but not least, regulatory approaches basedon this strategy could have an impact on the inno-vation and competitiveness of the chemical indus-try and other industry sectors if unbalanced orone-sided regulations come into force, imposingunnecessary obstacles along the value chain.

ConclusionDespite the present lack of a clear picture inrespect to SAICM, the global chemical industryperceives in this process a chance for a balancedoutcome, levering the need for command andcontrol systems with a sound, flexible and practi-cal strategic approach that will promote and sup-port industry’s stewardship of chemicals, and onethat is aimed at more regulatory efficiency, inte-gration, coherence and consistency, less bu-reaucracy, and the strengthening of industryvoluntary activities and cooperation among allstakeholders in a new partnership. Implementa-tion of the Globally Harmonized System of Clas-sification and Labelling (GHS)12 is a goodexample of an active contribution to capacitybuilding by the chemical industry, jointly withgovernments and intergovernmental organiza-tions (e.g. UNITAR13), and a step forwardtowards chemical safety globally.

Notes1. www.basel.int.2. www.pops.int.3. www.pic.int.4. www.unep.org/governingbodies/governing-council_seventh.asp; www.chem.unep.ch/saicm.5. www.who.int/ifcs/Documents/ Forum/ForumIII/f3-finrepdoc/Bahia.pdf.6. www.unep.org/GC/GC22.7. www.chem.unep.ch/saicm/prepcom1.8. www.chem.unep.ch/saicm/prepcom2.9. www.un.org/esa/sustdev/documents/WSSD_ POI_PD/English/WSSD_PlanImpl.pdf.10. www.icca-chem.org/section02b.html.11. www.unep.org/DPDL/cso/Documents/K0471247_decision_SS-VIII-1.doc.12. www.unece.org/trans/danger/publi/ghs/officialtext.html.13. http://www.unitar.org/cwm/pag/ghstrain.html.

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The Rotterdam Convention: why is it here and what is it trying to achieve?William Murray, Programme Officer, Rotterdam Convention Secretariat,Plant Protection Service, Plant Production and Protection Division,

FAO, Viale delle Terme di Caracalla, 00100 Rome, Italy ([email protected])Sheila Logan, Scientific Affairs Officer, Rotterdam Convention Secretariat, UNEP Chemicals, 11-13 Chemin des Anémones,

CH-1219 Châtelaine, Geneva, Switzerland ([email protected])

The 20th century saw a dramatic increase in the use of a range of syn-thetic chemicals, particularly in manufacturing industries and in agri-culture. Many of these chemicals were later shown to have a range ofundesirable characteristics, including persistence in the environment, atendency to biomagnify in the food chain, and negative effects on theenvironment. Some chemicals were also shown to cause cancer or birthdefects. Others were very hazardous even after a very limited exposure.

In the 1970s and 1980s there were concerns that actions taken in somecountries to ban or restrict the use of certain chemicals for effects such asthese could result in the chemicals being exported to other countrieswhere regulatory systems, infrastructure and resources were sometimesnot adequate to manage their risks.

In response to these concerns, the FAO developed the voluntary Inter-national Code of Conduct on the Distribution and Use of Pesticides (theCode). The Code was adopted in 1985. It was amended in 1989 andagain in November 2001 to reflect changing trends in pest and pesticidemanagement. In parallel with these initiatives, UNEP developed theLondon Guidelines for the Exchange of Information on Chemicals inInternational Trade to assist countries in managing risks associated withindustrial chemicals.

Both the FAO Code of Conduct and the London Guidelines wereamended in 1989 to address issues related to the export of chemicals(including pesticides) from a country that had banned these chemicals.At that time, the governing bodies of FAO and UNEP agreed to workcooperatively. In 1992 they implemented a joint programme on the PriorInformed Consent (PIC) Procedure.

The United Nations Conference on Environment and Development(UNCED) recommended in 1992 that the PIC procedure be furtherdeveloped into a legally binding instrument by 2000 (Agenda 21, Chap-ter 19, paragraph 19.39d). Following this recommendation, the FAOCouncil and the Governing Council of UNEP authorized the conveningof an Intergovernmental Negotiating Committee (INC). Its mandatewas to prepare an international legally binding instrument for the appli-cation of the PIC procedure to certain hazardous chemicals and pesti-cides in international trade.

Commencing in March 1996, UNEP and FAO convened five meet-ings of the Intergovernmental Negotiating Committee. Governments,intergovernmental organizations and NGOs attended the negotiatingsessions. The fifth and final negotiating session was held in Brussels, Bel-gium, on 9-14 March 1998. The text of the Rotterdam Convention onthe Prior Informed Consent Procedure for Certain Hazardous Chemicalsand Pesticides in International Trade was adopted on 10 September 1998in Rotterdam, The Netherlands. This was two years ahead of the targetset by UNCED.

In recognition of the importance of the Convention, it was agreed bythe Conference of Plenipotentiaries that the voluntary PIC procedureshould continue to operate pending the entry into force of the Conven-tion. The Conference therefore adopted a resolution on interim arrange-ments to bring the original PIC procedure into line with the provisionsin the Convention. The Convention entered into force on 24 February2004. The first meeting of the Conference of the Parties (CoP) was con-vened for September 2004.

The Convention’s two main provisions: informationexchange and the PIC procedureThe overall objective of the Convention is to promote shared responsi-bility and cooperative efforts among Parties with respect to the interna-tional trade of certain hazardous chemicals, in order to protect humanhealth and the environment from potential harm and to contribute to

environmentally sound use of these chemicals. There are two key provi-sions: information exchange and the PIC procedure. Informationexchange applies to any chemical banned or severely restricted by a Party.The PIC procedure applies to chemicals listed in Annex III of the Con-vention. For these chemicals, countries are invited to take an informeddecision regarding their future import. Exporting Parties are obliged torespect these decisions.

The Rotterdam Convention is not designed to ban or eliminate theuse of chemicals at the international level, but rather to provide coun-tries with a means to assess the risks associated with included chemicalsand make an informed decision about whether they will allow futureimports of chemicals subject to the PIC procedure and therefore listed inAnnex III of the Convention.

At present, 27 chemicals are listed in Annex III of the Convention.These are both pesticides and industrial chemicals. Chemicals can be sub-ject to the PIC procedure and listed in Annex III following their ban orsevere restriction in two countries from two regions, or on the basis ofadvice from a developing country that a specific formulation is causinghealth or environmental problems under normal conditions of use with-in that country. During the interim arrangements mentioned above, afurther 11 chemicals were identified, with another four chemicals sched-uled to be considered at the last meeting of the Intergovernmental Nego-tiating Committee in September 2004. The first meeting of the CoP willdecide whether these chemicals (which it was agreed would be made sub-ject to the interim PIC procedure) should be added to Annex III of theConvention.

The recommendation to include these chemicals in the interim PICprocedure was based on a review by the Interim Chemical Review Com-mittee, a subsidiary body of the Intergovernmental Negotiating Com-mittee. The Interim Chemical Review Committee examined chemicalsif at least two notifications of final regulatory actions to ban or severelyrestrict them had been received from at least two regions. The Commit-tee looked at the notifications and determined whether they met theConvention’s criteria for listing. Where this was the case, the Committeestarted to prepare a decision guidance document. In a number of casesthe notifications did not meet the criteria set out in Annex II (which con-tains criteria for consideration by the Chemical Review Committee),often because one or both of the notifications had not been based on arisk evaluation. In these cases, the Interim Chemical Review Committeerecommended that the chemical not be included at this stage.

To facilitate its work, the Interim Chemical Review Committee alsoprepared a range of policy and guidance documents that clarified howthe work of the Committee had been carried out, with the aim of ensur-ing consistency and establishing a basis for future similar decisions. Theyalso oversaw the development of a guidance document and forms forindicating health or environmental problems with severely hazardouspesticides. In addition, they developed guidance for groups developingdecision guidance documents to ensure consistent content and format-ting.

The INC has facilitated a series of workshops held around the world,primarily to train designated national authorities in the working of theConvention. These workshops have been organized by the secretariat ona regional or sub-regional basis. Eight regional training workshops havebeen held for Latin America and the Caribbean (English-speaking coun-tries) in May 2002; Africa (French-speaking countries) in June 2002; theNear East in October 2002; Central and Eastern Europe in November2002; Africa (English-speaking countries) in February 2003; the South-West Pacific in September 2003; Latin America and the Caribbean

continued on page 10 ☞

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(Spanish-speaking countries) in October 2003; andthe Asia region in March 2004.

Workshops have therefore been held in Arabic,English, French, Spanish and Russian. While theprime focus of the workshops has been on trainingdesignated national authorities in the main tasksrequired to meet the Convention’s obligations (e.g.submitting import responses, notifying bans or severerestrictions on chemicals), a number of other issueshave been addressed, such as opportunities for coor-dinated implementation for the Rotterdam, Stock-holm and Basel Conventions, the use of integratedpest management, and opportunities for regionalcooperation. The workshops have included partici-pation by a range of representatives, including fromthe Basel Regional Centres, industry and NGOs. Par-ticipants have generally agreed that the workshopswere valuable as a training mechanism and as a wayto meet and get to know other people in the regionwith similar tasks and responsibilities.

The INC has worked with the World CustomsOrganization (WCO) on the development of specif-ic codes to be used for the chemicals included in theRotterdam Convention. These codes, developed bythe expert bodies of the WCO, will be considered forinclusion in June this year. Further work with theWCO will continue.

Following a decision taken by the UNEP Govern-ing Council to promote synergies between relatedmultilateral environmental agreements (MEAs), thesecretariat of the Rotterdam Convention has beenpleased to assist this process in cooperation with othersecretariats, particularly those of the Stockholm andBasel Conventions. A number of regional and sub-regional workshops have been held to present ideasand facilitate discussion concerning the coordinatedimplementation of the Basel, Stockholm and Rotter-dam Conventions. At the workshops there have beenmany useful and concrete discussions. Participantshave indicated that these discussions, structured toinvolve representatives from a number of ministries(such as health, environment, agriculture, and foreignaffairs), were useful in terms of the information theyreceived and contacts made.

☞ continued from page 9

Chemicals subject to the prior informed consent (PIC) procedure

Chemical Relevant CAS* number(s) Category

2,4,5-T 93-76-5 Pesticide

Aldrin 309-00-2 Pesticide

Captafol 2425-06-1 Pesticide

Chlordane 57-74-9 Pesticide

Chlordimeform 6164-98-3 Pesticide

Chlorobenzilate 510-15-6 Pesticide

DDT 50-29-3 Pesticide

Dieldrin 60-57-1 Pesticide

Dinoseb and dinoseb salts 88-85-7 Pesticide

1,2-dibromoethane (EDB) 106-93-4 Pesticide

Fluoroacetamide 640-19-7 Pesticide

HCH (mixed isomers) 608-73-1 Pesticide

Heptachlor 76-44-8 Pesticide

Hexachlorobenzene 118-74-1 Pesticide

Lindane 58-89-9 Pesticide

Mercury compounds, including inorganic mercury compounds, alkyl mercury compounds Pesticideand alkyloxyalkyl and aryl mercury compounds

Pentachlorophenol 87-86-5 Pesticide

Monocrotophos (soluble liquid formulations of the 6923-22-4 Severely hazardoussubstance that exceed 600 g active ingredient/l) pesticide formulation

Methamidophos (soluble liquid formulations of the 10265-92-6 Severely hazardoussubstance that exceed 600 g active ingredient/l) pesticide formulation

Phosphamidon (soluble liquid formulations of the 13171-21-6 (mixture, Severely hazardoussubstance that exceed 1000 g active ingredient/l) (E)&(Z) isomers) 23783-98-4 pesticide formulation

((Z)-isomer) 297-99-4 ((E)-isomer)

Methyl-parathion (emulsifiable concentrate (EC) 298-00-0 Severely hazardouswith 19.5%, 40%, 50%, 60% active ingredient and pesticide formulationdusts containing 1.5%, 2% and 3% active ingredient)

Parathion (all formulations – aerosols, dustable powder 56-38-2 Severely hazardous(DP), emulsifiable concentrate (EC), granules (GR) and pesticide formulationwettable powders (WP) – of this substance are included, except capsule suspensions (CS))

Crocidolite 12001-28-4 Industrial

Polybrominated biphenyls (PBB) 36355-01-8 (hexa-) Industrial27858-07-7 (octa-) 13654-09-6 (deca-)

Polychlorinated biphenyls (PCB) 1336-36-3 Industrial

Polychlorinated terphenyls (PCT) 61788-33-8 Industrial

Tris (2,3-dibromopropyl) phosphate 126-72-7 Industrial

*Chemical Abstract System

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Where to from here?The first meeting of the Conference of the Parties, to be held on 20-24 Sep-tember 2004 in Geneva, Switzerland, will discuss (and potentially take deci-sions on) a number of very important issues. Among them are the financialrules for the Convention, including the number and type of trust funds tobe established. The procedures for arbitrations and conciliations, and fordispute settlement, which were discussed extensively by the Intergovern-mental Negotiating Committee, will be decided upon by the CoP. Discus-sions on the process for dealing with non-compliance have taken placealready. A draft text is available for discussion. However, there are a numberof unresolved issues.

The first meeting of the CoP will consider the chemicals included in theinterim procedure. It will take a decision on adding these chemicals toAnnex III of the Convention. The CoP will also need to establish a Chem-ical Review Committee to scrutinize notifications in order to considerwhether these chemicals should be included in Annex III. Finally, the first

meeting of the CoP will take a decision on thesecretariat’s location. The secretariat is currentlyhoused in both Geneva and Rome. There is anoffer by the German government to house it inBonn.

As Parties continue to submit notificationsfollowing the CoP, it is anticipated that therewill be numerous additional chemicals to con-sider for addition to Annex III in the future.

Technical assistance is a significant issue forall developing countries. The work of the Inter-governmental Negotiating Committee has pro-vided a good basis for technical assistance,including training workshops. Countries havealso been given an opportunity to express theirtechnical assistance needs through a question-naire circulated to all participating States andobservers in 2004. The results of this survey willbe presented to the INC at its 11th session for itsconsideration. The secretariat has also beenrequested to develop a draft strategy for theregional delivery of technical assistance for con-sideration by the Conference of the Parties. Thestrategy for technical assistance developed by theCoP will be the blueprint for work on technicalassistance by the secretariat and donor countriesover the next year.

The Rotterdam Convention has a number ofprovisions related to trade. These have been included in the Convention tobe consistent with the provisions of the World Trade Organization (WTO).As a trade-related environmental agreement, the CoP may also decide toapproach the WTO and request observer status.

Overall, the Convention has made a good start towards meeting its objec-tive to promote shared responsibility and cooperative efforts among Partieswith respect to the international trade of certain hazardous chemicals, inorder to protect human health and the environment from potential harmand contribute to the environmentally sound use of these chemicals. Activeparticipation of all Parties will be required to keep the work going. It isimportant that implementation of the Convention by non-Parties beencouraged.

The Rotterdam Convention can be a key element in a coordinated chem-icals management strategy. The protection it provides against unwantedimports can help safeguard the health and environment of all countries.

Chemicals subject to the Interim PIC procedure, but not included in Annex III

Chemical Relevant CAS number(s) Category

Binapacryl 485-31-4 Pesticide

DNOC and its salts (such as ammonium salt, potassium 534-52-1; 2980-64-5; Pesticidesalt and sodium salt) 5787-96-2; 2312-76-7

Ethylene dichloride 107-06-2 Pesticide

Ethylene oxide 75-21-8 Pesticide

Monocrotophos (all formulations) 6923-22-4

Toxaphene 8001-35-2 Pesticide

Dustable powder formulations containing 17804-35-2; 1563-66-2; Severely hazardous a combination of: benomyl at or above 7%, 137-26-8 pesticide formulationcarbofuran at above 10%, thiram at or above 15%

Asbestos IndustrialActinolite 77536-66-4Anthophyllite 77536-67-5Amosite 12172-73-5Tremolite 77536-68-6

Chemicals scheduled for consideration at INC 11, 18 September 2004

Chemical Relevant CAS number(s) Category

Parathion 56-38-2 Pesticide

Tetraethyl lead 78-00-2 Industrial

Tetramethyl lead 75-74-1 Industrial

Chrysotile asbestos 12001-29-5 Industrial

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A science-based strategy for chemicals control

Sven Ove Hansson and Christina Rudén, Philosophy Unit, Royal Institute of Technology, Teknikringen 78, 100 44 Stockholm, Sweden

([email protected]; [email protected])

In practice, the adverse effects that a chemicalsubstance gives rise to depend on two fac-tors: inherent properties and actual expo-

sure. To avoid adverse effects, those responsiblefor how a substance is used have to adjust theprocesses (and thereby the exposure) to thesubstance’s inherent properties.

Before a chemical product is used, the risksassociated with exposure should be investigat-ed and assessed in accordance with the bestavailable science. Safe handling requirementsshould also be identified. This information shouldfollow the product, so that it reaches everyonewho uses it or is responsible for its use. It is theinformation on which users of the substanceshould base decisions concerning avoidance ofnegative health and environmental effects. Thisinformation is also essential for public authoritiesin their control function in relation to the com-panies.

These basic principles seem to be generallyaccepted. In practice, it is necessary to implementthem to satisfy the objectives of major interna-tional policies and treaties on management ofindustrial chemical risks, such as the StrategicApproach to International Chemicals Manage-ment (SAICM) (www.chem.unep.ch/saicm/), theJohannesburg Declaration on Sustainable Devel-opment (www.johannesburgsummit.org), the

Stockholm Convention (www.pops.int), the Rot-terdam Convention (www.pic.int), HELCOM(www.helcom.fi) and the Basel Convention(www.basel.int).

Unfortunately, these principles are still far frombeing realized, largely due to lack of scientificinformation about chemicals in use. Estimatesindicate that between 30,000 and 70,000 chemi-cal substances are on the market in the EuropeanUnion. The information available on most ofthem is not sufficient to make even an approxi-mate estimate of adverse effects. An importantattempt to remedy this situation has been madeby the European Commission in its proposed newsystem for chemicals control, the REACH system(European Commission 2003).

In this article we analyze the data requirementsin the REACH system, and how it can be amend-ed to improve the scientific basis of industry’s riskassessments. The article is based on resultsobtained in the research programme NewS (“Anew strategy for risk assessment and managementof chemicals”), funded by MISTRA, the SwedishFoundation for Strategic Environmental Research(www.infra.kth.se/phil/NewS).

Using science for policy purposesHealth risk assessments of chemicals have to bebased on scientific data that is as relevant as possi-ble for the risk assessment. But due to ethical andeconomical restraints, for example, highly relevanttesting (such as experiments on humans or full-scale environmental experiments) is impossible.

Extrapolation of data is common practice, e.g.from animal experiments to human risk or fromsingle species to a complex multi-species ecosys-tem. Obviously, both under- and overestima-tion of risk can result from such extrapolations.

Figure 1 illustrates the use of scientific datafor policy purposes (Hansson 2002). Through aprocess of critical assessment, data originatingin experiments and other observations give riseto the scientific corpus (arrow 1). Roughlyspeaking, the corpus consists of those state-ments that could, at the time, legitimately be

made without reservation in a (sufficientlydetailed) textbook.

The obvious way to use scientific informationfor policy purposes is to use information from thecorpus (arrow 2). For many purposes this is theonly sensible thing to do. In the context of pro-tecting health and the environment, however,exclusive reliance on the corpus may have unwant-ed consequences. Suppose there are suspicions,

Summary A number of suggestions are made in this article for amending the data requirements of theproposed European chemicals control system, REACH. These data requirements are shown tobe insufficient for applying current criteria to classify substances according to their adverseeffects. Use of production volume as a priority-setting criterion for data acquisition is ques-tioned. Three alternative priority-setting mechanisms are proposed: chemical properties of thesubstance; results from lower tier testing; and incentives for voluntary testing. A new classifi-cation category (“insufficiently investigated”) is also proposed. Substances in this categorywould be identified with a warning label.

RésuméL’article avance plusieurs pistes pour modifier les exigences en matière de données du systèmeeuropéen REACH proposé pour réglementer l’usage des produits chimiques. Il montre que cesexigences sont insuffisantes pour appliquer les critères actuels de classification des produits enfonction de leurs effets nocifs. Il s’interroge sur l’emploi du volume de production comme critèrede détermination des priorités pour l’acquisition des données. Il propose trois autres mécan-ismes possibles pour établir les priorités : les propriétés chimiques du produit ; les résultats desessais secondaires ; et des mesures d’incitation en faveur des essais volontaires. Il proposeégalement une nouvelle catégorie de classification (« insuffisamment étudiés ») ; les produitsappartenant à cette catégorie seraient signalés par une étiquette de mise en garde.

ResumenEste artículo presenta una serie de sugerencias para modificar los requisitos de presentación dedatos en la propuesta del sistema europeo para el control de sustancias químicas (REACH). Sedemuestra la insuficiencia de dichos requisitos en cuanto a la aplicación de los criterios vigentespara clasificar sustancias de acuerdo con sus efectos adversos. Se cuestiona el uso del volu-men de la producción como criterio en el establecimiento de prioridades para la obtención dedatos. Se proponen tres mecanismos alternos para identificar prioridades: propiedades quími-cas de la sustancia, resultados obtenidos en pruebas a la capa inferior e incentivos para prue-bas voluntarias. Asimismo, se propone una nueva categoría de clasificación (“investigacióninsuficiente”). Las sustancias incluidas en esa categoría serían identificadas mediante una eti-queta de advertencia.

Source: Hansson 2002

Figure 1Use of scientific data for policy purposes

Data 1 2

3

Corpus Policy

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based on relevant but insufficient scientific evi-dence, that a certain chemical substance is dan-gerous to human health. Since the evidence is notsufficient to warrant an addition to the scientificcorpus, this information cannot influence policiesin the “standard” way (arrows 1 and 2). The evi-dence may nevertheless be sufficient to warrantchanges in the handling and use of that chemical.In cases like this, we want to have a direct roadfrom data to policies (arrow 3). As one example,consider a case in which there are strong indica-tions that a certain substance is carcinogenic, butthe evidence does not amount to full scientificproof. It is reasonable for an industrial decision-maker or a regulator to take precautionary actionin such a case.

The process represented by arrow 3 differs fromthat of arrow 1 in being a decision with directpractical consequences. Therefore, it is rational totake the practical effects of the decision intoaccount and adjust the burden of proof accord-ingly. It is important, when this is done, to con-tinue to be guided by science and not to replace itby arbitrary decisions or the whims of uninformedopinion. As we see it, a rational decision-makerwho takes a precautionary approach should usethe same type of scientific evidence (and assign thesame relative weights to different kinds of evi-dence) as a decision-maker who requires morecomplete scientific evidence before action is taken.We call this approach science-based precaution.Due to the uncertainty inherent in toxicology, sci-ence-based precaution is in our view an indis-pensable element of a chemicals strategy thatstrives to avoid the serious mistakes of the past.

The REACH proposalIn the current EU chemicals regulations, differentrules apply to “new” and “existing” substances.(This distinction is based on whether a chemicalwas put on the market in the EU before or after

the 18th of September 1981). New substancesmust be tested and notified before they are put onthe market. No testing is mandatory for existingchemicals; these substances are to be risk assessedone by one on the basis of available data. Majorshortcomings of current regulations are the gen-eral lack of data requirements for existing sub-stances, and the slow and resource-intensive riskassessment process.

A review of the regulations was initiated at theinformal Council of Environment Ministers inApril 1998. Three years later, in February 2001,the European Commission presented a WhitePaper drawing up a strategy for a future chemicalspolicy. On 7 May 2003 the first public version of

a new framework for the Registration, Evaluationand Authorization of CHemicals was published.Based on an eight-week internet consultation andfurther discussions with all interested parties, arevised REACH proposal was published in Octo-ber 2003 (European Commission 2003).

The objectives of REACH with respect to riskassessment can be summarized in the form of twooverarching goals. First, REACH aims atimproved knowledge about the risks associatedwith the use of individual chemical substances.Secondly, REACH is intended to increase thespeed and efficiency of the risk assessment process,and to make producers and importers of chemi-cals responsible for this process. In this article wefocus on the first of these goals.

In REACH all general industrial chemicals areregulated under a single system. The previous lackof correspondence in test requirements for newand existing substances will be eliminated.According to REACH, all chemicals with pro-duction volumes of 1 tonne or more per year (andper manufacturer) must be registered in a centraldatabase. The registration will be evaluated by theauthorities. The result of the evaluation may bethat the substance is subjected to authorizationrequirements or to use restrictions.

As previously mentioned, one major aim ofREACH is to improve the efficiency of the riskassessment process. This is done by requiringindustry to make a preliminary risk assessment(chemical safety assessment) of chemicals. In thisassessment manufacturers or importers must showthat the risks of all identified uses are adequatelycontrolled. This requirement is limited to sub-stances with production volumes of 10 tonnes ormore per year and per manufacturer. For sub-stances produced in lower volumes (1-10 tonnes)a safety data sheet is required for substances clas-sified according to the EU criteria for classifica-tion and labelling of dangerous substances.

Figure 2Test requirements and classification and authorization criteria

for general toxicity, including carcinogenicity

* Additional tests on persistency and bioaccumulation are needed for the PBT classification.

Chronic toxicity/carcinogenicity

Tests Classificationcriteria

Sub-chronic(90-d) toxicity

Repeated dose(28-d) toxicity

Acute toxicity

No data

Skin sensitization

Skin + eye irritation(in vivo)

Skin + eye irritation(in vitro)

Carcinogenicity

(PB)T*

Acutetoxicity

Skin + eyeirritation

< 1 t ≥ 1 t ≥ 10 t ≥ 100 t ≥ 1000 t

Figure 3Test requirements and classification criteria for reproductive toxicity

(developmental toxicity and fertility)

Reproductive toxicity(3-gen)


Reproductive toxicity(2-gen)OECD 416

Fertility (1-gen)OECD 415

No data

Prenatal developmentOECD 414

Reproductive toxicityscreeningOECD 421

Fertility

Developmentaltoxicity

< 1 t ≥ 1 t ≥ 10 t ≥ 100 t ≥ 1000 t

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The authorization procedure will be applicableto substances of “high concern”, such as sub-stances that are carcinogenic, mutagenic or toxicto reproduction, substances that are persistent,bioaccumulating and toxic (PBT), substances thatare very persistent and very bioaccumulating(vPvB), and endocrine disrupting chemicals(ED). Use of such substances is authorized only ifthe manufacturer can show that risks to humanhealth are adequately controlled.

With REACH, a central European ChemicalsAgency will be established.

An appraisal of the REACH datarequirementsHow well-informed are we about the possibleadverse effects of a substance when we have thedata required in REACH? This can be evaluatedby comparing the required data sets to the dataneeded to classify a substance according to the EUClassification and Labelling Directive (67/548).It is also useful to compare the data requirementswith the REACH criteria for authorization.

The test requirements of REACH are summa-rized in Figures 2-5. The required data are listed atthe left. Black and white arrows indicate how testrequirements will change for “existing” and “new”substances, i.e. substances notified to the Com-mission before and after the 18th of September1981, respectively. Test requirements also dependon annual production volume, which is classifiedin one of five ranges (<1 tonne, ≥1 tonne, ≥10tonnes, ≥100 tonnes, and ≥1000 tonnes).

In REACH the previous distinction betweentest requirements for “existing” and “new” sub-stances is abolished. Test requirements accordingto REACH are therefore where the black and thewhite arrows meet. All tests up to and including

the point where the arrows meet are required forthe respective production volume category. Datarequirements for the classification and authoriza-tion criteria are indicated to the right.

Acute toxicity (Figure 2)For substances with production volumes of 10tonnes or more, the data required in REACH will

be sufficient to apply the classification criteria forskin and eye irritation and for acute (mammalian)toxicity. For substances with production volumesof less than 10 tonnes, none of the criteria foracute effects on mammals is applicable. In otherwords, the data required in REACH are not suffi-cient to determine whether these substancesshould be labelled for acute toxicity.

Carcinogenicity (Figure 2) Long-term carcinogenicity testing is not requiredin any of the standard test batteries in REACH(regardless of production volume). Hence, the cri-teria for carcinogenicity classification will not beapplicable to the test data generally required inany production volume.

Reproductive toxicity (Figure 3)Data required in REACH are sufficient for classi-fication of developmental toxicity for substanceswith production volumes of 10 tonnes or more.Classification for adverse effects on fertility isbased on data that are only required for substanceswith production volumes of 100 tonnes or more.For substances with production volumes of lessthan 10 tonnes, no classification for reproductivetoxicity is possible on the basis of the required dataonly.

Ecotoxicity (Figures 4 and 5)The data required in REACH will be sufficient toapply the classification criteria for aquatic toxicityfor substances with production volumes of 10tonnes or more. For substances with productionvolumes of 100 tonnes, data on acute toxicity inDaphnia are required. However, data on bioticdegradability (“ready test”) are only required for

* Additional tests on persistency and bioaccumulation are needed for the PBT classification.** Additional tests on biotic degradation and lipophilicity or bioaccumulation are needed for

classification of acute aquatic toxicity.

Figure 4Test requirements and classification and authorization

criteria for ecotoxicityTests Classification

criteria

(PB)T*

Aquatictoxicity**

< 1 t ≥ 1 t ≥ 10 t ≥ 100 t ≥ 1000 tNo data

Additional tests, e.g. fish

Long-term reproduction: birds

Fish reproduction

Long-term: sediment organism

Long-term: earthworms

Long-term: soil invertebrates

Long-term: higher plants

Long-term: fish

Long-term: Daphnia

Short-term: higher plants

Short-term: earthworms

Short-term: fish

Short-term: algae

Short-term: Daphnia


< 1 t ≥ 1 t ≥ 10 t ≥ 100 t ≥ 1000 t

Further data on fate andbehaviour, and bioticdegradation

Fate and behaviour: further data on adsorption/desorption and BCF**

Biotic degradationsimulation testing: surface,water, soil, sediment

Identification of degradation products

Fate and behaviour: adsorption/desorption screening

Degradation: hydrolysis

Ready biodegadability

No data

(PB)T*vPvB

Figure 5Test requirements and authorization criteria for fate and

behaviour in the environment (persistency and bioaccumulation)

* Additional tests on toxicity are needed for the PBT classification.** Bioconcentration factor

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substances with production vol-umes of 10 tonnes or more, andthese data are also needed for clas-sification of aquatic toxicity. TheREACH system specifies criteriafor classifying substances as PBT(persistent, bioaccumulating andtoxic) and as vPvB (very persistentand very bioaccumulating). How-ever, it is only for substances withproduction volumes of 100tonnes or more that the requireddata are sufficient for applying thePBT and vPvB criteria.

In summary, with the implementation ofREACH, data requirements for “existing” chem-icals will increase while the requirements for“new” chemicals are reduced. Existing substancesrepresent about 99% of production volume,which means the total effect is in the direction ofan improved knowledge base for risk assessment.However, that improvement is not sufficient toprovide the information required for classificationand authorization decisions.

For substances with production volumes of 10tonnes or more, the required information is notenough to apply any of the classification or autho-rization criteria under consideration here (i.e.acute mammalian toxicity, acute aquatic toxicity,skin irritation, eye irritation, skin sensitization,carcinogenicity, reproductive toxicity, PBT orvPvB). Only for substances with production vol-umes of 100 tonnes or more is the required infor-mation sufficient to potentially trigger theREACH authorization process. For none of thesubstances regulated by REACH will the requiredinformation be sufficient to classify for carcino-genicity.

Improved priority-settingAs we have already seen, in REACH (as well as incurrent regulations) production volume deter-mines test requirements. The higher a particularsubstance’s production volume, the more exten-

sive is the required test battery. The rationale forusing production volume as a priority-setting toolis the assumption that higher production volumeis associated with higher potential for exposure,and therefore with higher risk of adverse effects.This is a sensible argument, but the connectionbetween total production volume and risk is indi-rect and not at all certain.

There are at least three problems with usingproduction volume to determine test require-ments. First, due to lack of research in this area,the extent to which production volume predictsexposure is essentially unknown. Secondly, a pos-itive correlation between production volume andexposure does not necessarily lead to an equallystrong positive correlation between productionvolume and risk. Risk depends on a combinationof exposure and toxicity. Substances with low tox-icity may be over-represented among high-volumesubstances (Cunningham and Rosenkranz 2001).Thirdly, even if total exposure to a low-volumesubstance is low, individual exposures may behigh, e.g. in the workplace.

In our view, the role of production volume as apriority-setting criterion for data acquisitionshould be gradually reduced. Instead, we proposethree other mechanisms for priority-setting:

1. Chemical properties of the substanceSubstances with different chemical characteristicswill have a different fate and behaviour in theenvironment (e.g. partitioning, persistency, abili-

ty to bioaccumulate). They will alsorequire different approaches to test-ing (e.g. due to their lipophilicity)and will differ in their propensity topotentially adverse reactions withbiological material (reactivity).Chemical characterization withregard to reactivities, persistencyand bioaccumulative potential canthus be used both for priority-set-ting and to improve testing strate-gies.

2. Results from lower tier testingUse of tiered testing should be strengthened, sothat certain results in a lower tier test automati-cally lead to requirements for further testing. Forexample, substances that are acutely toxic toDaphnia should be tested for short-term effects infish and algae; in case of positive findings in thesetests, long-term testing in aquatic species shouldalso be performed.

3. Incentives for voluntary testingMechanisms should be created to give producersincentives to test particular low-volume sub-stances more extensively than the minimumrequirements.

An amended system of testingrequirementsIn the amended system that we propose, all sub-stances are subjected to an initial chemical char-acterization with regard to their reactivities andtheir persistency and bioaccumulative properties.Based on these data, substances should be classi-fied as either:1. very persistent and very bioaccumulating(vPvB);2. persistent and bioaccumulating (PB); or 3. having low persistence and potential for bioac-cumulation (non-PB).

Criteria for such a classification arealready available in the current REACHproposal.Substances that are both persistent and bioaccu-mulating can give rise to toxic effects after agreater time and at a greater distance than otherchemicals. Long-term exposures and exposure ofunborn and newborn children to these substancescan be anticipated. Previous experience has shownthat vPvB substances should not be used. We pro-pose that use of substances with these propertiesshould in principle be prohibited. This is stricterthan the authorization process currently proposedin REACH (Figure 6).

For PB substances, we propose a tiered test sys-tem starting with a long-term test for aquatic tox-icity. If this is negative, a reproductive anddevelopmental study in mammals is required; if itturns out negative, a chronic toxicity and carcino-genicity study is mandatory. Use of PB substancesclassified for any of these toxicological effects (i.e.toxic PB substances) should be restricted and, ifat all allowed, accompanied by appropriate pre-cautionary measures including emission control

Figure 6Outline of the proposed new system

All new andexisting

substances

P and Bdata

ProhibitionvPvB

Long-term andreproductivetoxicity testing

PB

Tiered testingnon-PB

Figure 7Proposed tiered test strategy for PB compounds

PB+

Restrictions Restrictions Restrictions

Riskmanagement

decision

Risk management measures, including question-mark labelling

Long-termaquatictoxicity

Risk management

Risk assessment

- +

-+

-

Reproductive and developmental toxicity Chronic

toxicity andcarcinogenicity

non-PB

vPvB

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and environmental monitoring. If all toxicitystudies are negative, use of the substance may beconsidered (Figure 7).

For substances with low persistence and poten-tial for bioaccumulation (non-PB) we propose atiered testing system in which production volumeand results from previous tests determine furthertest requirements and risk management decisions.This system includes five parallel pathways fortiered testing (Hansson and Rudén 2004):1. general acute toxicity;2. general sub-acute to chronic toxicity;3. reproductive toxicity;4. mutagenicity; 5. ecotoxicity.

Here we will briefly outline the principles ofthis system, using the tests for general (acute) tox-

icity as an example (Figure 8).Data on sensitizing properties and acute toxic-

ity are essential in risk assessment. For a companythat is considering using a chemical substance, thisis the most elementary information that it needsto obtain from the supplier. Without this infor-mation, it is impossible to determine what mea-sures are needed to ensure safe handling at thecompany’s own workplace and what safety-relatedinformation should be passed on to costumers.Therefore, in our proposed system in vivo testingfor skin and eye irritation and for skin sensitiza-tion are mandatory for non-PB substances with aproduction volume of 1 tonne per year, and thesame applies to test data that enable an estimationof acute systemic toxicity. Substances with a pro-duction volume of less than 1 tonne per year

should either be submitted to these tests or be clas-sified and labelled as insufficiently investigated.

We are well-aware of the shortcomings of thecurrent test methods for acute mammalian toxic-ity. We emphasize the need to replace these testswith new ones. Development and validation ofmethods that reduce the need for animal testingshould be highly prioritized. The usefulness of anynew test method should be evaluated in the lightof the surprisingly low accuracy of the harmonizedclassifications of acute systemic toxicity based ondata obtained with current test methods (Rudénand Hansson 2003).

For substances that are acutely toxic we proposeadditional testing of general toxicity, primarily inthe form of a 28-day toxicity study. This shouldalso be required for all substances with a produc-

The precautionary principle and EU chemicals policy

Mary Taylor, Safer Chemicals Campaign, Friends of the Earth Europe, Friends of the Earth, 26-28 Underwood Street, London N1 7JQ, United Kingdom ([email protected])

The EC Treaty has incorporated the precautionary principle since 1992(Treaty of Maastricht), although without defining it in any detail. Its incor-poration into the Treaty is highly significant and should set the stage forenvironmental protection measures to be undertaken quickly, before“absolute proof” of harm is evident.

In 1999 the Council of Ministers adopted a Resolution urging even moredetermination to be guided by the principle, further emphasizing accep-tance of its place in EU policy and law. As noted by the European Com-mission, “applying the precautionary principle is a key tenet of [Community]policy”.1 It is recognized that the precautionary principle applies in bothenvironmental and health spheres.2

However, putting the precautionary principle into practice is conceptu-ally and politically challenging. In 2000 a Communication from the Euro-pean Commission attempted to set out an approach and guidelines forusing and applying the principle.3 This was partly in response to accusa-tions of “arbitrary” decision-making, since use of the precautionary princi-ple is regarded by some non-EU countries – the US in particular – asrestricting trade. There is also potential for conflict even between EU coun-tries if there is no common acceptance of how to interpret the principle.

A key argument for the Commission was that World Trade Organisa-tion rules incorporate the precautionary principle,4 recognizing the “inde-pendent right” of countries “to determine the level of environmental or healthprotection they consider appropriate.”

The Commission’s paper has turned out to be controversial. The Com-mission has proposed that risk assessment and management is central tothe concept and that invoking the principle has to start with a scientificevaluation, albeit one which should be explicit about any uncertainties.Intrinsic hazardous properties alone should not trigger the principle,according to the Commission. Given the problems with risk assessment(which needs both hazard and exposure information) in chemicals regula-tion, environmentalists viewed this as a weak start.

The Commission also noted that precautionary action should be basedon cost-benefit analysis, with the proviso that non-economic factors couldbe taken into account. But it is feared that this may turn to the advantageof economic short-term interests that can quantify their costs more easily.Sweden has argued that it should be about cost-effectiveness and not cost-benefit analysis,5 which accords more with environmentalists’ views. Prin-ciple 15, in our view, should be interpreted as finding the cost-effective wayto take action once the decision to act has been taken, and not about usingcost-benefit analysis to decide whether to act or not.

Precaution and the chemicals policy debateDebate about the precautionary principle is very pertinent to current dis-cussions on the regulation of chemicals. In many ways, much current chem-icals policy in the EU is the antithesis of the precautionary principle andconcerns about the current lack of regulation. Our ignorance about mostchemicals in use, and worries about a number of synthetic chemicals beingfound in human tissue, have led the European Commission to produce leg-islative proposals.

The historic and unregulated production of chemicals means that wehave all grown up in a society that produces and uses thousands of chemi-cals in an almost infinite variety of ways. Our world is made up of chemi-cals – so much so that the European chemical industry employs 1.7 millionpeople and produced over EUR 500 billion worth of chemicals in 2002.The industry is making much use of impact assessments to try to show theharm to industry that new regulations will bring. Yet the vast majority ofchemicals (aside from certain groups such as medicinal products, pesticidesand newly registered chemicals) have never had basic safety assessmentsundertaken. Their use has been taken for granted and, in general, manu-facturers have not been required to provide safety data for the 100,000chemicals that were known to exist and catalogued back in 1981.

We are exposed to probably hundreds of synthetic chemicals every day.Hazardous chemicals can be found in all sorts of household goods – clothes,cosmetics, PCs, even toys. Chemicals do not sit still forever in these prod-ucts. We are exposed directly in some uses (such as shampooing hair), or

The precautionary principle in the Treaty

Community policy on the environment shall aim at a high level of pro-tection taking into account the diversity of the situations in the variousregions of the Community. It shall be based on the precautionary prin-ciple and on the principles that preventive action should be taken, thatenvironmental damage should as a priority be rectified at source andthat the polluter should pay.

Maastricht Treaty (now the Amsterdam Treaty, Art 174(2)), 1992

In order to protect the environment, the precautionary approach shallbe widely applied by States according to their capabilities. Where thereare threats of serious or irreversible damage, lack of full scientific cer-tainty shall not be used as a reason for postponing cost-effective mea-sures to prevent environmental degradation.

Principle 15 of The Rio Declaration on Environment and Development (1992)

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tion volume of more than 10 tonnes per year (inaccordance with REACH).

Question-marking In the current classification and labelling system,additional data about the properties of a substancecan lead to a stricter classification – but almostnever to a less strict one (Hansson and Rudén2003). A strict classification tends to diminish asubstance’s marketability. Companies responsiblefor producing and marketing chemical substancesoften have something to lose from subjecting theirproducts to testing. They almost never have any-thing to gain in economic terms. Thus, the classi-fication and labelling system has an incentivesstructure that discourages rather than encouragestoxicity testing. This counterproductive incentives

structure will remain in the proposed REACHsystem.

Let us consider a hypothetical example. Onecompany produces and markets dye-stuff A, where-as another company produces and sells the closelyrelated dye-stuff B. Both are produced in volumesbelow 10 tonnes per year; in each case only therequired data for such substances are available. Eachsubstance is in fact a developmental toxicant, butthe initially available data sets give no indication ofthis. The company producing substance A thenvoluntarily undertakes an extensive state-of-the-arttesting programme for its product. As a result, it hasto classify and label the substance as toxic and warnits customers against the substance’s toxic proper-ties. The other company performs no tests on sub-stance B. Therefore, substance B will not have to be

classified or labelled as toxic. A will be more difficultto sell than B.

This outcome is, of course, in sharp contrast tothe stated aims of national and internationalchemicals policies. We have good reasons to prefera toxic product that is classified and labelled astoxic to an equally toxic product that is neitherclassified nor labelled.

One way to improve the regulatory system inthis respect is to introduce an additional dimen-sion into the classification and labelling system,namely the dimension of toxicological ignorance,coupled to a new classification category, insuffi-ciently investigated (Hansson and Rudén 2003).Substances classified in this category should beassigned a warning label, including a symbol suchas a question mark that enables users to exercise

they may migrate out of articles during use, accidental damage and dispos-al. We can be exposed to persistent chemicals not just during their initialuse, but through the food chain, through dust, and even in the womb. Manylong-lived synthetic chemicals are now found in our bodies and the envi-ronment. They contaminate the oceans and polar regions and their wildlife.

Environmentalists are particularly concerned about persistent and bioac-cumulative chemicals. A number have hormone-like properties and mayinterfere with the endocrine system in subtle ways, possibly causing birthdefects, decreases in sperm count and increases in certain types of cancer,for example. Yet when concerns are raised about specific chemicals, the bat-tle for regulation is often long and fierce, with manufacturers forcing a veryhigh burden of proof before decisive action to restrict or ban the chemicalcan be taken. In the meantime, production may continue for many years.Even when proof of harm is accepted, the chemicals are still circulating theworld and much harm will continue. Environmentalists think such chem-icals should be banned because of their intrinsic properties, without havingto wait years for evidence to accumulate.

The current problem can be illustrated by the prolonged struggle over agroup of possible endocrine-disrupters called phthalates, which are added tosome plastics and which have been used in some toys. The European Com-mission has managed to instate a number of temporary bans on their use intoys that are intended to be put into the mouths of children under three.But in the view of environmentalists this is a rather weak measure and stillleaves the possibility of widespread exposure through other routes. Phtha-lates have been found in human tissue and may be present in glues and manyPVC products.

It is hoped that the new legislation, once finally agreed, will really pushmanufacturers to substitute persistent and bioaccumulative chemicals withsafer chemicals if at all possible – unless there is an essential societal use of thechemical that outweighs the concerns. By definition in the new legislation,chemicals that are carcinogenic, mutagenic, reproductive toxins, very per-sistent and very bioaccumulative, or that have endocrine-disrupting prop-erties, are regarded as of “very high concern”. In general, such chemicals willbe candidates for the authorization process of REACH, a system that wouldban all uses unless specifically authorized.6

However – and here we get to the flaw – the current draft introduces aconcept of “adequate control”. This would authorize continued use of sub-stances of very high concern in certain circumstances even if a safer substi-tute were available. To our mind, it is impossible to truly control verypersistent, very bioaccumulative chemicals. And since they may have subtleeffects at very, very low concentrations which current toxicity testing regimesare finding difficult to assess, we should really be very uncomfortable at theircontinued use. These intrinsic properties should make them unacceptablefor use except in extreme circumstances. So the draft legislation falls far shortof implementing a precautionary principle at the moment. It also intro-duces the notion that many endocrine-disrupting substances have to be

shown to have “serious and irreversible effects to humans or the environ-ment”, surely another contradiction to the precautionary principle.

While the legislation is still under discussion, the question of whether theprecautionary principle will be fully reflected in the final legislation remainsopen. We hope our EU politicians will be brave enough to take action thatwill declare some chemicals guilty without years of experiments and obser-vation of harm, and that will have impacts for generations to come.

Notes1. Communication from the Commission on the Precautionary Principle.COM (2000) 1 final. Brussels, 2.2.2000.2. For example, the Declaration of the Third Ministerial Conference onEnvironment and Health (London, 1999) re-affirmed commitment to theprinciple, noting the need “to rigorously apply the precautionary principle inassessing risks and to adopt a more preventive, pro-active approach to hazards.”The principle is also explicit in the Stockholm Convention on PersistentOrganic Pollutants.3. Communication from the Commission on the Precautionary Principle,op. cit. 4. The Communication specifically referred to the Agreement on Sanitaryand Phytosanitary Measures and the Agreement on Technical Barriers toTrade.5. Swedish Committee on New Guidelines on Chemicals Policy, Non-haz-ardous products? Proposals for implementation of new guidelines on chem-icals policy. SOU 2000:53, June 2000.6. See the accompanying article, “A science-based strategy for chemicalscontrol” by Sven Ove Hansson and Christina Rudén. 7. For example, Kriebel, et al., Environmental Health Perspectives 109:871-75, 2001; European Environmental Bureau, Position Paper on the Precau-tionary Principle, “The precautionary principle in environmental science,”1999.

The precautionary principle should embrace a number of compo-nents:◆ transparency and public participation;◆ respect of societal (non-scientific) values;◆ reversal of the burden of proof;◆ consideration of a wide range of alternatives (including the possibili-ty of not undertaking a proposed development);◆ early preventive action in response to reasonable suspicion of harm;◆ recognition that lack of evidence is not the same as evidence of noharm;◆ recognition of the limits of scientific knowledge and understanding;◆ research to address the gaps in knowledge, but without delaying otherpossible actions.7

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the caution they consider to be motivated by thelack of scientific information about the substance(Figure 9).

The question mark label would inform poten-tial users that a substance could have unknownhazardous properties. Classification as “insuffi-ciently investigated” could be expected to have asimilar effect to classification as toxic or danger-ous to the environment. By submitting low-vol-ume chemicals to a certain level of testing abovethe minimal requirements, on the other hand, thecompanies that produce these chemicals couldachieve the competitive advantage of not havingto “question mark” them.

The minimum data set that we propose foravoiding question-mark labelling includes datafrom skin and eye irritation testing (in vivo), skinsensitization, mutagenicity testing of mammalian

cells (in vitro), acute systemic toxicity, develop-mental toxicity and short-term aquatic toxicity(crustacean species, algae and fish).

Chemical safety consists not only in avoidingknown problems, but also in avoiding (as far aspossible) exposures with unknown or uncertaineffects on health and the environment. Therefore,a rational chemicals policy needs to make full useof science. This means that all types of scientificinformation should be used, including informa-tion about what is not yet investigated or is (forother reasons) uncertain.

ReferencesCunningham, A.R. and Rosenkranz, H.S. (2001)Estimating the extent of the health hazard posedby high-production volume chemicals. Environ-mental Health Perspectives 109(9):953-6.

European Commission (2003) Proposal for aRegulation of the European Parliament and of the Council concerning the Registration, Evalua-tion, Authorisation and Restriction of Chemicals(REACH). Brussels, 29.10.2003. COM(2003) 644final (available at http://europa.eu.int).

Hansson, S.O. (2002) Philosophical Perspectiveson Risk. Keynote address, Research in Ethics andEngineering, Delft, 25-27 April (available at www.infra. kth.se/~soh/downloads.htm).

Hansson, S.O. and C. Rudén (2003) Improvingthe incentives for toxicity testing. Journal of RiskResearch 6(1):3-21.

Hansson, S.O. and C. Rudén (eds.) (2004) BetterChemicals Control Within Reach Printed by US-AB, Stockholm, Sweden. ISBN 91-7283-704-7.

Rudén, C. and S.O. Hansson (2003) How accu-rate are the European Union’s classifications ofchemical substances? Toxicology Letters 144(2):159-73. ◆

Figure 8Tiered test system for acute general toxicity

non-PB<1t

>1t

>1t

<1t

>10t

<10t

Risk management measures, including question-mark labelling

Risk managementdecision, including labelling

In vivo skinand eyeirritation.Skin sensitization

--

Risk management

Risk assessment

Acute toxicity

28-dtoxicity

non-PB

vPvB

Further criteria andtesting (not shown)

+

(+)(+)

+

Figure 9Proposed new label for insufficiently

investigated substances

?

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The South African chemical industry is dom-inated by local companies. They developedfrom the industry’s historical base in the

provision of explosives for the mining industry,followed by the production of nitrogen-based fer-tilizers and sulphuric acid. The strategic decisionin the 1950s to adopt the Fischer-Tropsch processto derive oil from coal on a large scale led to thefoundation of a significant polymer industry.

Although it is relatively small by internationalstandards, South Africa’s chemical industry con-tributes around 5% national gross domestic prod-uct and employs approximately 150,000 people.Annual production of primary and secondaryprocess chemicals is in the order of 13 milliontonnes, with a value of around 18 billion rand.The industry is the largest of its kind in Africa.

Since 1994 the chemical industry has under-gone a significant transformation to meet thechallenges posed by the opening up of the econo-my. Re-entry into the international communityhas entailed a number of challenges in all areas of

environmental management, including the soundmanagement of chemicals.

The government has identified the chemicalindustry as having potential for growth in a rangeof subsectors (e.g. downstream beneficiation ofdomestic raw materials). Representatives of gov-ernment, the chemical industry and organizedlabour are engaged in developing a national strat-egy to improve the industry’s global competitive-ness. Such a strategy would not be complete if itdid not include the issue of chemical manage-ment.

In view of the competitive imperative to man-age chemicals safely, stakeholders have agreed thatsome key elements with respect to this topicshould be included in the agreement on a nation-al strategy for the country’s chemical industry.

International initiativesAt the international level, the chemical industryis one of the world’s most highly regulated indus-tries. Among other factors, the global industry’s

competitiveness depends on demonstrating theability to implement international initiatives atthe national level.

Recent global developments indicate that thereis increasing demand in multilateral fora for moreintegrated approaches to chemicals management.Delegates to the first Preparatory Meeting for theDevelopment of a Strategic Approach to Interna-tional Chemicals Management (SAICM) inBangkok in November 2003 emphasized the needfor more harmonized approaches to chemicalmanagement.1

International commitments can be broadlydivided into two categories: legally binding oblig-ations and other international initiatives.

Legally binding obligations include:◆ the Chemical Weapons Convention;2

◆ the Convention against the Illicit Traffic in Nar-cotic Drugs and Psychotropic Substances.3

◆ the Montreal Protocol;4

◆ the Stockholm Convention on POPs;5

◆ the Rotterdam Convention on prior informedconsent.6

Other international initiatives include:◆ the Bahia Plan of action endorsed at the WorldSummit on Sustainable Development (WSSD) inJohannesburg;7

◆ ILO Conventions on safe use of chemicals;8

◆ the Globally Harmonised System of Classifi-cation and Labelling of Chemicals (GHS);9

◆ various capacity building initiatives.It is clear that a number of potential synergies

exist among these initiatives. For example, classi-fication and labelling is required in order to imple-ment mechanisms for regulating chemicals. Thus,the GHS can be seen as an initiative underpinningmany others.

All international initiatives require countries toprepare and present national positions at interna-tional meetings, and to submit implementationreports to the appropriate secretariats. Many ini-tiatives require control of transboundary move-ments of chemicals.

All these initiatives can be contextualized insome way within national strategies. For example,phasing out specific pesticides should be seen asan integral part of good agricultural practice(which, in turn, is becoming increasingly impor-tant to promote market access).

Responsibility for implementing internationalinitiatives often rests with national entities, whichhave a narrow mandate and do not necessarily per-ceive international obligations related to chemi-cals in the context of the national imperative – for

SummarySouth Africa’s chemical industry has changed significantly in the last ten years. Representativesof government, industry and labour are currently developing a national strategy to improve theindustry’s global competitiveness. Chemical management is one of the areas addressed. Waysto develop more integrated approaches to implementation of international chemicals controlinitiatives are described in this article. Implementing the Globally Harmonized System of Clas-sification (GHS) will be a challenge for both developing and developed countries.However, theGHS is a sound starting point for an integrated approach to chemical management.

RésuméL’industrie chimique d’Afrique du Sud a considérablement évolué depuis dix ans. Des représen-tants du gouvernement, de l’industrie et des travailleurs ont entrepris d’élaborer une stratégienationale pour améliorer la compétitivité globale du secteur. Parmi les aspects abordés figurela gestion des produits chimiques. L’article décrit les pistes possibles pour élaborer desapproches plus intégrées de la mise en œuvre des initiatives internationales de réglementationdes produits chimiques. Mettre en pratique le Système général harmonisé (SGH) pour la clas-sification des produits chimiques est une gageure pour les pays en développement comme pourles pays développés. Mais c’est un bon point de départ pour une approche intégrée de la ges-tion des produits chimiques.

ResumenLa industria química de Sudáfrica ha cambiado considerablemente en los últimos diez años.Diversos miembros del gobierno, la industria y el sector laboral se encuentran formulando unaestrategia nacional para mejorar la competitividad mundial de la industria; la gestión de sus-tancias químicas es uno de los temas incluidos en dicha estrategia. Este artículo describe diver-sas vertientes para el desarrollo de enfoques más integrales orientados a la ejecución deiniciativas para el control internacional de las sustancias químicas. La aplicación del SistemaMundial Armonizado de Clasificación (GHS) representa un desafío tanto para los países endesarrollo como para los países desarrollados. Sin embargo, el GHS es un punto de partidafirme hacia la gestión integral de sustancias químicas.

Integrated chemical management: dream or reality in the developing world?

Laurraine H. Lotter, Executive Director, Chemical and Allied Industries’ Association, PO Box 91415, Auckland Park, 2006 Republic of South Africa

([email protected])

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example, in most developing countries – to alle-viate poverty and improve the quality of life.

Some possible ways to develop more integrat-ed approaches to the implementation of interna-tional initiatives are set out below. Developmentof coherent approaches at the national, regionaland international levels depends on adoptingmutually reinforcing approaches at all levels. Howthis could be achieved is also discussed.

Sound management of chemicals as acompetitiveness factorSound management of chemicals involves ensur-ing that they are managed throughout their lifecycle in ways that result in minimum adverseeffects. Increasingly, chemical suppliers’ customersare demanding, inter alia, sound informationabout chemicals’ hazards to ensure that produc-tion processes do not have significant adverseeffects on human health or the environment andthat the chemicals are transported safely.

These demands by customers along the chem-ical value chain can have a significant impact onsuppliers’ competitiveness. They are increasinglybeing recognized by the chemical industry asimportant to the industry’s continued competi-tiveness. This is particularly relevant in emergingmarkets, where legislative controls traditionallymay not meet international norms.

Mainstreaming sound chemicals managementinto the industry’s economic and investmentstrategies is a powerful instrument for promotingimproved performance at the national level.Moreover, industry automatically seeks to stream-line compliance with requirements and so makesa useful partner for governments in this regard.

The impact of national activities onregional and international coherenceFragmentation of national approaches to regionaland international instruments results in ministriesengaging in activities at the regional and interna-tional levels without necessarily consulting withother relevant ministries. An example has been thealmost complete absence of participation by eco-nomic ministries in the development of multilat-eral instruments like the Montreal Protocol andthe Rotterdam Convention, both of which con-tain significant import/export control provisions.

As import and export control is generally theresponsibility of economic ministries, these min-istries are best able to develop national systemsthat could accommodate the import/export con-trol requirements of all international chemicalinstruments.

Lack of national coherence is then reflected ininternational instruments. Likewise, in theirinputs to institutions like the World CustomsOrganization (WCO)10 economic ministries donot necessarily address the difficulties that couldbe experienced in implementing the import/export control provisions of multilateral environ-mental agreements.

Conversely, the international secretariatsresponsible for multilateral environmental instru-ments should seek greater coherence betweenthemselves and their more economically and

socially focused international counterparts (e.g.the WCO and the World Bank).

Taking advantage of synergiesIt is clear that there are potential synergies amongmultilateral agreements regarding import/exportcontrol. In addition, more streamlined reportingmechanisms are possible. A more coherent ap-proach to reporting would not only allow betterinformed identification of capacity building needsat the international level, but would also promotenational coherence and coordination.

The existence of potential synergies among var-ious elements of the Bahia Declaration and GHSimplementation is also clear. National implemen-tation strategies should take this into account, andinternational capacity building initiatives shouldsupport national efforts to exploit such synergies.

The role of international support forcapacity buildingSupport for international capacity building canplay a major role in improving national coherence– if this support is provided in a coordinated andholistic way. The mandates of international agen-cies are generally quite specific, and often they donot take national institutional arrangements intoaccount.

Cleaner production centres promote the devel-opment of a coherent approach to sound chemicalmanagement, which is an integral part of cleanerproduction in any industry where chemicals areproduced or used. UNIDO and UNEP supportfor National Cleaner Production Centres providesan opportunity to integrate sound managementof chemicals and more competitive industrialdevelopment.11

The Globally Harmonized System ofClassification and Labelling ofChemicalsImplementing the Globally Harmonized Systemof Classification will be a challenge to developingand developed countries alike.12 The GHS is asound starting point for an integrated approachto chemical management. It addresses two key ele-ments of an integrated approach: ◆ classification of a hazard;◆ communication of the hazard.

Implementing this initiative provides an oppor-tunity to develop a platform for sound manage-ment of chemicals along the value chain. Astrategy for implementing the GHS in SouthAfrica has been developed using a multi-stake-holder process, with funding from the SouthAfrican government and the UN Institute forTraining and Research (UNITAR).13

Agreement on an implementation strategy hasbeen reached among industry, labour and theresponsible regulators under the auspices of SouthAfrica’s National Economic Development andLabour Council. The agreement is now beingincorporated in the sectoral agreement among thechemical industry, government and labour on asectoral strategy to promote the industry’s globalcompetitiveness.

Capacity buildingIn preparation for the 2002 World Summit onSustainable Development, the InternationalCouncil of Chemical Associations (ICCA)14 com-missioned case studies on capacity building. Oneof these was undertaken in South Africa.

Key stakeholders (government, industry andcivil society organizations) with an interest incapacity building and awareness raising in thechemical industry were consulted. The specificcapacity building needs and obligations identifiedby stakeholders in each sector are summarizedbelow.

Government◆ Chemicals management capacity within gov-ernment needs to be integrated and coordinated.Relevant policies and legislation (e.g. labellingrequirements and implementation of UNEP’sAPELL15 Programme) need to be coordinated. ◆ Appropriate mechanisms should be establishedto raise public awareness of chemical safetythrough disseminating information that includesindustrial emissions, safer alternatives, and thediagnosis and treatment of chemical poisoning. ◆ Customs and excise capacity needs to beenhanced to control transboundary movementsof chemicals. ◆ Capacity within government departments needsto be developed to ensure successful implementa-tion of the APELL Programme for responding toemergencies.

Industry◆ Industry’s responsibility is to ensure that infor-mation known about the potential risk of chemi-cals is sufficient to enable users to develop properrisk management strategies. Appropriate andmeaningful information (easily understood by all)needs to be disseminated to all stakeholders. ◆ To develop and implement the principles ofproduct stewardship, the activities of all stake-holders in the chain of chemical manufacture anduse need to be coordinated. Appropriate trainingprogrammes should be developed and imple-mented to ensure a proper understanding of theprinciples of product stewardship by all stake-holders in the chain.◆ Training programmes need to be strengthenedand implemented to ensure that workers are effec-tively trained with respect to understandingchemicals classification and labelling and theinformation contained in Material Safety DataSheets.16

◆ Industry’s Responsible Care initiative should bestrengthened in regard to information dissemina-tion and hazard communication. ◆ The principles of cleaner production and prop-er waste disposal should be promoted in industry.

Civil society Civil society needs the capacity to ensure that itcan participate effectively in processes related tochemicals management and can meet its obliga-tions. Specifically, the roles of civil society include: ◆ undertaking independent research and evalua-tion concerning environmental issues;

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◆ supporting citizens who need assistance in deal-ing with problems arising from the use of chemi-cals;◆ promoting environmental issues for the benefitof all citizens; ◆ disseminating to the general public informationthat has been made available by the governmentand the industry sector;◆ informing industry and government about anyissues of concern to the general public.

Since the WSSD, South Africa’s Chemical andAllied Industries’ Association (CAIA)17 has devel-oped a strategy for extending Responsible Carealong the value chain in response to some of thepriorities identified above. A study is also beingconducted to ensure that training activities aredeveloped within the national skills developmentstrategy. This strategy requires the developmentof sector skills plans for five-year periods. A reviewof training needs in chemical management is cur-rently being undertaken to ensure that therequired elements are included in the chemicalsector skills plan for the period 2005-09 beingdeveloped.

Meeting stakeholder expectations:Responsible CareThe international Responsible Care initiative18 isthe global industry’s commitment to continuousimprovement in safety, health and environmentalperformance. It was adopted in South Africa in1994. Although implementation of this initiativein South Africa has contributed to the improve-ment of chemical industry performance in thisarea, the industry has acknowledged that muchstill remains to be done.

The chemical industry recognizes its potentialimpacts on the environment, particularly onresource utilization. The Responsible Care initia-tive is implemented in South Africa through sevenManagement Practice Standards, covering: ◆ Health and Safety;◆ Storage, Distribution and Transport;

◆ Pollution Prevention and Resource Efficiency; ◆ Community Interaction; ◆ Emergency Response; ◆ Product Stewardship and Process Safety.

Implementation of these standards is evaluatedevery two years. Quantitative Indicators of Per-formance are collected annually. An annual awardis made to the company that has shown the mostimprovement in respect of these indicators.

The initiative provides a sound platform notonly for improving compliance with environ-mental and health and safety legislation, but alsofor encouraging continuous improvement in per-formance beyond mere legal compliance. In theabsence of comprehensive national legislation inthe area of safety, health and the environment,Responsible Care provides a framework withinwhich multinational companies can operate to thesame standards as in their country of origin.

Poor safety, health and environmental practicescost more in the long term than introducingsound chemical management practices. One ofthe major challenges facing industry in manydeveloping countries is how to operate plants at

an appropriate standard without the support of anational framework. Market access issues increas-ingly include social and environmental consider-ations.

The ICCA report on the chemical industry’scontribution to sustainable development, pre-pared for the WSSD under the auspices of UNEP,recognized the need to meet increasing demandfrom stakeholders for Responsible Care to addressstakeholders’ key areas of concern.19

To address this issue, the South African chemi-cal industry undertook the development of a strat-egy to extend Responsible Care along the valuechain.

The strategy was developed by assessing currentchemical management practices. Information wascollected through a process of interviewing keyorganizations and/or associations that representthe different stages in a chemical life cycle (i.e. rawmaterial supply, primary chemical manufacture,secondary chemical manufacture, import/export,consumption/end-user, transportation, wastemanagement). The chemical management instru-ments currently in use include:◆ safety, health and environmental management; ◆ risk assessment; ◆ supplier-user agreements; ◆ provision of information and guidance for users;◆ information management; ◆ development of safer products and processes; ◆ incident management; ◆ performance monitoring and review; ◆ import/export procedures; ◆ training and awareness raising;◆ safe disposal of waste.

The results of the investigation confirmed that,to a greater or lesser extent, sound chemical man-agement practices are generally in place for rawmaterial suppliers, primary and secondary chemicalmanufacturers, and importers and exporters. How-ever, these practices at best extend to downstreamentities by only one link in the chemical chain.

The needs of consumers (the end-users ofchemical products) and service providers (e.g.waste management firms and road hauliers) wereidentified by interviewing representatives in thoseareas. This group identified a range of priorities tohelp them manage chemicals more safely andincrease their confidence in the chemical indus-try. These include:◆ independent verification of the implementationof the Responsible Care initiative;◆ a standardized approach to provision of hazardinformation; ◆ consistent use of chemical terminology; ◆ the need for a life-cycle approach; ◆ uniform procedures for handling of chemicals;◆ training of users and awareness raising, ◆ improved comprehensibility of hazard informa-tion.

A strategy has been developed to improveimplementation of Responsible Care in SouthAfrica to address these issues. It includes the fol-lowing elements:◆ independent verification of implementation ofResponsible Care; ◆ targeted marketing campaigns to raise awareness

of the benefits of using Responsible Care compa-nies as chemical suppliers and as service providersto the chemical industry;◆ assistance to smaller companies in implement-ing Responsible Care; ◆ additional support to companies in implement-ing Responsible Care;◆ training of chemical users.

Experience with implementting ResponsibleCare in South Africa has shown that performancein areas like worker safety (measured in terms ofincident reports) has improved, as has the fre-quency of transport incidents.

By 2004 all Responsible Care signatory com-panies had established formal mechanisms toengage with communities near chemical plants.

The way forwardThe three priority areas for sound management ofchemicals discussed in this article reveal the com-plexity of the challenge that faces countries indeveloping sound strategies for chemicals man-agement in ways that exploit the benefits of chem-icals while ensuring that they are managedthroughout their life cycle with minimum adverseeffects.

The South African chemical industry is at-tempting to meet the challenges of moving to-wards a more integrated approach to chemicalmanagement by addressing the three areasdescribed.

Responsible Care is being used as the platformfor developing a more integrated approach byincorporating all elements of chemical manage-ment along the value chain into implementationof the initiative and independently verifying com-panies’ performance.

Implementation of the GHS will be a departurepoint for better interaction with consumer groupsin regard to disseminating more comprehensibleinformation on chemical hazards.

The national strategy being developed for thechemical sector will support the integration ofchemical management elements with economicand social objectives.

The need to integrate capacity building effortsin the national skills development strategy is rec-ognized. The chemical industry is working withother stakeholders to ensure an integrated ap-proach. Another important need is for interna-tional capacity building efforts to be aligned withnational strategies for skills development.

Development of a Strategic Approach to Inter-national Chemicals Management (SAICM) pro-vides a unique opportunity for national, regionaland international agencies involved in the man-agement of chemicals to consider ways in whichmuch needed streamlining can become a reality.

The catalytic role this initiative can play in pro-moting a more integrated approach at nationallevel is being explored. In addition, South Africahas recently been admitted to membership of theOECD’s Good Laboratory Practice (GLP) initia-tive, leading to Mutual Acceptance of Data, whichpresents a further opportunity for better integra-tion at national level.20

If the ideal of an integrated approach to chem-

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ical management is to be achieved, all countriesshould exploit the opportunity presented by theSAICM initiative to ensure that chemical man-agement is integrated into the economic impera-tives of the developing world. A successfuloutcome to SAICM will be a strategic approachthat recognizes the gains already made in this areaand builds on them to address the gaps.

Notes1. www.chem.unep.ch/saicm/prepcom1.2. The Chemical Weapons Convention (CWC) isan international treaty that bans the use of chemi-cal weapons and aims to eliminate chemicalweapons, everywhere in the world, forever(www.opcw.org/index.html).

3. www.incb.org/e/conv/1988/cover.htm.4. www.unep.org/ozone/Treaties_and_Ratifica-tion/2B_montreal%20protocol.asp.5. www.pops.int.6. www.pic.int.7. www.who.int/ifcs/Documents/ Forum/Foru-mIII/f3-finrepdoc/Bahia.pdf.8. www.ilo.org/public/english/protection/safe-work/papers/unorgact/ch1.htm.9. www.unece.org/trans/danger/publi/ghs/hist-back.html.10. www.wcoomd.org/ie/index.html.11. www.uneptie.org/pc/cp/ncpc/home.htm.12. unece.org/trans/danger/publi/ghs/official-text.html.13. www.unitar.org.

14. www.icca-chem.org.15. www.uneptie.org/pc/apell.16. See, for example, www.msdssearch.com.17. www.mbendi.co.za/caia.18.See, for example, www.icca-chem.org/rcreport.19. www.icca-at-wssd.org/On_the_road.20. The primary objective of the OECD Princi-ples of Good Laboratory Practice (GLP) is toensure the generation of high quality and reliabletest data related to the safety of industrial chemicalsubstances and preparations, in the framework ofharmonizing testing procedures for the MutualAcceptance of Data (MAD) (www.oecd.org/department/0,2688,en_2649_34381_1_1_1_1_1,00.html).

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In 1974 two American scientists, Mario Molinaand F. Sherwood Rowland, published an article inthe scientific journal Nature in which they hypoth-

esized that chlorofluorcarbons (CFCs) survive longenough in the atmosphere to reach the stratosphericozone layer (which limits the amount of ultravioletradiation reaching the earth’s surface). There, accord-ing to the authors, the CFCs are decomposed byultraviolet radiation. This liberates chlorine, whichis implicated in the thinning of the ozone layer.

Production of CFCs in the mid 1970s was soar-ing. The article by Molina and Rowland created astorm among scientists and the producers of thesechemicals.1

In the mid 1980s the British Antarctic Surveyconfirmed that severe depletion of the ozone layerwas occurring (the phenomenon which becameknown as the “ozone hole”). The link betweenCFCs and the Antarctic ozone hole was soonestablished using satellite measurements.2

Until then, it was generally considered that onlytoxic and hazardous chemicals needed to be man-aged. The rude surprise was that using non-toxic,apparently harmless chemicals like CFCs couldindirectly cause catastrophes.

International efforts to respond to these discov-

eries were initiated by UNEP in 1977 through theWorld Action Plan on the Ozone Layer. In 1987the Montreal Protocol on Substances that Depletethe Ozone Layer was signed.3 The Montreal Pro-tocol’s overall objective is to protect the ozone layerby limiting the use of ozone depleting substances(ODS) including, but not limited to, CFCs.

Several regional and global treaties whose pur-pose was to manage toxic or hazardous chemicalspredate the Montreal Protocol (Table 1). All ofthese treaties were aimed at preventing and man-aging the direct risks of such chemicals.

The Montreal Protocol has become a flagshipglobal treaty. It is now accepted that all man-madechemicals, toxic and hazardous or otherwise,require strategic management.

Key elements of the Montreal ProtocolA science-based precautionary approachSuccessful implementation of the Montreal Proto-colhas established a trend towards policy-makingbased on global scientific, environmental and tech-nological assessments. In 1987 the Protocol did notcall for the complete elimination of production andconsumption of CFCs and halons.4 Based on sub-sequent global assessments, however, the Parties to

the Convention have agreed to the phase-out ofthese substances, along with tightened control mea-sures and accelerated phase-out schedules.

Since 1989 a network of experts from nearly 40countries has worked together on UNEP’s Scien-tific Assessment Panel,5 Environmental Assess-ment Panel6 and Technology and EconomicAssessment Panel.7 They regularly produce re-ports and interpret (on a consensus basis) theirobservations and findings.

Progressive listing of chemicalsThe Parties to the Convention have agreed to elim-inate the production and consumption of ozonedepleting chemicals. A short initial list has expand-ed to include 96 chemicals and their 576 isomers.About 16 of these chemicals are widely used.

Slowly but steadily: eliminating productionand consumptionThe Parties might have agreed to eliminate pro-duction only. However, a number of countriesimported these chemicals from producing coun-tries for uses such as air conditioning and refrig-eration, electronics manufacturing, fire-fightingand agricultural production (Table 2). It was ofcritical importance that sectors in which ODSwere consumed underwent a smooth transitionthrough the adoption of alternate technologies.

During negotiations on the Protocol, the Par-ties have demonstrated their commitment tomove forward – but always with prudence. Poli-cy-makers have shown foresight in decisions basedon scientific assessments and observations pro-vided by the Scientific Assessment Panel. Anoth-er consideration has been the rate of introductionof alternative technologies and alternative chemi-cals, provided by the Technology and EconomicAssessment Panel. The conclusions of the Envi-ronmental Effects Panel concerning projectedimpacts of ozone layer depletion have also beentaken into account.

Participation by developing countries:common but differentiated responsibilitiesThe Montreal Protocol was the first internationalagreement to recognize the common but differ-entiated responsibilities of industrialized anddeveloping countries with respect to global envi-ronmental problems. In 1985 industrializedcountries accounted for 85% of world consump-tion of ODS. These countries took the lead inphasing out ODS. They also approved a graceperiod for developing countries implementingcontrol measures. In addition, they agreed to con-tribute to a Multilateral Fund to meet the extracosts that would be borne by developing countriesin phasing out ODS.

The Montreal Protocol: lessons for successfulinternational chemicals management

SummaryThe Montreal Protocol on Substances that Deplete the Ozone Layer was designed to phaseout the production and consumption of a number of CFCs and several halons. Adopted in1987, the Protocol came into force in 1989. It has been amended to introduce other types ofcontrol measures and to add new controlled substances. The Protocol is an example of policy-making based on scientific, environmental and technological global assessments. Its success-ful implementation can provide lessons for policy- and decision-makers in governments andindustry, as well as for international organizations implementing other international agree-ments concerning chemicals.

RésuméLe Protocole de Montréal sur les substances qui appauvrissent la couche d’ozone avait pourobjet de mettre progressivement fin à la production et à la consommation d’un certain nom-bre de CFC et de plusieurs halons. Adopté en 1987, il est entré en vigueur en 1989. Il a étéamendé pour inclure d’autres types de mesures de réglementation et ajouter de nouvelles sub-stances réglementées. Il constitue un exemple d’élaboration de politiques fondée sur des éval-uations scientifiques, environnementales et technologiques mondiales. Le succès de sa miseen œuvre peut servir de leçon aux responsables politiques et aux décideurs des gouvernementset de l’industrie, ainsi qu’aux organisations internationales qui mettent en œuvre d’autresaccords internationaux sur les produits chimiques.

ResumenEl Protocolo de Montreal sobre Sustancias que Agotan la Capa de Ozono fue diseñado paraeliminar la producción y el consume de diversos CFC y halones. El Protocolo fue adoptado en1987 y entró en vigor en 1989, y ha sido modificado a fin de incluir otros tipos de medidas decontrol y sustancias controladas. Constituye un ejemplo de formulación de políticas con baseen evaluaciones científicas, ambientales y tecnológicas a nivel mundial. La exitosa ejecución delProtocolo puede servir como modelo para los responsables de la formulación de políticas y dela toma de decisiones dentro del sector gubernamental e industrial, así como para los organ-ismos internacionales responsables de la ejecución de otros convenios internacionales sobresustancias químicas.

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The Parties recognized that dissemination ofalternative technologies would be the key to theProtocol’s successful implementation. There-fore, they provided for the transfer of such tech-nologies to developing countries and thestrengthening of these countries’ capacities toadopt them.

The Financial Mechanism was agreed in1990. The Multilateral Fund (part of theFinancial Mechanism) was created in 1991. Itis managed by an Executive Committee of 14Parties, seven each from industrialized anddeveloping countries, appointed annually bythe Meetings of the Parties. The Fund Secre-tariat in Montreal assists the Executive Com-mittee. The implementing agencies for theFund’s programmes in developing countries areUNEP, the United Nations Development Pro-gramme (UNDP), the United Nations Indus-trial Development Organization (UNIDO)and the World Bank.8

What has been achieved so far: globalparticipationThe Montreal Protocol’s first and most signifi-cant achievement has been the level of globalparticipation (Figure 1). There are now 187Parties to the Convention, representing nearlyall of humanity.9

Progress in phasing out ODSIndustry has provided alternative substancesand technologies for almost all ODS uses. Tomeet the provisions of the Protocol, industrializedcountries have phased out consumption of a mil-lion tonnes of CFCs since 1986 (Figure 2). Theynow consume about 11,000 tonnes for essentialuses approved by the Meetings of the Parties. Mostof these uses are in medical aerosols for which alter-natives are not yet unavailable.

The abundance of CFCs and other ODS in theatmosphere has been measured regularly sinceabout 1978. Annual growth in abundance hasincreased over much of this period, but data showthat in recent years increases are slowing for manyODS and that the abundance of some ODS isactually decreasing. These mea-surements clearly indicate theProtocol’s success.

Progress in developingcountriesThe Multilateral Fund hasfinanced nearly 5000 projectsin 134 developing countriesover the past 13 years, at a costof approximately US$ 1.7 bil-lion. Projects include a widerange of technology transferactivities involving investmentprojects that focus on refriger-ation, aerosols, fire extinguish-ing, metal cleaning, foams andother uses. Projects approvedthrough 2002 have resulted inthe elimination of over180,000 tonnes of ODS in

developing countries (Figure 3). The Multilateral Fund is one of the best-sub-

scribed funds within the United Nations. Morethan 85% of contributions are made on time.Countries in arrears are mainly from the formerSoviet Union. Developed countries have pledgedUS$ 474 million for the 2003-2005 triennium.

Assistance has been approved for the phase-outof CFCs production in India, and of CFCs andhalons production in China.

Emerging issuesAlthough the Montreal Protocol can be seen to

serve as a pilot for other international conven-tions, full-scale success has not yet beenachieved. Several emerging issues still need tobe addressed: ◆ Developing countries are now the greatestODS producers and consumers. Their commit-ment and participation are essential; ◆ Illegal trade in CFCs is proliferating inEurope and the United States;◆ There are still loopholes and omissions in theProtocol concerning: • methyl bromide quarantine and pre-shipmentexemption; • lack of control measures regarding the phase-out of production of hydrochlorofluorocarbons(HCFCs); • slow progress on alternatives to metered doseinhalers (MDIs); • lax interpretation of controls on processagents; • lack of a mechanism to implement the rec-ommendations of the HFC/PFC task force ofTEAP;10

◆ Linkages between international conventions(e.g. the Montreal and Kyoto Protocols) arereappearing as a key focal element. Today link-ages may seem to be an academic issue, andimpacts such as those of HFCs and PFCs mayappear insignificant. Yet these linkages mayprove important to ultimate success.11

Lessons for strategic management ofchemicals

There are a number of signs that the MontrealProtocol is achieving its objectives. Ratification isnow nearly universal. More than a million tonnesof CFCs per year and another million tonnes ofcarbon tetrachloride (CTC) and methyl chloro-form have been phased out by industrializedcountries. Developing countries are half-waythrough phasing out these substances, well on tar-get according to the terms of the Protocol.

Chlorine loading in the stratosphere – the causeof ozone layer depletion – is slowing. Scientistspredict that the ozone layer could fully recover bythe middle of this century if other factors such as

climate change do not affect thisrecovery. Cooperation betweenindustrialized and developingcountries has been extremelyeffective. Industrialized coun-tries have been assisting devel-oping ones without interruptionduring the past 12 years. Morethan 100 different technologiesusing ozone-friendly chemicalshave been transferred to devel-oping countries. Financial assis-tance to these countries has beenover US$ 1.7 billion.

Nevertheless, the Protocol’ssuccess has not been withoutfrustrations, disappointmentsand dilemmas. A number ofchallenges continue to posequestions to which there are noeasy answers.

Table 1Some regional and global agreements

concerned with chemical management beforethe Montreal Protocol

◆ Convention 13 of ILO: Use of White Lead in Painting (1921)

◆ European Agreement concerning the International Carriage ofDangerous Goods by Road (1957)

◆ Convention 136 ILO: Protection against Benzene (1971)

◆ Convention for the Prevention of Pollution from Ships (1973)

◆ Convention 139 of ILO: Prevention and Control of OccupationalHazards by Carcinogenic Substances (1976)

◆ Barcelona Convention for the Protection of the MarineEnvironment and the Coastal Region of the Mediterranean (1976)

◆ Kuwait Regional Convention on the Protection of the MarineEnvironment from Pollution (1978)

◆ Convention on Long-Range Transboundary Air Pollution (1979)and related Protocols

◆ Convention for Cooperation in the Protection and Developmentsof the Marine and Coastal Environment of West and Central Africa(1981)

◆ Lima Convention for the Protection of the Marine Environment andCoastal Area of the South-East Pacific (1981)

◆ Regional Convention for the Conservation of the Red Sea and Gulfof Aden (1982)

◆ Protocol on Long-term Financing of the Cooperative Programmesfor Monitoring and Evaluation of the Long-Range Transmission of AirPollutants in Europe (1984)

◆ Convention for Protection, Management and Development of theMarine and Coastal Environment of the Eastern Pacific Region (1985)

◆ Protocol on the Reduction of Sulphur Emissions or theirTransboundary Fluxes by at least 30% (1985)

◆ Noumea Convention for the Protection of the Natural Resourcesand Environment of the South Pacific Region (1986)

Table 2ODS uses

Fire ex- FoamProcess

Refrigeranttinguishing

Solventblowing

agent and Pesticide Aerosolfeedstock

CFC-11 ✔ ✔ ✔ ✔ ✔

CFC-12 ✔ ✔ ✔

CFC-113 ✔ ✔

CFC-114 ✔ ✔

CFC-115 ✔ ✔

HCFC-22 ✔ ✔

HCFC-123 ✔

HCFC-1416 ✔ ✔

HCFC-1426 ✔ ✔

Halon-1211 ✔ ✔

Halon-1301 ✔ ✔

Halon-2402 ✔

CTC ✔ ✔ ✔

Methyl chloroform ✔ ✔

Methyl bromide ✔ ✔

530904_04_75 8/09/04 15:39



Softening the strategy: dependence ontransitional chemicalsUnder the Protocol, production and consumptionof hydrofluorcarbons (HCFCs), which have alower ozone depletion potential (ODP) thanCFCs, has been permitted for a longer period thanin the case of CFCs. This has allowed more timefor the development and commercialization ofzero-ODP technologies. HCFC use continues togrow, particularly in developing countries. Whileconsumption of HCFCs has a marginal impact onozone layer recovery, its impact on climate changemay not be marginal in view of these chemicals’global warming potential. The final phase-out ofHCFCs is scheduled for 2040.

Ozone-friendly – yes, but climate-friendly?Hydrofluorcarbons (HFCs) have emerged as zero-ODP alternatives to CFCs. However, they possessvery high global warming potential. Use of thisfamily of chemicals solves one environmentalproblem, but presents another.

Protect the ozone layer – yes, but what will bethe impacts on agricultural production?2005 was the year for phase-out of methyl bro-mide in industrialized countries. This ODS is afumigant used to improve crop yield and for post-harvest protection and quarantine treatments.Because of the lower efficacy of methyl bromidealternatives, a large number of exemptions (“crit-ical-use exemptions”) have been granted to devel-oped countries. During negotiations, manyconsidered that such exemptions dilute govern-ments’ commitments under the Protocol. Manyalternatives to methyl bromide, even if they arezero-ODP, are more toxic than this chemical.

Strict environmental regimes encourageillegal trade of chemicalsThe more stringent the controls, the more activethe ODS smugglers are. A steep tax on ODS inthe United States resulted in higher market prices.This stimulated the introduction of relatively lessexpensive alternatives, but also provided incen-tives to smugglers and resulted in an increase inillegal ODS trade. Training of customs officialsand border police has helped to arrest this trend,but the challenge remains.12

The new generation of ozone depletingchemicalsAs the race to phase out ODS has continued, alter-native chemicals such as bromochloromethaneand n-propyl bromide (nPB) have emerged. Thesesubstances have been assessed as having ODP. Pol-icy-makers consider that “prior assessment” mayprevent the emergence of a new generation ofozone depleting chemicals.

Lessons from the Protocol’s implementationSince the purpose of the Montreal Protocol is toprotect the stratospheric ozone layer, it falls into the“atmosphere cluster” category. It also falls into the“chemical cluster” category since activities aimed atmeeting its objectives entail chemicals manage-ment. Policy- and decision-makers in governments

Figure 1Progressive ratification of the Montreal Protocol

Source: Ozone Secretariat web site at http://www.unep.org/ozone/index.asp

200

180

160

140

120

100

80

60

40

20

01988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004

num

ber o

f cou

ntrie

s

Figure 2World CFC consumption trend, 1986-200214

Source: Article 7 data reported by the Parties to the Ozone Secretariat (aggregated by OzonAction)

1200

1000

800

600

400

200

019891986 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002

CFC

con

sum

ptio

n (t

hous

ands

OD

P to

nnes

) Non-Article 5 countries

Article 5 countries

Total

Figure 3Phase-out of ODS consumption through Multilateral Fund projects,

by year of actual completion

Source: Inventory of projects funded by the Multilateral Fund for the implementation of the Montreal Protocol

OD

P to

nnes

140,000

120,000

100,000

80,000

60,000

40,000

20,000

0

1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002

530904_04_75 8/09/04 15:39



and industry, as well as international organizationsengaged in work related to implementing othermultilateral environmental agreements (MEAs) onchemicals, can draw relevant lessons from the Pro-tocol’s implementation. For example:

1. Each country needs its own strategy to man-age chemicals. Such strategies need to be devel-oped and implemented by a participatoryapproach at the national level.Using a participatory approach, UNEP’s Ozon-Action Programme13 has assisted 100 developingcountries to develop a strategy (“Country Pro-gramme”) for managing and eliminating ODS.The participatory approach results in countryownership, which contributes to efficient imple-mentation. Nearly all of these countries have beensuccessful in complying with the Protocol.

2. Integrated assessment of chemicals is neededto evaluate their overall impact and management.Ozone-friendly chemicals may not be climate-friendly. They may not be less toxic or less pollut-ing than other chemicals, nor do they necessarilypromote energy efficiency. Policy-makers there-fore need to be able to rely on integrated chemicalassessment.

3. To make informal decisions on alternativetechnologies and policies, a neutral and unbi-ased information clearinghouse is needed.The OzonAction Programme’s internationalinformation clearinghouse has disseminated thisand other types of peer-reviewed information,written in user-friendly language, in technical andpolicy handbooks, technology sourcebooks, train-ing manuals and fact sheets for the use of govern-ment and industries in developing countries.These activities have contributed to the efficienttransfer of technologies and environmentallyfriendly practices.

4. Project development and implementationalone may not fully address chemical manage-ment needs.Experience with the Montreal Protocol demon-strates that projects alone are not sufficient tomanage chemicals. To sustain their impact, pro-jects should be associated with the right policyinstruments. UNEP’s regionalized Compliance

Assistance Programme (CAP) provides essentialpolicy assistance to developing countries throughdirect contact with governments.

5. Regional delivery of assistance is key to thesuccess of chemical management.International Implementing Agencies need torationalize their assistance, and to provide assis-tance through national focal points under the Mul-tilateral Fund of the Montreal Protocol. UNEP hasregionalized its capacity building assistance.Through regional offices in Bangkok, Nairobi,Bahrain and Mexico City, 45 expert UNEP staffare in direct contact with more than 140 develop-ing countries. Regional and thematic meetingsfacilitated by UNEP in informal settings help withsharing of technical and policy information. Par-ticipation in such meetings by industrialized coun-tries makes possible north-south dialogues tosupplement south-south cooperation.

6. In awareness raising and the deployment ofalternative technologies, it is as important toengage with industry as with NGOs.NGOs provide a much-needed “torchlight” forpublic awareness, driving the market demand foralternative processes and products. Market signalstrigger the development of new technologies andservices by industry. UNEP’s OzonAction Pro-gramme has engaged NGOs in awareness-raisingactivities to prevent the use of HFCs, HCFCs andmethyl bromide. It has also worked with industryassociations to disseminate knowledge about alter-native technologies, including not-in-kind pro-cesses.

7. Integrated implementation of MEAs isessential for the strategic approach to chemicalmanagement.Implementation of the Montreal Protocol hasshown that a single-focus multilateral environ-mental agreement (MEA) may need to integrate itsactivities with those of other MEAs. Integratedimplementation at the national level of the BaselConvention, the Stockholm and Rotterdam Con-ventions and the Montreal Protocol will contributeto the Strategic Approach for International Chem-ical Management (SAICM). The Montreal Proto-col offers opportunities to make use of the expertise,institutions and good practices developed during

its implementation in addressing challenges relat-ed to the international chemical agenda.

For more information, contact: Rajendra M. Shende,Head, Energy and OzonAction Branch, UNEP DTIE,Tour Mirabeau, 39-43 quai André-Citroën, 75739Paris, France. Tel.: +33 1 44 37 14 50; Fax: +33 1 4437 14 74; E-mail: rajendra. shende@unep. fr.

Notes1. The authors’ calculations, widely contested atthe time, were correct in all essentials. They sharedthe 1995 Nobel prize for chemistry with PaulCrutzen of the Netherlands; each of these threescientists carried out pioneering work on ozoneformation and decomposition. 2. Data from satellite monitoring was at first auto-matically discarded by NASA’s computer as notbeing credible. We now know that the ozone layeris also being depleted over the Arctic.3. www.unep.org/ozone/Treaties_and_Ratifica-tion/2B_montreal%20protocol.asp.4. Halons have been widely used in fire extin-guishers. Very stable and unreactive, they are upto ten times more destructive of ozone than CFCs. 5. www.unep.org/ozone/faq-science.shtml.6. www.unep.org/ozone/faq-env.shtml.7. www.teap.org.8. www.unmfs.org.9. There are 191 UN Member States (www.un.org/Overview/unmember.html).10. In 1998 the Parties to the Convention request-ed the Protocol’s Technology and EconomicAssessment Panel (TEAP) to assess the implica-tions of the inclusion of hydrofluorcarbons(HFCs) and perfluorocarbons (PFCs) in the 1997Kyoto Protocol to the UN Framework Conven-tion on Climate Change. See The Implications tothe Montreal Protocol of the Inclusion of HFCs andPFCs in the Kyoto Procol (www.unep.org/ozone/HFC-PFC-Rep.1999/index.shtml). 11. See, for example, The Implications of the Inclu-sion of HFCs and PFCs in the Kyoto Procol, ch. 5and passim. 12. See the article on Green Customs, page 58.13. www.uneptie.org/ozonaction.14. Article 5 countries are eligible for assistanceunder the Financial Mechanism, which includesthe Multilateral Fund (www.uneptie.org/ozonac-tion/ compliance/protocol/article5.html. ◆

530904_04_75 8/09/04 15:39



More than 842 million people are chroni-cally hungry in the world today, with theprospect of another 2 billion to feed over

the next 30 years or so (FAO 2004). Agriculture,in both the South and the North, will have to pro-vide this food. Theoretically the food required canbe produced using conventional agricultural prac-tices over an expanded production area, althoughproblems of equitable distribution will remain.Conventional agriculture (here taken to meanagriculture using synthetic agrochemicals to max-imize production and economic benefit) producesits own set of problems, however, ranging fromuse of finite resources to detrimental healthimpacts and environmental pollution. In its mostextreme forms, conventional agriculture is notsustainable.

How can sufficient food be produced to feedthe world’s population without compromisingagriculture’s long-term sustainability? Over theyears a number of different approaches have beensuggested to mitigate the impacts of convention-

al agriculture while meeting production objec-tives. These approaches have achieved varyingdegrees of success. The aim of this article is toexplore the impact various technologies are likelyto have on agriculture in different parts of theworld, and whether they can contribute to thesolution or will result in a new set of problems.

Proposals for solving the world’s food produc-tion problems range from increasing the level ofman-made inputs (to produce more food from thesame area) to moving to a fully organic system(where the only inputs are naturally-occurring).Somewhere in the middle lies the “integratedapproach” to crop production and pest manage-ment, which covers technologies such as integrat-ed pest management (IPM), integrated farmingsystems (IFS) and integrated crop management(ICM). The first two technologies aim to reduceinputs and their subsequent impacts. They arebased on ecological principles that promote thehealth of crops and animals, and that make fulluse of natural and cultural control processes and

methods (e.g. host resistance and biological con-trol). Chemical pesticides are used only where andwhen the above measures fail to keep pests belowdamaging levels. Interventions are made in theleast damaging way and on the basis of sound eco-nomic returns. Integrated crop management doesnot necessarily have pesticide reduction as its keyobjective, but the aim is to minimize pesticide useand integrate cropping with farms’ wider envi-ronmental management.

IPM has been developed over the past 40 yearsor so. During that period a number of differentinterpretations have come about. The one above isperhaps true to the original spirit of the definition,but many others are equally valid. The term“IPM” has also been used to cover approaches thatare in fact little more than supervised pesticidecontrol. It is (rather confusingly) quite possible forIPM to mean different things to different people.

To postulate where agricultural production maybe going in the future, it is instructive to look atthe past. There is no doubt that the Green Revo-lution of the 1970s and 1980s dramaticallyincreased food production in a number of coun-tries through the use of new varieties and chemicalinputs. If pesticide use in the last ten years or so isexamined, it can be seen that there has been con-tinued growth in both North and South, althoughthere are indications that use is levelling off ordeclining in some regions (Figures 1 and 2). Itwould be nice to think that a levelling off orreduction in use was coming about through a shiftto lower inputs in general, but the variation isprobably also due to changes in the prices of cropsand of the inputs themselves.

Paradoxically, over the period in which pesti-cide inputs have increased it has been observedthat, in all major crops, losses to pests haveincreased in relative terms. Obviously, this is notnecessarily due to the use of the pesticides them-selves, but rather perhaps to mono-cropping, tofewer or no rotations, or to planting of crops thatcouldn’t be grown previously because of pest anddisease pressure. The other dimension is that whatis now considered damage may have been regard-ed as only a blemish before; indeed, somethinglike 95% of pesticides are used to prevent the last5% of damage. As a consequence of these changesin cropping practices, production has nowbecome “locked in” to the use of these chemicalsin some cases.

Policy instrumentsThe negative impact of pesticides has been well-

SummaryHow can enough food be produced without compromising agriculture’s long-term sustainabil-ity? Numerous ways to mitigate the impacts of conventional agriculture (which makes use ofchemical pesticides and fertilizers) while meeting production objectives have been proposed.Good results have been achieved with technologies like integrated pest management (IPM),which aims to minimize the use of pesticides, and with changes in their use associated with theintroduction of genetically modified crops. This article examines the impact that various tech-nologies are likely to have on agriculture in different parts of the world. It also looks at whetherthese technologies can contribute to the solution or will result in a new set of problems.

RésuméComment produire suffisamment de denrées alimentaires sans compromettre la viabilité à longterme de l’agriculture ? De nombreux moyens ont été proposés pour atténuer les effets de l’agri-culture classique (consommatrice de pesticides et d’engrais chimiques) tout en atteignant lesobjectifs de production. De bons résultats ont été obtenus avec des technologies comme la lutteintégrée contre les ennemis des cultures (IPM) qui vise à réduire la consommation de pesticides,ou avec de nouvelles méthodes d’utilisation des pesticides conjuguées à l’introduction de culturesgénétiquement modifiées. L’article étudie les effets que diverses technologies pourraient avoir surl’agriculture dans différentes parties du monde. Il se pose également la question de savoir si cestechnologies aideront à se rapprocher d’une solution ou créeront de nouveaux problèmes.

Resumen¿Cómo producir alimentos en cantidades suficientes sin comprometer la sostenibilidad de laagricultura en el largo plazo? Se han propuesto diversas opciones para mitigar los impactos dela agricultura convencional (en la que se emplean pesticidas y fertilizantes químicos) al tiempoque se cumplen las metas de producción. Se han obtenido resultados positivos gracias a tec-nologías como el manejo integral de plagas (IMP), cuyo objetivo es reducir al mínimo el uso depesticidas, y gracias a los cambios realizados en su aplicación durante la introducción de cultivosgenéticamente modificados. Este artículo analiza el impacto potencial de diversas tecnologíasen la agricultura alrededor del mundo. Además, estudia la posibilidad de que dichas tecnologíascontribuyan a solucionar el problema o causen dificultades hasta ahora desconocidas.

The future of pesticide use in world agriculture

J.D. Knight, Department of Environmental Science and Technology, Imperial College London, Silwood Park Campus, Ascot, Berkshire, SL5 7PY, UK

([email protected])

530904_04_75 8/09/04 15:39


documented in the last 30 years. It is clear thatexcessive or careless use (even careful use in somecases) can cause environmental pollution andresult in damage. A number of governmentsaround the world have tried, or are trying, toreduce the quantity of pesticide used through newregulations, taxation or voluntary controls. It isworth looking at a couple of schemes in operationin Denmark (see box) and Sweden to gauge theirsuccess and whether they could suggest a modelfor the future. In Sweden multiple approacheswere used to reduce pesticide use. First, a reviewof all products was made and many older productswere withdrawn from use on environmental orhealth grounds. It was found that many of thenewer pesticides could replace a lot of the olderones, as they were as effective but generally hadless impact on the environment. Taxes were usedfrom 1986 to influence the purchase of pesticides;the tax rate is currently 20 Swedish krona per kg ofproduct. A training programme accompanied reg-ulation, with all farm workers being trained and

demonstration farms being set up to show farmersthat reduced inputs could still be economical.Between 1986 and 1993, there was a 65% reduc-tion in pesticide use as measured by weight ofactive ingredient.

These two examples of efforts to encourageminimal pesticide use through regulation and thedevelopment of new technology (in terms of newvarieties, application technology and decision sup-port for that transition) could be considered torepresent a good approach to working towardstrue IPM.

In 1993 the United States government (throughits various agencies) called for a national commit-ment to implement IPM on 75% of the country’scrop area by the year 2000. In 2002 the Depart-ment of Agriculture (USDA) carried out a surveywhich revealed that IPM was used on 70% of croparea. It would appear that the goal was close tobeing achieved. However, according to estimatesby the Consumers Union, the true figure was actu-ally closer to 4-8% of the crop area. The difference

results from the interpretation of what IPM is – oris not. In much of the area included by the USDAthere is little more than supervised control, withpesticides being applied when monitoring indi-cates that they should be. Pesticide use is often theprimary or only tactic, and therefore the systemcannot truly be described as IPM since it is notintegrated with anything else. Indeed, since 1992pesticide use has increased by some 18,000 tonnes.

While it is true that supervised control is betterthan the alternative of calendar spraying, it is farfrom ideal. It is not surprising, perhaps, that IPMhas not pervaded the industry and become themajor tactic in the US and Europe; it is a veryknowledge-intensive operation, it can be expen-sive to implement with respect to manpower, andvast amounts of research are needed in order toprovide information to make it work. While it ispossible to do all of this, the alternative of stick-ing with simple chemical control is much moreattractive since it gives reliable results and is notterribly expensive for the individual grower.

Use of supervised control and IPM has broughtabout huge reductions in pesticide use in manyareas, but there is significant improvement to bemade in many others. There is also a need toreduce agriculture’s impact on the environmentand to make it sustainable. As an illustration ofsome of the gains that have been made, an IPMprogramme for Texas cotton resulted in pesticideapplications being reduced by 71% with a smallreduction in yield. The net profit of the IPM farmswas US$ 81.50 per acre, against a loss of US$ 105per acre in the case of conventional farming. Themajority of farmers in this programme used scout-ing to find the pests, alteration of the date onwhich the crop was sown and different sowingrates. They considered natural enemies in makingtheir decisions.

Elsewhere in the world the uptake of IPM fol-lows similar lines. If a very lenient definition ofIPM is used, the uptake in Europe approaches sim-ilar levels to those in the US, i.e. around 70% ofland area. A rather stricter definition reveals thatlarge areas are now farmed with reduced rates ofpesticides, but that rather fewer actually practiseintegration of all possible tools available. Thereduction in pesticide use is to be welcomed.However, there is still room for significantimprovement. For example, the Less IntensiveFarming and Environment project funded by theUK government shows that over a five-year rota-tion a low input regime produced yields some 10-15% less than conventional farming. But it didso with savings of 33-35% on inputs and a grossmargin that was the same or 2% greater than con-ventional. The prospects for pesticide-freeglasshouse (greenhouse) production in Europeare improving, and orchard crops are being man-aged with good IPM principles.

Use of IPM tactics and training has yieldedmany benefits to farmers in Southern countries.Farmer field schools in Asian countries such asIndonesia, the Philippines and Viet Nam haveresulted in marked reductions in pesticide use onrice crops. In Indonesia a million farmers havereduced their sprays from three to one per sea-

Figure 2Real growth in the European crop protection market

Source: European Crop Protection Association

2001 -6.9%

2000 -5.7%

1999 -2.1%

1998 3%

1997 3.5%

1996 7.6%

1995 11.2%

1994 4.2%

1993 -2.9%

1992-10.2%

1991 -1.3 %

19905.8%

Figure 1Regional crop protection markets

North America

10,000

9000

8000

7000

6000

5000

4000

3000

2000

1000

01990 1992 1994 1996 1998 2000 2002

Latin America

Rest of world

Europe

East Asia

Euro

s (m

illio

n)

Source: FAOStat database (http://apps.fao.org)


530904_04_75 8/09/04 15:39


son. In Viet Nam 2 million farmers have similarlyreduced their use of pesticides. In Sri Lanka55,000 farmers have reduced the number ofsprays from three to 0.5 per year. In each case theyield has been maintained and there are savingsdue to lower input costs. In some areas the pro-grammes have been so successful that it is report-ed that 25% of farmers in Indonesia, 20-33% inViet Nam’s Mekong Delta and 75% in parts of thePhilippines are growing rice without any pesti-cides at all. This provides the opportunity to com-bine fish farming with rice growing, providingadditional, valuable protein to farmers.

Organic productionThe market for organic food is growing rapidly inmany Northern countries and so is the area underthis form of production although in developedcountries the total area under organic farming isonly around 1% of crop area.Organic production generally hasvery much lower impacts on theenvironment than conventionalfarming, but yields also tend to belower when moving from high-input systems (typically of theorder of 30%). When convertingfrom low-input agriculture, asoccurs in many Southern coun-tries, there is either no drop in yieldor a slight increase. In both casesthe practice is generally more sus-tainable, in that there are signifi-cantly lower levels of pollution andsoil erosion. The current area ofregistered organic land is small, butin West Africa it is estimated thatover one-third of agricultural pro-duce is grown organically. It is also

estimated that about 60 million hectares is farmedorganically in South and East Africa. The demandfor organic produce is outstripping supply.Demand for this type of production will probablydetermine how the industry will develop.

In many developed countries the cost of transi-tion is very high and subsidies are needed toachieve it. Organic production still allows the useof natural pesticides to control pests and diseases.It could be argued that some of these pests and dis-eases would be rather more environmentally dam-aging than the conventional alternatives, so thatcare needs to be exercised in their use.

Agriculture can proceed along a number ofroutes to provide food and livelihoods to people ina sustainable way in the future. All of these routeswill be influenced by changes in technology thatwill have small or great effects on production. Anumber of changes are already being made, with

new technologies being used to reduce pesticideuse through precision farming, patch spraying andnew application methods. New chemicals (oftenbased on natural substances) that are more specif-ic and less environmentally damaging are comingon the market and reducing the impact of conven-tional pesticide use. New varieties with resistanceto pest and diseases are being bred and adopted bygrowers in many parts of the world. Research onhow best to use existing technologies is alsoadvancing and will lead to improvements in pro-duction levels. Although all these changes willimprove food production, the improvements willgenerally be small. Major improvements are onlyreally likely to come from major changes in tech-nology such as biotechnology.

Agricultural biotechnologyThe benefits of biotechnology are derived from its

potentially large contribution togains in productivity and quality.These may come from increasedyields, reduced use of pesticidesand/or fertilizers, reduced labourrequirements or better nutrition-al quality. Ultimately, higher pro-duction should lead to lowerprices and therefore better accessto food for the world’s poor. If therural poor can be raised abovecurrent poverty levels, there arepotentially real gains to be made.Increases in production do notcome without associated risksand uncertainties, and there arestill many questions left to answerabout genetically modified cropsand other genetically modifiedorganisms.

Danish Pesticide Action PlansThe first Danish Pesticide Action Plan wasdeveloped in 1986, with the objective of reduc-ing pesticide use by 50% before 1997 (measuredin both tonnes of active ingredient and frequen-cy of treatment). This plan did not include anyeffective proposal. It was largely opposed byfarmers. Consequently, treatment frequency wasreduced by only 8% although the switch to low-dose pesticides resulted in a 47% reduction inthe weight of active ingredient. The governmentalso reviewed all pesticide registration. As aresult, only 78 of 213 chemicals were approvedfor use. In 1996 the government introduced apesticide tax, which was set at 54% of the pricefor insecticides and 33% for herbicides andfungicides. Revenue from the tax is used forresearch into the effects of pesticides (25%) andreducing land taxes for the farmers.

In 1997 the Bichel Committee was set up toassess the impact of phasing out pesticides fromagriculture. Their report showed that the use ofpesticides could be reduced from a frequencytreatment index (the number of pesticide appli-cations made to the crop each year) of 2.45 to

between 1.4 and 1.7 within a five- to ten-yearperiod, without serious financial or socio-eco-nomic impacts on farmers. The Second PesticideAction Plan, announced in 2000, has the follow-ing goals:◆ treatment frequency index as low as possibleon treated acreage;◆ protection of certain areas, including a bufferzone along targeted watercourses and lakes ofover 100 m2;◆ an increase in the acreage of organic produc-tion;◆ revision of the pesticide approval scheme.

This would be accomplished by:◆ increasing advice to farmers on how to reducepesticide consumption; ◆ establishing demonstration farms and infor-mation groups; ◆ increasing the use of decision-support andwarning systems for diseases and pests; ◆ introducing targets for use of pesticides in dif-ferent crops as a control instrument at farm level;◆ using set-aside (i.e. taking land out of produc-tion) and increased and improved research pro-

grammes on pesticide pollution. The plan had a rapid effect, with the frequen-

cy index dropping below 2.0 by 2000. It revealedto some farmers that they were using too manyapplications. Interestingly, many farmers wereusing much lower levels than average and stillmaintaining profitability. Experiments haveshown that in winter wheat the highest profitswere achieved with a treatment frequency ofonly 1.2.

One reason cited for the success of the plan isthat farmers and pesticide organizations wereinvolved in its development.

Despite the 1998 increase in taxes, prices ofpesticides have increased by only 4% since 1997.The prices of insecticide, which was subject tothe greatest tax increase, have even fallen by 6%.The taxes have failed to impact greatly on theprice of pesticides, but due to the drop in cropprices the relative prices of pesticides haveincreased by 50-60% compared to that of corn.Thus a change in market conditions has probablyhad a greater impact on pesticide use than taxa-tion itself.

Figure 3Global area of transgenic crops

80

70

60

50

40

30

20

10

0

1996 1997 1998 1999 2000 2001 2002 2003

mill

ion

ha

Year


530904_04_75 8/09/04 15:39



The current range of genetically modified cropshas been developed in Northern countries for theagricultural systems operating there. The mainthrust has been to produce crops that are herbi-cide-tolerant (allowing simplified weed control) orthat contain insecticides to confer protectionagainst a range of pests, or both of these traits. Thisfits with current practices and has producedencouraging results in many countries. The tech-nology itself is being adopted very rapidly, with theglobal area growing from 1.7 million hectares in1996 to 67.7 million hectares in 2003 (Figure 3).

The benefits from biotechnology could be enor-mous. It has the capacity to speed up breeding pro-grammes, create crops that are resistant to pestsand disease, improve the nutritional value of crops,and provide crops that can survive and thrive inhostile environments. Delivering these benefits

relies on the technology being presented to endusers in an appropriate form, at an acceptable priceand with the knowledge and skills required to uti-lize the technology. These are not dissimilar torequirements for conventional crop management.Therefore, many of the problems with imple-menting existing technologies may well apply tobiotechnology. It may be that genetically modifiedcrops are easier to distribute, as the seeds will con-tain the trait and there will be no need to applyadditional components as there was in the firstGreen Revolution. However, this requires a reliabledistribution network, which is often lacking in thecountries that most need to improve production.

If the potential benefits are examined, it can beseen that they are potentially wide-ranging. Thefollowing examples show how GM technologycan be applied to specific agricultural problems.

Pest resistanceSpecific resistance to a particular pest is obviouslybeneficial to farmers. They will either be able togrow the crop where they couldn’t before, or beable to reduce the amount of pesticide that theyuse to control it. Crops containing insect resis-tance genes from Bacillus thuringiensis confer pro-tection to a range of lepidopterous pests. This hassignificantly reduced the quantity of insecticideused in cotton crops in the United States, where1million kilograms less insecticide was used in1999 compared with 1998. Reports indicate thatthe introduction of Bt cotton into China hasreduced the number of sprays from 20 to sevenper season in many parts of the country. Howev-er, there are reports that some farmers still sprayup to 22 times even if the modified crop is beinggrown. Whether this technology can be trans-

Mexico’s success in eliminating chlordane within a regional cooperation frameworkMario Yarto, Director of Research on Chemical Substances and Ecotoxicological Risks, National Institute of Ecology-SEMARNAT,

Periferico 5000, 4th floor, Col. Insurgentes Cuicuilco, Mexico City 04530, Mexico ([email protected])

A well-known group of chemicals are classified as persistent organic pollu-tants (POPs).1 Their properties include high toxicity, persistence in theenvironment, long-range transport in the atmosphere, and accumulation infatty tissue. Direct contact with POPs can result in acute effects; accidentswith POPs used as pesticides, for example, have killed agricultural workersor made them seriously ill.

Chlordane, a pesticide classified as a POP, was widely used in the past tocontrol insect pests in crops and forests. It also had domestic and industri-al applications, including termite control in wood and wood products. Ithas been designated a probable human carcinogen. High levels can damagethe nervous system or liver. Chlordane is also known to affect the endocrinesystem and digestive system. It can cause behavioural disorders in childrenexposed before birth or while nursing.

Exposure to chlordane may occur due to eating contaminated foods orexposure to contaminated soil. It has been shown to be toxic to non-targetspecies, including birds, fish, bees and earthworms.

Member countries of the Intergovernmental Forum on Chemical Safe-ty (IFCS) agreed that there was sufficient evidence to warrant internation-al action on POPs, including chlordane (IFCS/Forum-II/97). This was thebasis for a decision of the UNEP Governing Council in January 1997 to theeffect that a legally binding international instrument for the control ofPOPs should be developed.

Development of a Regional Action PlanChlordane was originally introduced into Mexico and many other coun-tries for extensive use in agriculture. In recent years, however, use of thispesticide has been limited to termite control in certain wood products.Chlordane use was one of the first targets of the Sound Management ofChemicals (SMOC) initiative of the North American Commission forEnvironmental Cooperation (CEC). In 1997 a North American RegionalAction Plan (NARAP) on chlordane was approved by the governments ofMexico, Canada and the United States, with the goal of phasing out regis-tered uses by 1998.

In developing a NARAP for chlordane, the Parties involved committedto ongoing cooperative activities and annual reporting on the progressmade. The reports were subsequently made public and forwarded to theCouncil of the Commission for Environmental Cooperation. The Partiesalso continued their commitment to the principle of prior informed con-sent (PIC): if an importing country does not consent to import a chemicalsubstance, the exporting country has the obligation to inform the export-ing industry of that decision and take appropriate legislative and adminis-trative measures to ensure that export does not occur.

The NARAP for chlordane was intended to be the basis of a coordinat-ed regional contribution to these international initiatives. A number of spe-cific regulatory and administrative actions were included:1. The United States encouraged industry to voluntarily phase out chlor-dane production; 2. Canada and the US worked closely with Mexico to provide available riskassessments concerning suitable alternatives to chlordane;3. Canada and the US continued to provide support for hazardous wastecollection programmes that included chlordane. Information on these pro-grammes was shared with Mexico, which administered its own hazardouswaste collection programme;4. All three countries reported publicly available data on chlordane use,production, import and export;5. Canada, Mexico and the US produced annual reports on progressachieved under the NARAP.

Implementation and benefitsAfter production ended in the United States, the next step was to find out howmuch chlordane was being used in Mexico and where. Canadian and US agen-cies came to Mexico in order to demonstrate the best and cheapest ways to testfor chlordane and monitor its use. They shared detailed information on theelimination of its use and on which regulations had been effective. The CECalso set up workshops to explain the dangers of chlordane and present alter-natives. For example, heating furniture above certain temperatures kills ter-mites just as effectively as spraying with a noxious chemical.

Mexico imported 212.8 tonnes of chlordane between 1992 and 1996, allfrom the US.

Use of chlordane in Mexico is currently illegal. This means that the use,commercialization, import and formulation of chlordane and of its activeingredient are prohibited by law. Its phase-out is now complete, as the onlycompany holding a chlordane active ingredient registration stoppedimporting it in 1997 and had no stocks by 1999. Apparently, no pesticidescontaining chlordane were imported at that time.

Another factor in the success of this programme is that it encouragedoptimism about similar low-cost efforts in the future. Apart from a fewgrants to Mexico for some studies, the bulk of the work consisted ofexchanging expertise and techniques, with information dissemination andcapacity-building actions.

What also made this easier was the fact that Mexico had begun to controlthe use of chlordane. By 1997 this was limited to urban use to control ter-mites, mainly in houses. However, completely ending chlordane’s use tookseveral more years and required mutual help across the continent.

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ferred easily to developing countries is not yet cer-tain. Resistance to pests in the US may not conferresistance to indigenous pests in developing coun-tries. The other dimension is that pests have beenshown to develop resistance to Bt crops if their useis not managed properly.

Improvements in yield and stresstoleranceMuch of the benefit of the first Green Revolutioncame about through the development of high-yielding dwarf varieties. The genes responsible fordwarfing have now been isolated and can beincorporated into other crops to achieve the sameincreased yields. In many regions of the worldthere are constraints on where crops can be grownsince these regions have highly alkaline, acidic orsaline soils. Genes conferring resistance have been

isolated from plants such as mangroves and arebeing inserted into crop varieties to enable themto be grown in saline soils. This has the potentialto reclaim large areas of land that have been madesaline by poor irrigation practices.

Improvements in nutritionGM technology not only has the ability to produceplants that address many production problems. Italso has the potential to improve nutritional qual-ity. One widely known example is the so-called“Golden Rice”, which has been engineered to pro-duce higher levels of beta-carotene as a precursorto vitamin A, which could help treat deficienciesin children living in the tropics.

There can be little doubt that GM technologyhas the potential to meet the world’s fooddemands, but a number of questions still remain

partially or totally unanswered. Many people areconcerned about the potential for the spread ofmodified genes into the environment, either cre-ating “super weeds” or polluting the genetic mate-rial of wild plants. Herbicide-tolerant plants cangenerally be controlled with conventional herbi-cides other than the one to which they are resistant.Whether the modified material will make its wayinto the native flora is less certain. The limitednumber of species that have been modified, andtheir relatively limited distribution, have not real-ly produced sufficient information to make a deci-sion. There is a need to monitor the situation verycarefully, especially where plants are being used intheir centre of origin and gene flow may be easier.Human safety is also of concern since genetic mod-ifications could lead to allergies or worse. Howev-er, over half a million hectares of GM crops have

The main elements of the integrated pest management (IPM) strategydeveloped as part of the regional cooperation plan were: 1. biological control (use of species of bacteria such as Bacillus thuringiensis;use of fungi, including Metarhizium anisopliae and Beauveria bassiana);2. physical barriers such as sand traps for underground termite control;3. baits such as food or substances used to attract, entice or lure termites to adesired location. The baiting technique involves the use of a “bait station”on which the termites aggregate and continue to feed once they have foundthe bait station.

The safer chemical alternatives identified were chlorpirifos (Dursban),deltamethrin, permethrin (Dragnet), cypermethrin, and fipronil (Termidor).

In developing and implementing this programme there were a few chal-lenges along the way, including:1. lack of a detailed inventory of quantities used at the start of the RegionalAction Plan;2. difficulty in finding the resources to gather monitoring and follow-up data;3. lack of enforcement instruments to measure success.

Mexico also took several steps with wider implications on its own initia-tive, showing that the government was becoming more environmentallyconscious. One of the first steps was to ban the import of chemicals thatwere prohibited in the producing country. Mexico thereby recognized theneed to stop companies from turning to export markets when their productswere deemed dangerous at home.

Studies were also carried out for the first time on chlordane use in Mexi-co and its effects on birds, fish and worms. Contamination in these animals,although they are lower down on the food chain, quickly makes its way tohumans.

The NARAP included a three-phase regulatory programme specific toMexico, which has resulted in the effective implementation of actions with-in the regional plan. This programme has also had positive benefits throughreducing exposure to chlordane. Among the actions taken have been:1. development of an integrated control strategy including a pesticide life-cycle analysis, identification of alternatives to chlordane and governmentsupport for research;2. encouragement of stakeholders to participate in the development of con-trol strategies and the identification of safer alternatives;3. a ban on imports of pesticides whose use is prohibited by the exportingcountry;4. limits on sales to authorized, trained personnel and restrictions regard-ing their use;5. making information on the NARAP’s scope and purpose available to thepublic;6. prohibition of the sale of technical and active ingredients for makingchlordane;7. environmental monitoring and risk assessment to establish a baseline.

ConclusionsThe North American Regional Action Plan on Chlordane can be consid-ered a successful tri-national cooperation exercise, designed to curtail releaseto the environment of a toxic, persistent and bioaccumulative substance atthe regional level. As a result of these NARAP activities, chlordane is nolonger registered for use or manufactured in Canada, Mexico or the UnitedStates. Mexico’s institutional capacities for monitoring and analyzing chem-icals in the environment have been strengthened in terms of informationsystems for toxic substances and actions to reduce the risks of toxic sub-stances. The design and implementation of a chlordane sampling and analy-sis plan for Mexico is included under the Regional Action Plan onMonitoring and Assessment, currently under development.

This experience has demonstrated the great benefits of regional coopera-tion when priority is given to the management and control of substances ofmutual concern that are persistent and toxic. The authorities are now con-fident enough to say publicly that Mexico has eliminated chlordane usecompletely. To ensure that chlordane levels continue to decrease over time,follow-up recommendations have been made to report on chlordane levelsand activities by means of continued monitoring and surveillance of illegaltrade.

Current field studies at selected sites in Mexico are being coordinated bythe National Institute of Ecology. These studies are geared towards mea-suring a number of POPs (including chlordane) as part of the follow-up rec-ommendations.

Furthermore, and in compliance with international initiatives such as theBasel and Stockholm Conventions, Mexico has had the opportunity to takeadvantage of this regional cooperation and share the experience and exper-tise gained.

ReferencesCommission for Environmental Cooperation (CEC) (1997) North Ameri-can Regional Action Plan on Chlordane. Montreal, Canada.

Moody, J. (2003) North America eliminates use of Chlordane, in: Trio Newsletter. Commission for Environmental Cooperation, Montreal,Canada.

United Nations Environment Programme (UNEP) (2002) Ridding theWorld of POPS: A guide to the Stockholm Convention on Persistent OrganicPollutants. Geneva, Switzerland (http://portalserver.unepchemicals.ch/Pub-lications/SCGuideRidWPOPs.pdf)

Yarto, M., A. Gavilan and J. Barrera (2003) El Convenio de Estocolmosobre Contaminantes Orgánicos Persistentes y sus implicaciones para Méx-ico, in: Gaceta Ecológica, Vol. 63. Mexico.

1. See www.chem.unep.ch/pops.

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been grown and consumed without any apparentill effect.

Among the key elements of the use of GM tech-nology are how it is developed and used and bywhom. It is essential that the poor in the develop-ing world have access to this technology if appro-priate. Currently a huge majority of the technologyis owned by a relatively few multinational compa-nies. The only way to use it is to pay for the seedor licence. Patent laws give complete control to thecompanies if they register a modified gene in aplant, irrespective of the fact that many of the traitsthat already exist were developed by others. His-torically, there has been an exchange of plant mate-rial for breeding programmes between countries.This has enabled the rapid development of newvarieties suited to particular countries. This willnot be the case with the modified crops as it cur-rently stands.

There has already been a case in Canada where afarmer was found to have a patented crop growingon his land and was prosecuted by the seed com-pany for infringing the patent rights, although heclaims he did not plant the modified seed on hisland. Thus a principal has been established thatsomebody who has suffered from “genetic pollu-tion” is liable for damages. The patent law, origi-nally developed for non-living things, does notdeal well with living ones and now appears to puta lot of power into the hands of the multinationals.

The futureThere are a number of approaches to meeting theneed for more food in the years ahead. More landcan be brought into production, certainly, butonly by clearing more natural habitat. Agriculturecan become more intensive with ever higherinputs, but this is clearly not sustainable in thelong term in terms of energy inputs or the prob-lems of pollution from excess fertilizer and pesti-

cides. There are real opportunities to reduce theimpact of agriculture by adopting integrated pestand crop management where increased under-standing of the ecology of crop production is usedto better manage pests and diseases through rota-tions, crop resistance, biological control and bet-ter managed pesticide use. Organic productionwill have a part to play in satisfying a small pro-portion of the developed world market, but alsoas a suitable production system for many subsis-tence farmers.

The use of GM technology appears to offer sig-nificant opportunities to increase productionwithout damaging the environment. It may actu-ally offer the possibility of reducing the impact offood production. Whether these benefits are real-ized will depend on how the technology is used.If developing countries are given access to GMtechnology at a sensible price (which could bezero) and the necessary skills and information canbe delivered to farmers so that they can exploit thetechnologies, then there is a real chance of beingable to meet the needs of the 842 million hungrypeople and the 2 billion extra ones in the next 30years.

ConclusionWhichever of these routes is followed (and thereare strong arguments for going down the inte-grated management route where pesticide use isreduced but yield is largely maintained), there is aclear need to be able to develop solutions that areappropriate to the circumstances of individualsand the situations in which they farm. Good argu-ments have been put forward pointing out thatsome manifestations of IPM are totally inappro-priate to developing country agriculture, havingbeen developed in the Northern countries (Morseand Buhler 1997). The same can perhaps beargued for GM technology. Use of agrochemicals

is already starting to decline in some countriesthrough policy changes, and possibly also theadoption of GM technology, while it continues toincrease in others. This pattern is likely to contin-ue for some time. However, the long-term aimmust be a reduction in the overall use of pesticidesto improve the sustainability of agriculture world-wide.

It would be nice to be able to do without anypesticides at all, but realistically there will be aneed for responsible, targeted use in the foresee-able future to obtain the level of productionrequired. The key to implementing these changesis to get information and knowledge to the farm-ers that will enable them to implement the differ-ent solutions that are already available and, at thesame time, to increase our understanding of thecomplex interactions that occur in all agro-ecosys-tems in order to develop new solutions.

References and bibliographyFood and Agriculture Organization (FAO) (2002)World Agriculture: Towards 2015/2030. Summaryreport. Rome.

Food and Agriculture Organization (FAO) (2004)The State of Food and Agriculture 2003-04. Rome.

Morse, S. and W. Buhler (1997) Integrated PestManagement: Ideals and Realities in DevelopingCountries. Lynne Rienner, Boulder and London.

The Future Role of Pesticides in US Agriculture(2000). National Academy Press, Washington,D.C.

Sorby, Kristina, Gerd Fleischer and Eija Pehu(2003) Integrated Pest Management in Develop-ment: Review of Trends and Implementation Strate-gies. Agriculture and Rural Development WorkingPaper 5. World Bank, Washington, D.C.

◆

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Pesticides are generally a good investment forfarmers. It was estimated by Carrasco-Tauber(1990) that farmers obtained US$3-6 in

crop damage reduction for every dollar spent onpesticides in the United States. Similar outcomesmust be the case worldwide, as every year agricul-tural producers purchase close to 2.5 milliontonnes of 55,000 different pesticides (Pimentel,et al. 1992). Most of the demand stems from thereal profitability of the technology. However, farmsupport policies contribute to an increase in thedemand for pesticides, in some cases to the extentthat their marginal benefits are less than the pri-vate cost of production.

With or without subsidies, from an environ-mental point of view we face a problem with pes-

ticides. Generalized use of herbicides, insecticidesand fungicides has increased risks and resulted indirect or indirect damage to human health,wildlife and ecosystems. The number of cases ofintoxication by pesticides reported to the Mexi-can Health Ministry has increased steadily overthe last decade. Water pollution, damage toecosystems or fisheries, and other types of envi-ronmental damage receive less attention or sys-tematic analysis, even if anecdotal evidencesuggests that this issue is not irrelevant.

Environmental costs are not paid by pesticideproducers or by users. This implies that some cur-rent use of pesticides is beyond the point at whichsociety as a whole actually benefits from their use.

Mexico is an active participant in the major

international agreements concerning pesticides. Ithas signed the Stockholm and Rotterdam Con-ventions, although it is still in the process of ratify-ing the Stockholm Convention. Full compliancewith the Conventions’ current requirements is notconsidered a problem. But we believe that currentagricultural policy in Mexico is an obstacle to anyphase-out policy for new pesticides to be listedunder the Stockholm Convention.

Mexican policy on pesticides has been to pro-hibit the most dangerous compounds,1 while onlyrequiring the provision of information for the rest.Despite prohibiting the 12 worst widely knownpesticides, Mexico is not as advanced as otherindustrialized countries: pesticides banned else-where (e.g. paraquat, endosulfan, lindane, methylbromide, parathion and malathion) are still autho-rized for use.

The problem with the authorization/prohibi-tion policy tool is that it is too blunt. It does notallow dealing with targets that involve gradualshifts or phase-outs for pesticides that are autho-rized but still of concern. Moreover, there is a seri-ous problem with policy coordination in Mexico.While agricultural policy seeks to increase produc-tion by providing subsidies for water, energy andagrochemicals, the Environmental and ResourceMinistry has to address the ensuing problems ofdepleted aquifers and pesticide pollution. The sit-uation with respect to pesticides is one of clearlydistorting support measures: there is an exemptionfrom the value added tax (which is 15% on allgoods except medicine and food) and a system ofmatching grants under which selected participantspay nearly 30% less than the market price.

The case for an environmental tax Decoupling environmentally harmful subsidiesand fiscal exemptions for pesticides requires sub-stituting direct support policies for them. Provid-ing grants in cash instead of reducing prices wouldallow economic signals of the cost (private andsocial) of pesticides to guide farmers’ decisions; atthe same time real incomes would not be reduced.

Even better, an environmental tax on pesticides(based on toxicity levels) would change the rela-tive prices of the most problematic pesticides.This would induce a change towards the moreenvironment-friendly products and practices, andtowards a more efficient application of the moreenvironmentally harmful options.

In the last two decades economic instruments

Summary An optimal pesticide tax would discriminate among the substances marketed according totheir toxicity levels. Adopting such a tax in Mexico is the most efficient way to prepare for com-pliance with the future extension of the list of pesticides subject to phase-outs and eliminationunder international agreements. This article examines the implications of three different envi-ronmental tax options: a general15% tax on all pesticides (compensating for their currentexemption from the value added tax); a differential tax of 15, 10, 5 or 0% based on toxicity lev-els; and a10% tax focused on the most toxic substances currently authorized. Tax revenuesshould be used to pay for restoring human and ecosystem health as well as to compensate forother types of damage as appropriate.

RésuméPour être optimale, toute taxe sur les pesticides doit faire une distinction entre les substancescommercialisées en fonction de leur degré de toxicité. L’adoption d’une taxe de ce type au Mex-ique est le moyen le plus efficace de préparer le pays à l’allongement futur de la liste des pesti-cides qui risquent d’être progressivement abandonnés et éliminés en vertu d’accordsinternationaux. L’article étudie les implications de trois options différentes d’écotaxe : une taxegénérale de 15 % sur tous les pesticides (compensant leur exemption actuelle de TVA) ; une taxedifferentielle de 15, 10, 5 ou 0 % en fonction du degré de toxicité ; et une taxe de 10 % quitoucherait les produits les plus toxiques actuellement autorisés. Les recettes fiscales corre-spondantes seraient utilisées pour améliorer l’état de santé de la population et des écosys-tèmes, ainsi que pour compenser tout autre type de préjudice si nécessaire.

ResumenEl impuesto ideal sobre pesticidas discriminaría las sustancias comercializadas en función desus niveles de toxicidad. La adopción de este impuesto en México representa la manera más efi-caz de preparar al país para cumplir con la próxima extensión de la lista de pesticidas sujetosa procesos de eliminación gradual y total en el marco de los acuerdos internacionales. Esteartículo analiza las implicaciones de tres impuestos ambientales distintos: un impuesto generalde 15% sobre todos los pesticidas (para corregir el hecho de que actualmente están exentos deIVA); un impuesto diferencial de 15, 10 ó 0% con base en su nivel de toxicidad; un impuesto de10% sobre las sustancias más tóxicas autorizadas. Los ingresos derivados de dichos impuestosdeberán destinarse al pago de los costos que implica la restauración de la salud humana y delecosistema, y a cubrir otros tipos de indemnizaciones.

Effects of an environmental tax on pesticides in Mexico

Carlos Muñoz Piña, Director General de Investigación en Política y Economía Ambiental, Instituto Nacional de Ecología, Periférico Sur, 5000,

México, DF, Mexico ([email protected])

Sara Avila Forcada, Directora de Análisis Estadístico, Econométrico y Modelos, Instituto Nacional de Ecología, Periférico Sur, 5000, México, DF, Mexico

([email protected])

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have been widely acknowledged to be auseful but under-utilized tool for achievingenvironmental goals. At the same time,environmental policy has been straining toprevent environmental damage instead ofrepairing it. The real connection betweenthese two ideas has not yet been made.Mexico relies heavily on command andcontrol policies. It is argued by environ-mentalists (supporting government offi-cials and industry lobbies) that thesepolicies provide greater certainty of envi-ronmental outcomes and are less expensivefor complying firms. Nevertheless, westrongly believe that the flexibility and effi-ciency of economic instruments in middle-income countries like Mexico should notbe underestimated. In the case of pesti-cides, this means acting in the grey areawhere the case for prohibiting substances isnot strong but doing nothing is not desir-able either.

Among Organisation for EconomicCooperation and Development (OECD)countries, Denmark, Sweden, France andNorway have successfully introduced a levyon pesticides where there is some degree ofdifferentiation according to toxicity. ArieOskam (1997) summarizes (using threebasic points) the main lessons from theinternational experience concerning howto design a successful levy on pesticides: 1. Levies should be set according to thehealth or environmental damage pesticidescause. The most hazardous substancesshould be subject to the highest tax rate. Ifpossible, taxes should be set with reference to theeconomic value of the marginal externality (social)cost. 2. The levy should have adequate means of col-lection and be fraud-proof. The main effect ofsubstitution will be lost if more toxic substancesare taxed less. 3. Reimbursing revenues from the levy to farmersin a neutral way increases the measure’s politicalacceptability, but this must be done using a mech-anism with low transaction costs.

Scenarios for Mexico If environmental taxes are to be differentiatedaccording to potential damage, we need an objec-tive and robust way to classify pesticides accord-ing to their toxicity. For the creation of scenarioswe chose as our classification system the one usedby the World Health Organization (WHO). Thissystem looks mainly at human health. Althoughthe ranking would hold for most mammalianspecies, it is not necessarily correlated with otherindicators of interest such as aquifer pollution ordamage to birds, fish and beneficial insects.2 Theadvantage of this system is that it is widely knownand has a strong appeal to a broad constituency.Of course, the main disadvantage of using a singleindicator is that it considers only one dimensionof the problem at hand, whereas some pesticidesthat are relatively benign in one respect could berelatively hazardous in another.

The amount of the tax is another issue. Thereare as yet no studies that monetize the value ofenvironmental damage caused by pesticides inMexico. Total internalization of this cost throughthe tax cannot be achieved. Thus, we follow a sim-pler rule. Given that pesticides are exempt fromthe 15% VAT, we set the highest tax level at 15%and the lowest at 0%, allowing for the largest pos-sible variation. Table 1 summarizes the threeoptions analyzed. The first option is the equiva-lent of eliminating the VAT exemption. The main

drawback of this option is that it does notdiscriminate among substances that areless or more harmful. Although it stronglyreduces pesticide use, there is very littlechange in the shares of the types of pesti-cides used. The second option is a gradualreduction of the tax, leaving only the bestpesticides (from an environmental pointof view) exempt. With the third option,the worst pesticides are taxed at 10%, leav-ing the rest exempt.

The tax would be applicable to all manu-facturers or importers of the basic pesticides.If mixes were prepared (to be placed on themarket as different products), the environ-mental tax would not be applied twice.

Costs to producers andconsumers Introducing an environmental tax on pes-ticides in Mexico would increase the coststo agricultural producers. Depending onelasticity of supply and demand, produc-ers would pass on some of the increase toconsumers. This section considers one ofthe extremes (i.e. when all costs are passedon to consumers) and estimates priceincreases for each tax option. The next sec-tion will demonstrate how different elas-ticities of demand would actually changepatterns of pesticide use (one of the poli-cy’s stated objectives).

Table 2 shows production costs and netincome for key crops in Mexico, selectedbecause for their volume, such as corn(maize) and beans, or because of their

importance as exports (e.g. tomatoes). Expendi-ture on pesticides varies widely (also see Figure 1).

Table 3 provides an upper bound for the priceincreases that would follow imposition of theenvironmental tax, where all cost increases due tothe tax are passed on from growers to their buyers(also see Figure 2). As expected, the greatest priceincreases are for pesticide-intensive crops likepotatoes and tomatoes. With the option of a fullVAT on all pesticides, the price of potatoes wouldincrease by nearly 10%. However, the effect on

Figure 1Pesticide market according to main crops treated

(1992 data)

Source: Asociación Mexicana de la Industria de Plaguicidas y Fertilizantes, November 1993

citrus, 2.5%beans, 2.7%

cane, 2.7%tobacco, 3.1%

soy, 5.2%

potato6.2%

chile7.2%

cotton7.3%

melon7.9% other non-vegetables, 14.6%

othervegetables11%

tomato12.1%

corn15.4%

banana, 1.9%

Figure 2Maximum rise in final prices due to a rise in pesticide costs (elasticity =0)

15% general tax

15%, 10%, 5% differentiated tax

10% tax on the most harmful

10%

9%

8%

7%

6%

5%

4%

3%

2%

1%

0

pota

tore

d to

mat

om

ango

squa

sh

chile

onio

nca

bbag

elet

tuce

corn

-maiz

egr

een

tom

ato

bean

sco

riand

erca

rrot

alfalf

a

Crop

max

imum

ris

e in

fina

l pric

es

Table 1Types of pesticides and scenarios for

environmental taxes

WHO classification Share of sales Environmental tax (%)of pesticides in Mexico

2003 (%) Option 1 Option 2 Option 3

WHO Ia-Ib (highest toxicity) 17 15 15 10

WHO II (high toxicity) 44 15 10 0

WHO III (medium toxicity) 21 15 5 0

WHO IV (low toxicity) 18 15 0 0

Total 100Source: Survey on local sales of pesticides, Instituto Nacional de Ecología, 2003

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the prices of corn and beans, two of the basicfoods consumed by lower income groups in Mex-ico, is less than half a percentage point.

The market for pesticides in Mexico is charac-terized by perfect competition. There are 163 reg-istered firms. The nine largest accounted for 76%of total sales in 1999. The remainder are firms thatimport pesticides and combine them in differentformulae for retail sale. It is important to note thatthe strategic behaviour of the large core firmscould actually change these results.

The tax-changing patterns ofconsumption The previous discussion assumed that the taxwould just be passed on to the consumer, and thatagricultural producers’ decisions would not bemodified at all. But the purpose of the environ-mental tax is not only to make polluters pay fordamage caused, but also to induce changes inbehaviour by forcing producers and consumers toassume the real costs.

The key concepts for determining how behav-iour would be modified are the own-price elastic-ity and cross-price elasticity of demand. Theformer is the ratio of the percentage change in thequantity of a pesticide that consumers wish toacquire to the percentage change in the pesticide’sprice. Cross-price elasticity is similar, except thatthe change in price is that of competing pesticides.

The literature on demand for pesticides showsthat in general the demand is inelastic. A 1%increase in price brings about less than a 1%decrease in the quantity demanded. Table 4 sum-marizes some of the empirical findings. The high-est price elasticity recorded is -0.7 in the long termfor herbicides in the United Kingdom. Most stud-ies indicate a range of -0.2 to -0.5.

We have created three scenarios using elastici-ties that cover the ranges reported in the literature.The first has an elasticity of zero (no change), asin the case used to estimate the maximum priceincrease. The second has an elasticity of -0.7, nearthe high end of the spectrum of empiricalstudies. The third has an elasticity of -0.35,the middle point between the previous two.

Table 5 shows the revenues one wouldexpect to be collected under each elasticityscenario, with two tax options: tax ratesfalling with toxicity, only the most toxic ofthe authorized pesticides being taxed at10%.

Since the objective of an environmentaltax is not to increase revenues per se but tostimulate behavioural change, the taxes col-lected can be used to minimize the impacton producers’ profits. Likewise, the factthat those funds are due to the internaliza-tion of negative externalities with respect tothe health of neighbours and ecosystemswould support the argument that theymust be used to compensate for damage,pay for restoration or invest in other health-enhancing policies. The public policy sug-gestion would be to allocate these newresources so as to maximize political sup-port for this measure.

Cross-price elasticities The issue of cross-price elasticities is a difficultone. From the point of view of economic theory,the price of close substitutes (such as two types ofpesticides) would certainly influence the demandfor each of them. However, we could find noempirical study that actually estimated this. Thus,to create a realistic scenario we assume cross-priceelasticity between categories of pesticides is 1 (i.e.a 1% increase in the price of a pesticide wouldincrease demand for those in a different toxico-logical category by 1%.) The closer the substancesare in terms of their effect on pests, the higher thisnumber would actually be. In a sense, assumingan elasticity of 1 provides us with a lower boundfor the expected results.

The scenario under which we would observemore significant changes in the demand for pesti-cides is that of setting the environmental tax

according to toxicity (15-10-5-0%), where own-price elasticity is high (-0.7) and there is a cross-price elasticity of 1.0. Table 6 shows how themarket share would shift from the status quo tothis last scenario. It can be observed that it doesindeed create a gradual shift away from the moretoxic pesticides towards more environmentallyfriendly options. This is not as drastic a change aswould be induced by a prohibition, but it wouldbe a strong move to prepare producers for an even-tual ban, and probably a combination closer to thesocial optimum where all the external costs of pes-ticides are internalized.

ConclusionsThe most important conclusions to be drawn are:1. When policies are developed to reduce the useof harmful substances, standards set in interna-tional agreements have an important influence on

decision-makers in terms of the tools to beused and the criteria for applying them. 2. The most efficient way to comply withinternational agreements, and to eliminatefrom the market several substances whoseuse is dangerous, is to create economicincentives so that these substances gradual-ly disappear. If the price of the most harm-ful pesticides increases, the market willgradually shift to less damaging practices atthe minimum possible cost.3. The literature considers a low elasticityof pesticide demand. This means that it ismore likely that the chemical industry willnot lose revenues; instead, the farmer or thefinal consumer will absorb the impact of aprice increase. It also means that revenueswould be relatively high, as farming prac-tices will not change (at least in the shortterm). These revenues need to be used tocompensate for damages, pay for restora-tion or invest in other health-enhancingpolicies.4. When the most important agricultural

Table 2Average input cost and profits (selected crops)

Crop Production costs Costs of pesticides Net income Costs of Costs ofper hectare per hectare per hectare pesticides pesticides(US$ per year*) (US$ per year*) (US$ per year*) (% of total costs) (% of net income)

Green tomato 2266 52 6820 2.3 0.8

Potato 2535 995 4681 39.3 21.3

Chile 684 47 3808 6.8 1.2

Onion 1177 66 3268 5.6 2.0

Carrot 436 4 3110 0.8 0.1

Mango 3039 295 2932 9.7 10.1

Cabbage 653 35 2178 5.3 1.6

Lettuce 514 15 2062 2.9 0.7

Squash 1300 112 2024 8.6 5.5

Red tomato 3476 685 1604 19.7 42.7

Coriander 351 4 1194 1.0 0.3

Alfalfa 782 0 299 0.0 0.0

Beans 420 5 227 1.2 2.2

Corn (maize) 454 11 147 2.4 7.3

*All data provided are for the 2002-2003 season (spring-summer or perennial)Source: National Survey of Pesticide Use in Agriculture 2003, Instituto Nacional de Ecología

Table 3Maximum price increases for selected crops following

imposition of an environmental tax

Crop % increase in farm gate prices

Option 1: Option 2: Option 3:15% tax on all 15-10-5-0% 10% tax on group

pesticides with highest toxicity

Potato 9.7 7.8 6.5

Red tomato 3.7 3.2 2.5

Mango 1.6 1.6 1.1

Squash 1.4 1.2 1.0

Chile 1.1 0.4 0.4

Onion 0.9 0.8 0.6

Cabbage 0.8 0.7 0.5

Lettuce 0.5 0.4 0.2

Corn (maize) 0.4 0.2 0.2

Green tomato 0.2 0.2 0.2

Coriander 0.2 0.1 0.1

Beans 0.2 0.1 0.1

Carrot 0.1 0.0 0.0

Alfalfa 0.0 0.0 0.0

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crops marketed in Mexico are considered, themost radical scenario is a 15% VAT on all pesti-cides. In this case, the highest impact is a 9.7% risein the price of potatoes, followed by tomatoeswith a 3.7% rise in the worst case. This articleconsiders the case in which the agrochemicalindustry and the farmer pass the impact on to thefinal consumer by increasing the price of finalgoods.5. If a differential tax were imposed, the tax onpotatoes would increase by 7.8% while the priceof other crops would increase by less than half apercentage point. This scenario allows the farmerto shift to less harmful pesticides; the impact onfarmers’ revenues appears not to be significant.The third scenario considers a 10% tax on themost harmful pesticides. Tomatoes would be sub-ject to a 6.5% increase in the final price, potatoesto 2.5% and the rest of crops a 1.1% or lessincrease. 6. Although large quantities of pesticide are usedon crops such as corn (maize), the impact on indi-vidual farmers does not appear to be important.In the case of corn, the highest impact is a 0.4%rise in the final price. The other basic food con-sumed by lower-income groups in Mexico, beans,would be subject to less than half a percentage ifthere were a 15% tax on all pesticides. 7. The design of the instrument is meant to becomplemented by the introduction of additional

measures to enhance environmental effectiveness.These additional measures could include educa-tion, investment in alternative technologies,research and best practice management. 8. It is recommended that revenues be used tofinance the additional measures mentioned, andto achieve acceptability at the political and sociallevel.

Notes1. There are some exceptions in the prohibitions.For example, only the Health Ministry can useDDT and then only in the case of an outbreak ofmalaria.2. The report Design of a Tax or Charge Scheme forPesticides (see References) make a comparisonbetween various pesticide rankings according totoxicity to different elements of biodiversity. Itshows a positive, but not perfect correlation.

ReferencesCarrasco-Tauber, C. (1990) Pesticide production:a survey, in: D. Zilberman and J. Siebert (eds.),Economic Perspectives on Pesticide Use in Califor-nia: A Collection of Research Papers. Working PaperNo. 564. California Agricultural Experiment Sta-tion, Berkeley.

Department of the Environment, Transport andthe Regions, ECOTEC Research and Consulting

Ltd, University of Hertfordshire, the Central Sci-ence Laboratory, EFTEC and University of New-castle (1999) Design of a Tax or Charge Scheme forPesticides. London.

Falconer, K.E. (1997) Environmental policy andthe use of agricultural pesticides. PhD thesis, Uni-versity of Cambridge, UK.

Gren, I-M. (1994) Regulating the farmers’ use ofpesticides in Sweden, in : H. Opschoor and K.Turner, Economic incentives and environmentalpolicies: principles and practice. North Holland,Dordrecht.

Hoevenagel, R., E.Van Noort and R. de Kok(1999) Study on a European Union Wide Regula-tory Framework for Levies on Pesticides. Commis-sioned by the European Commission, DG XI.(See http://europa.eu.int/comm/environment/enveco/taxation/eimstudy.pdf.)

Oskam, A.J. (1997). The economics of pesticides:an overview of the issues, in: A.J. Oskam andT.A.M. Vijftigschild (eds.), Proceedings and dis-cussions of the workshop on pesticides, August1995, Wageningen, pp. 360-384.

Pimentel, D., H. Acquay, M. Biltonen, P. Rice, M.Silva, J. Nelson, V. Lipner, S. Giordano, A.Horowits and M. D’Amore (1992) Environmen-tal and economic costs of pesticide use. Bioscience42, 750-760. ◆

Table 6Estimated revenues generated by an

environmental tax on pesticides

WHO Share of sales in Mexicoclassification Status quo Tax option 1 (%)of pesticides 2003(%) 15-10-5-0%

WHO Ia-Ib 17 11(highest toxicity)

WHO II 44 30(high toxicity)

WHO III 21 28(medium toxicity)

WHO IV 18 30(low toxicity)

TOTAL 100 100

Table 4Estimates of own-price elasticities of pesticide demand

Study Country Estimated elasticity % change in Remarksdemand as re-sponse to 15% price increase

Oskam (1992) Netherlands -0.1 (mixed farms) 1.5-7.5 Medium-term-0.5 (specialized farms)

Oskam (1997) European Union -0.2 to -0.5 3-7.5 Review of several studies

DHV and LUW (1991) Netherlands -0.2 (arable farms) 3.5-4.5 Short-term-0.3 (horticulture)

Oude Lansink and Netherlands -0.5Peerlings (1995) -0.7 (with CAP reform) 7.5-10.5 1970-92

Russell (1995) UK -1.1 16.5 For cereal only; 1989-93

Falconer (1997) UK -0.3 4.5 Using linear programming model

ECOTEC (1997) UK -0.5 to -0.7 7.5-10.5 Herbicides; long-term; cereal crops

Dubgaard (1987) Denmark -0.3 4.5 Using threshold model

Dubgaard (1991) Denmark -0.7 to -0.8 10.5-12 Long-term; 1971-85

Rude (1992) Denmark -0.2 to -0.3 3-4.5 Only herbicides

Schulze (1983) Germany -0.5 7.5 Only fungicides

Johnsson (1991) Sweden -0.3 (insecticides) 4.5-6 Based on field experiments-0.4 (fungicides)

Gren (1994) Sweden -0.4 (fungicides) 6-13.5 Econometric model-0.5 (insecticides)-0.9 (herbicides)

SEPA (1997) Sweden -0.2 to -0.4 3-6 Review of studies

Rude Norway -0.2 to -0.3 3-4.5

Carpentier (1994) France -0.3 4.5 Arable farms

Papanagiotou (1995) Greece -0.28 4.2

Source: Hoevenagel, et al. (1999)

Table 5Estimated revenues generated by an

environmental tax on pesticides(US$ million)

Own price Tax option 1 Tax option 2elasticity 15-10-5-0% 10-0-0-0%

0 132.7 25.0

-0.35 127.9 23.7

-0.70 123.1 22.4

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The Africa Stockpiles Programme: cleaning up obsolete pesticides; contributing to a healthier future

Clifton Curtis, Director, and Cynthia Palmer Olsen, Senior Programme Officer, WWF’s Global Toxics Programme, WWF, 1250 24th Street NW, Washington, DC 20037, USA (mailto:[email protected])

An innovative, on-the-ground initiative is nearing operational launch inAfrica, following nearly four years of preparations. The Africa StockpilesProgramme (ASP) is a multi-stakeholder partnership involving Africancountries, international agencies, non-governmental organizations, the pri-vate sector through CropLife International (CLI), and regional bodies.ASP’s goal is ambitious: to clean up and dispose of existing pesticide stock-piles throughout Africa within the next ten to 15 years, and to help pre-vent future accumulations, at a total cost of US$ 250-300 million. Thanksto Global Environment Facility (GEF) foundational support of $25 mil-lion, and co-financing from donor governments, over $50 million has beenraised for the first phase of activities in 15 countries. Close to another $20million, however, is still required for phase 1 work and phase 2 planning.

What is the problem?Stockpiles of obsolete pesticides have been identified throughout theAfrican continent, many in rotting, rusting containers or bags that werestored or discarded up to 40 years ago. Some of the stockpiles containextremely toxic pesticides including persistent organic pollutants (POPs),which are banned internationally by the Stockholm POPs Convention. Asthese chemicals spill and leach from their containers, they threaten ruraland urban populations and contribute to land, air and water degradation.Contamination of soil, air and water affects some of the poorest, most ill-fated communities across the continent. Many governments are aware ofthe dangers but lack sufficient funding and technical capacity to addressthis ever-worsening problem.

Even in industrialized countries the regulation and management of pes-ticides is often inadequate. But in developing countries the lack of ade-quate resources for education, control and enforcement have translatedinto a far more precarious situation. In Africa alone, the buildup of obso-lete pesticides has reached over 50,000 tonnes and has contaminated tensof thousands of tonnes of soil.

What caused it?The factors behind this accumulation include:◆ poor import controls; ◆ inappropriate procurement and central purchasing policies; ◆ untimely distribution; ◆ inadequate stock management; ◆ aggressive sales practices;◆ pressure to stockpile for unforeseen emergencies;◆ lack of coordination between donor agencies;◆ receipt of products that are outdated or mislabelled (or labelled in thewrong language).

Despite the committed efforts of the Food and Agriculture Organization(FAO) and others over the last decade to address the pesticide stockpiles

problem, these obsolete chemicals continue to accumulate more quicklythan they are being removed. The clean-up of old pesticide stocks has rarelybeen perceived as a priority development issue, despite their health and envi-ronmental consequences and their disproportionate impact on the poor.

How does the ASP solve the problem? At the national level, the ASP will contribute to national development andcountry assistance strategies in the areas of public health improvement,poverty alleviation, environmental protection and the strengthening of theagricultural sector. At the global level, ASP will contribute to internation-al efforts to eliminate POPs, improve the management of toxic chemicalsand promote integrated pest management. Clean-up and disposal activitieswill be a direct implementation of the Stockholm POPs Convention andthe associated GEF operational programme aiming to reduce the impactsof POPs on the global food chain, transboundary waters, soil and biodi-versity. The ASP will also contribute to the objectives of other internationalagreements such as the Rotterdam, Basel, Biological Diversity and BamakoConventions, as well as the Montreal Protocol.1

How did the ASP come about?The idea of an Africa-wide stockpile clean-up project started to take shapeduring informal discussions at the final negotiating session of the Stock-holm POPs Convention in Johannesburg, South Africa, in December2000. The initial participants included WWF, the Pesticide Action Net-work (PAN)-UK, CropLife International (CLI), the World Bank, theFood and Agriculture Organization of the United Nations (FAO), UNEP,the Secretariat for the Basel Convention, and the UN Industrial Devel-opment Organization (UNIDO). Expanded participation in subsequentplanning has included the African Union, the Economic Commission forAfrica, the New Partnership for African Development (NEPAD), PAN-Africa, the UN Institute for Training and Research (UNITAR) and theWorld Health Organization (WHO).

How will the ASP be executed?The clean-up, disposal and prevention work will be done in conjunctionwith existing efforts related to the prevention and disposal of obsolete pes-ticides. Such an ambitious plan of action would only be possible with theactive engagement of multiple partner organizations. NEPAD, for exam-ple, has identified the ASP as one of its highest priority initiatives, unitingAfricans in finding common solutions to shared problems. At anotherlevel, CropLife International is participating as both donor and technicaladvisor, having committed several million dollars for disposal operations(in phase 1) and in in-kind contributions of technical assistance to coun-tries for inventory, safeguarding, transport and destruction aspects of theprogramme.

ASP implementation and institutional arrangements draw heavily oncooperation among the partners, theirPesticide barrels (PAN-UK) continued on page 38 ☞

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comparative advantages, and historical involvement in devel-oping the programme. Three entities will provide overallguidance for programme implementation: ◆ The ASP Conference, which will meet annually, is open toall ASP stakeholders. It will work by consensus in providingrecommendations on overall direction; ◆ The ASP Steering Committee, comprising a 10 to15-mem-ber subset of the partners, will more regularly review andguide ASP progress; ◆ Project Management Units will be the principal imple-menters of the individual country programmes, hosted bythe government agencies serving as the country-specificimplementing agencies and guided by the national steeringcommittees.

Institutionally, three global components have been creat-ed to provide coordination, oversight and technical support:◆ The Project Coordination Unit, initially hosted by theWorld Bank and later to be transferred to an African region-al development agency, will serve as the secretariat for theentire ASP. It will play a key role in organizing meetings,fundraising, monitoring and evaluation. This unit will alsohelp ensure that contributions from individual countries andglobal components are focused on country needs and are in line with besttechnical and fiduciary approaches, as agreed by the partners. ◆ The Technical Support Unit, hosted by FAO, will coordinate delivery oftechnical services to countries for preparation, design, implementation,supervision and monitoring of country level activities. These will include,for example, technical guidelines for clean-up operations, assistance inmanaging procurement and supervision of specialized contractors, healthand safety procedures, and assessment of laboratory capacities. FAO willplay a lead oversight role in the transport of wastes from Africa and theirdisposal in EU-regulated European incinerators. CLI will manage com-plementary activities, focused primarily on technical assistance for safe-guarding and disposal of wastes.◆ The Cross Cutting Activities Management Entity will tackle issues thatcross borders or that concern multiple countries, such as selecting appro-priate stockpile disposal or safeguarding technologies; hosting the onlineinformation management system; coordinating communications activi-ties in tandem with the World Bank; overseeing NGO/civil society aware-ness raising and capacity-building; and facilitating ASP relations withrelevant international agreements such as the Stockholm POPs Conven-tion.

Which countries will participate?All the African countries that have ratified the Stockholm Convention willbe eligible to take part in the ASP. Countries participating in the first phaseof clean-up and prevention activities are Ethiopia, Mali, Morocco, SouthAfrica, Tanzania and Tunisia. Nigeria will carry out prevention work andpreparations for disposal. Inventory estimates indicate that there are about10,000 tonnes of obsolete pesticides at more than 1400 sites in these coun-tries.

Further preparatory operations and prevention activities are slated tobegin in 2005-06 in additional countries to be selected based on their rat-ification of the Stockholm Convention, geographic distribution, pesticidestockpiles problems, commitment to ASP objectives and other factors.Preparations for clean-up work include a range of activities involving thetraining of personnel, detailed inventory of obsolete pesticide stocks, envi-ronmental risk assessment of pesticide storage sites, technical and financialplanning, and emergency safeguarding (repackaging and securing) of anypesticide stocks that pose especially high risk to health or environment.Candidate countries for this follow-on phase include Benin, Botswana,Cameroon, Côte d’Ivoire, Egypt, Ghana, Lesotho, Mozambique, Rwan-da and Senegal. Inventory estimates indicate that there are more than 4000tonnes of obsolete pesticides at hundreds of sites in these countries.

How will ASP ensure that this problem doesn’t reoccur?Prevention activities and clean-up and disposal activities are considered byASP partners to be of equal importance. To help prevent future accumu-lations of obsolete pesticides, ASP will engage in a range of activitiesincluding: ◆ strengthening pesticide management through improvement of pesticideregistration, licensing, enforcement of import controls, stock manage-ment, waste management and formulation of effective procurement strate-gies; ◆ promotion of alternatives to chemical pesticides through improvement ofpest control strategies, with particular attention to integrated pest man-agement in agriculture and integrated vector management for publichealth. Prevention activities will also include the awareness and trainingof pesticide distributors, users and others to encourage safe pesticide han-dling and alternative pest control.

Who is funding the ASP?The ASP has secured more than US$51 million to date to carry out clean-up and prevention operations in phase 1 countries. Twenty-five million dol-lars is coming from the new POPs focal area of the GEF. Additional fundingcomes from donor governments including Belgium, Canada, Denmark,Finland, France, Japan and Switzerland, as well as from the EuropeanUnion and the World Bank’s Development Grant Facility. CLI and otherpartners are also providing direct funding and/or in-kind contributions.

The Africa Stockpiles Programme brings together the skills, expertiseand resources of a diverse group of stakeholders, enabling national leader-ship to carry out country-led activities. This exciting, path-breaking ini-tiative offers real solutions to a difficult problem. By reducing andremoving longstanding toxic threats throughout Africa, the ASP promotesimproved public health, poverty reduction and environmental safety –critical elements of sustainable development.

1. Stockholm Convention on Persistent Organic Pollutants (2001); theRotterdam Convention on the Prior Informed Consent Procedures for Cer-tain Hazardous Chemicals and Pesticides in International Trade (1998);the Basel Convention on the Control of Transboundary Movements ofHazardous Wastes and Their Disposal (1989); the Bamako Convention onthe Ban of the Import into Africa and the Control of Transboundary Move-ment and Management of Wastes within Africa (1991); the Montreal Pro-tocol on Substances that Deplete the Ozone Layer (1987); the Conventionon Biological Diversity (1992).

Pesticide spraying of banana trees


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Mercury is found in air, water, soil andbiota (the flora and fauna of a region). Itexists in many forms in the environ-

ment. These forms have different properties thataffect distribution, uptake in the food chain (i.e.bioavailability) and toxicity.

Mercury is a naturally occurring element, per-sistent by definition. It is unique among metals,in that it is liquid at ambient temperature. Namedafter the Roman god of commerce, travel andthievery, it has been used for more than 3000years. Also known as “quicksilver”, it was knownto the ancient Chinese and Hindus before 2000BC. Mercury has been found in tubes in Egypt-ian tombs dating from about 1500 BC. It was first

mentioned by Aristotle in the fourth century BC,when the heavy, silvery-white metal was used toform amalgams with other metals for ointmentsand cosmetics. Elemental mercury is readily trans-formed into mercury vapour. The vapour can betransported by air and is readily taken up by air-breathing organisms.

Reactive mercury (referring to the ionic form)can easily be converted into methylmercury, anorganic compound that is highly toxic.Methylmercury is bioavailable, bioaccumulates,and biomagnifies as it moves up the food chainfrom fish to mammals, including humans.

Particulate mercury consists of compounds thatare bound in soil, sediment and aerosol particles.

These compounds are not generally easilybioavailable, but they can be released as a result ofhuman activity. For example, flooding of largeareas of land for hydroelectric generating stationsgenerally transforms particulate mercury intomethylmercury, potentially contaminating fishand fish-eating mammals in the area.

Redistribution of mercury as a result of humanactivity or industrial processes (anthropogenicsources) has increased since the industrial era. Itcould now be responsible for a significant per-centage of total emissions to the atmosphere eachyear. The main sources of mercury emissionstoday are coal-fired electric power plants, wasteincinerators, chlor-alkali facilities still using themercury cell process,1 primary copper and leadsmelters, and cement manufacturing. Mercury isstill used in batteries, but this use has been declin-ing as manufacturers switch to alternative metals.Other shrinking markets include electrical appli-cations (ranging from metallic mercury switchesin thermostats to mercury-vapour dischargelamps), dental amalgams, temperature- and pres-sure-measuring devices, detonators, pigments andpharmaceuticals. While increased concerns relat-ed to the health and environmental risks of mer-cury exposure have led to greater restrictions onits uses, its unique properties will likely guaranteeits use in some key sectors (e.g. energy-efficientfluorescent lamps) in the foreseeable future.

Environmental and health issues,monitoring and assessmentMethylmercury is a known neurotoxin that slowsfœtal and child development. It causes irreversibledeficits in brain function. Scientific debate tomore precisely determine the level at which effectsbegin to occur is ongoing, although recent epi-demiological studies on Arctic populations haveshown that even low levels of methylmercury havesome effect (even if much more subtle), affectingfine motor function, visual spatial abilities andverbal memory.2

It is important to point out that while the scien-tific literature, policies and regulations refer to “mer-cury” levels in the environment, it is methylmercurythat is referred to and it is the methylation of partic-ulate and reactive mercury into organic methylmer-cury that produces toxic effects.

Effects on biota and the establishment of mer-cury concentration trends in the environment are

SummaryHuman health concerns underlie Canada’s approach to limiting releases of anthropogenicmercury. Mercury is a naturally occurring element that is ubiquitous in the environment. Routesof exposure are complex. While the scientific literature and policies and regulations refer tomercury levels in the environment, it is methylmercury (a neurotoxin) that is referred to. Methy-lation of particulate and reactive mercury into organic methylmercury produces toxic effects.The Canadian government has promulgated a range of policies and regulations to minimizehealth and environmental risks from this and other toxic chemicals. It also works with Cana-da’s provincial and territorial governments and is active in bilateral, regional and internation-al activities.

RésuméDes préoccupations concernant la santé des hommes sous-tendent l’approche adoptée par leCanada pour limiter les rejets de mercure anthropiques. Le mercure est un élément naturelomniprésent dans l’environnement. Les voies d’exposition sont complexes. Bien que la docu-mentation scientifique, les politiques et les réglementations parlent de niveaux de mercuredans l’environnement, c’est au méthylmercure (une neurotoxine) qu’elles font référence. Laméthylation du mercure particulaire et du mercure réactif produit le méthylmercure organique,fortement toxique. Le gouvernement canadien a adopté une série de politiques et de régle-mentations pour réduire les risques que présentent ce produit chimique et plusieurs autres pourla santé publique et l’environnement. Il travaille également avec les autorités provinciales et ter-ritoriales du pays et participe activement à des activités bilatérales, régionales et interna-tionales.

ResumenEl enfoque canadiense para limitar la liberación de mercurio antropogénico es resultado deuna preocupación por la salud humana. El mercurio es un elemento natural ubicuo en el medioambiente y las vías de exposición humana al mercurio son complejas. Aunque la literaturacientífica, las políticas y la normatividad hacen referencia a los niveles de mercurio en el ambi-ente, en realidad se refieren al metilmercurio (una neurotoxina). El proceso de metilado departículas de mercurio y de mercurio reactivo para producir metilmercurio orgánico tiene efec-tos tóxicos. El gobierno canadiense ha promulgado una serie de políticas públicas y normati-vas a fin de minimizar los riesgos ambientales y para la salud que entrañan éste y otrosproductos químicos tóxicos. Asimismo, colabora con los gobiernos provinciales y territoriales delpaís, y participa en actividades bilaterales, regionales e internacionales.

The evolution of Canada’s approach tominimizing environmental and health risksfrom mercury

Wanda M. A. Hoskin, Senior International Advisor, Minerals and Metals Sector, Natural Resources Canada, 580 Booth Street,

Ottawa, Ontario K1A 0E4, Canada ([email protected])

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important elements in developing an appreciationof the risk posed to the Canadian environment bymercury and its organic compounds.3 Environ-mental monitoring is common in areas wheremethylation is known to occur, such as partiallyacidified watersheds, watersheds with large wet-lands high in dissolved organic carbon, and reser-voirs. Loons,4 seabirds, Arctic marine mammalsand fish are frequently surveyed. Data reveal thatdifferent fish species generally contain differentlevels of mercury, with predators like lake trout,walleye and northern pike containing higher lev-els than forage feeders like cisco and whitefish.The reasons why there are different levels in dif-ferent species are not yet clear and are the subjectof ongoing investigation. Other factors being con-stant, mercury contamination of fish in smallerlakes tends to be higher than that of those in larg-er lakes. One possible reason is that smaller lakestend to be warmer, a factor that increases methy-lation of mercury.

Canada has established and maintains nationaland regional databases that identify elevated levelsof metals, including mercury in various media (air,water, soil, biota). In addition, there are numer-ous provincial initiatives including databases formercury levels in fish.5

Monitoring occurs in freshwater bodies and insediments. It has become evident from sedimentcore profiles that strong regional mercury accu-mulation gradients exist.

However, the presence of inorganic mercury insediments needs to be correlated with levels ofmethylmercury in the food chain, as the merepresence of mercury does not explain how it entersthe food chain.

One recently discovered mechanism, seeming-ly unique to the Arctic, relates to the polar sunriseeach spring. Since 1995 researchers have moni-tored a drop in the concentration of gaseous ele-mental mercury over the period from the firstsunrise in the spring until snowmelt. It seems thatelemental mercury becomes oxidized to reactivemercury, which is then deposited on the snow;snowmelt is the main source of freshwater formost Arctic landscapes. More research is neededto determine if and how this reactive mercurybecomes bioavailable to terrestrial and aquaticecosystems.

In the Arctic, where consumption of fish andtraditional game food such as seals, toothedwhales, caribou and moose is high, mercury expo-sure in some communities6 exceeds the HealthCanada and World Health Organization (WHO)tolerable daily intake level.7 In these communitiesthere is growing awareness of the potential risks tohealth from a diet of mercury-contaminated gamefood.

Human health considerations are a key factorunderlying Canada’s initiatives aimed at limitingthe release of mercury to the environment. How-ever, given that mercury is ubiquitous in the nat-ural environment, the routes of exposure tohumans are complex. They can include mercuryvapour (from inorganic mercury compounds) andorganic methylmercury.

Programmes, policies and guidelinesfor risk management of mercuryCanada has federal legislation, regulations andguidelines relevant to the control or reduction ofmercury ◆ in air; ◆ in fresh and drinking water; ◆ in waste effluent; ◆ during marine disposal;◆ at contaminated sites;◆ during transportation as product or waste; ◆ in consumer products; ◆ in pest control products; ◆ during occupational exposure.

In addition (and as Canada is a federation madeup of ten provinces, each with its own constitu-tional authority), federal regulations are supple-mented by provincial acts, regulations andguidelines covering liquid effluent, drinking waterand emissions from industrial sources.

The Canadian government has established aprocess involving Health Canada, Indian andNorthern Affairs Canada (INAC), the CanadianFood Inspection Agency (CFIA), Fisheries andOceans Canada and Environment Canada (EC)implementing statutes, regulations and depart-mental mandates to protect the health and envi-ronment of Canadians. Specifically, HealthCanada establishes standards for the amount ofmercury humans may consume without adversehealth effects. Environment Canada’s mandateincludes the preservation and enhancement of thequality of the natural environment, includingwater, air and soil quality. INAC ensures thatnorthern communities8 are aware of the healthhazards of consuming traditional foods that maycontain higher levels of mercury. CFIA deals withthe commercial inspections of fish products beforethey are sold on the Canadian market. Fisheriesand Oceans maintain inland fisheries.

Provincial governments have the responsibilityto perform monitoring and testing programmeswhich include sampling fish from a variety of lakesand rivers, analyzing fish samples for contami-nants, issuing fish consumption advisories, ifneeded, and informing the public of these advi-sories. It is also the responsibility of provincialgovernments to issue fish advisories (recommen-dations against eating fish from specific lakes),although recreational anglers can continue tocatch fish under a “catch and release” philosophy.

The Canadian, provincial and territorial gov-ernments and Aboriginal peoples work in part-nership to monitor exposure of adults andchildren, particularly those who consume thegreatest quantities of fish, marine mammals andgame food (that is, those animals that feed onfish). While the majority of this work is centred inthe Canadian North, it also includes southerncommunities with a higher than average con-sumption of country foods. While monitoring inthe past relied on blood mercury levels, researchersnow prefer hair analysis as a more accuratemethod of monitoring continuous exposure.9

Since the neurotoxic effects of methylmercury aremost likely irreversible, it is important to knowthe peak exposure of an individual.

Canada’s regulatory approach tominimizing mercury’s environmentaland health risks To minimize the environmental and health risksfrom toxic substances, the federal government haspromulgated a range of policies and regulations,which are described below.

Minerals and metals policy of the governmentof CanadaCanada’s policy on the sustainable developmentof minerals and metals,10 adopted in 1996, isbased on ◆ life-cycle management; ◆ risk assessment and risk management; ◆ safe use; ◆ science and technology; ◆ recycling.

Life-cycle management is an essential part ofenvironmental stewardship. It provides the over-arching framework for realizing the policy’s otheraspects and is closely linked to risk assessment andthe principle of safe use. In managing minerals-and metals-related health and environmentalissues, the principle of life-cycle management, forboth processes and products, plays an essentialrole.

Inherent in the life-cycle management of met-als, including that of mercury, is the applicationof risk assessment and risk management processes.Risk assessment estimates the degree and likeli-hood of adverse effects resulting from exposure toa substance from a process or product. Risk man-agement is the process of deciding what to doabout an assessed risk, taking into account theresults of the risk assessment and economic, socialand legal factors.

The Safe Use Principle guides the developmentof regulatory or non-regulatory strategies to man-age the risk, based on the results of the risk assess-ment for a particular product during production,use, re-use, recycling or its ultimate return to theenvironment. By adhering to the Safe Use Princi-ple, governments will ensure that society contin-ues to benefit from minerals- and metals-relatedproducts, such as energy-saving fluorescent lights,while protecting human health and the environ-ment in a manner consistent with sustainabledevelopment.

Canada’s minerals and metals policy recognizesthe important role of science and technology inthe achievement of sustainable development. Atthe present time, the Canada Centre for Mineraland Energy Technology (CANMET) is the leadlaboratory for the OECD’s validation study of atransformation dissolution protocol (T/DP), datafrom which will be used in the United NationsGlobally Harmonized System of Classificationand Labelling (GHS) for the hazard identificationand classification of metals and sparingly solidmetal compounds with respect to the aquaticenvironment.11 The T/DP may also be extendedto alloys. In addition, the T/DP and the GHScould be applied to mercury and its compounds.

Recycling is a key component of sustainabledevelopment, offering environmental as well aseconomic benefits. To achieve recycling’s full

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potential, however, existing domestic and inter-national regulations including the Basel Conven-tion need to remove impediments that mayunduly restrict the movement of legitimate mate-rials, particularly in instances where movementcontrols may not be commensurate with the risksposed by the individual recyclable material. It isalso important to differentiate clearly betweenrecyclable materials destined for legitimate recov-ery operations and wastes destined for disposal, soas to apply appropriate risk management controlsin each case.

Canadian Environmental ProtectionAct, 1999The Canadian Environmental Protection Act, 1999(CEPA) provides the Minister of the Environ-ment with authority to make regulations withrespect to mercury and other substances listed astoxic. The Chlor-Alkali Mercury Release Regula-tions under CEPA limit the release of mercury intoambient air from mercury chlor-alkali plants. Pro-visions are included with respect to reportingreleases, malfunctions and breakdowns.12 At thesame time, there are chlor-alkali mercury liquideffluent release regulations under the FisheriesAct.13

The Export of Substances Under the RotterdamConvention Regulations,14 also under CEPA 1999,controls the Prior Informed written Consent ofmaterials moved under the Rotterdam Conven-tion. Most of the substances in Annex 1 areorgano-mercury pesticides.

The New Substances Notification Regulations ofCEPA, 1999 require that mercury compounds noton Canada’s list of in-use substances (the Domes-tic Substances List) be deemed new to Canada.Any introduction requires notification and assess-ment under these Regulations.

Toxic Substances Management PolicyThe Canadian federal Toxic Substances Manage-ment Policy provides a framework for making sci-entifically valid decisions with respect to effectivemanagement of toxic substances. Track 1 sub-stances are targeted for virtual elimination fromthe environment if they are persistent and bioac-cumulative toxics emitted predominantly fromhuman activity. Naturally occurring substancessuch as mercury are not candidates for Track 1 vir-tual elimination, as that would be impossible.Track 2 substances are toxic substances or sub-stances of concern that need to be managedthroughout their life cycle to prevent or minimizetheir release to the environment. A Track 2 sub-stance in the environment may be targeted for vir-tual elimination from the environment if it posesunacceptable risks to the environment or humanhealth. The Policy establishes precautionary,proactive and accountable rules for dealing withtoxic substances.

Other relevant federal legislationThe Northern Contaminant’s Programme15 workstowards reducing and, where possible, eliminat-ing contaminants including heavy metals such asmercury, persistent organic pollutants (POPS)

and radionuclides in traditionally harvested coun-try food, while providing information that assistsindividuals and communities in making informeddecisions about food use.

Mercury transported in any form is regulatedby the Transport of Dangerous Goods Regulations,under the Transport of Dangerous Goods Act, asa corrosive/toxic substance.16 The transport ofradioactive mercury is regulated under the Feder-al Atomic Energy Control Act, administered by theAtomic Energy Control Board of Canada. Underregulations to the Canada Shipping Act, the dis-charge of mercury or mercury compounds to anyCanadian territorial water is prohibited.17

Under Canada’s Hazardous Products Act it isprohibited to sell, advertise or import into Cana-da toys, equipment or any other product that con-tains mercury for use by a child.

At one time mercury-containing pesticideswere regulated under the Pest Control Products Act,but these uses ended in 1998.

Occupational exposure limits for mercury areequivalent to the values published by the Ameri-can Conference of Government and IndustrialHygienists in Threshold Limit Value and Biolog-ical Exposure Indices under the Canada LabourCode. The Workplace Hazardous Materials Infor-mation System regulations prescribe standards forthe use, storage and handling of controlled prod-ucts (including mercury and its compounds) inthe workplace.

Under the rubric of the Canadian Council ofMinisters of the Environment (CCME), federal,provincial and territorial governments work coop-eratively on interjurisdictional issues such as airpollution and toxic chemicals to establish nation-ally consistent standards, strategies and objectivesfor achieving a high level of environmental quali-ty across Canada. Since 1998 CCME has devel-oped Canada-wide standards (CWS) for severalsignificant mercury-emitting sectors and forselected products containing mercury. Theseinclude standards for mercury emissions frombase metal smelters, waste incineration and mer-cury-containing lamps, and for dental amalgamwaste. A CWS for mercury emissions from coal-fired electric power generation is under develop-ment.18 CWS for control actions for persistentcompounds such as mercury can only reduceanthropogenic emissions to approach backgroundlevels; these are developed based on the “precau-tionary approach”.

Intergovernmental initiativesMinerals and metals and their impact on humanhealth and the environment have been consideredin a number of venues since the 1992 Rio EarthSummit, through to the 2002 Johannesburg Sum-mit. Canada has been and remains an active par-ticipant in intergovernmental initiatives, such asthe UN Economic Commission for Europe (UN-ECE) Heavy Metals Protocol to the Conventionon Long-Range Transboundary Air Pollution.The objective of the Heavy Metals Protocol is tocontrol emissions of heavy metals (cadmium, lead,mercury) that are subject to long-range trans-boundary atmospheric transport and are likely to

have significant adverse effects on human healthor the environment. The Protocol entered intoforce in December 2003. Other initiatives inwhich Canada is an active participant include theOECD Risk Reduction Programme, the Inter-governmental Forum on Chemical Safety, theArctic Council and UNEP’s Global Mercury ini-tiative.19

Regionally, Canada is a party to NAFTA and itsCommission for Environmental Cooperation,along with the United States and Mexico. Undera framework agreement on the Sound Manage-ment of Chemicals (SMOC),20 a SMOC Work-ing Group on Mercury developed NorthAmerican Regional Action Plans (NARAPs)including one on mercury. As NARAPs areintended to be results-oriented, guidance docu-ments are also developed to establish ground rulesfor implementing the NARAPs. The 1997NARAP on Mercury recommended holdingWorkshops on Partnerships/Voluntary Initiativesand on the State of Scientific Knowledge Relatedto Mercury. These were held in 1998. The TaskForce on Mercury reconstituted itself as an Imple-mentation Committee to assist in specific actionsto further reduce anthropogenic releases of mer-cury generated within North America. Theirefforts are ongoing.

Bilaterally, Canada is a member of the Canada-US International Joint Commission, which takesan ecosystem approach to ensuring healthy waterswithin the Great Lakes-St. Lawrence basin andother watersheds along the borders of the twocountries. Mercury is specifically targeted in theGreat Lakes Binational Toxics Strategy (1997).

Voluntary mercury reductioninitiativesThe Accelerated Reduction/Elimination of Toxi-cs Initiative (ARET)21 grew out of a proposal inlate 1991 from a group of leading industry execu-tives and environmentalists, known as the NewDirections Group, to the federal Minister of theEnvironment. They proposed a cooperativeapproach to identify, then reduce or eliminate themost significant toxic substances. The Ministercreated the ARET Stakeholders Committee in1992. Its first task was to evaluate and prioritizesome 2000 substances, based on an inventory ofsubstances found in the Great Lakes Basin. Sub-stances were scored on the basis of available toxi-city, persistence and bioaccumulation data. Theresult was a list of 117 toxic substances slated forreduction or elimination. Methylmercury was list-ed as A-1, meaning virtual elimination of its emis-sions to the environment from human activities(with a short-term goal of 90% reduction by2000). Elemental and inorganic mercury wereclassified under list B2, meaning a reduction ofanthropogenic emissions to levels that are insuffi-cient to cause harm, with the short-term goal a50% reduction by 2000.

In 1994, the Stakeholder Committee issued theARET Challenge to Canadian industry to volun-tarily reduce or eliminate releases of ARET sub-stances by the year 2000.

Results as of 2003 show that of the 303 facilities

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participating in ARET, including 13 mining com-panies, 118 have already met or exceeded their2000 ARET reduction targets in all the substancecategories they report on. While the reduction ofpersistent, bioaccumulative and toxic substanceson the A1 level is somewhat slower than expected(at 52% reduction from the base year), ARET par-ticipants continue to make good progress towardsachieving their targets. Releases of elemental andinorganic mercury have been reduced by 88.7%.

While not every company in Canada partici-pated in this initiative, ARET has demonstratedwhat is technically and economically possible.

Challenges, knowledge gaps and areasof uncertaintyBecause mercury is a naturally occurring element,distinguishing natural from anthropogenic sourcesis difficult. There are complexities in relatingatmospheric levels to levels observed in fish andother biota. As a result of these complexities, it iscurrently uncertain to what extent reductions inthe anthropogenic component of mercury in theatmosphere may correspond to measurable reduc-tions in ecosystems, including those in remoteareas such as the Arctic.

Information is needed to assess mercury inputsfrom active volcanic regions of North America,including both passive degassing and eruptionevents. Researchers at the University of Hawaii22

have indicated that volcanic mercury emissionstend to be underestimated in global inventories,and Canadian researchers23 have noted that con-tributions of mercury to the oceans from subma-rine volcanism and other sea floor processes havebeen neglected in published global budgets.

ConclusionCanadian governments have taken proactive ini-tiatives to reduce anthropogenic emissions of toxicsubstances, including mercury, to the environ-ment. Regulations and policies have been com-plemented by voluntary industry initiatives andsupported by scientists who continue to investi-

gate how naturally occurring elements like mer-cury enter the food chain, so that these routes canbe mitigated.

ReferencesCanadian Council of Ministers of the Environ-ment (1999) Workshop on Mercury Emissions Stan-dards. Calgary, Alberta. Commission for Regional Cooperation, NorthAmerican Working Group for the Sound Man-agement of Chemicals (1997) North AmericanRegional Action Plan on Mercury. Montreal(www.cec.org).Environment Canada, Transboundary Air IssuesBranch (1998) The Status of Cadmium, Lead andMercury in Canada: Natural Resources and Envi-ronmental Contaminants.Pilgrim, Wilfred (1998) New Brunswick Depart-ment of the Environment. Fredricton, NewBrunswick, Chapter VIII, in: Northeast States forCoordinated Air Use Management, NortheastWaste Management Officials Association, NewEngland Interstate Water Pollution Control Com-mission and the Ecological Monitoring andAssessment Network, The Northeast States andEastern Canadian Provinces Mercury Study. Port-land, Maine, 1998 (www.cciw.ca/eman)

Notes1. This was the primary use of mercury in Cana-da until the 1960s.2. State of the Arctic Environment Report, 2002(www.amap.no), pp. 86-89.3. Canada’s Submission to UNEP’s Global Mer-cury Assessment, September 2001.4. The blood mercury levels of common loonsincrease from west to east across Canada and theUS. They are generally highest in southeasternCanada, with the highest value (.6 ppm) frombirds nesting in Kejimkujik National Park.5. For reference, see www.ec.gc.ca/MERCURY/EN/efca.cfm.6. State of the Arctic Environment Report, 2002(www.amap.no).

7. Canada’s Submission to UNEP’s Global Mer-cury Assessment, op. cit.8. Northern communities are those north of 60degrees north latitude.9. Health Canada uses a factor of 300 to converthair mercury levels to blood levels; the WHO usesa factor of 250.10. The Minerals and Metals Policy of the Govern-ment of Canada: Partnerships for Sustainable Devel-opment, 1996 (ISBN 0-662-251540-7) (www.nrcan.gc.ca/mms/sdev/policy-e.htm).11. See www.unece.org/trans/danger/publi/ghs/ghs.html.12. See www.ec.gc.ca/CEPARegistry/regulations.13. Mercury in daily effluent must not exceed0.00250 kg/tonne of chlorine times the referenceproduction rate. 14. The Rotterdam Convention on the PriorInformed Consent Procedure for Certain Haz-ardous Chemicals and Pesticides in InternationalTrade (www.pic.int).15. Phase I, 1991-1997, and Phase II, 1998-2003.16. The Commission for Environmental Coop-eration, Phase 1 Report, as quoted in Canada’sSubmission to UNEP’s Global Mercury Assess-ment, September 2001.17. North American Regional Action Plan onMercury, 1997, Canada’s Status of Mercury inCanada Report.18. See www.ccme.ca.19. See www.chem.unep.ch/mercury.20. CEC Council Resolution 95-05.21. Details can be found at www.ec.gc.ca/nopp/aret/en/el3.cfm.22. Siegel, B.Z. and S.M. Siegel, Hawaiian volca-noes and the biogeology of mercury, in: Volcanismin Hawaii: Geological Survey, 1987. Prof. paper(ed. R.W.Decker), Rep. No. P 1350, pp. 827-839.23. Rasmussen, P. and P. Doyle, Partitioning netexposure among different sources. Ecological riskassessments of priority substances under the Canadi-an Environmental Protection Act. Resource Docu-ment, March 1996 (draft), pp. III-1 to III-26. ◆

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The development of the first synthetic dyestuffby William Henry Perkins in 1856 led to thebirth of the European dyestuff industry. Use

of synthetic dyes expanded to all textile substrates,and soon they began to be used in India’s alreadywell-developed textile industry. However, in India

the industry depended on imported organicdyestuffs until the 1940s and the start-up of the firstIndian company, Arlabs Ltd.1 In the 1950s and1960s a number of other companies were estab-lished with foreign collaboration.2 By the 1960s thestage was set for rapid growth in this industry.

Today the Indian dyestuff and dye intermedi-ate industry (DDI) comprises about 950 units(organized sector, 50; unorganized sector, 900)with an overall capacity of about 1,500,000tonnes per year. While most such plants in theworld are large, in India the industry has success-fully established small-scale plants capable of pro-ducing standard quality dyestuffs. The twowestern states of Maharashtra and Gujarataccount for over 90% of national dyestuff pro-duction. At a time when standards for quality andreliability are rising, the Indian industry is meet-ing over 95% of domestic requirement.

Environmental challengesThe dye and dye intermediate industry (in whicha wide range of chemicals are used) is one of India’smost polluting industrial sectors. It has the poten-tial to generate:◆ liquid effluent containing non-biodegradablesubstances, acid/alkali/toxic trace metals/aromat-ic amines, and a large volume of dissolved solidsand colour;◆ hazardous solid waste, including iron sludge,gypsum, and sludge from effluent treatment plantcontaining organic and inorganic impurities; ◆ gaseous streams, mostly in the form of fugitiveemissions.

Considerable environmental problems are alsorelated to:◆ batch processes where the batch size is small;◆ frequent switching from one product to another;◆ manual handling of materials;◆ poor process control and consequent high pro-cess losses;◆ lack of proper environmental managementpractices, particularly in the case of small-scaleoperations.

Until recently, end-of-pipe (EOP) control wasthe waste management strategy adopted in thissector. EOP involves physico-chemical or biolog-ical treatment of waste and emissions before theyare discharged.

Some specific characteristics of liquid, solid andgaseous waste generated in the dye and dye inter-mediate industry are described below.

SummaryChemical manufacturing is one of India’s oldest domestic industries. This article focuses on thedye and dye intermediate sector. Many companies in the sector are SMEs. In the last decadeor so they have experienced severe financial pressures at the same time as growing demandsto improve their environmental performance. End-of-pipe treatment of waste and emissionshas been promoted, but with only limited success as it is cost-intensive (and changing the formof the waste is not the same thing as eliminating it). Most of the limited number of cleanerproduction initiatives undertaken in India thus far have been demonstration projects. By imple-menting cleaner production measures, participating companies have improved productivity,cutting costs and reducing their pollution loads. The savings realized are potentially manytimes the original investment.

RésuméLa fabrication de produits chimiques est l’une des industries domestiques les plus anciennesde l’Inde. L’article s’intéresse plus particulièrement au secteur des teintures et des auxiliaires deteinture. Beaucoup d’entreprises de ce secteur sont des PME. Depuis une dizaine d’années,elles sont confrontées en même temps à de fortes pressions financières et à des exigences deplus en plus nombreuses d’amélioration de leurs performances en matière d’environnement.Le traitement des déchets et des émissions en fin de cycle de fabrication a été encouragé maisavec un succès limité car il est coûteux (et changer la forme du déchet, ce n’est pas l’éliminer).La plupart des initiatives de production plus propres (encore peu nombreuses) menées en Indejusqu’à présent sont des projets pilotes. Grâce à des mesures de production plus propre, lesentreprises participantes ont pu améliorer leur productivité tout en réduisant leurs coûts et lesvolumes de polluants produits. Les économies réalisées peuvent être plusieurs fois supérieuresà l’investissement de départ.

ResumenLa producción de químicos constituye una de las industrias nacionales más antiguas de laIndia. Este artículo trata el sector del teñido y teñido intermedio de textiles, en el que muchasde las empresas son pymes. En los últimos diez años, más o menos, han enfrentado fuertes pre-siones financieras al mismo tiempo que crecientes exigencias para mejorar su desempeñoambiental. Se ha promovido el tratamiento de desechos y emisiones con controles al final delproceso (end-of-pipe), aunque se ha tenido poco éxito debido a lo intensivo de los costos (sinolvidar que cambiar la forma del desecho no equivale eliminarlo). Hasta ahora, la mayoría delas contadas iniciativas de producción más limpia realizadas en la India ha consistido enproyectos de demostración. Al aplicar medidas de producción más limpia, las empresas par-ticipantes han mejorado su productividad mediante la reducción de costos y de cargas de con-taminación. Es muy probable que el ahorro logrado alcance una cifra muy superior a lainversión.

Cleaner production in the Indian dye anddye intermediate industry: a successfulpreventive environmental managementstrategy for waste minimization andresource conservation

P.K. Gupta, Director, and S. Kalathiyappan, Deputy Director, Indian National Cleaner Production Centre, 5-6 Institutional Area,

Lodi Road, New Delhi 110 003, India

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Liquid wasteWastewater quality and quantity vary consider-ably (e.g. wastewater per tonne of dye produced isvery low compared with wastewater per tonne ofdye intermediate produced). In the case of majordye intermediates, specific wastewater generationis about 15-20 m3/tonne of product. The mainsources of wastewater generation are:◆ mother liquor or filtrate streams from filtrationoperations;◆ wastewater streams from washing of filter caketo remove salt impurities or residual filtrate adher-ing to the cake;◆ leakage and spillage;◆ floor washing in the work area.

Typical characteristics of wastewater from thissector are shown in Table 1.

Effluent discharged from this sector is highlyacidic. It contains toxic compounds, many ofwhich are carcinogenic. They can be very haz-ardous to human health and the environment.This is due to the presence in the wastewater ofbenzene, naphthalene, and other nitro-aromaticbased compounds used as raw material in the pro-duction of dye intermediates. Due to excessiveacid and alkali use, the wastewater also containshigh concentrations of inorganic salts, resulting inhigh concentrations of total dissolved solids(TDS). Because of the high level of TDS and toxicaromatic compounds, effluent treatment is verydifficult and expensive.

Under the regulations prevailing in India, thereis currently no industry-specific effluent standardfor the dye industry. The general standard there-fore applies. According to this standard, effluentdischarged by an industrial unit must meet theparameters in Table 2.

Management of liquid wasteBefore 1994, many small and medium-sized unitsin this sector did not treat their wastewater. It wasdischarged directly to nearby surface water. Largeunits and some medium-sized ones carried outprimary treatment, but almost none of these unitsmet pollution norms.

Following strict regulatory action, and inter-vention by the High Court and Supreme Court,industries began detailed wastewater treatment.Today all units carry out primary wastewater treat-ment; some also have secondary and tertiary treat-ment systems. Nevertheless, it is still impossibleto meet the prescribed Pollution Control Boardnorms. The reasons for this are:◆ Industrial units (especially if they are small-scale)do not have enough land area to construct a treat-ment plant with a capacity of about 50,000-100,000 litres/day. Most plants are under-designed;◆ Treatment costs are very high. Units that aresmall-scale economically cannot afford treatment;◆ The wastewater is very difficult to treat;◆ The expertise needed for proper treatment is notavailable locally;◆ Frequent product changes (based on demand)and poor process control at the production plantchange effluent characteristics over time, thus dis-turbing the treatment system.

The Government and Industry Associationshave decided to build common effluent treatmentplants (CETPs) for primary-treated industrialwastewater. The government has also taken stepsto fund the CETP projects,3 as well as researchaimed at reviving the use of natural dyes, exten-sion of MODVAT4 benefits to pollution controlequipment and other activities. It has also initiat-ed a ban on 190 textile dyes (in view of the Ger-man ban on azo dyes) and emphasis is being givento substitute dyes. Similarly to the CETP initia-tive, steps need to be taken in the DDI industry

with respect to common acid recovery to recoverresources and to reduce waste treatment and dis-posal cots.

Solid wasteLarge volumes of solid waste are generated by thedye industry – by the process and by wastewatertreatment. A great deal of gypsum sludge is pro-duced by primary treatment of acidic wastewater,where lime is used in neutralization. The types ofwaste generated by this process are:◆ gypsum sludge;◆ iron sludge;◆ residues from the filter press;◆ tarry waste;◆ waste dye powder;◆ packaging material.

This solid waste contains toxic chemical com-pounds. To minimize serious environmentalimpacts, proper disposal or treatment is required.The specific waste generation factors for differenttypes of solid waste generated in this sector areshown in Table 3.

Management of solid waste Under the Hazardous Waste (Management andHandling) Rules, 1989/2000, hazardous wastemust be disposed of in a secure landfill facility.According to the rules and guidelines, all types ofwaste generated by the dye and dye intermediatesector belong to hazardous waste categories. There-fore, this waste has to be managed in an environ-mentally friendly way. All waste except tarry waste,which is incinerable, is to be disposed in a landfillfacility following physical treatment.

Regulatory bodies have taken strict actionagainst many units generating large volumes ofhazardous waste. Many such units in the state ofGujarat have been closed down. A large numberof common secured landfill facilities are alreadyfunctional. Few existing or abandoned dumpsiteshave been remediated by “containing” the wasteswith a protective covering (geo/cement lining)along the top and sides to avoid percolation ofwater and subsequent environmental damage.

Gaseous emissionsThe major gaseous emissions from the dye and dyeintermediate industry are unrecovered gases gen-erated by the process. They are fugitive in nature.Emissions from unit processes generally contain

Table 1Typical characteristics of wastewater

from dye and dye intermediateproduction

Parameter Value

pH < 1

Chemical oxygen demand(COD) 50,000-1,00,000 mg/litre

Total dissolved solids(TDS) 15,000-2,00,000 mg/litre

Ratio of biochemical oxygen demand (BOD)/ <0.2 chemical oxygen demand (COD)

Table 2General standard for effluent

discharges in India

Parameter Discharge standard

pH 6.5-8.5

COD 250 mg/litre

BOD 30 mg/litre

TDS 2100 mg/litre

Total suspended solids (TSS) 100 mg/litre

Table 3Solid waste generation factors

Product Waste type SWGF*

Dye intermediate • Sludge from 1.2-1.6wastewater treatment• Iron sludge 1.0-2.5 • Gypsum sludge 3-12 • Tarry waste 0.03-0.05

Dyestuff •Sludge from 1.2-1.6wastewater treatment

* Specific waste generation factor, expressed as tonnes ofwaste generated per tonne of product

End-of-pipe treatmentEnd-of-pipe (EOP) treatment is a control strat-egy to protect the environment from theimpact of waste and emissions discharged fromindustries. The EOP treatment strategy incor-porates treatment of the waste and emissionsgenerated to bring them to a particular level(considering the assimilative capacity of thereceiving bodies) before discharge. The EOPstrategy has existed since the establishment ofIndia’s Pollution Control Boards and the intro-duction of the Air and Water Pollution Pre-vention and Control Acts.

To meet prescribed standards, waste must betreated either physico-chemically or biologi-cally. However, this strategy did not yieldresults due to poor enforcement and the pro-hibitive costs of treating waste to bring it to thedesired levels. EOP waste treatment simplyconverts the form of the waste (e.g. air emis-sions scrubbed and turned into wastewaterwhich is then treated again before disposal,leaving behind sludge to be disposed of in sci-entifically designed secured landfills).

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gases such as chlorine, sulphur dioxide and triox-ide, nitrogen oxides, and fumes of acid and organ-ic solvents. Much of the time, these by-products ofunit processes are recovered subject to the cost ofrecovery and their market potential. They are nor-mally gases like SO2, HCl (hydrochloric acid, orhydrogen chloride) and organic products. If theyare not recovered, they cause air pollution. A 100%recovery rate is not possible; the unrecovered prod-uct is vented from the stack.

Particulate matter emissions from the dryingand grinding operation are another source of pol-lution. Concentrations can be as high as 500-600mg/litre. Flue gas from the boiler is also a source ofair pollution in this sector. Very high particulatematter emissions of the dyestuff in powder formare a major source of air pollution from thedyestuff production plant.

An emission standard exists for most types ofgases and particulate matter (e.g. 50 mg/litre inthe case of particulate matter).

Management of gaseous emissionsTo meet emission limits, gases and fumes emittedfrom the stack are generally scrubbed usingpacked bed type scrubbers. Most SMEs in thissector are unable to comply with the standards forsource or fugitive emissions.

Cleaner production in the chemicalindustry (dye, dye intermediates and pharmaceuticals)Significant environmental degradation hasoccurred in various parts of India due to rapiddevelopment/industrialization. Greater environ-mental awareness and activism in all quarters,accompanied by the economic liberalization pro-moted by the Indian government, have left IndianSMEs struggling for survival. In the past decadethey have experienced a financial crunch at thesame time as growing pressure to improve theirenvironmental performance. End-of-pipe treat-ment of waste and emissions is being promoted,but with only limited success since it is cost-inten-sive. And changing the form of the waste is not thesame thing as eliminating it. Over the decade onlya few cleaner production initiatives have beenundertaken, mostly as demonstration projects. Afew of these are briefly described below.

A cleaner production demonstration projectwas carried out in 12 chemical plants in 2001-02by the National Productivity Council, located atVapi, Gujarat. Participants were from the dye, dyeintermediates and pharmaceutical sectors. Duringthe project 788 cleaner production measures wereidentified. By the end of 2002, 380 had beenimplemented.

Implementing these measures required aninvestment of Rs. 8.5 million. This investment isexpected to yield Rs. 40 million per year throughimproved productivity and reduced environmen-tal load. The measures implemented include:◆ use of purer grade naphthalene and of iron pow-der having higher activity, leading to an annual netsaving of Rs. 0.18 million in addition to a 50%reduction of organics in sludge;◆ substitution of inorganic for organic acid in

the final isolation of NMJ (a dye intermediate)following purification, leading to an annualnet saving of Rs. 4.3 million and a 50% reduc-tion of effluent organic load;◆ modification of acetonyl sulphonyl chloride(ASC) cake washing (static material waterseeping through, changed to continuous stir-ring of material while washing), leading to areduction of water and caustic consumptionand improved quality of ASC. This measureproduced economic savings of Rs. 6.6 millionper year for an investment of Rs. 10,000;◆ increasing the height of the distillation col-umn, leading to improved recovery of iso-propyl alcohol at a bulk drug manufacturingunit. This measure produced an annual netsaving of Rs. 0.8 million for an investment ofRs. 0.38 million.

Ishan Dye Chem Ltd. (copper phthalocyanine dye intermediate manufacturer)M/s Ishan Dye Chem Ltd. is a small-scale dyeintermediate unit that manufactures copperphthalo cyanine (CPC), which is furtherprocessed to produce alpha and beta blue dyes.The unit produces 100 tonnes of CPC permonth. A cleaner production process was intro-duced in order to reduce water consumption,recover solvent effectively and conserve energy.Major CP measures implemented are: ◆ installation of a rotary air lock in a raw mate-rial feeding hopper to reduce solvent losses inthe work atmosphere. This measure resulted inannual net savings of Rs. 1.8 million for aninvestment of Rs. 0.1 million;◆ increasing vacuum pressure from 400 to 700mm Hg for improved recovery of trichloroben-zene (TCB) from the heated mass in the van-nulator. This measure, which required aninvestment of Rs. 0.5 million, led to annual netsavings of Rs. 1.3 million.

Metrochem Industries Ltd., Ahmedabad (H-acid dye intermediate manufacturer)M/s. Metrochem Industries Ltd. is a dye interme-diate manufacturing industry with a productioncapacity of about 60 tonnes of H-acid (an impor-tant dye intermediate produced from naphtha-lene) per month. During the CP project 27 cleanerproduction measures were identified, of which 12were implemented. The unit invested Rs. 2.8 mil-lion in implementing the CP measures. Annual

savings of Rs. 51.0 million were achieved, in addi-tion to a 34% reduction in pollution load, 20%reduction in fuel consumption and 12% reductionin electricity consumption. The most significantCP measures implemented are: ◆ increasing batch size by 10% to 1100 kg ofnaphthalene, producing immediate savings ofabout Rs. 11.3 million per year;◆ installing a pressure-reducing valve to lowersteam pressure from 12 to 5 kg/cm2 in the reduc-tion vessel, resulting in savings of about Rs.0.8million per year;◆ stopping the mother liquor blower in order tocontrol the flow of the liquor to the incinerator inthe zero discharge, resulting in savings of aboutRs. 30,600 per year;◆ increasing the amino concentration to 45°Be byfive-effect steam evaporator, resulting in thereduction of caustic consumption, of motherliquor generation, of the sulphuric acid require-ment in isolation and of the cost of incineration,as well as better recovery of Glauber’s salt. Thisoption has led to savings of about Rs. 3.7 millionper year. Reduction of steam consumption alonehas produced savings of Rs. 1.9 million per year.

ADCI Dyechem Pvt. Ltd., Ahmedabad(reactive dyes manufacturer)M/s. ADCI Dyechem Pvt. Ltd. is a dye manufac-turer with a production capacity of about 2400million MT/year of reactive dyes (40 differentdyes). During the CP project 32 cleaner produc-tion measures were identified, of which 17 wereimplemented. The unit invested Rs. 1.0 millionin implementing CP measures and achievedannual net savings of Rs. 2.25 million, in additionto a 56% reduction in pollution load and 65%reduction in water consumption. The most sig-nificant CP measures implemented are:◆ using the first wash water from filter press cakewashing for wet cake dissolution;◆ modifying product cake washing from threetimes (1000 litres of water per batch) to a single1500-litre wash;◆ using the first wash water from spray dryerwashing for wet scrubbing of the spray drier. Afterconcentration, the scrubbing liquor is spray driedto recover the product.

Alps Chemicals Pvt. Ltd., Ahmedabad (aciddye manufacturer)M/s. Alps Chemicals Pvt. Ltd. is a small-scale

UNEP’s definition of cleaner productionCleaner production is the continuous applica-tion of an integrated preventive environmentalstrategy to processes, products and services toincrease overall efficiency, and to reduce risks tohumans and the environment. Cleaner produc-tion can be applied to the processes used in anyindustry, to products themselves, and to variousservices provided to society.

For the production process, CP results fromone or a combination of conserving raw materi-als, water and energy; eliminating toxic and dan-

gerous raw materials; and reducing the quantityand toxicity of all emissions and wastes at sourceduring the production process.

For products, CP aims to reduce the environ-mental, health and safety impacts of productsover their entire life cycles, from raw materialsextraction, through manufacturing and use, tothe “ultimate” disposal of the product.

For services, CP implies incorporating envi-ronmental concerns into designing and deliver-ing services.

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industry that manufactures various complex aciddyes and non-benzene direct dyes. Production isabout 800 tonnes/year. A number of cleaner pro-duction opportunities have been identified andimplemented. Through the implementation of 12CP measures, the company achieved savings ofabout Rs. 2.1 million per year for an investment ofRs. 0.34 million. These measures were mainlyrelated to very simple actions requiring negligibleinvestment. The most significant are:◆ installing transparent fibre-reinforced plastic(FRP) sheets in the roof to make use of sunlightfor day lighting, resulting in savings of about Rs.21,000/year;◆ installing highly efficient, energy-conservingmixers, leading to savings of about Rs.1.19 mil-lion per year;◆ covering the junction of the ice-conveying pipewith a flexible flap to reduce spillage losses, result-ing in savings of about Rs. 10,000 per year;◆ relocation of the induced draft (ID) fan close tothe outlet of the cyclonic demister in the spraydryer, leading to a reduction in the fan’s horse-power requirement and in the operating cost. Sav-ings are around Rs. 0.3 million per year;◆ collecting laboratory samples in separate con-tainers and recycling them in corresponding prod-uct batches, leading to tremendous savings inproduct and a reduction of waste treatment costs(savings of about Rs. 0.5 million/year);◆ installing a new high-capacity blender (8T) withbetter technology, leading to reduced energy con-sumption and savings of about Rs. 72,000 peryear.

Dintex Dyechem Ltd., Ahmedabad (vinylsulphone dye intermediate manufacturer)M/s. Dintex Dyechem Ltd. manufactures 150tonnes per month of vinyl sulphone (para aminophenyl B-hydoxy ethyl sulphate ester). The pro-ject resulted in 36 CP measures, of which 23 wereimplemented, leading to improved recovery ofHCl and by-product (sulphuric acid, Glauber’ssalt, sulphanilic acid) recovery and significantreduction of water consumption and hazardouswaste generation. The main measures imple-mented are:◆ modifications to the HCl gas (generated duringsulphonation) scrubber. Modified two-packedbed scrubbers with an ID fan were installed. In thefirst, HCl is scrubbed with water, along with cool-ing, for recovery. The second acts as a polishingscrubber, in which scrubbing is carried out withdilute caustic soda. Implementation of this recov-ery option has yielded annual net savings of Rs.0.57 million for an investment of Rs. 0.1 million;◆ installing a multi-effect evaporator to concen-trate the mother liquor stream and first-wash

liquor stream, generated from the Neutsch filter,to recover the sulphuric and sulphanilic acid. Thismeasure, which required an investment of Rs. 9.0million, has yielded annual net savings of Rs. 8.6million;◆ installing a spray drier to recover Glauber’s saltfrom the condensation of mother liquor and makewaste amenable to biological treatment. Thismeasure involved an investment of Rs. 3.5 millionand has resulted in annual net savings of Rs. 3.6million;◆ installing a bag filter to replace multi-clones forimproved product recovery. Condensation prod-uct after drying had been recovered using multi-clones. This measure has resulted in annual netsavings of Rs. 3.4 million for an investment of Rs.0.8 million.

ConclusionAs seen from these examples, the experience ofIndia’s National Cleaner Production Centre withthe chemical industry demonstrates that cleanerproduction is a desirable preventive strategy forenvironmental management. It can reduce costsand pollution loads as well as leading to resourceconservation. Adopting cleaner production tech-niques minimizes the generation of waste andemissions. Thus the volume of waste to be treatedis reduced, leading to minimized costs for treatingthe waste (which ensures that the waste is treated).Further, in most demonstration studies the majorwork was carried out by the industry team, usinga systematic methodology which is self-sustain-able in these companies.

This approach has had considerable success inthe dye and dye intermediates sector and can be

applied to other branches of the chemical indus-try. Cleaner production does not necessarilyensure environmental compliance in itself. How-ever, along with reduced costs for waste treatmentand disposal, it makes compliance easier.

Cleaner production is not only a good preven-tive environmental management strategy for min-imizing waste and conserving resources. A closerlook at the various CP measures indicates thatmost are focused on good housekeeping, opera-tional control and recycling/recovery. Keeping inmind the technological status of Indian industriesand stiff international competition, the cleanerproduction approach (along with the adoption ofcleaner technologies) is essential.

Notes1. Arlabs Ltd. was followed by others such asATUL, IDI and Amar Dye Chem.2. For example, Atic Industries, Suhrid Geigy andColour Chem.3. www.cleantechindia.com/bishtml/210401.22.htm.4. www.unido.org/en/doc/4823.

ReferencesThe Indian Chemical Industry – New Directions,New Hope. Compiled by KPMG (www.kpmg.com), in association with the CHEMTECHFoundation (www.chemtechwe.com).Proceedings of the Symposium “Action Plan forGrowth 2001-2010”. Compiled by the DyestuffsManufacturers’ Association of India (www.dmail.org).Strategic Action Plan for the Dye and Dye interme-diates Industry (www.dmai.org). ◆

Wastewater treatmentBasically, three levels of wastewater treatment arecarried out.

The first (or preliminary) treatment is “pri-mary treatment”. Primary treatment is physico-chemical treatment, such as screening of thewastewater to remove floating particles or addi-tion of chemicals to adjust the pH and aid pre-cipitation of suspended particulate matter in thewater, followed by use of the primary settlingtank to settle the precipitated matter. In the placeof primary settling tanks, mechanically aided pri-mary clarifiers are also used. Following primarytreatment, the wastewater is still harmful. Fur-ther treatment is necessary, either in-house or ata common treatment facility along with othereffluents.

The second level of treatment is “secondarytreatment”. It consists of biological treatment,

either with air added (aerobic treatment process)or in the absence of air (anaerobic treatmentprocess), depending on the wastewater’s charac-teristics. This is followed by secondary set-tling/clarification of the precipitated suspendedparticulates. After secondary treatment, thewastewater can be discharged safely. The level oftreatment depends on prevailing discharge stan-dards, and on whether the wastewater will be dis-charged to land or to water bodies. If thewastewater is going to be recycled, it needs to betreated further in a tertiary treatment plant.

During “tertiary treatment” the wastewater ispolished/purified using water purificationprocesses such as storage in polishing ponds andultra filtration/membrane filtration. The level/type of tertiary treatment depends on the purposefor which the wastewater is being recycled.

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Interest in the manufacture of products that arefriendly to the environment is growing. Tradi-tionally, products have been designed to meet

clients’ specifications. Today design is aimed notonly at satisfying functional specifications, butalso at reducing the toxicity of products andprocesses by promoting recycling and generatingless waste (without compromising quality). Thisconcept is called “Design for the Environment”(DfE) (Figure 1). Various other terms (e.g. “greenengineering design”) are used to suggest the sameidea.1 Where DfE or similar initiatives have beenimplemented, environmental technologies havebeen part of competitive business strategies.

Chemical industry challengesWorldwide, the chemical industry is involved in

the manufacture of most of the products we seearound us. Among the factors currently influenc-ing the industry’s development are globalization,increasingly tough environmental performancestandards, greater demand for profitability andproductivity from financial markets, higher clientexpectations, and changing labour force require-ments.

In decision-making the industry takes accountof environmental demands and the opportunitiesto satisfy these demands. Companies make greatefforts to comply with regulations, identify eco-efficiency opportunities, implement relevantadministrative systems, optimize resources in theirsupply chains, etc. (Figure 2). However, onlycompanies with vision focus on untapped mar-kets, process updating, technological innovation

(including changes in environmentally relatedtechnologies) and development of sustainabledevelopment strategies.

To meet today’s environmental challenges, thechemical industry must address:◆ appropriate supply chain management;◆ more efficient use of raw materials, reuse andrecycling of materials, and energy generation anduse;◆ the balance between environmental and eco-nomic considerations;◆ long-term investments in research and develop-ment;◆ interrelationships and mutual collaborationamong industry, universities and governmentwith respect to research and development (bal-ancing resources and investments);◆ product specialization.

Innovation (obtaining new knowledge which,supported by research and development, leads tonew technologies) is therefore essential.

Mexico’s environmental priorities Voluntary and non-voluntary environmental leg-islation and regulations require the country’sentire population to take part in maintaining ahealthy environment. The chemical industry hasto ensure that its operating framework includesstrategic planning aimed at improving Mexico’senvironment.

Some of Mexico’s environmental priorities are:◆ soil protection;◆ air quality;◆ ocean pollution; ◆ afforestation; ◆ biosafety; ◆ water supply and treatment;◆ emissions inventories;◆ biodiversity;◆ sustainability of fisheries.

In applying the DfE concept, DESC keepsthese priorities in view.

Environmental innovation in thechemical sector of Grupo DESCDESC SA de CV is one of Mexico’s major con-sortiums. Its operations are focused on four sec-tors: chemicals, automotive, food and real estate.Chemical sector operations involve eight busi-nesses and 13 manufacturing plants. Productsinclude plastics, resins, laminated products, rub-ber and carbon black.

SummaryThis article sums up a Mexican company’s experience with implementing the Design for theEnvironment (DfE) concept in the research and development areas of its chemical sector. DfEis a sustainable development strategy. It can be used to detect potential environmental risksand to develop new products and processes. Once a DfE handbook had been produced, imple-mentation was carried out in several steps in a non-aggressive way. It was hoped that thoseconcerned would adopt DfE out of conviction rather than because they had to. Consequently,there was a strong emphasis on education and identification of opportunities. In the project’sfinal phase, two ongoing technological projects were chosen for study: one at the pilot stageand the other at the commercial stage.

RésuméL’article présente le cas d’une entreprise mexicaine qui a mis en œuvre le principe de concep-tion écologique (Design for the Environment ou DfE) dans les activités R&D de sa branche pro-duits chimiques. Le DfE est une stratégie de développement durable. Il peut être utilisé pourdétecter des risques potentiels pour l’environnement et pour développer de nouveaux produitset procédés. Une fois le manuel de DfE réalisé, la mise en œuvre a été conduite en douceur enplusieurs étapes. Le but était que les personnes concernées adoptent le DfE par conviction etnon par contrainte. L’accent a donc été mis sur l’éducation et l’identification des possibilitésd’application. Lors de l’étape finale, deux projets technologiques en cours ont été choisiscomme sujet d’étude : un au stade de l’essai pilote, l’autre au stade commercial.

ResumenEste artículo presenta una síntesis de la experiencia de una empresa mexicana con la apli-cación del concepto “ecodiseño” en el área de investigación y desarrollo del sector químico. Elecodiseño es una estrategia de desarrollo sostenible que puede ser empleada para detectarriesgos ambientales potenciales y desarrollar productos y procesos nuevos. Tras la publicaciónde un manual sobre ecodiseño, su aplicación se llevó a cabo gradualmente; se esperaba quelos interesados adoptaran el ecodiseño por convicción y no por obligación. Por ende, se enfa-tizó con firmeza la importancia de la concienciación y la identificación de oportunidades.Durante la etapa final del proyecto se seleccionaron dos proyectos tecnológicos en curso parasu análisis: uno de ellos en la etapa piloto y el otro en la etapa comercial.

Implementation of Design for the Environment (DFE) in a Mexican chemical group

Margarita Ferat, Environmental Control Divisional Manager, Grupo DESC SA de CV, Bosque de Ciruelos No. 29,

Col. Bosques de las Lomas, Deleg. Cuajimalpa, 05120 Mexico, DF, Mexico ([email protected])

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The company’s Divisional Department forEnvironmental Control (DESC) promoted theDesign for the Environment concept within thecompany to support the development of newproducts and processes in the chemical sector. Asa sustainable development strategy, DfE was initi-ated by DESC with the following goals: ◆ systematic detection of potential significantrisks, which would be duly evaluated (with quan-tification of their environmental/economicimpacts) in order to carry out effective decision-taking within the shortest time possible;◆ development of new products and processes to

• formulate proposals for new products inaccordance with customer requirements;• take into account the cost and performance ofoptimal processes and products from the pointof view of sustainability;• draw up competitive strategy guidelines;• carry out technological development andproduct launching at the lowest cost and with-in the shortest time practicable.Once the Design for the Environment Hand-

book had been written, DfE was implemented inseveral stages to determine its effectiveness andlevel of acceptability.

DfE was implemented in business cases in orderto progressively incorporate environmental con-siderations in the organization’s strategic decision-making. The intention was to arrive at anunderstanding of the new concept, rather thanmerely securing agreement to the initiatives pro-posed and to the development of new productsfrom the standpoint of sustainable development.

While the DfE culture has not yet been adopt-ed across the whole organization, this work wasthe cornerstone of the new culture in R&D areas.

First stage: the DfE HandbookDeveloping a DfE Handbook took over a year. Itinvolved technological monitoring, together withselection and implementation of concepts thatcould generate value added. The Handbook out-lines work to be done in the context of DfE at eachstage of the research process, giving researchers’work an environmental perspective.

The Handbook introduces the user to topicssuch as sustainable development, environmentalimpacts, and the life cycles of products andprocesses. Numerous references to sources of fur-ther information are provided, and users areencouraged to refer to them.

An analysis of projects in the laboratory and atthe pilot plant and industrial stages is provided,demonstrating how the DfE concept can beincreasingly implemented. At each stage DfE canbe approached from various perspectives. How-ever, DfE implementation is always aimed atmaintaining a balance among three elements:environmental considerations, social impacts andproduct profitability. The use of indicators isunavoidable.

Second stage: selecting a project as abusiness caseA project was then chosen as a business case. Thisproject was at an advanced phase: research had

reached the laboratory level. In the context ofDfE, the need to replace one raw material withanother that posed less risk was identified.Replacement was not a simple matter. Experi-mentation went on for several months. As far asthe researcher in charge of finding new alternatematerials was concerned, the most persuasivearguments for making a change were: the long-term view; the preference for green products onEuropean markets; and savings in terms of facili-

ties where less protection and control equipmentwould be needed. Eventually, she found a feasiblenew material. While she had never acknowledgedthat she might agree to change materials, in theend a new material was found that was complete-ly safe. Tests with respect to equalling or improv-ing product performance still remain to be carriedout. The work is still ongoing, but the fact that theleading researcher was convinced of the need forchange represents a substantial achievement.

Figure 1Elements to be considered in Design for the Environment

Design for the Environment

Design for Sustainable

Development

Design for Health and Safety

Design for Environmental

Protection

Ecological Habitat

Protection

Species Diversity Protection

Global Climate Protection

Air and Water Quality Protection

Design for Resource

Preservation

Soil and Forests Preservation

Energy Preservation

Water Resources Conservation

MaterialsPreservation

Design for Decreasing

Chronic Risks

Prevention and Reduction of

Pollution

Reduction of Toxic Substances

Use

Reduction of Chronic

Exposures

Hazardous Wastes

Conversion

Design for Accident

Prevention

OccupationalHygiene

and Health

Management of Transportation

Risks

Product Safety for Consumers

Hazardous Materials Reduction

Figure 2Business strategies

VISION

TOWARDS THE FUTURE

CURRENT

TO THE INTERIOR TO THE EXTERIOR

LOCATION Source: Stuart Hart/ Sustainable Enterprise Academy

☞ PRODUCTIVE PROCESSES MODERNIZATION

☞ ENVIRONMENTALTECHNOLOGIES

☞ ENVIRONMENTAL MANAGEMENT SYSTEMS: ISO 14000, etc.

☞ CP, DFE, ECO-EFFICIENCY, etc.

☞ LEGAL COMPLIANCE

☞ SUSTAINABLE DEVELOPMENT STRATEGIES

☞ UNATTENDED MARKET NEEDS

☞ RELATIONSHIP WITH INTERESTED PARTIES

☞ TRANSPARENCY

☞ PRODUCTIVE CHAIN MANAGEMENT

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This business case (described in greater detailbelow) lasted almost a year, involving continuousinteraction with the researcher, sharing of techni-cal information and making her more aware ofenvironmental considerations.

Business case: solvent-based adhesives Solvent-based adhesives are solvent and resin mix-tures that harden as the solvent evaporates. Theuse of polyurethanes in adhesives has severaladvantages, such as good adhesion to metal andor to paper sheets and heat resistance.

Most adhesives, including polyurethane ones,are formulated with some solvents, either VOCs(volatile organic compounds) or HAPs (hazardousair pollutants). The most common solvents usedin formulating adhesives are hexane, methylethyl-cetone, phenol, toluene, xylenes and thinner.

Worldwide regulatory requirements are leadingto the substitution of a number of chemicals. Inthe case of adhesives, one option is to use less ofthese products. Another is to find alternate sol-vents not included on the list of VOCs or HAPs.2

In the United States, the DfE Adhesives Tech-nologies Partnership Program looks for solventsor alternate technologies that could be developedfor the purpose of mitigating health and environ-mental impacts resulting from these products’use.3

Work consisted of characterizing the materialscurrently being used and identifying replacementsif necessary. In this instance, removal of a toxicaromatic compound was proposed.

Environmental and safety benefitsThe environmental and safety benefits of using adifferent material were:◆ reduction in the pollution burden on subsoildue to waste from the manufacturing process, aswell as to the packaging in which solvent is mar-keted, as toxic waste disposal (including the con-tainers) is to landfill; ◆ not increasing generation of photochemicalsmog; elimination of emissions of organic vapour; ◆ improved product safety, eliminating the risk tothe user arising from vapour emissions of residualsolvent.

Social aspectsSocial aspects were:◆ reduction of chronic exposure to personnel; ◆ elimination of community risks related to trans-port of the solvent; ◆ development of a product for consumption bychildren that is free of toxic compounds.

Product profitabilityBoth the solvent and the replacement material areimported. The cost of the replacement materialwas much lower; forming links with the new for-eign supplier had economic benefits.

Capitalizing on experience for use ineducationConclusions reached for this stage are:◆ The major difficulty with incorporating DfE in

researchers’ work is that their paradigm of think-ing in terms of product performance alone has tobe changed. Making researchers aware of the lifecycle concept is a good way to encourage them tobroaden their vision of new product design;◆ At the beginning, researchers refused to recog-nize the value added by DfE. It was eventuallyimplemented as a result of their own convictions;◆ Thinking environmentally added to the diffi-culty of researchers’ work at first, but they cameto feel satisfied about the product’s more compre-hensive design.

When researchers allow themselves to seekalternatives, these alternatives can be found. Firstof all, however, they must be convinced that thereis such a need, and this may take months.

Third stage: Progressive DFEimplementation In the third stage, two ongoing technological pro-jects were chosen: one in the pilot phase (Figure2) and the other in the commercial phase.

In accordance with the outcome of the secondstage, where the need to educate people aboutDfE was identified, the strategy chosen was toappoint a DfE-trained engineer to follow theresearchers closely in their tasks and to identifyenvironmental opportunities. Working from thestandpoint of the product’s life cycle (Figure 3)was a novelty for the researchers.

The most difficult barrier to overcome in con-structing a bridge for communication betweenresearchers and the DfE advisor was theresearchers’ feeling of ownership of their work.Communication slowly began to flow once theresearchers recognized that DfE could enrich whatthey do. At the end of this stage, the advisor wasrequired for many more tasks, not only those

Figure 2Flow chart: modified rubber

Aliphaticcompound

Aliphaticcompound

■ Evaluated elements

Vapoursventing

Liquidrubber

Modifiedrubber

Oxidizing compound

Water Othercompounds

Othercompounds

Wastewaterwitharomatic

Inorganiccompound

Solid rubberReaction

Styrene

Energy Energy

MixingHeating Mixing

HeatingMixingHeating

Energy

ButadeineModification

Coagulation(washing and

drying)

Figure 3Product life cycle

Raw material extraction

Manufacture

TransportationUse

Reuse

Remanufacturing

Recycling

Disposal

◆ Use of renewable and non-renewable resources

◆ Impact on surroundings (environmental, social and economic)

◆ Environmental impact ◆ Disposal cost

◆ Efficiency of transforming resources

◆ Emissions, energy, air, water and soil

◆ Impact on surroundings

◆ Risks for community, environment and facilities

◆ Economic assessment of the above

◆ Risks en route: community, environment,facilities

◆ Economic impact

◆ Product risks◆ Economic value

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related to projects that were part of the case studybut also routine experimentation where environ-mental considerations needed to be taken intoaccount. This advisor-researcher interaction wasvery useful. However, the company’s organiza-tional structures (taking advantage of synergies,multifunctionalism) led to the decision thatresearchers themselves should be the driving forcebehind DfE implementation while the divisionalgroup advised on specific aspects.

During this stage of the research process, agroup that had not been expected to be an activeparticipant in DfE implementation becameimportant: those actually operating the pilotplant. Once the researcher defines the formula-tions, plant operations become the responsibilityof other personnel. The pilot plant’s activities werefocused on identifying opportunities to optimizematerials and energy through cleaner production.Cleaner production is an extremely useful tool foridentifying eco-efficiency opportunities.4

The equipment designed for experimentationat the pilot stage is usually adequate for theresearchers’ routine tests, but it was not entirelyadequate for the measurements required by DfE.Thus, the advisor made several theoretical com-putations that resulted in difficult and extendedwork. While the advisor played an important rolein DfE implementation, plant personnel shouldperform these tasks in future work.

Results obtained at subsequent stages are sum-marized in Figure 4. Each stage lasted two fullyears.

Regarding the project that was in its commer-cial phase, no progress was possible. Some concernexists about involving the client in something newand presenting it to him upon completion ofresearch. Clients should be involved in DfE fromthe very beginning; when initial research is pre-sented, the evaluation that will be carried outshould be stated and the client should recognizethe added value to be gained from DfE.

Process descriptionFigure 2 shows the process of modified rubber for-mulation. In the reaction stage the rubber is man-ufactured from monomers and other organiccompounds. The research project consisted ofincorporating an intermediate stage called “mod-ification” in which the rubber is modified withoxidizing processes to improve its properties. Thefinal stage is coagulation, washing and drying, inwhich aliphatic solvent (a type of hydrocarbon) isrecovered.

DfE contributions were as follows:

Modification stage◆ Two oxidative compounds with corrosive char-acteristics and highly oxidizing properties wereevaluated. One contained halogenated materialsas impurities, which made it less environmentallyfriendly. The most environmentally friendly com-pound was chosen. ◆ This compound was submitted for analysis, as achoice needed to be made between two possibleconcentrations. The highest concentration wasconsidered feasible, as a smaller amount of it

would be required in the process. However, at35% concentration the compound showed haz-ardous characteristics; at a concentration of 30%it presented no hazard. The lower concentrationnecessitated the use of a greater amount of thecompound. As it was non-hazardous, the risk tocommunities during transport was eliminated,along with the higher costs of hazardous materi-als transport. The lower concentration was there-fore recommended.

Benefits from choosing the mostenvironmentally friendly compoundEnvironmental and safety benefits◆ air pollution not increased; emissions of halo-genated organic vapour eliminated;◆ use of chemical products reduced (in this sub-stance’s liquid form, as opposed to the solid formof the other compound, no solvent is required fordilution);◆ elimination of probable chronic exposure of per-sonnel to halogenated compounds;

Social benefits◆ elimination of risks to the community related toemissions of halogenated organic vapours duringtransport;

Product profitability◆ reduced generation of environmental emissions(air, water); avoidance of use of a material requir-ing investment in the control and reduction ofemissions of halogenated compounds; ◆ reduced transport costs, as handling of haz-ardous materials not required;

Benefits gained when the lowerconcentration is chosenEnvironmental and safety benefits◆ hazardous waste reduction, as 84% of the oxi-dant consumed eliminated as waste; ◆ reduced consumption of chemical compoundsrequired to treat wastewater produced by exces-sive acid consumption; ◆ reduction of risks to workers during producthandling;

Benefits for the pilot plant process Energy◆ pilot tests carried out at same location whererubber is manufactured (Altamira), to take advan-tage of heat generated during the process and toavoid additional consumption of energy at theplant during the modification stage;

Product profitability◆ energy consumption savings if the pilot test iscarried out at the same location where rubbermanufactured;

Benefits at the coagulation stage Environmental and safety benefits◆ no increased generation of photochemical smog;emissions of organic vapours of the aliphatic sol-vent eliminated at pilot plant;

Product profitability◆ considerable savings opportunities due to iden-tification of losses (around 90% of aliphatic sol-vent when separated by evaporation duringcoagulation stage, due to faulty operation during

Figure 4Outcome (2001-2002)

✔ Replacement of solvents with materials less hazardous to the environment

✔ Social perception and environmental impact of final product were the main elements influencing restart of research work with another product

STYRENE BUTADIENE RUBBER

Through cleaner production, the following points were identified and quantified:

◆ 84% of raw materials used in pilot plant weredisposed of as wastes

◆ Evaporation losses equivalent to $1000/day-batch

◆ Energy saving opportunities translated into costs:around $1000/day-batch

Stages of DFE

Feasibility study

Technologicalmonitoring

Pilot tests

Industrial scaletests

Marketing

Commercialization

HOT MELTS

STYRENE BUTADIENE RUBBER

◆ Detection of logistical opportunities for import of a raw material

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its recovery); it is necessary to modify the pilotplant to avoid these losses.

Capitalizing on experience for use ineducationConclusions at the end of the third stage can besummarized as follows:◆ Incorporating DfE concepts requires a link tothe researchers’ work if this technology is to beincorporated in a practical way. Under the DfEscheme they not only learn, but a total transfor-mation of their beliefs occurs (with an environ-mental vision now basic to their work); ◆ Of course, it is also necessary that researcherslearn about the subject through reading and,above all, attending forums where they can shareexperience with their peers;◆ A change in pilot plant structures follows theincorporation of DfE in research; use of a greaternumber of instruments to ease the measuringwork is considered;◆ DFE is a synergy tool; not only should plantpersonnel be looking for savings opportunities,

but for researchers it becomes a hypothesis to becorroborated;◆ Clients are of strategic importance. They willdrive environmental work when they realize theadded value it provides in terms of market value,image and environmental performance. Whenclients are unaware of these benefits, it is up to thecompany to make the clients sensitive to them. Thatis the only way for the value added resulting fromDfE implementation to be recognized. Clients, inturn, can commercialize the new product using thesame environmentally related information.

Notes1. See Industry and Environment review, Vol. 25,No. 3-4 (cleaner production issue, July-Decem-ber 2002), Glossary, p. 3, and passim; and Volume26, No. 2-3 (sustainable building and construc-tion issue, April-September 2003), passim.2. There are many sources of information con-cerning the substances on these lists. See, forexample, the site of the American Solvents Coun-cil (www.americansolventscouncil.org/faqs.asp).

3. www.epa.gov/dfe/pubs/tools/ dfefactsheet/dfe-facts8_02.pdf.4. See the article by Mily Cortés Posas and Noni-ta T. Yap on page 68.

References DESC SA de CV Annual Report, 2003.

Diseño para el Ambiente en la función de investi-gación y desarrollo de GIRSA (manual). (M. Ferat,T.-H. Martínez, M.A. Valenzuela. GIRSA Cor-porativo SA de CV., 2001.

Exploring sustainable development. WBCD GlobalScenarios 2000-2050. Summary Brochure. WorldBusiness Council for Sustainable Development(www.betterworld.com/BWZ/9610/explore.htm).

Technology Vision 2020 (American Chemical Soci-ety, American Institute of Chemical Engineers,Chemical Manufacturers Association, Council forChemical Research, Synthetic Organic ChemicalManufacturers Association), 1996 (www.ccrhq.org/vision/welcome.html). ◆

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A Danish company’s use of Best Available Techniques for wastehandling and treatment

Vagn S. Christiansen,Environmental Consultant, Lennart Scherman, Production Engineer,

Per Kjærgaard, Environmental Manager, and Per Andreasen, Production Manager, Kommunekemi a/s,

Lindholmvej 3, DK-5800 Nyborg, Denmark ([email protected])

The European Union’s Integrated PollutionPrevention and Control (IPPC) Directive,adopted in 1996, provides a framework for

issuing operating permits to installations that carryout the types of industrial activities described inAnnex 1 to the Directive.1 These permits are to setout conditions based on Best Available Techniques(BAT), as these are defined in the Directive, toachieve a high level of protection of the environ-ment as a whole.

The European IPPC Bureau2 catalyzes theexchange of technical information on Best Avail-able Techniques. It creates reference documents(BREFs) which Member States are required totake into account in when they determine condi-tions for the delivery of operating permits. BREFsinform decision-makers about what may be tech-nically and economically available to industry toimprove environmental performance.

In the spring of 2004 the IPPC Bureau pro-posed the elaboration of a BREF describing thedifferent techniques used to treat waste in EUcountries. Kommunekemi3 contributed to thedraft BREF on hazardous waste incineration bydescribing some special pre-treatment and flue gascleaning operations.

Kommunekemi is located east of the city ofNyborg, Denmark, within ten metres of a golfcourse. It is next to a food producing company; tothe north is a public camping site near a beach.Kommunekemi’s location puts a focus on the useof Best Available Techniques concurrently withthe company’s development.

Today Kommunekemi has three modern rotarykiln plants with a total annual treatment capacityof 180,000 tonnes of hazardous waste. In 2003 itreceived and treated well over 120,000 tonnes ofhazardous waste from Denmark and abroad.

Along with the development of the incinerationfacility, there has been a focus on developing pre-treatment plant and possible recycling techniquesand the utilization of heat from the processes.These processes are described below. Great atten-tion is continuously paid to emissions monitoringand to off-gas ventilation from storage tanks, etc.

The drum-emptying systemsFor several years all packaged liquid waste forincineration was manually emptied into a vacu-um tank, using a hose, and then pumped to stor-age tanks. Solid packaged waste was manually cutup and subdivided into portions a maximum of100 kilograms in size. Drums containing thewaste were then fed directly into the rotary kilns.

However, the plant faced a series of problemsconcerning the external environment and occu-pational health and safety. These resulted in theestablishment of two new automatic drum-emp-tying systems in the 1990s, one for liquid wasteand the other for solid and pasty waste.

The drum-emptying system for liquidwasteThe original plant for emptying liquid waste wasreplaced by a closed, automatic plant (Figure 1)in which drums and other packaging with liquidcontents are cut up into fragments in a doubleshredder.

Packaging is carried on a roller conveyor fromthe reception and unloading area to the feedingsluice. At this stage individual packaging is iden-tified by bar codes. The process control systemensures that waste has been approved for treat-ment at the plant. The feeding sluice is flushedwith nitrogen until the danger of an explosion iseliminated. Packaging then slides into the shred-der, where it is cut up into 5-10 centimetre frag-ments.

After thorough mixing, small pieces of packag-ing are sorted using a sieve. A magnetic separatordivides them into magnetic and non-magneticscrap. The magnetic fraction is washed and deliv-ered to a steel mill for recycling. The non-magnet-ic fraction, consisting mainly of plastic, woodenand other parts that cannot be dissolved, is incin-erated in rotary kilns.

Having passed the sieve, the liquid waste is fur-ther homogenized and continuously stirred to

SummaryIn the context of the Directive on Integrated Pollution Prevention and Control, the Danish com-pany Kommunekemi has contributed to the elaboration of a EU reference document on BestAvailable Techniques for safer handling and treatment of hazardous waste. Several years agoKommunekemi faced environmental impact and occupational health and safety problems.Two new automatic drum-emptying systems (one for liquid waste, the other for solid and pastywaste) were installed in the 1990s. This article describes the processes used to improve envi-ronmental and safety conditions at and around Kommunekemi’s facility.

RésuméDans le cadre de la Directive relative à la prévention et à la réduction intégrées de la pollution,l’entreprise danoise Kommunekemi a participé à l’élaboration d’un document de référence del’UE sur les meilleures techniques pour une manipulation et un traitement plus sûrs des déchetsdangereux. Cette entreprise avait été confrontée il y a plusieurs années à des problèmesd’impacts sur l’environnement, d’hygiène et de sécurité du travail. Deux nouveaux systèmesautomatiques de vidange de fûts (un pour les déchets liquides, l’autre pour les déchets solideset pâteux) ont été installés dans les années 1990. L’article décrit les procédés employés pouraméliorer l’état de l’environnement et les conditions de sécurité à l’intérieur de l’usine et dansles environs.

ResumenEn el marco de la Directiva sobre Prevención y Control Integrales de la Contaminación, laempresa danesa Kommunekemi ha contribuido a la preparación de un documento de refer-encia de la UE sobre las mejores técnicas disponibles para el manejo y tratamiento seguros delos desechos peligros. Hace varios años Kommunekemi enfrentó problemas de impacto ambi-ental y salud y seguridad ocupacional. En la década de 1990 se instalaron dos nuevos sis-temas automáticos de tambor de vaciado (uno para desechos líquidos y otro para desechossólidos y de consistencia pastosa). Este artículo describe los procesos empleados a fin de mejo-rar las condiciones ambientales y de seguridad en el interior y los alrededores de las instala-ciones de Kommunekemi.

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avoid settling. The mixture is finally pumped to15,000 m3 storage tank farms. Capacity is in-creased by 40,000 m3 external storage facilities inCopenhagen.

For safety reasons, the plant is completelyflushed with nitrogen to reduce the oxygen level(which must be under 8%). Thus the gas phase inthe plant cannot explode.

The plant has been in operation since 1990. Ithas a treatment capacity of approximately 3.5tonnes of packaged liquid waste per hour, orapproximately 7000 tonnes per year for one shift.Approximately 10% of this amount is steel scrap,which is recycled.

The drum-emptying system for solidwasteThe solid portion of the packaged waste was stillincinerated in the rotary kilns directly in the pack-aging, as it could not be treated in the drum-emp-tying system for liquid waste. However, Kom-munekemi still had a distinct need for plant toempty, homogenize and continuously feed thepackaged solid waste.

In 1996 an automatic system for handling andemptying solid and pasty packaged waste wasbuilt. In principle, this plant (Figure 2) is similarto the liquid plant. However, it is of course ofmuch heavier construction.

The waste is transferred from storage areas to aroller conveyor. Again, individual waste is identi-fied by bar codes and the process control systemensures that it has been approved for treatment.

Waste and packaging are transferred to theplant by a sluice flushed with nitrogen. A batch ofwaste, typically five to seven pallets with packagedsolid waste, is crushed in the crushing chamber,where viscosity is adjusted up or down by mixingin special waste fractions. From the crushingchamber the batch is pumped, using heavy pistonpumps, through the front shield and into therotary kilns.

At this plant there is no separation of steel scrapfor recycling, as the mixture is unable to pass asieve in the same way as at the “liquid plant”. Thesteel is oxidized during incineration and thenincorporated in the bottom slag from the rotarykilns.

For safety reasons, the plant is completelyflushed with nitrogen to reduce the oxygen level(which must be under 8%). Thus the gas phasecannot explode.

The treatment capacity of the drum-emptyingplant for solid waste is 1.5 tonnes of waste perhour, or similar to approximately 12,000 tonnesannually in five shifts.

Improved environment and safetyconditionsEstablishment of the automatic drum-emptyingsystems has resulted in a number of improvementsin environmental and safety conditions at Kom-munekemi:◆ Occupational health and safety problems relat-ed to manual handling and emptying of packagedwaste have been reduced to a minimum;◆ Employees’ contact with hazardous substances

Figure 1Drum-emptying plant for liquid waste

Figure 2Drum-emptying plant for solid waste

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in waste during emptying has practically beeneliminated;◆ It is possible to recycle part of the steel frompackaging before it goes to the incineration plants;◆ More homogenous feeding of waste to inciner-ation plants has made possible better energy uti-lization and lower emissions to air; ◆ Feeding waste in a regular flow makes betterwaste combustion possible, and it increases thelifetime of the refractory in the kilns since there isless wearing by the steel drums.

Kommunekemi decided not to treat poisonousand reactive substances in the drum-emptying sys-tems. This decision was made in order to reducethe risk of accidents during operation and toreduce human health risk during repair and main-tenance.

Waste incineration Kommunekemi’s core business is incineration ofhazardous waste. It operates three rotary kilnincineration lines, all equipped with the necessaryflue gas cleaning device as required by EU andlocal Danish legislation. Beyond the legal require-ments, incineration lines (Figure 3) are equippedwith some additional facilities:◆ a system of steam turbines and heat exchangersto produce district heating;◆ incineration of ventilation gases from the tankfarm, drum-emptying plants, waste bunkers,unloading facilities for road tankers, etc.;◆ a special wet scrubber for removal of bromineand iodine from flue gases.

Energy recoveryKommunekemi has had long experience withwaste heat utilization, starting with the first incin-erator line in 1975 (where a steam boiler reducedthe temperature of waste flue gas, thus ensuringthe internal energy needed for waste pre-treat-ment). Spare steam was connected to a heatexchanger for district heating purposes. The sec-ond line with heat recovery was built in 1983. Thesize of the steam boiler was slightly increased by

entering part of the extended Secondary Com-bustion Chamber (SCC). In 1985 a back-pressuresteam turbine was connected to the district heat-ing system. The third incinerator line, including atwo-staged condensing steam turbine, was builtin 1989. A system for collection and distributionof low energy potentials was established in 1995.The first incinerator line was renewed and deliv-ered in 2003.

Steam production from the incinerator lines isconnected to a common energy net (Figure 4).Total energy production (delivered as processenergy, district heating and electricity) is widelymonitored. Net steam production and the type ofenergy needed are constantly optimized. The sys-tem is based on combined 35/12 bar superheatedsteam.

The low-temperature energy collecting systemreceives energy from water-based kiln and frontshield cooling systems, compressors, economizers,slag outputs, etc. These processes were originallydesigned to free air energy losses, but they wererebuilt for additional district heat delivery andinternal use. The low-energy system has increasedannual district heating delivery by 15% and iscapable of being extended further.

The combination of extended district heatexchangers, two steam turbines and the low-tem-perature energy collection system contributes towide flexibility, optimizing overall energy export.

Energy collected from the incineration lineswas earlier often lost to ambient air, due to greatvariations in the need of district heating. Todayalmost 100% of accessible energy is recovered.

Figure 4From waste to energy

Incinerator FIV

Heatexchanger

Distribution systemfor pre-treatment, auxiliary processes, internal use and energy recovery

Recovered low temperature energy

District heating

12.5 MWbackpressure/condensingturbine

3.8 MWbackpressureturbine

Incinerationprocess

Incinerator FI

Incinerator FII

Figure 3Incineration lines, including flue gas treatment

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Annual energy export is approximately 160 GWhas district heating and 50 GWh as electricity.

The off-air plantEven very low concentrations of volatiles willoften create unacceptable odours, causing incon-venience with respect to the internal and (if theodours are strong) external environment. To dealeffectively with local emissions of volatiles (e.g.hydrocarbons from unloading activities, process-es in one of the drum-emptying plants), an “off-airplant” was established in 1993 (Figure 5).

Eleven sections of the plant area were defined,including about 50 spots where emissions wouldnormally occur during operations. The pipe andcontrol system from the off-air plant is widelyspread throughout the whole area. Ventilatedvolatiles will effectively be sucked by the medium-pressure fan located near the incinerator plants.To maintain a constant gas flow, ventilated VOCsare mixed with ambient air, entering the suctionpart as the last input point. The fan distributes thevolatiles further to one of the three SCCs, wherehigh-temperature incineration takes place.

The closed system is designed for -200 to +400mBar. It operates with a pressure of -80 to -100mBar on the suction part and +50 to +150 mBar

after the fan. The galvanized pipe system isdesigned to withstand a pressure of 10 bars.

Differences in tank volumes (and thereby pres-sure) during filling and emptying periods are reg-ulated in such a way that the off-air plant willventilate the compressed tank gases in the ratio25/20 mBar, and the inert supply system will addnitrogen in the ratio 10/15 mBar.

To eliminate potential risk of flame propagation,the ex-proof system is equipped with more than 50static flame arresters, redundant monitoringequipment, etc. The off-air plant is designed to aminimum velocity of 17 metres/second and theSCC nozzles ensure a minimum velocity of 55metres/second.

Removal of bromine and iodine fromflue gasesWhen waste containing bromine or iodine isincinerated, the flue gas will contain these sub-stances, which are brown and purple in colour.There are no official EU flue gas limits for bromineand iodine. However, due to their colour they can-not be accepted in the flue gas. Kommunekemi hastherefore installed special bromine/iodine cleaningcolumns in all three incineration lines. Bromine/iodine cleaning works as follows:

Br2 + SO32- + H2O → 2Br- + SO42- + 2H+ (1)and

I2 + SO32- + H2O → 2I- + SO42- + 2H+ (2)

From the chemical reaction, it can be seen thatthe reduction of bromine/iodine to bromide andiodide causes lower pH and sodium hydroxidemust therefore be added to keep the pH at ap-proximately 7.5.

Unfortunately the sulphite will also be con-sumed by the remaining oxygen (approximately10 %) in the flue gas:

O2 + 2SO32- → 2SO42- (3)

This reaction does not cause any change in pH.However, expensive raw material (sodium sul-phite) is consumed without any useful effect on theprocess.

Exactly similar chemical reactions will also takeplace in the SO2 scrubber (i.e. when the concen-tration of SO2 in the flue gas is high enough, therewill be sufficient sulphite to reduce bromine/iodine to bromide and iodide). It can therefore beconcluded that as long as the SO2 load in the fluegas is high, there is no need for the bromine/ iodinestage. However, it is Kommunekemi’s experiencethat the sulphur content in hazardous waste hasfallen during the last year, thereby creating a needfor a bromine/iodine stage.

To reduce the amount of “wasted” sulphite, asdescribed in chemical reaction (3) above, an auto-matic analyzing device for bromine and iodine hasbeen installed in clean flue gas lines. When the bro-mide concentration exceeds 40 mg/Nm3 or iodineexceeds 80 mg/Nm3 (both levels clearly below thevisible levels), the bromine stage automaticallystarts. Immediately afterward, the concentrationof bromine and iodine in the cleaned flue gas willbegin to decrease.

Notes1. Directive 96/61. See http://europa.eu.int/comm/environment/ippc/index.htm, and (forAnnex) http://eippcb.jrc.es/pages/Directive.htm#annex2. See http://eippcb.jrc.es.3. Kommunekemi a/s was established in Nyborg,Denmark, in 1971. It collects and treats hazardouswaste from industries and households. The com-pany produces and delivers almost 100% of thedistrict heat used in the city of Nyborg and 15-20% of that city´s electricity consumption. ◆

Figure 5Off-air plant

VOC - sources

Carbon filter

Typical installation for a tank unit

10/15 mbar

-0.7/40 mbar

25/20 mbar

Off-air plant

SCC SCC SCC

N2

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Shipbreaking and e-waste: the internationaltrade in hazardous waste continues

Kevin Stairs, Greenpeace International, Otthos heldingstraat 5, 1066 AZ Amsterdam, The Netherlands ([email protected])

Headlines began to appear by the mid 1980sconcerning the discovery of barrels ofmixed industrial poisons dumped on trop-

ical beaches – and of vessels laden with toxic trashsearching the coastlines of developing countriesfor a port of call. These shipments of hazardouswaste were highly publicized evidence of anextremely profitable trade that threatened tobecome an epidemic, as industries in developedcountries began to avoid national environmentaland health protection laws by exporting their haz-ardous waste.

The Basel Convention on the Control of Trans-boundary Movements of Hazardous Waste andTheir Disposal was signed by in 1989.1 While thevast majority of signatory countries wanted to bantrafficking in hazardous waste (especially fromdeveloped to developing countries), certain high-ly industrialized countries fought any such prohi-bition. The original Convention was primarily aninstrument for monitoring transboundary move-ments of hazardous waste (i.e. those crossing inter-national borders) rather than for reducing orpreventing them. Many developing countries

therefore refused to sign or ratify the Convention.Instead, they initiated regional or national banson the import of hazardous waste.

Hazardous waste imports had been banned inover 80 countries by 1992. This led to the 1994decision to ban under the Basel Convention (as of1 January 1998) the export of all forms of haz-ardous waste from Organisation for Economic Co-operation and Development member countries tonon-OECD countries, including for recycling.2

New amendments to the Convention came intoeffect in 1995.

China, Malaysia and African countries playedimportant roles in developing the Basel Ban.3 Thishazardous waste trade ban was proposed by China,together with the Group of 77 UN countries(G77). It was supported by the EU and eventuallythe international community.

New hazardous waste trade issues have contin-ued to emerge since the 1990s. Two are summa-rized below: the health and environmental effectsof shipbreaking, and those of electronic wasteoriginating in the most highly developed coun-tries.

Shipbreaking: a form of hazardouswaste tradeExposure to hazardous substances on end-of-lifeships has a tremendous impact on the health andsafety of thousands of workers in Asian breakingyards. Ship owners send their end-of-life vessels toAsia “as is”. They are full of asbestos, PCBs, wasteoils and other substances (e.g. lead paint, organ-otins, heavy metals). The export of such sub-stances from OECD to non-OECD countries hasbeen banned (see above). By allowing currentpractices to continue, the shipping industry istherefore acting in contradiction to principlesestablished in international law.

Five years ago these practices were news. Todaythey are shameful. They are a shame with respectto those responsible: the shipping industry. Shipowners continue to ignore calls for change fromlocal groups, shipbreakers and governments. Theyare also a shame with respect to the internationalcommunity, which so far appears to have beenunable to take effective measures to prevent pol-lution and danger to human lives from ship-breaking.

When the Basel Convention and the Basel Banwere developed, the international community wasnot looking at old seagoing vessels. It was lookingat waste on ships – not ships as waste. In view of thehazardous substances that end-of-life vessels con-tain, these vessels are clearly Basel waste. Mostships being dismantled today were built in the1970s, prior to bans on many hazardous materi-als. In the West these materials are now moni-tored. Their disposal is regulated and is carried outusing highly specialized procedures.

Shipbreaking can be considered from severalpoints of view. For example, there is a need for thesteel. Shipbreaking also provides jobs for poorpeople. And ship owners need to get rid of thesevessels cheaply. The latter consideration currentlydominates, and this is unacceptable.

In January 1998 Greenpeace, the Basel ActionNetwork and a number of Indian citizens andtrade unions launched their opposition to themanner in which the shipping industry disposesof toxic end-of-life ships. Full-scale shipbreakinghad been carried out in India, China, Pakistan andBangladesh for almost two decades. Many liveshad been lost and many others had been harmed.Environmental damage in the vicinity of ship-breaking yards was equivalent to that resultingfrom over a century of industrialization.

Problems associated with shipbreaking werebrought to the attention of the Basel Convention,the International Maritime Organisation (IMO)

SummaryFar more resources are needed worldwide to reduce/eliminate the generation of hazardousmaterials and products. Ever-increasing hazardous waste generation in developed countriesneeds to be curtailed by making substitution mandatory. Current hazardous waste recyclingpractices are unsustainable. Two of the most important hazardous waste trade issues todayare shipbreaking (which often occurs in Asian breaking yards) and exports of electronic wastefrom the most highly industrialized countries to developing countries for processing. Each ofthese activities has serious impacts on human health and the environment.

RésuméIl faudrait mobiliser beaucoup plus de ressources au niveau mondial pour réduire, voire fairecesser la production de matières et produits dangereux. Dans les pays développés, il faut frein-er la production croissante de déchets dangereux par des mesures rendant obligatoire lerecours à des produits et procédés de substitution. Les pratiques actuelles de recyclage desdéchets dangereux sont incompatibles avec le développement durable. Deux des principauxproblèmes que pose actuellement le commerce des déchets dangereux sont la démolition desnavires (souvent dans des chantiers de démolition en Asie) et les exportations de déchets élec-troniques des pays les plus industrialisés vers les pays en développement pour transformation.Chacune de ces activités a des conséquences extrêmement graves sur la santé humaine etl’environnement.

ResumenSe requiere de muchos más recursos para reducir o eliminar la generación de materiales y pro-ductos peligrosos alrededor del mundo. Es necesario restringir la creciente generación de dese-chos peligrosos en los países desarrollados mediante la obligatoriedad de la sustitución. Lasprácticas actuales para el reciclaje de desechos peligrosos son insostenibles. Dos de las cues-tiones más importantes en la actualidad en cuanto a los desechos peligrosos son el desguacemarítimo (que suele ocurrir en áreas de desguace en Asia) y la exportación de desechos elec-trónicos para su procesamiento desde los países más industrializados hacia países en desar-rollo. Ambas actividades tienen graves efectos en la salud humana y el medio ambiente.

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and the International Labour Organisation (ILO),among others. Greenpeace, together with a coali-tion of countries, requested that immediate actionbe taken. Some shipbreakers, governments andother stakeholders have demonstrated a willing-ness to take steps to protect workers and the envi-ronment. Despite their good intentions andpreliminary initiatives, however, it has to be con-cluded that business continues as usual. This main-ly results from failed attempts at self-regulation bythe shipping industry using voluntary measuresonly. In addition, the Parties to the Basel Conven-tion or IMO members have not yet come up witha comprehensive global set of legally binding rules.

The fundamental gap between the international“water” authority (IMO) and the “land” authority(the Basel Convention) is clearly seen in the IMOguidelines adopted on ship recycling (December2003).4 A fatal assumption in the IMO guidelinesis that the industry can still freely export ships with-out decontamination prior to breaking. This meanscontinuing to export hazardous waste. Moreover,the IMO guidelines are not based on the interna-tionally recognized “polluter pays principle”.Responsibility for handling hazardous waste isplaced exclusively in the underpaid hands of work-ers in the shipbreaking yards. The IMO guidelinesalso sidestep the issue of prior decontamination, asrequired under the Basel Convention guidelines onship dismantling,5 as well as the Basel Conventionobligation to minimize generation and trans-boundary movements of hazardous waste.Export-ing toxic waste on land can be illegal, whileexporting the same toxic waste by sea – leading tothe same environmental problems – is accepted.

There is a prevailing sentiment in the shippingindustry and among a number of IMO members(“flag of convenience” countries) that ships cannever become waste and are not subject to theinternational principles established by the BaselConvention. Turkey and India, two countries thathave experienced pollution resulting from thescrapping of toxic ships, have called on the IMOseveral times to implement the obligations underthe Basel Convention on the export of end-of-lifeships, and to establish mandatory rules com-pelling ship owners to clean ships before they arescrapped. Countries that are protecting the inter-ests of the shipping industry (e.g. Panama andLiberia) have constantly blocked this call.6

Responsibility for regulating international ship-breaking can no longer be left to flag states,including influential “flag of convenience” coun-tries. It is of major importance that countries ofeffective ownership, as well as port states, reclaimtheir responsibility for implementing existingrules and regulations on the export of toxic wasteby shipping companies as they apply to any othercitizen or entity within their territory. These statesneed to take responsibility for enforcing the BaselConvention (and other international treaties con-cerning the export of toxic waste on end-of lifeships) to prevent the ongoing pollution and dan-gers associated with shipbreaking in Asian ship-breaking yards.

Greenpeace has identified three other maingoals:1. The shipbreaking countries have begun andwill continue to improve standards at shipbreak-ing yards. However, Greenpeace has always

believed that clean shipbreaking is a sharedresponsibility between exporting and receivingcountries. Only a mandatory IMO regime, instrict compliance with the well-established Baselprinciples and Convention, will ensure that theshipping industry and ship-exporting countriesshoulder (with the shipbreaking countries) theirshare of the responsibility for preventing pollutionassociated with the breaking end of a ship’s life.The problem should be addressed at the source:the construction of clean and easy-to-dismantleships should be regulated within IMO.2. The lucrative system of flags of convenienceneeds to come to an end. This will increase trans-parency in the shipping industry. Increased trans-parency will expose the polluting ship owner tothe law of the country of effective ownership.Equally, it will mean that countries of effectiveownership (as well as port states) can carry outtheir responsibility for implementing existingrules and regulations applying to ship owners asthey apply to any other citizen or entity withintheir territory.3. Shipowners receive approximately US$ 1.5 bil-lion per year (average scrap volume of 9 mlnldt/year7 against an average scrap price of US$ 170per ldt) by exporting old ships to India,Bangladesh, Pakistan, Turkey and China forbreaking. This means that the shipping industryactually receives money for being allowed torelease hazardous waste into the environment andworkers’ bodies and to pollute Asia’s coastal zonewith waste oils. This does not reflect a “polluterpays principle” but a “polluter profits principle”,and it is unacceptable. The shipbreaking industry

Greenpeace “Toxics Patrol” at shipbreaking yard

GR

EE

NP

EA

CE

/MO

RG

AN

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should no longer be seen as a lucrative market inwhich ship owners and ship brokers profit fromexternalizing toxic pollution costs, but as a servicecarried out by the shipbreaking countries – a ser-vice the world needs and which should not be sub-ject to the liabilities associated with the handlingand disposal of toxic and hazardous waste. Theseare burdens to be borne by shipping companies,which are the “purchasers” of the service.

Greenpeace is in favour of introducing an inter-national shipbreaking fund, paid for by shippingcompanies, together with the development ofmandatory global rules requiring ship owners totake responsibility for toxic waste on their shipsand the safe breaking of these ships.

The high-tech trashing of ChinaA new form of hazardous waste trade is associatedwith the rapid development of the electronicsindustry. In 1998 it was estimated that 20 millioncomputers had become obsolete in the UnitedStates, and that the overall volume of e-waste was 5 to 7 million tonnes. According tothe report Exporting Harm: The High-Tech Trash-ing of Asia,8 well-informed industry insiders haveindicated that around 80% of electronic wastegenerated in the US will be exported to Asia, of

which 90% is destined for China.In December of 2001 the Basel Action Net-

work (BAN), with the logistic support of Green-peace, carried out an investigation to observe atfirst hand the recycling conditions for importede-waste in China. It was discovered that Guiyu,about an hour’s drive west of Shantou City in theChaozhou region of the greater GuangdongProvince, is one of the e-waste hotspots. Since1995 Guiyu has been transformed from a poor,rural, rice-growing community into a booming e-waste processing centre. While rice is still grown,virtually all the available building space is occu-pied by hundreds of small, often specialized e-waste recycling shelters and yards.

Chinese press accounts have estimated that100,000 people are employed in the e-waste sectorat Guiyu. However, such an estimate would beextremely difficult to make in view of the fluctu-ating migrant workforce. It would be virtuallyimpossible to estimate how much e-waste isprocessed there annually. An anecdotal observa-tion is that there is very high turnover, with hun-dreds of trucks moving in and out daily and asteady rumble and buzz of activity. These obser-vations have led us to conclude that Guiyu is a sig-nificant destination for the world’s e-waste. From

the institutional labels, markings, maintenancestickers and phone numbers on the computersand peripheral units it is quite easy to determinethe source of this e-waste. Most is clearly of NorthAmerican origin, with Japanese, South Koreanand European waste present to a lesser extent.

Many workers are women and children. For themenial jobs of dismantling and processingimported e-waste, the average wage equals US$1.50 per day. This wage is accepted by the popu-lation and workforce, while people are unaware ofthe hidden health threats. Since the groundwateris polluted, water has to be trucked from the townof Ninjing 30 kilometres away.

Most activities in Guiyu involve physical dis-mantling with hammers, chisels, screwdrivers andbare hands. The most high-tech piece of disman-tling equipment seen was an electric drill. Theimmediate objective of most operations is therapid separation of primary materials.

Workers without any protective respiratoryequipment (or special clothing of any kind) opencartridges using screwdrivers and then wipe tonerinto a bucket using brushes or their bare hands. Inthe process of dismantling computers, a consider-able amount of material is collected and dumpedoutside the town along the river, where many of


Fighting environmental crime and protecting the environment: UNEP’s Green Customs Initiative

Environmental crime is a big and increasingly lucrative business – a multi-billion dollar global enterprise. Local and international crime syndicatesworldwide earn an estimated US$ 22-31 billion dollars per year from haz-ardous waste dumping, smuggling of proscribed hazardous materials, andexploitation and trafficking of protected natural resources. Illegal trade incommodities such as ozone depleting substances (ODS), toxic chemicals,hazardous waste and endangered species is an international problem with seri-ous consequences. It directly threatens human health and the environment,contributes to species loss, and results in decreased revenues for governments.

Illegal trade in environmentally sensitive commodities strengthens crim-inal organizations that also traffic in drugs, weapons and prostitution. Itseriously undermines the effectiveness of multilateral environmental agree-ments (MEAs) by circumventing agreed rules and procedures.

National and international regimes for integrated chemical managementrely on customs authorities to monitor and control flows of regulated chem-icals across borders. International agreements related to chemical manage-ment often restrict specific chemicals’ supply and demand at the nationallevel; some agreements concern phase-outs of harmful substances. Whereillegal trade occurs, incentives for chemicals control and phase-outs estab-lished in MEAs are considerably weakened. National customs authoritiesneed the capacity to monitor the chemicals covered by MEAs.

ContextThe issue of coordinating MEA implementation is high on the interna-tional agenda. Parties to such agreements (whether they contribute tofinancing or have responsibilities for making agreements work on theground) want to achieve synergies between treaties, improve cost-effective-ness and ensure compliance with MEA objectives. Coordination has beenemphasized repeatedly at international environmental meetings. Interna-tional organizations and convention secretariats all recognize the need toundertake activities that translate their desire for complementarity intoactions on the ground.

The illegal trade issue affects most MEAs with trade components. In eachcase it will be necessary to work with national and regional customs agen-

cies to combat such traffic. Many of the problems and solutions are similar.Therefore, cooperation on illegal trade is an excellent opportunity for inter-national organizations and MEA secretariats to work together on issues indifferent areas. UNEP’s Governing Council has made the link between theneed to promote cooperation between different Conventions and the impor-tance of addressing illegal trade in environmentally sensitive commodities.

ResponseCustoms officers are on the front line with respect to national efforts to com-bat illegal trade. If an MEA is to be successful, these officers must be empow-ered, equipped and trained. For example, import/export licensing systems

Facts about environmental crime:criminal organizations’ estimated annual earnings

from environmental crime

Estimated amount Type of activity(US$ billion)

10-20 Dumping of trash and toxic materials

6-10 Illegal trade in endangered species and animal parts

5-8 Theft of and illicit trade in natural resources, including illegal logging and trade in forest timber

1-2 Illegal trade in ODS

Criminal activity related to ozone depleting substances

20,000-30,000 metric tonnes Estimated size of global black market for ODS

10,000-20,000 metric tonnes Amount of CFCs smuggled into the United States each year, as reported by US Customs

US$ 600 million Amount ODS smugglers earn annually from selling to buyers in Europe and North America, as estimated by industry in 1998

US$ 150 million Amount of annual excise tax revenues the US government loses as a result of ODS smuggling, as estimated by industry in 1998

Source: International Crime Threat Assessment, December 2000(http://clinton4.nara.gov/WH/EOP/NSC/html/documents/pub45270/pub45270index.html)

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the dirtier operations take place.A small village where residents make

their living entirely by burning wires torecover copper has existed there for twoyears. A landscape of black ash residuecovers the ground and houses. Burningalways takes place in the middle of thenight, indicating that local authoritiesmay have frowned upon this activity. Itis extremely likely that due to the pres-ence of PVC or brominated flame retar-dants in wire insulation, emissions andash from burning these wires containhigh levels of brominated and chlorinat-ed dioxins and furans, two of the mostdeadly persistent organic pollutants(POPs). It is also probable that cancer-causing polycyclic aromatic hydrocar-bons (PAHs) are present.

In a survey conducted by the MedicalCollege of Shantou University andGreenpeace, it has been found that thee-waste “demanufacturing” industry inGuiyu impacts people’s health by dif-ferent degrees. Current e-waste treat-ment, such as circuit board incineration Ship being dismantled in a shipbreaking yard

are the main way countries regulate ozonedepleting chemicals crossing their borders.Without an effective monitoring and controlsystem, they would most likely not be able tomeet their international obligations to controlspecific trade under the Montreal Protocol.Their compliance will be at risk.

Active participation of trained customs offi-cers in supporting the import/export licensingsystem is a cornerstone of national compliancestrategies. Recognizing this fact, the Multilat-eral Fund for the Implementation of the Mon-treal Protocol supports specialized customstraining with respect to ODS. UNEP’s Ozon-Action Programme has designed and deliveredover 80 national and regional customs training workshops related to theMontreal Protocol as part of that support.

Based on that experience, the OzonAction Programme has determinedthat there is great potential to achieve synergies by developing a customstraining approach that involves not just the Montreal Protocol but otherMEAs as well. In 2001 OzonAction developed and pioneered the “GreenCustoms” concept, under which integrated training encompassing severalMEAs will be delivered to customs officers at the same time – developingtheir capacity more cost-effectively and efficiently than would separate train-ing regarding each individual agreement.

The OzonAction Programme invited like-minded organizations to refinethis concept. This eventually evolved into the Green Customs Initiative.Current partners include UNEP (the OzonAction Programme, as well asthe Division of Environmental Conventions and the Division of Environ-mental Policy Implementation), Interpol (the international criminal policeorganization), WCO (the World Customs Organization) and the secretari-ats of MEAs with trade provisions, i.e. the Montreal Protocol, the BaselConvention on the Transboundary Movements of Hazardous Wastes andTheir Disposal, and the Convention on International Trade in EndangeredSpecies of Wild Flora and Fauna (CITES).

Under this initiative, the partners are developing joint customs training.

They also work to improve coordinated intelli-gence gathering, information exchange, andguidance such as codes of best practice.

ActionsThe partners have undertaken a number ofactions under this initiative:

Awareness and informationThe Green Customs web site (www.uneptie.org/ozonaction/customs) makes information aboutthe initiative available to the public, along withlinks to partners’ web sites.

Institutional arrangements In June 2003 a Memorandum of Understanding (MOU) was signedbetween UNEP and WCO to cooperate on Green Customs. In August2003 another MOU between UNEP and India’s National Academy ofCustoms, Excise and Narcotics (NACEN) created a regional GreenCustoms training centre in India.

Outreach As part of the effort to share information across organizations, WCO invit-ed UNEP to present the Green Customs initiative at the 23rd Meeting of theWCO Enforcement Committee in Brussels in February 2004. WCO/RILO(Regional Intelligence Liaison Office) representatives have participated inregional forums, including the UNEP-organized Illegal Trade Workshop inSyria. UNEP also participated in a workshop on Strengthening ofCooperation Based on Chemicals and Hazardous Wastes Conventions inPrague in March 2004.

Capacity building of regional trainersWork has been undertaken to further strengthen the capacity of selectedtrainers to address the environmental compliance and monitoring issues ofall secretariats.

Advantages of the Green Customsapproach

For countries◆ coordinated capacity building in regard to national customsofficers◆ efficient use of national human and financial resources◆ deterrence of environmental crime◆ assistance with national compliance under MEAs

For MEA secretariats◆ cost-effective use of limited financial and human resources◆ sharing of training infrastructure developed by secretariats◆ improved, effective and sustained compliance withConventions

For the global environment:◆ “greening” of customs services◆ decrease in environmental crime◆ better and cleaner environment

continued on page 60 ☞

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Training toolsFor videos, manuals and other materials that can assist customs officers inidentifying and preventing illegal ODS shipments, see www.uneptie.org/ozonaction/library/training.

Integrated training workshopsPilot workshops for customs trainers and national stakeholders were con-ducted in New Delhi, India, in November 2001 and in Manila, the Philip-pines, in February 2003. Other workshops organized by all the partners haveintroduced (and to a certain extent trailed) the Green Customs concept. TheSecretariat of the Basel Convention, CITES, OzonAction, Interpol and theWCO have organized three regional training seminars for port enforcementofficers (customs, police, coast guards, prosecutors, environmental officers).

Green Customs can serve integrated chemical managementAs a result of these preliminary actions, the Green Customs concept has beenintroduced to many stakeholders in different international environmentalforums, where it has generated very strong interest and support. The well-received pilot training activities demonstrate that this approach is effective.The next step will be to secure funding for full-scale integrated training.

To formalize the agreement to cooperate in this area, institutional arrange-ments need to be finalized between some of the partners. Other internation-al organizations and secretariats have also shown an interest in becomingpartners. This approach will be particularly relevant to “chemical cluster”Conventions that have recently come into force. It is anticipated that train-ing of customs officers will be an important element of national implemen-tation of other MEAs, including the Rotterdam and StockholmConventions.

For more information, visit the Green Customs (www.uneptie.org/ozonac-tion/customs) and WCO (www.wcoomd.org) web sites.

UNEP encourages public-private partnership to respond to illegal

ODS trade in ODS Illegal trade in ODS, principally CFCs, has emerged as a significantglobal problem in the past few years, especially in Asia. While muchequipment that is reliant on CFCs still exists in the region, coun-tries have committed to reduce consumption and production ofthese chemicals in line with the Montreal Protocol’s phase-outschedule. An increase in CFCs smuggling has hampered the take-up of alternative chemicals.

In February of this year, OzonAction’s Compliance AssistanceProgramme (CAP) in the Regional Office for Asia and Pacific orga-nized a Workshop on “Preventing Illegal Trade: Public Private Part-nership” in Hua Hin, Thailand. It brought together, for the first timeto combat illegal ODS trade, representatives of industry and gov-ernment from China, India, the European Union and Russia (whichnow no longer produces CFCs), as well as representatives of theWorld Bank and two NGOs, the Environmental InvestigationAgency and the Stockholm Environment Institute.

The two-day meeting considered problems caused in Asia by theburgeoning illegal trade in ODS. Participants, representing 85% oftotal global CFC production, committed themselves to greatercooperation and transparency in sharing information and intelli-gence to combat this problem.

The meeting (part of UNEP’s activities to implement the Mon-treal Protocol under the Multilateral Fund) recommended a systemof informal information exchange between countries, specificactions on tackling illegal trade, and follow-up bilateral and region-al initiatives.

The World Customs OrganizationThe role of customs administrations in envi-ronmental matters is to implement govern-ment policy so as to ensure compliance withthe national and international regulations inforce. It is therefore important that customs,as a law enforcement service, has appropriateand sufficient means to effectively combat thistype of fraud.

The World Customs Organization (WCO),the only independent intergovernmental bodywith responsibility for customs matters, wasestablished in 1952.1 Its purpose is to enhancethe effectiveness and efficiency of customsadministrations and assist them in contribut-ing to national development goals, particularlyin the areas of trade facilitation, revenue collec-tion, protection of society and the security ofthe international trade supply chain.

The WCO’s 162 member customs admin-istrations worldwide are collectively responsi-ble for processing 98% of world trade.

In terms of environmental protection, theWCO wishes to take broad-based action inso-far as its Secretariat Directorates are directlyinvolved :◆ the Tariff and Trade Affairs Directoratedeals with the Harmonized System aspect;◆ the Compliance and Facilitation Direc-torate deals with enforcement and customsmodernization.

Implementation of international regulationssuch as those relating to the environmentrequires awareness raising and the training ofcustoms staff and other law enforcement ser-vices.

One of the WCO’s key missions is trainingand technical assistance, which are the cor-nerstone of any modernization and capacitybuilding process.

The WCO secretariat currently has fiveregional training centres (Azerbaijan, Hun-gary, Lebanon, Russian Federation and SouthAfrica). Other training centres will shortly beavailable to the WCO for organizing trainingactivities for customs officers at national or

regional level. These centres are also availableto the WCO’s partners when training is to begiven to customs services or for awarenessraising of customs partners about WCO mis-

sions and activities.The WCO e-learning programme has

two inseparable components: an on-linetraining management platform, andinteractive multimedia training modules.There is individual monitoring of train-ing using tutorship tools and a networkof experts. The system was launched inJune 2003 with a course on customs con-trols, intended for customs administra-

tions only. A module on determining thecustoms value of goods will be launched at theend of June 2004. In 2005 there will be acourse on the Harmonized System (GHS) andanother on customs and CITES.

1. In 1994 the Customs Co-operation Counciladopted the working name World Customs Orga-nization. The Convention establishing a Cus-toms Co-operation Council was signed in Brusselsin 1950. The CCC’s inaugural session was heldon 26 January 1953 in the presence of 17 found-ing Members. The WCO’s Headquarters arelocated at 30 Rue du Marché, Brussels B-1210,Belgium.


Dichlorodifluoro-methane (CFC-12) discovered in seafreight concealed inside 72 metalcans containing antifreeze (Japan, Port of Tokyo). Source: Asia/Pacific Regional Intelligence Liaison Office (WCO RILO)

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and cleaning of the plastic, results in direct dam-age to human skin. Most of the migrant workerswho cook circuit boards suffer from headachesand vertigo. Moreover, there are many cases ofbladder stones, chronic gastritis, and gastric andduodenal ulcers that need further investigationwith respect to links with the health effects of e-waste.

The discovery of widespread informal recyclingactivities raises fears that China’s electronic wastesmuggling problem extends far beyond Guiyu. Inthe latest findings released by BAN and Green-peace in April 2004, electronic waste was mixedinto steel and copper scrap being unloaded 24hours a day in the port of Taizhou, JiejiangProvince, from vessels arriving from Korea andJapan. Hundreds and perhaps thousands of farm-ers are now engaged in primitive and highly pol-luting electronic waste recycling operations,which involve open cooking of circuit boards,shredding, and primitive smelting. These small-scale operators are very easy to locate due to theacrid smell of melting solder. Farmers claim theywill starve if they are only able to farm. They des-perately cling to additional income from circuitboard cooking, melting and chip-pulling.

Guiyu and Taizhou, the largest and most con-centrated sites of electronic waste trade in China,are faced with environmental pollution, healthhazards, unfair trade, and other related problems.The hidden, interrelated issues of environmentaland social justice (including labour rights, unfairtrade and corporate liability) need to beaddressed. Links between electronic waste inGuiyu and the US and Japan involve not only ageneral environmental issue, but also global tradeissues including trade ethics.

The way forwardRegarding hazardous waste, much needs tochange on the international scene. Authoritiesgive too little attention to reducing/eliminatinghazardous waste at source.

The Basel Ban was justified by the Parties to theBasel Convention on the basis that transbound-ary movements of hazardous waste from OECDto non-OECD countries were unlikely to consti-tute environmentally sound management of haz-ardous waste, as required by the Convention. Thisconclusion was based not only on the obvious lackof technical capacity in developing countries, butalso (more importantly) on the fact that export-ing pollution to avoid higher costs always worksagainst the primary goals of the Basel Conven-tion. These goals are: 1. minimization of hazardous waste generation;2. national self-sufficiency in hazardous wastemanagement;3. minimization of transboundary movements ofhazardous waste.

Although these primary goals were supportedand furthered by the hazardous waste trade ban(Basil Ban) and the 1993 global ban on ocean

dumping of low-level radioactive waste, muchmore can and needs to be done to reduce/elimi-nate the generation of hazardous materials andproducts. Clear targets and timetables, and pro-ducer responsibility, are essential.

Far more resources and efforts will be required.However, hazardous waste recycling is part of theproblem when substitute materials or technolo-gies exist that could avoid hazardous waste gener-ation in the first place. Hazardous waste recyclingcan indeed be a serious problem, in that it creates/expands market demand for continuing haz-ardous waste generation.

The United States, the world’s largest haz-ardous waste generator, could reduce its haz-ardous waste generation by over 41% over lessthan five years through substitution without neg-

ative macro-economic implications.9 Yet if thereis no “driving force” such as mandatory substitu-tion, hazardous waste generation will continue toincrease over time.

The solution to traditional problems of haz-ardous waste is clear and available, but politicsand short-term special industry interests obstructcountries’ efforts. The developed countries withthe greatest capacity need to lead the way byreducing their ever-increasing hazardous wastegeneration through mandatory substitution.This is especially necessary now if we are toachieve sustainable development, production andconsumption patterns as new issues continue toemerge.

Notes1. There were 118 signatory countries. The BaselConvention Secretariat site is www.basel.int.2. Most OECD members are also EU MemberStates and are therefore subject to EU regulations.For OECD activities in the area of hazardouswaste management, see www.oecd.org.3. For the Basel Ban, see www.ban.org.4. See www.imo.org/environment/mainframe.asp?topic_idi818.5. See www.basel.int/ships/index.html.6. Greenpeace has found that most end-of-lifevessels fly “flags of convenience” provided by suchcountries when they make their final voyage toshipbreaking yards.7. Million light displacement tonnage per year.8. Prepared by the Basel Action Network (BAN)and the Silicon Valley Toxics Coalition (SVTC),with contributions by Toxics Link India, SCOPE(Pakistan) and Greenpeace China, February2002. The entire report can be downloaded atwww.svtc. org/cleancc/pubs/technotrash.pdf.9. United States Congressional Office of Tech-nology Assessment (OTA), report on waste man-agement, 1987. ◆

Interview with a worker in ashipbreaking yard,BangladeshAs an agrarian society, Bangladesh is not usedto hazardous work like the breaking of ships.Our country and the people are not ready todeal with the hazards. The only work hazardour country has always had is that you mightcut your finger if you were digging the field.Workers at the shipbreaking yards think it iscommon that if you cut a ship it might blastand you die. Sometimes now we observe thatif a ship is gas free, it is safer to cut the ship.However, it regularly happens that blasts takeplace and that bodies are thrown from theships and people lose their legs or hands. Wedo not know how many people die fromblasts in the shipbreaking yards. It is heardthat almost every day a labourer dies. It is nat-ural; it belongs to the job. It is not new that alabourer dies. The workers have adapted it astheir normal lifestyle.

Dismantling imported e-waste

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UNEP’s APELL programme is designed to:◆ create or increase public awareness of possiblehazards within a community;◆ stimulate the development of cooperative plansto respond to any emergency that might occur;◆ encourage accident prevention.1

When the National Safety Council of India(NSCI) agreed to host an APELL programme in1992, one of the main considerations was the situ-ation prevailing in the aftermath of the 1984Bhopal disaster. Bhopal was followed by a numberof incidents across India involving hazardousmaterials. NSCI was well-suited for this responsi-bility, in view of its 38 years of experience promot-ing voluntary health, safety and environmentalactivities with a range of services, and its all-Indianetwork of 6000 members, 28 Action Centres and14 Chapters.

Considering India’s vast size, a strategy with atwo-track approach was conceived at the outset.This approach comprised:◆ development of awareness at the national level;◆ need-based, in-depth implementation ofAPELL activities at selected high-risk industrialareas in different regions.

Transport of hazardous materials andTransAPELL As a result of seminars and workshops organizedfor six high-risk industrial areas,2 it was recog-nized that attention needed to be focused on thetransportation of hazardous material (Trans-Haz-mat). India’s first TransAPELL workshop washeld in June 2000, in collaboration with UNEPand the Bharat Petroleum Corporation (BPC), aFortune 500 company. The workshop was inau-gurated by the Maharashtra State Crisis GroupChairman.

Twelve unanimous recommendations by theTransAPELL workshop were accepted by the StateCrisis Group. Four of these recommendationsestablished priorities:◆ NSCI should play a key role in Trans-Hazmat,as a catalyst and coordinator at the national level;◆ A demonstration project should be undertakenin the Chembur-Trombay area of Mumbai, withinternational support;◆ A training module on Trans-Hazmat should bedeveloped for highway traffic police, and trainingshould be carried out;◆ A suitable community awareness strategy shouldbe developed.

In 2002 a project on “Development and Oper-ation of the National APELL Centre (NAC)” wasbegun. It provided an opportunity to implementthe recommendations of the TransAPELL work-shop, addressing the key issues of strengtheningoff-site emergency preparedness and developingcapabilities and a network to meet long-termAPELL objectives.

The Road Transport Safety Initiative Realizing that Trans-Hazmat cannot be effectivelyaddressed without also addressing some basic roadtransport safety issues, NSCI launched a RoadTransport Safety (RTS) Initiative targeting allindustrial goods, hazardous and non-hazardous. Amajority of large companies that generate highgoods traffic moved by transporters are NSCImembers. NSCI it is well-placed to influencetransporters in collaboration with these compa-nies.

Such a programme, with its wide scope andsocio-economic implications, requires sustainedinputs. These inputs have been successfully mobi-lized by UNEP, USAID/WEC (World Environ-ment Center) and NSCI, which collaborated inthe project.

A three-member Project Team led by the author(as Project Director), with secretarial support, hasbeen provided by NSCI since the project’s begin-ning. Each of the six high-risk industrial areas fur-nished a coordinator during the first phase. NSCIChapters, Factory Inspectorates and Major Acci-dent Hazard (MAH) units4 also furnished in-kindfacilities in the local areas

In the first phase, the services of 25 internation-al and 74 national resource persons were used. Inaddition, eight technical persons were sent to theUnited States for study tours/training. Sixty-eighttechnical publications, 14 videos and copies ofCAMEO (Computer-Aided Management ofEmergency Operations) software were received forcapacity building. Many technical experts havebeen involved in the project’s two other phases.

All expenses for international inputs weredirectly paid by USAID, which also reimbursedUS$ 86,000 in expenses incurred in India duringthe first phase. UNEP met the expenses of theexperts it had provided. NSCI paid the salaries ofthe Project Team. It also mobilized the ex-gratiaservices of local coordinators and nationalresource persons, as well as funding of about US$15,000. There was nominal funding of US$15,000 from UNEP for the NAC. NSCI is man-aging the project using its own resources.

SummaryIn India, with its vast geographical area, large consumer market and extensive chemicalsindustry, safety is of the greatest concern to industry and the government. Since its first Aware-ness and Preparedness for Emergencies at Local Level (APELL) programme was launched in1992, India has taken great strides towards making the transportation and handling of haz-ardous material safer. This article highlights activities and projects carried out to address themost pressing safety issues in this area.

RésuméCompte tenu de l’immensité du territoire, de l’ampleur du marché grand public et de l’impor-tance de l’industrie chimique, la sécurité est en Inde l’une des préoccupations majeures del’industrie et du gouvernement. Depuis le lancement en 1992 du premier programme de sen-sibilisation et de prévention des accidents industriels à l’échelle locale (APELL), l’Inde a faitd’énormes progrès dans le domaine de la sûreté du transport et de la manipulation desmatières dangereuses. L’article présente les activités et les projets mis en œuvre pour s’attaqueraux problèmes de sûreté, particulièrement pressants dans ce domaine.

ResumenDebido a la enorme extensión geográfica, el importante número de consumidores y la granindustria química de la India, la seguridad constituye una de las principales preocupaciones delgobierno y los industriales del país. Desde el lanzamiento del Programa de Concienciaciónpara Emergencias a Nivel Local (APELL) en el año 1992, la India ha tomado medidas de granenvergadura para contar con más seguridad en el transporte y el manejo de materiales peli-grosos. Este artículo destaca las actividades y proyectos realizados con el objetivo de atenderlos temas de seguridad más apremiantes en dicho sector.

Safer road transportation of hazardousmaterial in India: TransAPELL in practice

Krishan C. Gupta, Director, National APELL Centre, and Director General, National Safety Council of India (NSCI),

HQs and Institute Building, Plot No. 98A, Sector 15, CBD Belapur, Navi Mumbai-400 614, India ([email protected])

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Achievements of the Road TransportSafety InitiativeWorkshops, seminars and training courses wereorganized at the national and local levels. The fol-lowing achievements were crucial in laying thefoundation for further work:

AwarenessThe APELL Process was previously unknown. Itsusefulness is now well-appreciated.

Crisis GroupsCrisis Groups on the APELL model have been setup at the national, state, district and local levels.3

This is a major achievement. These groups arelegally responsible for strengthening HazmatEmergency Preparedness and Community Aware-ness in cooperation with MAH units, authorities,public response services and the community.

Testing of emergency plansA clearer understanding and competence havebeen developed with respect to the system for test-ing emergency plans, the stages involved and toolsused. Table-top exercises have been particularlyuseful.

Capacity building NSCI capabilities have been strengthened in areasincluding risk assessment; emergency plan devel-opment, review and testing; and use of CAMEOsoftware. These capabilities are being used for sus-tained APELL activities.

Issues identifiedThe following issues have been identified:◆ Trans-Hazmat;◆ community awareness;◆ development of integrated off-site emergencyplans;◆ strengthening the capabilities of public emer-gency response services;◆ development of a Hazmat Emergency MedicalResponse System.

Demonstration project: cooperationbetween NSCI and other key players atChembour-TrombayThe Chembur-Trombay area of northeast GreaterMumbai is spread over 10 square kilometers. It hasa large population and overcrowded roads. Closeto the Eastern Express railway and the Mumbai-Pune-Bangalore highways, it is bounded by theport of Mumbai. There is a cluster of industrialunits, including two oil refineries, a fertilizer com-plex, a nuclear complex, a power station, andchemical and petrochemical complexes.

In addition to rail transportation, an average of300 tank lorries per day carry oil products by road.A total of 3 million metric tonnes of these prod-ucts per month is moved by rail and road. Largevolumes of Hazmat products from other industri-al units are also moved.

NSCI worked closely with leading industries inthe area through the Mutual Aid and ResponseGroup (MARG), the District/Local Crisis Group,the Directorate of Industrial Safety and Health

(the enforcement authority for Maharashtra), theChembur Fire Brigade and leading industrialunits. Our collaborator, the BPC, has a refinery inthe area. A UNEP expert participated in somemeetings with key players.

The MARG formed by the area’s leading indus-trial units to share their resources has regular inter-actions with the Mumbai Fire Brigade, the police,civil defence and municipal authorities, and otherMARGs of Greater Mumbai.

The following achievements are due to thecombined efforts of NSCI and other key players: 1. An off-site emergency plan for the area, devel-oped according to statutory requirements, waspromulgated in 2003;2. A special hospital with a burn care ward wasrecently set up in the area with the support ofMARG members. It is open to general public;3. BPC and HPC have reduced Trans-Hazmat byroad by installing pipelines. BPC’s Mumbai-Man-mad pipeline transports 40% of its products.HPC’s Pune, Santacruz and Wadala pipelinestransport 70% of its products; 4. The railway and the Bombay Municipal Cor-poration have developed a well-defined pay-and-park area for overnight parking of tank lorries.Traffic congestion due to irregular parking of tanklorries was a serious hazard for years. The problemdefied solution in the absence of determined,coordinated action; 5. Emergency escape routes have recently beenidentified and ways to activate them have beenformulated;6. To ease traffic congestion, State transportauthorities have placed restrictions on movementsof containers during peak hours;7. A MARG website (www.aegisindia.com/safety)has been launched and is accessible by the public; 8. To meet the shortage of trained Hazmat drivers,approved training centres have been set up byBPC, HPC and others to facilitate three-daytraining.5 This training is provided at low cost atconvenient times;9. Hazmat training programmes for traffic policeand awareness seminars for the community areconducted regularly.

Case study: Trans-Hazmat response atMumbaiA recent case study gives an idea of Trans-Hazmatemergency preparedness in this area.

At 11.30 pm on 27 January 2004, a tank lorrycarrying 20 tonnes of benzene loaded at the BPCrefinery overturned at a traffic signal in Sion, asuburb of Mumbai about 20 kilometres from therefinery. The benzene started to leak and the lorrycaught fire.6

The response by traffic police and the MumbaiFire Brigade was prompt and effective. Occupantsof nearby buildings affected by the intense heatwere evacuated without panic or injuries. Only thedriver, who jumped out, was injured. At 3.30 a.m.the Mumbai Fire Brigade asked the refinery to sup-ply foam for use in fire-fighting. This request wasmet without delay. The product was allowed toburn under controlled conditions. The fire wasextinguished by 11.30 a.m. and the burned lorry

was towed to nearby open ground. The handling of this incident received promi-

nent and positive media coverage.

Case study: experience with a Hazmatvan at Patalganga-RasayaniOne of our objectives is to study and promote aproven arrangement/approach. Accordingly, weidentified and analyzed a successful Trans-Hazmatemergency response experience in the Patalganga-Rasayani Industrial Area. Subsequently we pub-lished a case study and recommended that thisapproach be used at the national level.

This area is about 40 kilometres from Mumbai.It is located between two national highways.There is a cluster of hazardous units. In August1996 these units jointly established an EmergencyResponse Centre with a well-equipped Hazmatvan. As of December 2003, the van had success-fully responded to 84 Trans-Hazmat calls involv-ing 27 different chemicals. Based on an analysis ofthis experience, 15 observations/recommenda-tions have been made. The most important are:◆ The product transported by many Hazmat tanklorries frequently changes. However, the requiredEIP (Emergency Information Panel) is notchanged, as it is permanently painted on. The useof suitable stickers has been recommended.◆ Many Hazmat drivers carry a set of Tremcards(Transport Emergency Cards) for all the productstransported at different times. Drivers should carryonly one Tremcard, for the specific product beingtransported.

Experience shows that initial information givento the Hazmat van by traffic police can be incom-plete and sometimes misleading. The number oftraffic police personnel is large. They are oftentransferred. Their proper training in communi-cating an incident information summary remainsan issue.

It is heartening that about two years ago the oilcompanies jointly established Trans-Hazmat vansat about ten strategic locations across India.

Other important achievementsCommitment by transportersTo build on the achievements of the Chembur-Trombay demonstration project and experience atPatalganga-Rasayani, seminars developed underour RTS Initiative were held in these two areas inMay 2004. BPC continued to be our collaboratorat Chembur-Trombay. Reliance Industries Ltd.(also a Fortune 500 company) was enlisted as ourcollaborator at Patalganga-Rasayani.

As an outcome, 47 transporters from Chem-bur-Trombay and 66 from Patalganga-Rasayaniissued press releases expressing their commitmentto improve road safety. Future action points werealso identified.7

Training of traffic policeA one-day training module has been developed. Allsenior officers of the Maharashtra Highway TrafficPolice have been trained. About 200 traffic policeconstables have also been trained. While MARGsregularly conduct such training, there is a need toinstitutionalize it in police training institutes.

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Community awarenessA strategy has been developed and published. Pro-grammes are being carried out by MARGs.

Current comprehensive activitiesTwo comprehensive activities are being imple-mented to develop off-site emergency plans, pro-vide training to Local Crisis Groups, enforcementofficials and MAH units, and give guidance ontesting of plans.

It is also planned to establish an APELL Sub-Centre in Tuticorin. The Trans-Hazmat experi-ences will be implemented in two districts: one inTuticorin, south India, and the other in Haldia,West Bengal

The NAC newsletter, specific case studies,information sheets and our regular periodicals arebeing used to propagate lessons learned at thenational level.8 These lessons will also be discussed

at our National Conference in 2005 in NewDelhi.

Notes1. For UNEP’s APELL programme (includingTransAPELL), see www.uneptie.org/pc/apell.2. The Manali-Ennore Industrial Area near Chen-nai, southern India; the Thane-Belapur Industri-al Area near Mumbai, western India; Cochin,southern India; Kanpur, northern India; Haldia,eastern India; Vadodara, western India.3. Under India’s Chemical Accidents (EmergencyPlanning, Preparedness and Response) Rules,notified in 1996 under the Environment (Protec-tion) Act, 1986.4. MAHs are statutorily identified.5. Under the Central Motor Vehicle Rules, 1989.6. Benzene is a clear, colourless liquid used in pro-duction of plastics, paints, rubber and resins. It is

highly flammable. Inhaling benzene can also haveharmful health effects.7. Their combined fleet strength was 2000 and3000 vehicles, respectively.8. Publications developed, published and dissem-inated at the national level include: a list ofapproved Hazmat Driver Training Centres underthe CMV Rules, 1989 (copies available from dif-ferent States); NAC newsletter, begun in June2002 (two issues have been published and 7000copies have been mailed to key APELL Partners,including members of Crisis Groups and NSCImembers); information sheet giving a résumé ofimportant statutory provisions on Trans-Hazmatunder different legislation, based on feedbackfrom the traffic police officers’ workshop; casestudy on the Hazmat emergency response van,based on successful experience in the Patalganga-Rasayani area. ◆

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Members of the public who might beaffected in the event of an accident at ahazardous installation have a right to the

appropriate information, so that they will beaware of the hazards and risks arising from suchinstallations in their community, and so that theycan act appropriately should an accident occur.Communication with the public is a joint respon-sibility of government, industry and the commu-nity. Communication channels need to betwo-way. Members of the community should par-ticipate in the development and implementationof communication programmes.

Governments and industry are increasinglymaking efforts to share with the public informa-tion on chemical safety, including preparedness

and response. One of the main topics concerns thepossible effects of chemical releases caused acci-dentally. Governments and industry also agreethat decisions on the management of related risksshould be made transparent to the public.

Community right-to-know: a legalrequirementThere are a number of national and internationallegal tools to ensure the community’s right-to-know. Examples are: ◆ The EC “Seveso II” Directive on the control ofmajor-accident hazards involving dangerous sub-stances includes Article 13, on information onsafety measures and availability of safety reportsto the public;

◆ The UNECE “Aarhus” Convention is built onthree pillars: access to information (article 4-5),public participation in decision-making (article 6-8) and access to justice in environmental matters(article 9); ◆ The United States Environmental ProtectionAgency’s Risk Management Programme (RMP)includes a part on public availability of informa-tion;◆ Through the Responsible Care Programme(developed and adopted by chemical industryassociations), companies agree to report theirgoals and progress to the public;◆ The OECD Guiding Principles for ChemicalAccident Prevention, Preparedness and Responseincludes a chapter on communication with thepublic.

Sharing information: communicationwith the public The OECD Chemical Accidents Programmeworks on developing guidance on prevention of,preparedness for and response to chemical acci-dents, and on facilitating sharing of informationand experience among both OECD and non-OECD countries. This work is carried out incooperation with other international organiza-tions, including UNEP, the UN Economic Com-mission for Europe (UNECE) and the UN Officefor the Coordination of Humanitarian Affairs(UNOCHA). Its major products include: theGuiding Principles for Chemical Accident Preven-tion, Preparedness and Response (which consists ofguidance for public authorities, industry and com-munities); the Guidance on Safety PerformanceIndicator (SPI) to help those stakeholders developsafety programmes; and the Chemical Accident RiskAssessment Thesaurus (CARAT), a data base con-taining analyses of laws, regulations, policies, def-initions and case studies. All these tools are easilyaccessible on the internet (see References below).

The OECD has also adopted a number ofCouncil Acts related to chemical safety. Two ofthem are relevant to information exchange: ◆ The Decision on the Exchange of Informationconcerning Accidents Capable of Causing Trans-frontier Damage requires that member countriesexchange information and consult one another,with the objective of preventing accidents capableof causing transfrontier damage and reducingdamage should an accident occur. Member coun-

Transparency and communities’ right-to-know: working towards betterdisaster management through the OECD

Marie-Chantal Huet, Administrator, OECD Chemical Accidents Programme, Environment, Health and Safety Division,

OECD, Paris, OECD, 2 rue André Pascal, 75775 Paris Cedex 16, France ([email protected])

SummaryGovernments and industry are increasingly making efforts to share information on chemicalsafety. There are many national and international legal tools to ensure communities’ right-to-know. In this regard, the OECD has developed guidance and adopted a number of Decisionsand Recommendations related to chemical safety. Communication with the public is a jointresponsibility of government, industry and the community, and public-private partnership isessential. Society generally benefits when information about the risks of chemical operationsis shared broadly. Nevertheless, there is concern that making certain types of information pub-licly available could endanger security.

RésuméLes gouvernements et l’industrie font de plus en plus d’efforts pour échanger l’information surla sécurité chimique. Il existe de nombreux instruments juridiques nationaux et internationauxpour garantir aux citoyens le droit de savoir. De son côté, l’OCDE a émis des avis et a adoptéun certain nombre de décisions et recommandations relatives à la sécurité chimique. La com-munication avec le public est la responsabilité conjointe du gouvernement, de l’industrie etdes citoyens et la coopération entre secteur public et secteur privé est, à cet égard, essentielle.La société a généralement tout à gagner à échanger le plus largement possible l’informationsur les risques liés aux activités impliquant des produits chimiques. Le risque que la communi-cation au public de certaines informations mette en péril la sécurité suscite cependant certainesinquiétudes.

ResumenLos sectores gubernamentales e industriales dedican cada vez más esfuerzos al intercambio deinformación sobre seguridad en la gestión de sustancias químicas. Existen múltiples her-ramientas legales nacionales e internacionales para proteger el derecho de las comunidades aestar informadas. En este sentido, la OCDE ha publicado directrices y ha adoptado una seriede Decisiones y Recomendaciones vinculadas a la seguridad en la gestión de sustancias quími-cas. La comunicación con el público en general es responsabilidad conjunta de los gobiernos,las industrias y las comunidades, y el establecimiento de alianzas entre el sector público y el sec-tor privado desempeña un papel crucial. Por regla general, la sociedad se beneficia cuando sedifunde ampliamente la información acerca de los riesgos que implica la gestión de sustan-cias químicas. No obstante, existe el temor de que difundir cierto tipo de información podríaponer en riesgo la seguridad.

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tries shall also take all necessary practical steps toimplement the provisions relating to the exchangeof information (e.g. information on hazardousinstallations, the organization of emergency mea-sures, transmission of emergency warnings andconfidentiality).◆ The Decision-Recommendation concerningProvision of Information to the Public and PublicParticipation in Decision-Making Processes relatedto the Prevention of, and Response to, Accidentsinvolving Hazardous Substances requires membercountries to ensure that the potentially affectedpublic is provided with both specific informationon the safety measures they should adopt in theevent of an accident (and general information onthe potential effects of possible major accidents onhuman health and the environment) and that ithas access to information needed to understandthe effects of an accident. This Council Act alsorecommends that member countries take actionto facilitate opportunities for the public to com-ment prior to decisions being made by authoritiesconcerning hazardous installations (siting, licens-ing, etc.).

The OECD Guiding Principles mentions thatcommunication channels need to be two-way, andthat members of the community should partici-pate in the development and implementation ofcommunication programmes. Information pro-vided to the potentially affected public shouldinclude specific guidance on what to expect in theevent of an accident, including:◆ details about how the potentially affected publicwill be warned of an accident or the imminentthreat of an accident;◆ guidance for the potentially affected public con-cerning the actions to be taken and behaviour tobe adopted in the event of an accident;◆ an explanation of why the public shouldbehave/act as described in the guidance, so that itunderstands how this will result in a mitigation ofadverse effects;◆ source(s) of post-accident information (e.g.radio or television frequencies);◆ source(s) of additional explanations/informa-tion;◆ point(s) of contact, where members of the pub-lic can provide public authorities with informa-tion related to a possible accident; ◆ how members of the public will be informedwhen the emergency situation is over.

According to the Guiding Principles, the poten-tially affected public should also be provided withadditional information about the hazardousinstallations in their vicinity without havingspecifically to request it. This information shouldaddress:◆ types of industries in the area and the chemicalsproduced and used in these installations;◆ name(s) of the enterprise(s) responsible forinstallation(s) and address(es) of the installa-tion(s);◆ information relating to the types of possibleaccidents that could cause serious off-site damage,and their potential effects on health, the environ-ment and property;◆ preventive measures that have been taken to

minimize the likelihood of accidents;◆ a reference to the off-site emergency plan; ◆ point(s) of contact, where further explanatoryinformation and clarification can be obtained andfeedback can be provided to rescue services andother authorities; ◆ information concerning expected activities atthe installation that may cause concern amongneighbours.

To avoid confusion and facilitate informationexchange, the mechanisms for obtaining anddelivering information should be as clear as pos-sible and should use, to the extent possible, knownand existing channels.

The OECD Guidance on SPI serves as a guideto help industry, authorities and communitiesmeasure the extent to which actions help improvechemical safety. It provides a systemic approach tomeasuring the success of stakeholders’ chemicalsafety programmes by detailing targets, activityindicators and outcome indicators. There is flexi-bility for groups to design programmes to assesstheir own performance related to prevention of,preparedness for and response to chemical acci-dents.

The SPI Guidance also addresses cooperationamong industry, public authorities and the public: ◆ For industry, the target is to help ensure effec-tive cooperation with the public and other repre-sentatives of the community (e.g. hospitals,schools, nursing homes, environmental groups,media and academia);◆ For public authorities, the target is to establish atwo-way system of communication with the pub-lic, providing an opportunity for public input tothe authorities (as well as providing informationto the public from authorities); such communica-tion will allow the two parties to learn from eachother.

The responsibility of members of the commu-nity is twofold: information acquisition, and com-munication of the information acquired to thepotentially affected public. For communities, thetarget is that the potentially affected public under-stands what actions to take in the event of an acci-dent involving hazardous substances.

Public availability and use ofinformationThe public will make use of information to theextent that the information is understandable,useful and easy to use. The more effort required,the less likely the public is to seek out the data.The data base of a public interest group on theinternet is viewed far more than an onsite inven-tory with data from industry, which usuallyrequires more effort in order to find informationthat is useful and understandable by the public.

Considerable information relevant to emer-gency preparedness and response can also beobtained from scientific data bases, web sites ofrelevant institutions (including companies), arti-cles, publications, simple calculation tools avail-able in scientific literature, transport labelling onmaterials, simple maps and aerial photographs.However, such information is not provided in an“organized“ manner, which would mean it could

easily be used by the community to promote safe-ty. It is essential that information be structuredand possibly explained, available in both “passive“and “active“ forms, communicated effectively tothe potentially affected public, and translated intofacts and figures that can enhance public under-standing (and therefore its participation in deci-sion-making).

Public-private partnerships for bettersafety Partnerships among governments, non-govern-mental organizations and the chemical industryare essential for enhancing environmental safetyand improving the capacity to mitigate the conse-quences of chemical releases. The public’s right-to-know and the dissemination of informationrelevant to chemical safety are important compo-nents of public-private partnerships.

Enterprises conducting chemical operationsshould establish effective communication chan-nels with relevant public authorities at all levels ofgovernment, including those responsible foremergency preparedness and response, domesticsecurity, and public health and safety. Chemicalsafety is not restricted to the production site. Itnecessarily extends to the management of chemi-cals from the supply chain to the environmental-ly sound disposal of hazardous wastes.

Community right-to-know vs.information securityMaking information about risks in the commu-nity available can help the public understand howto react appropriately should there be a release ofhazardous chemicals. However, there is concernthat providing information to the public can alsogive prospective terrorists information they coulduse to plan or carry out terrorist acts on chemicalfacilities.

As a general rule, society benefits when infor-mation about the risks posed by chemical opera-tions is shared broadly. Some security relatedinformation may increase risks if released broad-ly. The fundamental question is whether a par-ticular form of disclosure of a particular kind ofinformation about some chemical operationswould, overall, reduce or increase the risk posedby those operations. Authorities should establishprocesses for making such determinations,whether generically or in single cases. In somecases, assessments of this type of risk lead to theconclusion that internet access to risk manage-ment programmes would increase the possibilityof a chemical release caused by terrorists or othercriminals. The terrorist acts of 11 September2001 have refocused thinking about the balancebetween terrorism concerns and public access; asa result, authorities in some countries haveremoved certain information on the safety in fac-tories from their website.

The processes of determining the balance be-tween public access and terrorism concern shouldweigh the expected gain in safety against expectedlosses, such as limitation of democratic rights orthe loss of safety and transparency gained by riskcommunication. The 1993 OECD Workshop on

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Communication related to Chemical Releases Causedby Deliberate Acts (co-sponsored by several inter-national organizations) allowed experts fromOECD and non-member countries to exchangeinformation, experience and solutions regardingpolicies, safety programmes and tools1 in connec-tion with risk communication and public infor-mation.

The workshop also explored the potential con-flict between maintaining transparency and therisks that result from doing so. It discussed the ele-ments of risk communication that are different inthe context of terrorist acts, as compared with riskcommunication related to chemical safety in gen-eral. The workshop came up with a number ofconclusions and observations concerning howcountries should deal with risk communicationand public information in regard to chemical safe-ty. One is that governments should increasinglyshare chemical safety information among differ-ent governmental levels and agencies and amongcountries.2

The opinions expressed in this article do not necessarilyrepresent those of the OECD or its member countries.

References (available atwww.oecd.org/env/accidents)OECD Council Acts:• Decision of the Council on the Exchange ofInformation concerning Accidents Capable ofCausing Transfrontier Damage [C(88)84]. • OECD Decision-Recommendation concerningProvision of Information to the Public and PublicParticipation in Decision-Making Processes relat-ed to the Prevention of, and Response to, Acci-dents involving Hazardous Substances [C(88)85].

OECD publications:• OECD Guiding Principles for Chemical AccidentPrevention, Preparedness and Response, second edi-tion. Environment, Health and Safety Publica-tions, Series on Chemical Accidents, No. 10, 2003. • OECD Guidance on Safety Performance Indica-tors. Environment, Health and Safety Publications,

Series on Chemical Accidents, No. 11, 2003. • OECD Chemical Accident Risk Assessment The-saurus (CARAT) (internet data base, www.oecd.org/ehs/carat; also accessible at www.oecd.org/env/accidents).• Report of the OECD Workshop on Communica-tion related to Chemical Releases Caused by Delib-erate Acts (25-27 June 2003, Rome, Italy).Environment, Health and Safety Publications,Series on Chemical Accidents, No. 12, 2004.

Notes1. Examples include the Risk Management Pro-gramme in the United States, the ongoing Dutchexperience with its register of risk situationsinvolving hazardous substances, and the recom-mendations of the German Hazardous IncidentsCommission (www.sfk-taa.de/Berichte_reports/Other_languages/sfk-gs-38_engl.pdf ).2. For details, see the report of the workshop(www. oecd.org/env/accidents).

◆

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In May 1998, the National Cleaner ProductionCentre in Honduras (Centro Nacional de Pro-ducción más Limpia Hondureñ, or CNP+L-H)

was created by a resolution of the second GeneralAssembly of the Honduran Business Council forSustainable Development (Consejo Empresarial

Hondureño para el Desarollo Sostenible, orCEHDES). In August of that year the Honduras-Canada Environmental Management Fund of theCanadian International Development Agency(CIDA) funded a feasibility study and projectdesign for the Centre. The feasibility study indi-

cated broad industry interest in, and support for,CP objectives. Indeed, the consultants involvedcited UNIDO as reporting that “industry supportin terms of in-kind contribution for the proposedCentre significantly exceeds that for any of thefour national centres for cleaner productionalready established in Central America.”

In 2000, CIDA committed funds for the Cen-tre’s first five years of operation. CNP+L- Hon-duras thus became the region’s youngest cleanerproduction centre. In September 2000, with mostof the Centre’s staff in place, the 1998 implemen-tation strategy was revisited with the staff and itsvalidity was reaffirmed. A bolder and moredetailed set of goals was defined, and a detailedwork plan for Year 1 was developed with the ulti-mate purpose of verifying the underlying assump-tions of the Centre’s design. Activities wereofficially launched three months later.

Implementation strategyIt was envisaged that the CNP+L-H would engagein activities in four areas: information dissemina-tion, training, in-plant demonstration projects, andpolicy assessment and advocacy. It was to be admin-istered by three full-time staff members (assistantor technical director, programme officer and officemanager). The Executive Director would work ona part-time (40%) basis. A consultant engaged byCIDA to undertake the feasibility study and designapplied a SWOT (Strength, Weakness, Opportu-nity and Threat) analysis to the project objectives,management structure and delivery mechanisms inall four programming areas. Very detailed respons-es were developed to the perceived weaknesses,opportunities and threats.

One of the Centre’s core objectives was toachieve financial sustainability. To meet thisobjective, a separate implementation strategy wasdeveloped. Mechanisms were defined for generat-ing funds through cost-recovery, cost-sharing andincome-generating arrangements with respect todelivery of the Centre’s services. These fundswould accrue to a Sustainability Fund. This was anew fund (a new and separate “account”) estab-lished within the Centre to identify monies com-ing to the Centre from cost-recovery and fromprofit-generating services. The CIDA consultantalso recommended that the Centre take part in

SummaryThe National Cleaner Production Centre in Honduras was launched in 2000, with fundingfrom the Canadian International Development Agency for its first five years of operation. CIDAalso funded the feasibility study and project design for the Centre in 1998. The implementa-tion strategy developed by consultants identified financial sustainability as a major objective.Detailed mechanisms for cost-recovery were recommended, as well as several cost-sharingarrangements for delivery of the Centre’s services. Surplus funds would accrue to a Sustain-ability Fund. Significant progress appears to have been made in this direction. By 2003 thisfund had grown to the extent that CIDA’s contribution constituted only 50% of the Centre’soperating budget; the rest came from participating industries. This article describes the basicelements of the strategy pursued, challenges, progress, and lessons learned by the Centre in itsefforts to achieve financial sustainability.

RésuméLe Centre national de production plus propre du Honduras a été ouvert en 2000 avec l’aidefinancière de l’Agence canadienne de développement international (ACDI) pour les cinq pre-mières années de fonctionnement. L’ACDI avait également financé in 1998 l’étude de fais-abilité et de conception du Centre. La stratégie de mise en œuvre développée par lesconsultants avait placé la viabilité financière parmi les principaux objectifs du projet. Desmécanismes détaillés d’amortissement des coûts avaient été recommandés, ainsi que plusieurssystèmes de partage des coûts pour les prestations assurées par le Centre, les excédents de tré-sorerie devant être affectés à un fonds de viabilité. D’importants progrès semblent avoir étéfaits dans ce sens. En 2003, le fonds avait atteint un niveau tel que la contribution de l’ACDIne représentait plus que 50 % du budget de fonctionnement du Centre, le reste provenant desindustries participantes. L’article décrit les composantes essentielles de la stratégie élaborée, lesobstacles, les progrès et les leçons tirées des efforts du Centre pour parvenir à la viabilité finan-cière.

ResumenEl Centro Nacional de Producción Más Limpia de Honduras fue creado en el 2000 con fondosde la Agencia Canadiense para el Desarrollo Internacional para su funcionamiento durantelos primeros 5 años (habría que mencionar aquí lo del Fondo Medio Ambiente Honduras-Canadá). ACDI financió también el estudio de factibilidad y proyecto de diseño del Centro en1998. La estrategia de implementación desarrollada por los consultores planteaba la sosteni-bilidad económica como objetivo primario. Ellos recomendaron varios mecanismos para larecuperación de costos, así como para compartir los mismos, al momento de ofrecer servicios.Las ganancias del Centro serían asignados a un Fondo de Sostenibilidad. En este sentido hanhabidos avances significativos desde la creación del Centro. Para el año 2003 los ingresos delCentro han crecido de tal manera la contribución de ACDI, constituye solo el 50% del pre-supuesto anual, el resto proviene de clientes que contratan los servicios del Centro. En estedocumento se describen los elementos básicos de la estrategia llevada por el Centro Nacionalde Producción Más Limpia de Honduras, los retos encontrados, sus logros y las lecciones apren-didas, en su esfuerzo por alcanzar la sostenibilidad.

Financial sustainability at a National CleanerProduction Centre: the experience of theHonduras NCPC

Mily Cortés Posas, Professor and Technical Director CNP+L (2002-2004), Carrera de Desarrollo Socio Económico y Ambiente,

Escuela Agricola Panamericana el Zamorano, Apartado Postal 3, Honduras ([email protected])

Nonita T. Yap, Professor and Technical Advisor to CNP+L (1999-2004), School of Environmental Design and Rural Development,

Rm. 122, Landscape Architecture Building, University of Guelph, Guelph, Ontario N1G 2W1, Canada ([email protected])

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promoting and establishing ISO 14001 amongHonduran enterprises. Interviews with industryleaders had indicated a far greater interest amongHonduran manufacturing businesses in environ-mental management systems (EMS) than incleaner production. It was considered importantfor the Centre to be engaged in work on EMS towin the confidence of industry.

This article describes the challenges encoun-tered, progress made and lessons learned by theNational Cleaner Production Centre of Hondurasin its efforts to achieve financial sustainability.

Information disseminationAt first it was difficult to convince Honduranenterprises of the benefits of cleaner production.Case studies from other CP centres were present-ed, but the general corporate response was thatcleaner production would not work in Honduras.To obtain local case studies, the Centre placed spe-cial emphasis on information dissemination andmarketing at this stage. Short exposure courseswere organized for industries. Funding to fund in-plant CP demonstrations was actively soughtfrom other donors. The breakthrough came in2001 with the sponsorship by USAID PROAR-CA of a CP demonstration at PROLACMON, asmall cheese and butter plant. The Centre usedthe successful CP demonstration at PROLAC-MON in its promotion activities and offered sev-eral discounts on the cost of on-site CPimplementation. Three additional companiescame forward to participate.

It was critical to get larger companies to partic-ipate. Since PROLACMON was small, manycompanies believed the CP methodology wouldonly work in small enterprises. Successful CPimplementation in the three new companiesproved not only that the methodology was feasiblein larger enterprises, but that the larger the com-pany, the larger the savings tended to be. Seven-teen new clients, paying much more realistic fees,then volunteered to participate. The new clientsincluded large enterprises paying for their ownimplementation, as well as groups of small onesbeing financed by donors.

Training coursesIt was determined early by the Centre that a prin-cipal cause of waste production in Honduranenterprises is substandard production. Qualitynon-conformance obliges companies to spendextra money (in the form of time, energy, waterand raw materials) on reprocessing the product orto lower its price. Waste is also generated by thereturn and discarding of products on-site. TheCentre determined that its courses should focusnot only on cleaner production techniques, butalso on quality assurance methods.The Centre has basically been offering two typesof courses:◆ seminars (a series of introductory lectures onspecific themes);◆ training courses (generally a combination of lec-tures and interactive workshops).

Since 2001 the Centre has offered a total of 66courses, in which 2755 persons have been trained.

These courses have been in ◆ eco-design;◆ cleaner production methodology;◆ cleaner production for a specific industrial sec-tor;◆ ISO 9001/14001;◆ the 5 S’s (refers to a housekeeping programme);◆ energy efficiency;◆ climate change;◆ environmental assessment;◆ cost analysis with environmental criteria;◆ pollution prevention in general.

The costs of seminars and training courses arecovered by course fees charged directly to the par-ticipants, or through sponsorship by a donor orlocal educational institution. Most courses havelocal coverage, but the Centre has also offeredregional courses.

The non-sponsored courses are of three types:in-plant with implementation (paid for by a com-pany as part of a CP demonstration); in-plantwithout implementation (offered by a companyfor its employees but without CP demonstration);open. These courses are delivered by CNP+L-Hpersonnel only, to keep the costs low. The totalcharged by the Centre for the non-sponsoredcourses which are not part of in-plant implemen-tation varies from US$ 2000 to 5000, dependingon the number of participants and course dura-tion. In most cases this covers staff time, travel andcourse materials.

Of the non-sponsored courses, open ones arethe most labour-intensive since they are advertisedin the newspapers and require close monitoring toensure that the desired numbers are reached, andto secure the participants’ assistance and payment.The course fees charged participants are set low,mainly to recover the cost of the logistics, but theyare calculated such that US$ 1000 per courseoffering can be applied to the basic cost of theCentre. This strategy has paid off, in that manyimplementation contracts have resulted fromthese courses.

The sponsored courses are directed at universi-ty students when they are financed by an educa-tional institution, and at environmentalconsultants and public sector staff when financedby donors. Technical specialists for sponsoredcourses have come from the Honduran NCPC,other Central American CP centres and the Unit-ed States Environmental Protection Agency (USEPA).

In-plant CP demonstration projectsThe Centre has carried out 21 in-plant CP demon-stration projects since January 2001, either com-pleted or in progress in manufacturing facilities ofvarious sizes (from six employees up to more than2000). Projects completed so far have involved asugar refinery, an aluminium furniture factory,seven cheese and butter plants, four raw coffeeprocessors and two sawmills. Among those in

Table 1Some of the Centre’s clients and the financial benefits they derived

from adopting CP

Company(no. of Sector Main recommendations Market Benefitsemployees)

`

Manufacturas elTrópico(469)

PROLACMON(9)

El Pataste(14)

La Josefina(1)

La Campeona(2)

INDEMA(175)

YODECO(184)

aluminiumfurnituremanufacturing

cheese and butterproduction

raw coffeeprocessing

sawmills

3% domestic,97%international

domestic

domestic

domestic

international

32% domestic68%international

166,764.00

71,794.12

51,901.14

49,157.00

59,177.86

161,796.86

239,258.34

• change quality control, increase quality assurance• use specialized equipment for angle cuts• prevent contamination of chromium and degreasing

solutions• prevent solution loss by insulating surfaces• insulate paint ovens• reduce waste in the weaving process• recycle waste and adequately manage chromium

waste

• reduce water consumption • reduce milk and curd lost in transport• improve packaging and weighing of final products• standardized milk for cheese at 2%• improve formula scaling control• insulate vapour pipes and reduce leaks in all pipes• reduce sticking of quesillo to kettle• treat whey as prime material for sub-products rather

than waste

• improve classification of the grain• use pulp for fertilization of plantation• reduce water consumption by recycling• construct simple coffee drying facilities instead of

using intermediary

• perform preventive maintenance• use every piece of equipment for purpose for which

it was originally designed• improve quality control in reception of prime

material, process and inventories• improve wood packaging techniques, according to

the standards• optimize performance of the curing chamber• reduce dead times• improve boiler efficiency• recycle wood waste for energy generation• recycle metal waste

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progress are two textile and apparel enter-prises, two plastic factories, a tannery anda bakery.

The Centre stimulates the interest ofthese enterprises through courses or inter-views. Once interest is expressed, an evalu-ation and in-house presentation are madeto the company staff to explain the clean-er production concept along with its basicmethodology, benefits and some successstories. Special emphasis is given to thefinancial benefits. Examples and successstories are adjusted to the facility’s particu-lar situation. The presentation is followedby a question and answer session, afterwhich a budget for the implementation ispresented. The budget includes Centrestaff time in the office and at the facility,travel expenses and office materials. Sincethe Centre is partially financed by theHonduras-Canada Environmental Man-agement Fund, a special discount is grant-ed. The charge by the Centre to theindividual enterprise for courses as part ofCP demonstration is between US$ 7000and12,000.

Small enterprises are treated differently.Special packages are prepared and present-ed to donor agencies interested in promot-ing better environmental performance inspecific SME sectors. The package costs aroundUS$ 20,000 per group of four to six enterprises.The cost is high because of travel, and because itmay include additional courses for groups in thearea (not only the company’s personnel).

An in-plant CP demonstration takes approxi-mately eight months. The length of time dependsnot only on the size, but also on the number ofproduction lines for individual products. In gen-eral, a period of eight months would be appropri-ate for a company with more than five productionlines and 20 to 100 employees, or a unique pro-duction line but more than 500 employees. Amanagement representative is first designated toserve as the contact person between the Centreand the company. This person also helps coordi-nate CP team meetings and activities. The CPteam includes personnel from sales, procurement,storage, administration, post-sales services, andespecially quality control and production. Teammembers are trained in CP methodology during a16-hour course. The idea behind this is that thecompany’s personnel should be able to continueimplementing CP when the CNP+L-H consul-tants are no longer there. Any of the trained per-sonnel should be able to introduce the CP concepteven if they change jobs.

Once the team is trained, flowcharting of plantprocesses starts. Every line of production is flow-charted unless otherwise specified in the agreementwith the company. These flowcharts are first drawnup in the office with the CP team; they are thenrevised in the plant during actual operation; final-ly they are revised again in the office with the team.When the Centre expert is confident that the flow-charts are correct, inputs and outputs are indicat-ed. They are then quantified by the company

personnel. The Centre expert provides orientationconcerning how and what to measure and how todecide what representative data are. Input andoutput measurements also include energy andwater consumption. Once the measurements areready, mass and energy balances are performed.Information from the balances, as well as theempirical observations, are used to determine crit-ical points. These critical points may be:◆ environmental: sites/stages where waste with asevere impact on the environment is produced;◆ economic: sites/stages where waste from expen-sive products is generated;◆ quality: sites/stages where waste due to qualityproblems is produced;◆ process: sites/stages where waste due to processdelays is produced.

With the critical points identified and classi-fied, the real causes of the problems are analyzedwith the team using mental maps.

Once the real causes of problems are deter-mined, CP recommendations are made and areprioritized by the team using a brainstormingprocess. In the process of generating recommen-dations, the Centre always tries to maintain a facil-itator’s role rather than that of the solutionprovider. Recommendations are analyzed for theirenvironmental, economic and technical feasibili-ty. Those considered feasible are listed in animplementation chronogram. In the case of rec-ommendations that are not feasible, the teamreturns to the mental map and takes part in anoth-er brainstorming session until it arrives at morefeasible ones.

For each recommendation the implementationchronogram shows dates of implementation, allo-cation of responsibilities and performance indica-

tors, as well as the necessary supportingactivities. The indicators selected are easyto measure and quantifiable, in order to beincluded in a monitoring chronogram.This monitoring or audit process verifies:◆ whether the savings projected for imple-mentation of the recommendations areaccurate;◆ performance of the CP methodologyitself, and how well the company’s person-nel have understood the process.

At this point a CP implementationreport is presented to the company. Thisreport includes the flowcharts, measure-ments and balances; the critical pointsencountered; the mental mapping results;priorities set; recommendations and ben-efits (environmental and economic); theimplementation chronogram and moni-toring chronogram. The Centre monitorsimplementation and its results. At thispoint a summary sheet is annexed to thereport and a CP certificate is awarded ifthe implementation has been carried outappropriately.

Table 1 shows some of the Centre’sclients and the financial benefits they havederived from adopting CP.

The Centre’s ISO 14001 division wascreated in 2003. It is involved in ISO

14001 implementation in three enterprises: twoAfrican Palm plantations and oil extractors, and asnack factory. ISO implementation is carried outwith the help of ENTORNO (the World BusinessCouncil representative for Spain) through its con-sultancy office, Premier Consulting. With theCentre’s experience in regard to environmentalthemes and the support of a Foundation likeENTORNO/Premier Consulting, it has been easyto interest clients in having the Centre carry outISO 14001 implementation at a reasonable price.When work with these clients is finished, it is notexpected that there will be any problem findingnew clients.

Progress to date and reflectionsA mid-term evaluation of the Centre in early 2002showed that the Sustainability Fund had accumu-lated US$ 75,000 within its first 18 months ofoperation. This amount had increased to$128,687 by 2003. The Sustainability Fund iscurrently providing funds to cover about 50% ofthe Centre’s operations.

In 2001, the Centre started with two full-time(technical director and administrative assistant)and one part-time (Executive Director) staff. Twomore technical staff had been hired by 2003.

Progress has largely been due to three factors:◆ a detailed and reasonably realistic implementa-tion strategy;◆ highly competent, dynamic, committed andcreative staff under the leadership of the technicaldirector; ◆ flexible support from the donor agency.

The Centre’s staff have been capable of reflect-ing on its directions and activities, and haveresponded (where possible) to lessons learned.

Quesillo elaboration at the Telica plant, part of the Guayape Project

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Training coursesThe Centre has understood that for acourse to be effective, it must include exer-cises with case studies. Interactive work-shops are needed to train people so theycan make a difference in their companies.Seminars are designed to interest newclients in the cleaner production concept,or to inform an enterprise’s employeesabout what will be happening in theircompany. Training courses are meant totrain leaders on a specific methodology, sothat they will be able to carry out imple-mentation in their companies.

During the Centre’s first years, freecourses on product quality and occupa-tional safety themes were offered in orderto get companies interested. This provedeffective. As soon as the Centre’s accom-plishments could speak for themselves,the free courses were dropped. The open courses(that is, the ones not contracted by a company butadvertised in the newspaper) are time-consumingand the revenue is much lower than that generat-ed by in-plant courses. They are maintained dueto their importance in attracting new clients, buttheir number has been reduced. In general, theCentre’s emphasis is now on in-plant courses, paidfor and organized by a company exclusively for itsemployees.

Organizing and delivering courses has beenhard on Centre personnel. If courses are to bemore efficient and effective, a separate informa-tion dissemination and training unit is needed.All events could be planned and coordinated bythis department. This would ensure less burnoutof personnel, more effective marketing, and per-haps more revenues for the Centre.

In-plant CP demonstrationThere have been two basic difficulties in the areaof in-plant demonstration. One concerns quan-tification of inputs and outputs. Most enterprisesare not accustomed to documenting their activi-ties. The documentation that is carried out (ifany) is not treated as data for decision-making,but merely as recording of statistics. This meansthe Centre must demonstrate the importance ofestablishing and using documents appropriately.However, the personnel are not used to quantify-ing information and normally do not find time forthis exercise. The Centre has to find a way tomotivate personnel and facilitate matters. Thisstage of the process is the slowest part.

The Centre provides the enterprise with chartsready to fill in, together with examples of how thedata can be used. Nevertheless, the Centre’s con-sultants frequently have to do the quantificationthemselves. Once data are measured and criticalpoints established, it is easy to continue with doc-umentation because company personnel will haveseen its value not in examples, but using their owncompany information and day-to-day problems.After observing this tendency in several companies,the Centre decided to overlap the implementationstages to make things go faster. As soon as thequantification process is finished, or at least well

advanced, the mental maps-feasibility analysis iscarried out for the critical points determined so far.

The second difficulty is the perception that theCentre is a magic problem solver. It has requiredseveral explanations to make company personnelunderstand that the Centre is a facilitator, and thatfor improvements to be continuous they mustlearn to generate their own recommendations.Not surprisingly, it has been much easier to imple-ment ideas that come from the enterprise person-nel rather than from the Centre consultants.

Mental maps have proven an important andeffective implementation tool. Most of the time,the reasons behind situations are pretty simple.However, company personnel are too busyputting out fires to address the root of the prob-lem. With the mental maps, the real causes are eas-ily identified and long-standing problems canfinally be solved.

Policy development and advocacyThe 1998 feasibility study identified several piecesof Honduran legislation that needed to bereviewed for consistency with CP objectives.Unfortunately the CNP+L-H has not been ableto work much in this area for several reasons. TheCentre is situated in San Pedro Sula, a highlyindustrialized region far from the capital city ofTegucigalpa. Travelling to Tegucigalpa requiresmoney and time.

Unless financed by an international organiza-tion, the Centre has to cover all its own expensesfor participating in environmental policy devel-opment. It has been difficult to secure sponsorsfor the Centre’s participation in environmentalpolicy roundtables, for example.

The Centre started with only a technical direc-tor, who was responsible for courses, implemen-tation, attending CP meetings and an occasionalenvironmental policy related event. New person-nel had no experience with cleaner production.They had to be trained and closely supervised bythe technical director.

In retrospect, policy advocacy work might havebeen facilitated had the Centre (or at least its pol-icy advocacy unit) been located in the capital. Ofcourse, this would have meant additional costs for

office rent. However, Tegucigalpa hasother advantages that might have offsetthese costs. It is the country’s geographiccentre and is connected to all the majorroad networks. It is also the site of donoragencies’ offices. It is arguable that locat-ing the Centre in Tegucigalpa wouldhave offered more opportunities for net-working with funding agencies.

Administration of the Centre The importance of having specializeddepartments was recognized from thebeginning. Working for two years withonly a technical director and administra-tor slowed implementation time,reduced the number of courses offeredand weakened the Centre’s outreachactivities. Having an additional technicalexpert in the Centre’s third year allowed

more rapid implementation and more intensivemarketing work. Combined with the convincingresults of the demonstration projects, extra tech-nical personnel allowed the Centre to get 17 newprojects in its third year.

It has been observed that a technician can carryout three demonstration projects in medium tolarge companies at a good speed. One more pro-ject does not result in a slowdown, but rather instaff burnout. More than four demonstration pro-jects per person definitely slows down the process,as well as burning out the technician.

Regularly upgrading the skills of the Centre’spersonnel is clearly important. It is therefore crit-ical for the Centre to network actively with othercleaner production centres and explore cost-shar-ing capacity enhancement programmes for itsstaff.

ReferencesCNP+LH (Honduran National Cleaner Produc-tion Centre) (2003) Informe de Proyecto deImplementación de Producción Más Limpia enManufacturas del Trópico. June.

CNP+LH (Honduran National Cleaner Produc-tion Centre) (2003) Informe De Proyecto DeImplementación De Producción Más Limpia EnYODECO. December.

CNP+LH (Honduran National Cleaner Produc-tion Centre) (2003) Informe De Proyecto DeImplementación De Producción Más Limpia EnINDEMA. December.

Yap, N. T. and P. Stokoe (1998) National CleanerProduction Centre in Honduras. Technical Feasibil-ity Study, Preliminary Project Design and FinancialAnalysis.

YESA Ltd. (2000) Report on Field Visit toCENP+L-.

YESA Ltd. (2002) Centro Nacional de Produc-ción más Limpia (Honduras). Evaluation for theperiod July 2000-December 2001. Prepared forthe Canadian International Development Agency.March.

◆

Cream extraction at Lácteos Erika, one of the six small enterprises atthe Guayape Project in Olancho

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Worldwide, petroleum companies areresponding to concerns about climatechange. An important first step to

address the climate change issue is to understandthe magnitude of greenhouse gas emissions frompetroleum industry operations by creating an emis-sions inventory. In order to quantify emissionsources, emissions estimating methodologies areneeded, and the boundaries of the inventory mustbe defined. At present, several standards/proto-

cols/guidelines are available to define the bound-aries and provide methodologies for estimatingemissions of greenhouse gases. These standards arebroadly applicable to many industries where own-ership arrangements are not complex and themajority of greenhouse gas emissions arise from thecombustion of commercial fuels and/or the use ofelectricity. However, the petroleum industry hasunique processes and emission sources, as well asunique ownership and operating arrangements,

which have driven the development of industry-specific accounting and reporting guidelines andestimating methodologies.

Many companies in the petroleum industryhave voluntarily undertaken significant efforts toimprove consistency in estimating emissions fromtheir operations. To provide an up-to-date andcomprehensive set of methodologies for theindustry, the American Petroleum Institute (API)developed the Compendium of Greenhouse GasEmissions Estimation Methodologies for the Oil andGas Industry. Soon after publication of the APICompendium, a second project was initiated todevelop consistent guidelines for accounting andreporting greenhouse gas emissions from petrole-um industry. The International Petroleum Indus-try Environmental Conservation Association(IPIECA), in concert with API and the Interna-tional Association of Oil and Gas Producers(OGP), led the development of the PetroleumIndustry Guidelines for Reporting Greenhouse GasEmissions. In support of these initiatives, an esti-mating and reporting tool, the SANGEA™ Ener-gy and Emissions Estimating System, has beenmade available free of charge to enable companiesto develop an inventory that is consistent with theGuidelines and utilizes methodologies from theCompendium.

Guidelines for reportingThe International Petroleum Industry Environ-mental Conservation Association, the Interna-tional Association of Oil and Gas Producers(OGP) and the American Petroleum Institutehave taken the lead in developing petroleumindustry guidelines focused specifically on theaccounting and reporting of GHG emissions atthe facility through the corporate level. The Petro-leum Industry Guidelines for Reporting GreenhouseGas Emissions (the Guidelines) were issued inDecember 2003. They are divided into sevenchapters that describe:1. Petroleum Industry GHG Accounting andReporting Principles;2. Setting the Boundaries for GHG EmissionsReporting;3. Designing an Inventory to Monitor Perfor-mance;

SummaryTo achieve meaningful greenhouse gas inventories, it is important for methodologies and thedefinitions of what will be included in the inventory to be consistent. Guidance for calculatingand reporting GHG emissions has been developed by the International Petroleum IndustryEnvironmental Conservation Association (IPIECA), the International Association of Oil and GasProducers (OGP) and the American Petroleum Institute (API). The IPIECA’s Petroleum IndustryGuidelines for Reporting Greenhouse Gas Emissions focus on petroleum industry accountingand reporting. API’s Compendium of Greenhouse Gas Emissions Estimation Methodologies forthe Oil and Gas Industry was developed to provide consistent emission estimation method-ologies. A tool for estimating emissions, the SANGEA™ Energy and Emissions Estimating Sys-tem, is available through API.

RésuméPour pouvoir dresser un inventaire sérieux des gaz à effet de serre, il est important qu’il existedes définitions cohérentes de ce qui doit figurer dans cet inventaire et d’employer des méthodesharmonisées. L’IPIECA, l’OGP et l’API ont réalisé un guide pour évaluer et déclarer les émis-sions de gaz à effet de serre. Cet ouvrage, Petroleum Industry Guidelines for Reporting Green-house Gas Emissions, est axé sur la comptabilisation et la diffusion d’informations sur les gazà effet de serre par l’industrie pétrolière. L’API a par ailleurs produit un recueil, Compendium ofGreenhouse Gas Emissions Estimation Methodologies for the Oil and Gas Industry, qui présentedes méthodes harmonisées d’estimation des émissions. Enfin, l’API propose également un outild’évaluation des émissions, le système SANGEA™ (Energy and Emissions Estimating System).

ResumenPara contar con un inventario importante de gases de efecto invernadero, es necesario tenerdefiniciones consistentes del contenido del inventario y recurrir a metodologías congruentes.IPIECA, OGP y API han elaborado guías para el cálculo y la presentación de informes sobreemisiones de gases de efecto invernadero. La publicación Petroleum Industry Guidelines forReporting Greenhouse Gas Emissions (“Directrices de la industria petrolera para la pre-sentación de informes sobre emisiones de gases de efecto invernadero”) aborda la contabili-dad y presentación de informes en la industria petrolera. API publicó el Compendium ofGreenhouse Gas Emissions Estimation Methodologies for the Oil and Gas Industry (“Com-pendio de metodologías para calcular la emisión de gases de efecto invernadero en la indus-tria del gas y del petróleo”) con el objetivo de proporcionar metodologías consistentes para elcálculo de emisiones. Asimismo, API ha preparado una herramienta para el cálculo de emi-siones, conocida como SANGEA™ (Sistema para el Cálculo de Energía y Emisiones).

Developing a consistent approach toestimating greenhouse gas emissions for the petroleum industry

Susann Nordrum, Lead Environmental Engineer, ChevronTexaco Research and Technology Company, 100 Chevron Way,

PO Box 1627, Richmond, California 84802 USA ([email protected])

Christopher P. Loreti, Battelle, One Cranberry Hill, Lexington, Massachusetts 02421, USA ([email protected])

Mike McMahon, Senior Advisor – Climate Change, BP, Chertsey Road, Sunbury on Thames, Middlesex, TW16 7LN, UK ([email protected])

Karin Ritter, American Petroleum Institute, 1220 L Street, NW, Washington, DC 20005, USA ([email protected])

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4. Identification of Industry GHGEmissions;5. Evaluation of Industry GHGEmissions;6. GHG Emissions Reporting;7. Inventory Assurance Processes.

The petroleum industry-specificguidelines took as a starting pointthe Greenhouse Gas Protocol devel-oped by the World Resources Insti-tute (WRI) in conjunction with theWorld Business Council on Sus-tainable Development (WBCSD).The Guidelines complement otherexisting protocols for estimatingand reporting greenhouse gas emis-sions by providing information toaddress the unique situations in thepetroleum industry. For example,they provide:1. industry-specific definitions andexamples for determining “operat-ed” and “equity share” emissions;2. specific guidance on which methodologies fromthe API Compendium are most appropriate forvarious groups of emission sources and desiredlevels of accuracy;3. guidance on data aggregation within the petro-leum industry subsectors;4. guidance on inclusion of indirect emissionsources; 5. options for allocating emissions from combinedheat and power plants.

The Guidelines were developed by a focusedteam of petroleum industry representatives fromBP, ChevronTexaco, ExxonMobil and Shell withsupport from Battelle. Oversight for the team wasprovided by petroleum companies as well as thesponsoring industry organizations (IPIECA, APIand OGP). The first draft of the Guidelines wasdistributed to members of the petroleum indus-try, who then participated in a workshop to dis-cuss and incorporate their input. Finally, aconsultation draft was broadly distributed toobtain feedback from government agencies andother interested parties.

Compendium of methodologiesTo assist its members, and as a reference for otherinterested parties, the American Petroleum Insti-tute first published the Compendium of GreenhouseGas Emissions Estimation Methodologies for the Oiland Gas Industry in April 2001. Publicly availableand internal company GHG emission estimationprotocols were reviewed for use in developing theCompendium. The resulting document repre-sents a compilation of recognized methodologiesfor consistent estimation of GHG emissions spe-cific to oil and natural gas industry operations.The initial API development effort focused onemission estimation methods for carbon dioxide(CO2) and methane (CH4), as they represent thevast majority of GHG emissions for petroleumindustry operations. The Compendium presentsand illustrates the use of preferred and alternativecalculation approaches for CH4 and CO2 for allcommon emission sources, including combus-

tion, process, fugitive and indirect sources.In February 2004 API released an updated ver-

sion of the Compendium, which includes emis-sion factors for nitrous oxide (N2O), SystemInternational (SI) units and additional informa-tion received during the comment period. TheAPI Compendium has been reorganized to pro-vide clearer information, and to be consistent withthe recently released Guidelines discussed above.

The SANGEA™ SystemThe task of developing a greenhouse gas emissionsinventory for an integrated petroleum company,or for any company with both equity and operat-ed facilities, can be somewhat complex, particu-larly if the inventory is to allow the company toreport based on both equity share and operatedemissions and to account for both direct and indi-rect emissions. To facilitate this task, Chevron-Texaco hired a consulting team led by Arthur D.Little, Inc., with software program code develop-ment provided by EnVINTA Corporation andauditing expertise provided by Pricewaterhouse-Coopers. Working closely with ChevronTexacostaff, the team developed an Excel-based toolcalled the SANGEA™ Energy and EmissionsEstimating System. As shown in Figure 1, theSANGEA™ System uses methodologies from theAPI Compendium and enables users to developan inventory that is consistent with the Guide-lines. ChevronTexaco has made the SANGEA™software available to API, and it can be obtainedfree of charge.

Developing an inventory: application of theguidelinesMany petroleum companies have been estimatingemissions of greenhouse gases for several yearsusing company-specific methodologies and pro-tocols. Now that industry guidance exists as a pre-liminary step, it is important to understand thedistinction between accounting for and reportingof emissions. Greenhouse gas accounting concernsthe recognition and consolidation of greenhousegas emissions from operations in which a parent

company holds an interest, and link-ing of the data to specific operations,sites, geographic locations, businessprocesses and owners. Greenhousegas reporting concerns the presenta-tion of greenhouse gas data in for-mats tailored to various reportinguses.

Many companies have multipleobjectives for greenhouse gas report-ing, so that the greenhouse gas ac-counting system must be capable ofmeeting a range of reporting require-ments. Ensuring that data are collect-ed and recorded at a sufficientlydisaggregated level, and capable ofbeing consolidated in various forms,will provide companies with maxi-mum flexibility in reporting.

An important considerationcompanies face in developing aninventory is the decision whether to

report:◆ all the emissions from facilities over which theyhave operational control (and none from facilitiesthey do not control);◆ emissions based on their share of equity in thefacilities; or◆ using some other accounting method.

The Guidelines recommend that companiesselect either the operational control or equityshare approach, and that they clearly state whichmethod they use. The Guidelines suggest thatcompanies should consider the purpose of theinventory in deciding whether to report based onoperational control or equity share. Because com-panies often need to provide information for morethan one purpose, the Guidelines encouragereporters to develop an inventory that can be usedto report both emissions from facilities over whichthe company has operational control and thecompany’s equity share of emissions.

According to the Guidelines, a company isdeemed to have operational control of a facilitywhen the companyhas authority to introduce and implement its opera-tional and environmental, health, and safety(EHS)policies at the joint venture.

The Guidelines also provide specific examplesof how a company’s equity share of emissionsshould be calculated. Greenhouse gas emissionsare apportioned according to the economic inter-est or benefit derived from a joint venture. In gen-eral, the benefit derived from a joint venture isproportional to the working interest or invest-ment share of each partner, and GHG emissionsare allocated to the partners according to theirinterest or investment share.

The next key decision is how to characterizedirect and indirect emissions from a facility. Directemissions are defined as those from sources that areowned or controlled by the reporting company,such as emissions from exhaust stacks or processvents. Indirect emissions are generally consideredto be emissions that are a consequence of the activ-ities of the reporting company, but occur fromsources owned or controlled by another party. For

Figure 1An approach to consistent emissions estimating

GHG emissions inventory

Guidelines

CompendiumSANGEA™

or other software*

Accounting andreporting guidelines

Available emissionestimationapproaches

Definition ofreporting tiers

Emissionestimation methods

* Emission calculations made following guidelines accounting and reporting procedures and Compendium emission estimation methods

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example, indirect emissions couldinclude those from the production ofpurchased electricity, contract manu-facturing, contracted drilling operationsand product transport by third parties.The Guidelines provide a rationale foraccounting and reporting indirect emis-sions from energy consumption. Anexample for the petroleum industryillustrated in the Guidelines is account-ing for power plants located within arefinery that export electricity and/orsteam to other companies.

Another unique situation for thepetroleum industry is contract opera-tions where a petroleum company pro-vides fuel to a contract operator. Thisoccurs in drilling operations, as well asin transportation of crude oil or prod-ucts. The Guidelines suggest that com-panies consider accounting for signifi-cant contract operations as sources of indirectemissions. Based on the accounting approachdescribed in the Guidelines, provision of fuel to acontract operator should not influence whetherthe emissions are included as operated or equityshare. Since the emissions come from a contractedoperation, they are indirect emissions.

Once the inventory accounting approach hasbeen set, and decisions have been made as to whattypes of reports will be developed and what thedata will be used for, the next step is to under-stand the specific sources included in each facili-ty and what methodology is appropriate toestimate the emissions. The Guidelines providean overview of the types of methodologies thatare appropriate for exploration and productionfacilities and petroleum and petrochemical refin-ing/manufacturing facilities. These approachesare described for the two types of facilities for var-ious ranges of accuracy, using a tiered approach.Tier A represents the highest level of accuracy.Tier B includes somewhat less rigorous methods,and is therefore likely to be more straightforwardand less costly to implement. However, theuncertainty associated with these methods isgreater. Finally, for an assessment ofemissions where uncertainties of 30-60% are acceptable, Tier C methodsmay be employed. Each of the Tiers inthe Guidelines is linked to appropri-ate calculational methodologies in theAPI Compendium.

Specific information about thetypes of approaches available for esti-mating emissions is found in theCompendium. For a given facility, anda given range of uncertainty, the spe-cific method used for each source willde pend on the information availableabout that source. For example, theCompendium recommends that thepreferred method for estimating emis-sions from combustion sources is todetermine the mass of carbon per massof fuel and the mass of fuel used. How-ever, the Guidelines and the Com-

pendium recognize that this type of information isnot available for all devices in all facilities. Wherethe preferred information is not available, theCompendium provides alternative methodologiesthat utilize existing information to develop a rea-sonable estimate of emissions. For example, inmany cases a facility may measure the volume offuel used and periodically analyze the specificgravity and/or heating value of the fuel. As analternative to mass based estimates, this informa-tion can be used to estimate carbon dioxide emis-sions from fuel combustion.

Developing an inventory:methodologiesAs described above, the Guidelines provide infor-mation on accounting for and reporting to corpo-rate level of greenhouse gas emissions at the facility.A companion publication, the API Compendium ofGreenhouse Gas Emissions Estimation Methodologiesfor the Oil and Gas Industry, documents a numberof currently recognized calculation techniques andemission factors available for developing GHGemissions inventories for oil and gas industry oper-ations. The Compendium was developed to

accomplish the following:1. assemble an expanse of relevantemission factors for estimating GHGemissions from oil and gas industryactivities, based on currently availablepublic documents;2. outline detailed procedures for con-versions between different measure-ment unit systems, with particularemphasis on implementation of oiland gas industry standards;3. provide descriptions of the multi-tude of oil and gas industry operations– from exploration and productionthrough refining to the marketing ofproducts, as well as the transportationof crude oil, natural gas and petroleumproducts – and the associated emis-sions sources that should be consid-ered; 4. develop emission inventory exam-

ples – based on selected facilities from the variousindustry segments – to demonstrate the broadapplicability of the methodologies.

The Compendium is neither a standard nor arecommended practice for the development ofGHG inventories. Rather, it represents a compi-lation of recognized methodologies for estimatingGHG emissions specific to oil and gas industryoperations.

Source classificationThe Compendium groups oil and gas industryGHG emission sources into three categories:combustion devices, process emissions and fugi-tive emissions.1. Combustion devices include both stationarysources, such as engines, burners, heaters andflares, and fleet-type transportation devices, suchas trucks and ships, where these sources are essen-tial to operations (i.e. transportation of material orpersonnel); 2. Point sources include vents from oil and gasindustry units, such as hydrogen plants and glycoldehydrators, that emit CO2 and/or CH4. Theyalso include other stationary devices such as storage

tanks, loading racks and similar equip-ment; 3. Non-point sources include fugitiveemissions (equipment leaks), emis-sions from wastewater treatment facil-ities, and a variety of other emissionsgenerated by waste handling; 4. Non-routine activities, associatedwith maintenance or emergency oper-ations, also may generate GHG emis-sions; 5. Indirect emissions are defined asGHG emissions associated with oiland gas company operations, butphysically occurring from sites or oper-ations owned or operated by anotherorganization.

The Compendium includes calcula-tion and estimating techniques fordetermining CO2, CH4 and N2Oemissions from all of these sources.

Figure 2SANGEA summary chart

Figure 3SANGEA normalized emissions summary

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Technical considerations The Compendium provides emissionfactors from many different references,with many different approaches todefining emissions from the samesources. Careful review of these docu-ments was required to understand theunderlying assumptions used in devel-oping the emission factors, and tocombine data from multiple referencesusing the reporting conventions select-ed for the Compendium. Some of thekey technical considerations are:1. standard gas conditions: standardconditions used in the Compendiumare 14.7 psia and 60°F (1 atm and15.6°C); 2. heating value specifications: bothhigher heating value (HHV) andlower heating value (LHV) are provid-ed to report fuel data in terms of ener-gy and to convert between fuel volume andenergy; 3. units: GHG emissions are typically reported inmetric tonnes (1 metric tonne = 1000 kg = 2205lbs.) and emission factors are provided in bothEnglish and System International (SI) units ofmeasure.

Other aspects of the Compendium thatenhance usability include: 1. tables of fuel properties common to the oil andgas industry;2. example calculations for each emission estima-tion method;3. case studies to illustrate the use of the Com-pendium and to demonstrate the computationalapproaches;4. detailed references to sources of emissions data.

Developing an inventory: the SANGEA™ inventory toolAn electronic data management tool is highlyvaluable to effectively manage greenhouse gasemissions data following the accounting andreporting approaches contained in the Guidelines,and consistently applying the methodologies fromthe Compendium.

The SANGEA™ system is a comprehensiveenergy and emissions management system thatcan be used to:1. account for emissions on both an operated andequity share basis;2. account for and report direct and indirect emis-sions separately;3. assess energy utilization and greenhouse gasemissions to determine the major sources;

4. guide energy and greenhouse gas emissionsmanagement activities by enabling comparisonsof emissions per barrel for similar activities or sim-ilar fields;5. establish the initial baseline for energy utiliza-tion and emissions;6. forecast emissions, both for business as usualand for new energy efficiency projects;7. set goals for improving energy efficiency anddecreasing greenhouse gas emissions;8. track progress towards interim and final goals;9. provide an indication of the need to take earlyaction or re-evaluate systems if progress is inade-quate;10. document progress against baseline for poten-tial future crediting;11. provide a basis for discussions with regulatorsand other stakeholders about the various parame-ters that affect energy utilization and greenhousegas emissions from a mature oilfield.

Chevron Texaco directed a team of consultantsthat developed the SANGEA™ software. It isExcel based, with a Visual Basic add-in contain-ing the calculations, emission factors and macrosto help users set up their files. To make sure theSANGEA™ system yields auditable data, Price-waterhouseCoopers recommended a range ofcontrols that were built into the SANGEA™software.

The SANGEA™ system is comprehensive andmodular, so that it can be used to estimate energyutilization and greenhouse gas emissions from alltypes of petroleum industry sources. Users config-ure the system for their site, select the applicablemodules, and then specify the sources within each

module (e.g. turbines, engines andboilers).

Once the SANGEA spreadsheet hasbeen configured, data entry is straight-forward, using standard tables formonthly data entry for each source.The input tables can be linked to otherdata management or accounting sys-tems, such as Excel, J.D. Edwards orSAP.

Users can generate quarterly reports.The system also generates standardcharts to show emissions over time, byintensity and as a forecast. As shown inFigures 2-4, the summary tables andcharts generated by the SANGEA™software allow the user to analyze thedata in many different ways – by loca-tion, module or species. Because theSANGEA system uses Microsoft Excelas a basis, the tables can be copied and

pasted to other Excel spreadsheets for furthermanipulation of the data.

ConclusionA credible, systematic approach to GHG emis-sions, as embodied in the Petroleum IndustryGuidelines and the API Compendium, providesstrategic value to the petroleum industry as weaddress the climate change issue. By furthering thegoal of consistent guidance on greenhouse gasemissions accounting, estimating and reporting,our industry improves its credibility and providesa foundation for future cooperative efforts amongpetroleum industry companies, regulators andother industries to address this important issue.

ReferencesAmerican Petroleum Institute (API) (2001) Com-pendium of Greenhouse Gas Emissions EstimationMethodologies for the Oil and Gas Industry. Amer-ican Petroleum Institute, Washington, DC(http://ghg.api.org).

International Petroleum Industry EnvironmentalConservation Association (IPIECA) (2003) Petro-leum Industry Guidelines for Reporting GreenhouseGas Emissions. IPIECA, London (www.ipieca.org).

World Resources Institute (WRI)/World BusinessCouncil for Sustainable Development (WBCSD)(2004) The Greenhouse Gas Protocol: A corporateaccounting and reporting standard, Revised Edition.WRI/WBCSD, Geneva and Washington, DC(www.wri.org; www.wbcsd.ch).

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Figure 4SANGEA summary sheet

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clears the way for almost half of theplants which will be part of the Pan Euro-

pean emissions trading system. The deci-sion shows that we are serious about our climatechange policy, and that we can start emissionstrading the first of January next year as planned.”

For more information, see: http://europa.eu.int/comm/environment/climat/emission.htm. ◆

Asian Development Bank andWRI initiate programme tomake transport and mobilitysustainableThe Asian Development Bank (ADB) and theWorld Resources Institute (WRI) have launched aprogramme aimed at enhancing the environmen-tal sustainability of transport and mobility through-out Asia. Called “Partnership for Sustainable UrbanTransport in Asia” (PSUTA), it asks EMBARQ –the WRI Center for Transport and the Environ-ment (www.embarq.wri.org) to: review existingexperiences and capacities with respect to sustain-able transport in Asia; draw up a set of key indica-tors for three Asian cities; and develop a strategicframework that can be used to develop medium-term sustainable transport strategies.

Funded by the Swedish International Develop-ment Cooperation Agency (SIDA), PSUTA is animportant part of the programme of the Clean AirInitiative for Asian Cities for 2004 (www.cleanair-net.org/caiasia). “ADB feels that the emphasisplaced by EMBARQ on the development ofquantitative indicators for sustainable transport ismost appropriate for the situation in Asian cities,”says Charles Melhuish, ADB’s lead transport sec-tor specialist. “So far, very few cities in Asia havebeen able to formulate policies that are based on atrue reflection of the economic costs of air pollu-tion and congestion.”

Under the auspices of the partnership, EMBARQwill conduct case studies in three representativecities across Asia. The first two are Hanoi in VietNam and Xian in China. Discussions on the choiceof the third city are still going on.

The project’s first stage involves the develop-ment of key indicators of sustainable urban trans-port throughout Asia. These indicators will be thefoundation of case studies emphasizing a quanti-tative analysis of factors that affect access to trans-portation, traffic safety and air quality. The casestudies will consist of a critical review of baselinedata, as well as recommendations on the institu-tional arrangements and organizational and tech-nological capacity necessary for sustainable urbantransport planning in each city.

In the final stage, the partnership will put for-ward a strategic framework to help cities through-out the region develop an integrated sustainabletransport plan for their particular transport situa-tion. “Addressing sustainable transport in therapidly emerging economies of Asia today simplymakes sense if cities hope to avoid the air pollu-tion, traffic congestion and sprawl that have

Carbon emissions tradingbegins in Africa Under the Prototype Carbon Fund (PCF), Dur-ban’s eThekwini Municipality and the WorldBank have signed the first carbon emission reduc-tions purchase agreement in South Africa. ThePCF will purchase 3.8 million tonnes of GMGemission reductions from the project at US$ 3.75per tonne of carbon dioxide equivalent. Thisagreement concerns a landfill gas-to-energy pro-ject for reducing greenhouse gas emissions. Thesigning ceremony took place in Cologne, Ger-many, in June 2004 at the first Carbon Expo, atrade fair for the global carbon market.

The project consists of enhanced collection oflandfill gas at three eThekwini landfill sites andthe use of this gas to produce electricity. There aretwo project components: Component One (Mar-iannhill and La Mercy Landfill) will generate700,000 tonnes of emission reductions; Compo-nent Two (Bisasar Road Landfill) will generate3,100,000 tonnes. The first component, forwhich an environmental impact assessment pro-cess is nearing completion, should be operationalthis year. The other component is expected to befully commissioned next year, pending clearanceof social and environmental impact assessmentsbeing undertaken in parallel by the Province ofKwaZulu-Natal and the World Bank.

The project is intended for the Clean Develop-ment Mechanism (CDM) of the Kyoto Protocol,the 1997 international agreement to limit emis-sions of climate-altering greenhouse gases. TheCDM allows industrialized countries and compa-nies with greenhouse gas reduction commitmentsto purchase some of their required reductions indeveloping countries. “I think this is a first for thewhole African continent, a project of this magni-tude, dealing with waste,” said Obed Mlaba,Mayor of Durban. “The example we are setting inDurban, working with the World Bank to dealwith landfill, is a huge innovation. We are turningdirt and garbage into raw material that we couldgrow wealth from.”

The electricity produced by the project will befed into the municipal grid, replacing electricitythe eThekwini Municipality has been purchasingfrom other suppliers. Methane and CO2 are thegreenhouse gases targeted by the project. It shouldresult in increased capture of landfill gas nomi-nally composed of 50% methane, the majority ofwhich would otherwise be progressively releasedto the atmosphere. “This project is indicative ofthe potential of landfill gas to energy projectsthroughout the developing world,” explained Ken

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Newcombe, World Bank fund manager for thePCF. “A carbon market intelligence study justreleased by the World Bank shows that one-sixthof all the carbon finance projects involve land fillgas. This demonstrates that carbon finance has thepotential to revolutionize waste management indeveloping countries.”

An additional 20 cents per tonne of CO2 equiv-alent will be paid for additional social benefitsaimed at poverty reduction and addressing theneeds of poor and disadvantaged people in Dur-ban. Payment is conditional upon World Bankapproval of the design and implementation of thesocial implementation plan, as well as commis-sioning of Component Two. The project will beimplemented by the Department of Cleansingand Solid Waste (DSW), eThekwini’s municipalsolid waste department.

For more information, see prototypecarbon-fund.org, or contact: Anita Gordon, Tel: +44 7709415 253 or +1 202 473 1799, E-mail: [email protected]; or Sergio Jellinek, Tel: +1 202294 6232, E-mail: [email protected]. ◆

European countries presenttheir national allocation plansfor CO2 emission allowances

The European Commission has accepted eightnational allocation plans for CO2 emissionallowances. Plans from five countries (Denmark,Ireland, the Netherlands, Slovenia and Sweden)have been accepted unconditionally. Anotherthree, from Austria, Germany and the UnitedKingdom, have been approved on condition thattechnical changes are carried out. These changeswill make the plans automatically acceptable, with-out requiring a second assessment by the Com-mission.

National allocation plans outline the number ofCO2 emission allowances Member States intendto allocate to energy-intensive industrial plants, sothat they can participate in emissions trading fromJanuary 2005. The decision concerns more than5000 plants out of an estimated 12,000 in theEuropean Union. These plants will receive over40% of the total number of expected allowances.

The EU emissions trading scheme will ensurethat GHG emissions in the energy and industrysectors are cut at the least cost to the economy. Itwill also help the EU and Member States meettheir emission targets under the Kyoto Protocol.As Environment Commissioner Margot Wall-ström said: “Today’s decision is a crucial step… it

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plagued industrialized countries over the past cen-tury,” says Dr. Lee Schipper, EMBARQ’s researchdirector. “This project presents forward-thinkingcity governments with the opportunity to get itright as they develop what will soon be the largesttransport markets on the planet.” Established in2002 with the support of the Shell Foundation,EMBARQ -The World Resources Institute Cen-ter for Transport and the Environment acts as acatalyst for socially, financially and environmen-tally sound solutions to urban transport problems.It is currently engaged in sustainable transportplanning projects in Mexico City and Shanghai,two of the world’s largest cities, which have a pop-ulation of 18 and 15 million people, respectively.

For more information, contact: Adlai J. Amor,Media Director, World Resources Institute (WRI),10 G. Street, NE, Washington, DC 22203, USA,E-mail: [email protected]. ◆

Mediterranean freshwaterthreatened Tourism is damaging freshwater in the Mediter-ranean basin, while growing water demand forgolf courses, hotels and aquaparks will furtherstrain resources, says the environmental groupWWF in its recent report Freshwater and Tourismin the Mediterranean. A hotel visitor uses on aver-age one-third more water than a local inhabitant.Annual water consumption by a golf course isequivalent to that of a city of 12,000 inhabitants.

“The tourism industry depends on water, and atthe moment it is destroying the very resource itneeds,” said Holger Schmid of WWF’s Mediter-ranean freshwater programme. The damageincludes pollution, shrinking of coastal wetlandsthat are tourist attractions (and havens for endan-gered species of animals and plants) and tappingof non-renewable groundwater in some regions.The problem is compounded by the fact the peaksummer season for tourists coincides with the peri-od when agricultural irrigation needs are greatest.

The number of tourists heading for Mediter-ranean coastlines is expected to be between 235and 355 million per year by 2025, or roughly dou-ble 1990 levels. On Spain’s Costa Brava, afavourite destination for visitors from NorthernEurope, the population of 27 urban areas jumpsfrom 150,000 in winter to 1.1 million in summer,causing water demand to surge. On Cyprus,where water resources are already very tight, eightgolf courses are under construction.

WWF says local authorities tend to tackle the

booming demand for water by increasing supply,which is not sustainable in the long term. Govern-ments are forced to look for increasingly drasticand costly measures to obtain large quantities ofwater in arid regions. WWF cites a Euro 3.8-bil-lion (US$ 4.58 billion) Spanish plan to divertwater from the Ebro River in the fertile north tothe dry southeast.

The WWF report contains a long list of waysthat tourists, hotels and governments could cutwater consumption, from turning off the tapwhile shaving to choosing drought-resistant nativeplants for landscaping.

For more information, see: www.panda.org/ down-loads/europe/medpotourismreportfinal_ofnc.pdf. ◆

Generating energy fromrapeseed in the UKThe world’s first commercial venture to generateelectricity from rapeseed is planned in northernEngland. Production is set to begin in July of nextyear. The pilot power plant at Great Driffield,Yorkshire, will burn oil extracted from rapeseedgrown by local farmers, generating an initial1 megawatt of electricity (enough to power 1000homes). If successful, the scheme will be extendedto several former collieries that already have tur-bines capable of producing electricity and directaccess to the national power grid. Rapeseed,whose bright yellow flowers are part of the springlandscape, is being used across Europe to make“biodiesel”, which is added to petroleum-basedfuels. However, this will be the first time the cropis harnessed commercially for electricity.

The Swiss-based agrochemicals group Syngentais providing seed for the project. Farmers will signa contract to furnish harvested crops to SpringdaleEnergy, a local firm, which will run the powerplant. The electricity generated will be sold on toSmartestEnergy, an independent energy trader thatis part of Japan’s Marubeni group. The programmeinvolves an initial 4000 hectares of crops. AndrewCoker, a spokesman for Syngenta, said the projectwas the first of its kind. However, he noted thatthere are some non-commercial schemes in opera-tion, including a subsidized rapeseed power plantin the Reichstag, the German Parliament building.

Until now, schemes using “green” or renewablesources of fuel for electricity have focused on burn-ing straw or biomass crops, such as willow coppice.Governments around the world are under pressureto provide sustainable energy sources to meet theircommitments under the Kyoto Protocol. In the

United Kingdom this requires 3-5% of electricityto be generated from renewable sources by 2010.

For more information, see www.syngenta.com.◆

European forum on CSRmakes recommendationsAt the end of a 20-month European Commissionforum, business leaders have agreed that social andenvironmental issues are a key part of modernbusiness, but that corporate social responsibility(CSR) should not be a legal obligation. At theforum’s half-way point, whether principles shouldbe mandatory or voluntary was the main bone ofcontention between business, trade unions andNGOs.

The forum’s report, European MultistakeholderForum on CSR – Final Results and Recommenda-tions, identifies barriers to the wide diffusion ofCSR, especially in the case of small and mediumenterprises (SMEs). These include scarcity ofinformation and support, the “steep learningcurve” facing any company that wants to takeaccount of social and environmental concerns,and the unfamiliar language often used by CSRproponents.

Nine recommendations are made, ranging fromthe establishment of a web site for all interestedparties to including CSR in the curriculum of busi-ness schools and universities. In addition, compa-nies should be encouraged to report on their CSRexperiences and make this information freely avail-able. EU Enterprise Commissioner Erkki Liika-nen, who said the report’s conclusions are in linewith Commission thinking, added that “it is alsohealthy that the report points to the boundaries ofthe CSR concept and to the limits of what it canachieve. CSR is only one instrument among othersto achieve sustainable development outcomes.” Tothis end, he said, CSR policies should be integrat-ed with broader efforts to promote economic,social and environmental progress. The responsi-bility for this cannot just be left with businesses,but should also fall to public authorities.

Forum members have suggested a review meet-ing in two years, which would focus on putting therecommendations into practice. The EuropeanCommission will issue a communication on CSRbefore the end of this year. In September it will alsobegin a campaign intended to boost awarenessamong SMEs.

For more information, see: www.europa.eu.int/comm/enterprise/csr/documents/29062004/EMSF_final_report.pdf. ◆


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Indian industry is becominggreener

The World Resources Institute (WRI) and theSohrabji Godrej Green Business Centre of theConfederation of Indian Industry (CII) recentlyagreed to collaborate on projects to advance sus-tainable enterprises in India. This agreement wasannounced during the Green Power 2004 Con-ference in Mumbai, India, organized by the CII,the United States Agency for International Devel-opment and ICICI Bank. “With India’s rapidemergence in the global economy, we are pleasedto partner with the country’s premier industryassociation in harnessing technology innovation,entrepreneurship, and markets to achieve secureand sustainable growth,” said Dr. David Jhirad,WRI’s vice president for science and research.“Indian and US industry can start implementingenergy and environmental solutions that enhancesecurity, achieve climate stability, and eradicatepoverty.”

Under the agreement, the CII and WRI will setup a programme to assess, measure and reportgreenhouse gas emissions following the interna-tionally accepted Greenhouse Gas Protocol devel-oped by WRI and the World Business Council forSustainable Development (WBCSD). CII andWRI will also help expand markets for renewableelectric power, promote sustainable enterprises andbuild public-private partnerships to attract signif-icant investment in green technology, followingWRI’s New Ventures model.

“We are pleased to collaborate with the WorldResources Institute, given its experience and exper-tise in working with businesses in lessening theirenvironmental impact and ensuring long-termsustainability,” said S. Raghupathy, Senior Direc-tor and Head of the CII Godrej Green BusinessCenter. “In partnership with WRI, we look for-ward to being Asia’s leading institute for sustain-able business and technology solutions.”

For more information, see www.ciibc.org. ◆

Industrial pollution isdecreasing in the UKImproved regulation and more stringent fineshave helped curb industrial pollution in the Unit-ed Kingdom. The UK’s Environment Agencyreports that 613 cases of serious pollution werecaused by industry in 2003, a 12% drop com-pared with the previous year. The farming andwaste management sectors were singled out for theprogress they have made. “Our risk-based

approach to regulation, developed with business,is working,” says chief executive Barbara Young,in the agency’s annual Spotlight on Business report(www.environment-agency.gov.uk/spotlight).“But fines for environmental offences are still fartoo low.”

Average fines were little changed at around£8400 (US$ 15,068), although the heftiest was£232,000 (US$ 416,000), the largest-ever fine forillegal waste management in the UK. However,the waste management sector reduced cases ofserious pollution by about 25%. Personal liabilityfor environmental pollution has increased; 11company directors were fined in 2003. The mainrepeat offenders were utility companies, whichwere prosecuted for letting sewage pollute lakes orstreams. Water industry pollution incidents roseby around 25% compared with 2002. The con-struction industry was responsible for 3% of pol-lution incidents, or 80,000 tonnes of wasteannually. This amount is increasing with regener-ation works, the Agency reported.

Greenhouse gas and nitrogen oxide emissionsboth increased, by 5 and 9%, due to increasedburning of coal for power generation. There wasless oil-based pollution than in previous years.

For more information, see www.environment-agency.gov.uk. ◆

European chemical industrylaunches technology platformon sustainable chemistry

The European Union’s chemical and biotechnol-ogy industries have joined forces to promote “sus-tainable and competitive chemistry”. While theEU’s chemical industry accounts for 28% of theglobal chemical trade, this share is 4% lower thana decade ago. CEFIC, the European chemicalindustry association, and the biotech associationEuropaBIO, with the support of the EuropeanCommission, have launched a European technol-ogy platform on sustainable chemistry. Its purposeis to increase investment in research and innova-tion and to boost European competitiveness inthis sector.

The platform brings together industry, researchcentres, financial institutions and regulatoryauthorities at the European level to create a strate-gic research agenda for the sector. Issues to beaddressed include three key technology areas forEurope: industrial biotechnology; materials tech-nology, reaction and process design; and cross-cut-ting issues including the environment, health andsafety, education and skills, research infrastruc-

tures and access to risk capital.“Research is the primary source of

innovation in the knowledge-intensivechemical industry and is driving the sector for-ward,” says European Research CommissionerPhilippe Busquin. “The European chemical indus-try has an impressive track record of developingnew products and manufacturing processes, butthe challenge is to improve the transformation oflaboratory ideas into new sustainable products andservices to boost EU competitiveness. The EUchemical sector only spends 1.9% of its sales onR&D, less than the United States’ 2.5% andJapan’s 3%. The new platform will facilitate theestablishment of public-private partnerships toaddress the barriers to innovation and encouragethe industry to invest more in research to overcomethese challenges and improve the industry’s com-petitiveness.” Europe’s trade in chemicals grewfrom €14 billion in 1990 to €42 billion in 2002,with some 25,000 enterprises employing 1.7 mil-lion people. To sustain this growth, however, it isvital for the industry to find a balance betweenlong-term, technology-driven and short-term,market-driven research.

Three strategic technology areas have beenidentified for European innovation: industrial(white) biotechnology, materials technology, andreaction and process design. These technologyareas have great potential to transform the chem-ical industry and to create opportunities for newEuropean enterprises. In addition, due to theirmany applications, they have the potential toimpact significantly on society and promote thedevelopment of new sustainable technologies.

The Platform will also address public concernsabout effective management of risks to humanhealth and the environment, together with issuesthat slow down the innovation process (rangingfrom access to risk capital, stimulation of chemicalresearch careers and facilitation of industry-acad-emia research collaborations, to aspects of publicawareness).

One of the main goals is to maintain andstrengthen the competitiveness and sustainabilityof the chemical industry in Europe by providingthe technology base for more sustainable chemicalproduction, products and services, as well asimproving the infrastructure and financial condi-tions for innovation.

For more information, see www.cefic-sustech.org/files/Publications/ETP_sustainable_chemistry.pdf.

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Paper recycling is increasing in the United StatesMore than half of the paper used in the UnitedStates in 2003 was recovered for recycling. TheAmerican Forest and Paper Association (AFPA)says this rate of recovery represents a 69% increasesince 1990. Currently 339 pounds (130 kg) ofpaper is recovered per US citizen, compared with233 pounds in 1990. The group reports that morethan 80% of all paper mills in the US use recov-

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Global principles forresponsible investment to bedevelopedUNEP will work with major institutional investorsto develop a set of globally recognized principlesfor responsible investment. The new principles,which will come into force from September 2005,will be designed to protect both the planet andlong-term shareholder value by integrating envi-ronmental, social and governance concerns intoinvestor and capital market considerations.

The launching of the Responsible InvestmentInitiative follows a recent meeting of more than40 investors and fund managers in Paris, orga-nized by the UNEP Finance Initiative (UNEP FI)and hosted by the French company, GroupamaAsset Management. Participants proposed a glob-al alliance of investors to guide responsible invest-ment best practice.

Klaus Toepfer, UNEP’s Executive Director,stresses that the time is ripe to develop principlesfor adopting best practice in investment deci-sions being made around the world: “We believethe investor community is now ready for similarprinciples to assist with the complex process ofresponsible investment that meets investor ex-pectations.”

The global public and private investor commu-nity has a duty to protect long-term asset values. Itis therefore a key factor in bringing environmen-

tal, social and governance disciplines to the heartof capital market considerations. As Toepferpoints out, most investors still see environmentand social issues as mid- to long-term issues withlittle relevance today. Sir Graeme Davies, Chair-man of the Universities Superannuation SchemeLtd., the UK’s third largest pension fund, empha-sizes that “Pension funds have liabilities which lastseveral decades, so it’s inevitable that the serioussocial and environmental issues which the UNsystem seeks to address will increasingly becomematerial investment issues as well.”

Michael Hölz of Deutsche Bank, the chair of theUNEP Finance Initiative, adds that “UNEP FI isthe largest and oldest public private partnershipbetween the UN and the financial sector, with 226member companies worldwide. As chair of thisInitiative, Deutsche Bank firmly believes in thepotential of public-private partnerships to developand ensure governance, environmental and socialperformance. The results of UNEP FI’s AssetManagement Working Group, which form thebasis for this announcement, are an example of thesuccess of this network.”

For more information, contact: Robert Bisset,UNEP Spokesperson in Europe, Tel: +33 1 44377613, Mobile: +33 6 2272 5842, E-mail: [email protected].

For information about the UNEP Finance Ini-tiative, contact: Jacob Malthouse, Tel: +41 22 9178268, Mobile: +41 79 707 6932, E-mail: [email protected]. ◆

UNEP opens Brazil office

The opening of a UNEP Office in Brazil is part ofefforts to strengthen the delivery of programmesat the regional and sub-regional levels, in line withdecisions taken by the Governing Council. Thenew office, inaugurated in April, will focus onissues including cleaner and greener energy, earlywarning and assessment, and emergency responseto natural disasters.

“The inauguration of this new office in Brazilmarks a significant development in our organiza-tion’s activities in Latin America and theCaribbean and will boost our abilities to deliversustainable development to the continent as awhole,” says Klaus Toepfer, Executive Director ofUNEP. “It should also be mentioned that Brazil isone of the world leaders in the area of biomass-based renewable energy and is one of the nationswith a rich and important source of genetic diver-sity.”

The new office will help UNEP respond moreeffectively to the Johannesburg Plan of Imple-mentation with respect to developing new andcoordinated approaches and mechanisms forachieving sustainable development, focusing onemerging themes of local and sub-regional inter-est. It will also play an important role in achievingthe Millennium Development Goals, especiallyregarding environmental sustainability and theintegration of sustainable development principlesinto country policies and programmes to helpreverse the loss of environmental resources.

UNEP’s Brazil office will work closely with theMinistry of the Environment, the Ministry for theCities, and the Brazilian Institute for the Envi-ronment and Renewable Natural Resources(IBAMA) in implementing its programmes.

It will also contribute to the process of horizon-tal cooperation and integration of environmental

ered paper to make their products, with 37% ofthe raw material for new paper coming fromrecovered paper.

In 2002 AFPA adopted the goal of recovery of55% of all paper consumed in the United Statesby 2012. Through public and private sector part-nerships, it has launched educational campaignsto encourage the recovery of more high-qualitypapers in communities and workplaces.

For more information, see www.afandpa.org/Content/NavigationMenu/Environment_and_Recycling/Recycling/Recycling.htm. ◆

Recycling electronic waste

The decision by computer equipment manufac-turer Hewlett Packard to recycle electronic waste

worth US$ 1.8 billion by the year 2007 has beengreeted positively by environmental groups in theUnited States. “It is a step in the right direction,but the company has a long way to go,” said TedSmith, Executive Director of Silicon Valley ToxicsCoalition (SVTC), a San Jose-based environmen-tal group that conducts research and is an advocatefor environmental issues related to high tech indus-try.

According to Smith, a billion and a half dollars’worth of electronic products and printing suppliestranslates into roughly 20 million computers to berecycled over the next two and half years. “We havefound that most manufacturers couldn’t providerecycling data for their US programmes, or theirrecycling rates were below 2%. What’s important isto compare the number of computers and printersupplies recycled by HP compared to the $76 bil-lion in sales last year,” he added. “It’s encouraging

to see that HP has combined recycling goals withconcerns about raising social and environmentalstandards in the supply chain. [But they] can domore harm than good if it is done in an environ-mentally or socially irresponsible manner.”

SVTC, along with some other environmentalorganizations, has launched the Computer Take-Back Campaign, which recommends that brandowners “take back and recycle computers in aresponsible way”. The campaign was launchedafter the 2002 report Exporting Harm revealed thedevastation experienced by the environment andhuman health in entire communities caused bypollution from recycling.

For more information, contact: Ted Smith, Sili-con Valley Toxics Coalition, Tel: +1 408 287 6707,E-mail: [email protected]; or David Wood, GrassRoots Recycling Network, Tel: +1 608 347 7043, E-mail: [email protected]. ◆

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agendas currently under development by theMERCOSUR group of countries (Argentina,Brazil, Paraguay, Uruguay) and associated mem-bers Chile and Bolivia.

For more information, contact: Rody Onate,Information Officer, UNEP Regional Office forLatin America and the Caribbean, Tel: +55 52024841, Fax: +55 5202 0950, E-mail: [email protected]. ◆

UNEP-Tongji Institute offersnew annual course

In July, 36 participants from 25 Asian and Pacificcountries – from Afghanistan to Palau – took partin a new leadership programme offered by theUNEP-Tongji Institute for Environment and Sus-tainable Development at Tongji University inShanghai. The seven-day course, to be offeredannually, will help develop Masters level courses atthe Institute.

As part of a teaching consortium created by theInstitute, the leadership course is run by a facultydrawn from a dozen universities and educationalbodies in the region. Most faculty members aremembers of the university consortium and providetheir teaching input on a voluntary basis, as theyexpect to learn from one another’s approaches andthe improvisations the course will demand. Partici-pants, identified as having leadership potential, aredrawn from government agencies, community andactivist organizations, the private sector, educa-tional bodies and UN agencies.

Klaus Toepfer, UNEP’s Executive Director, saysthat “With China’s double-digit economic growthand the commitments in its current, Tenth Five-Year plan to address industrial pollution, cleanerproduction, sustainable urban development, envi-ronmental protection within agriculture, institu-tional strengthening and transboundary issues, thetiming and setting for the first course is ideal.”Course architect and UNEP Regional DirectorSurendra Shrestha emphasizes that “the course hasbeen designed for our future leaders, integratingdifferent perspectives and expertise through a con-sortium of universities which share a commoncommitment to sustainability.”

The President of Tongji University, ProfessorWan Gang, thanked UNEP for the partnership:“This is another step in realizing our vision of host-ing a top collaborative research, technical and man-agerial training facility for the developing countriesof this region; one which contributes significantlyto UNEP’s global and regional environmentalassessments as well as to the environmental dimen-sions of China’s major development projects.”

In addition to Tongji University, which servesas its hub, the regional consortium includes NewSouth Wales-Wollongong University and GriffithUniversity in Australia, the Nanyang Technolog-ical University in Singapore, Yale University in theUnited States and the Asian Institute of Technol-ogy. The Thai Environmental and CommunityDevelopment Association (or “Magic Eyes”), anNGO in Thailand, and the Hanns Seidel Foun-dation office in Jakarta also provide support.

The Leadership Programme on Environmentand Sustainable Development outcomes will beused by UNEP as contributions to the UN Inter-national Decade for Education for SustainableDevelopment, which begins next year.

For more information, see www.rrcap.unep.org/uneptongji or contact: Tim Higham, Regional Infor-mation Officer, UNEP, Bangkok, Tel: +66 2 28821 27, E-mail: [email protected]; or Dr. May Li,Deputy Director, International Office, Tongji Uni-versity, Tel: +86 21 659 82612, E-mail: [email protected]. ◆

UNEP project will help restoreIraq’s marshlands

UNEP has launched a project to restore the envi-ronment and provide clean drinking water inIraq’s marshlands. This project will be imple-mented by UNEP DTIE. Years of neglect andmismanagement have brought about the marsh-lands’ severe deterioration. Damaged by the con-struction of dams on the Tigris and Euphrates,they were drained by the previous Iraqi regime. In2001 UNEP alerted the world to the crisis in thisregion when it released satellite images showingthat 90% of the marshlands had been lost. By2003 another 3% (325 km3) had disappeared.Experts feared that the marshlands would cease toexist by 2008.

Last year the people living in this region beganto open floodgates and breach embankments tobring water back. By April 2004, around one-fifthof the marshes (some 3000 km3) had been re-flood-ed. The challenge now is to initiate sustainabledevelopment in the region and provide clean waterand sanitation services to up to 85,000 people.

The project is funded by the Japanese govern-ment. Klaus Toepfer, UNEP’s Executive Director,says: “I am delighted that the Japanese govern-ment has stepped in to support a new beginningfor the Marshlands and the Marsh Arabs. Half theworld’s wetlands have been lost in the past 100years. I am sure that the lessons learnt during thisproject will provide important clues on how toresuscitate other lost and degraded wetlands else-where on the globe.”

Monique Barbut, Director of UNEP DTIE,

adds: “We will be putting together, in close coop-eration with the relevant Iraqi ministries, a 10-per-son team of local and international experts… Wehope to begin field studies and pilot water treat-ment projects towards the end of the year.”

For more information, contact: Robert Bisset,Spokesperson for Europe, Tel: 33 1 4437 7613,Mobile: 33 6 2272 5842, E-mail: [email protected]. For press releases, reports and satellite images,see www.grid.unep.ch/activities/sustainable/tigris/index.php. ◆

Environmental performanceguidelines drafted for thefinancial services sector

Companies, institutions, organizations and rep-resentatives of civil society, as well as individuals,have been asked for contributions to the FinancialServices Sector Supplement (Environmental Per-formance) being developed by the Global Report-ing Initiative (GRI) and the UNEP FinanceInitiative (UNEP FI). In September 2003 aninternational working group was convened towork on a pilot version of the supplement – a setof globally applicable indicators to be used (inconjunction with the GRI Guidelines) to addressthe environmental impacts of financial sectorproducts and services. These indicators will com-plement the existing GRI Financial Services Sec-tor Supplement (Social Performance).

Working group members come from 19 lead-ing institutions, representing financial and non-financial sectors. It is co-chaired by one industryand one non-industry member. The group hasmet three times to review previous work on envi-ronmental performance indicators and to devel-op draft indicators. It is assisted by an ObserverGroup providing peer review and additionalinput. Since November, work on the indicatorshas been supported by Arthur D. Little Ltd.

Fifteen draft indicators have been released forpublic comment (www.unepfi.net/gri/public).There will be a fourth meeting of the workinggroup in October to review feedback from thepublic consultation process.

For more information, contact: Niamh O’Sulli-van, UNEP FI, ([email protected]), orSean Gilbert, GRI ([email protected]).Also see www.unepfi.net/gri. ◆

Capacity building in Africa

Integrated assessment has been highlighted as apriority for the UNEP-UNCTAD (UN Confer-ence on Trade and Development) Capacity Build-ing Task Force for Trade, Environment andDevelopment (CBTF). Training workshops willbe part of a series of capacity building activities.The Training Workshop on Integrated Assess-ment for African Countries, held at UNEP Head-quarters in Nairobi, Kenya, in July, targeted

UNEP Division of Technology,Industry and Economics (DTIE)

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selected African research and training institutionsas well as economic and trade bodies.

The workshop’s objective was to train trainers.It was also intended to introduce economic andtrade entities in the region to integrated assess-ment as a tool for identifying the impacts of tradeand trade related policies on the environment anddevelopment. The workshop was aimed at pro-viding participants with a better understanding ofthe concept of integrated assessment and anopportunity to discuss the application of this con-cept in Africa.

For more information, see www.unep.ch/etu. ◆

Stockholm convention entersinto forcePersistant organic pollutants (POPs) are amongthe most dangerous substances ever released to theenvironment through human activity. For decadesthey have been responsible for illness and mortal-ity in people and animals. POPs can cause cancerand damage the nervous, reproductive andimmune systems. Exposure to them is also associ-ated with an unknown number of birth defects.

The entry into force of the 2001 StockholmConvention on Persistent Organic Pollutants onMay 17 marks the beginning of an internationaleffort to rid the world of polychlorinatedbiphenyls (PCBs), dioxins, furans, and nine high-ly dangerous pesticides, all of which are POPs.

“The Stockholm Convention will save lives andprotect the natural environment – particularly inthe poorest communities and countries – by ban-ning the production and use of some of the mosttoxic chemicals known to humankind,” says KlausToepfer, UNEP’s Executive Director. “Over thenext several years national investments plus donorpledges of hundreds of millions will channel morethan 500 million dollars into an overdue andurgently needed initiative to ensure that futuregenerations do not have to live as we do with mea-surable quantities of these toxic chemicals storedin their bodies.”

Besides banning the use of POPs, the treatyfocuses on the growing accumulation of unwant-ed and obsolete stockpiles of pesticides and otherproducts that contain these chemicals. Dump sitesand old drums of toxins are leaching chemicalsinto the soil, poisoning water, wildlife and people.The Convention also requires disposal of PCBsand PCB-containing wastes.

For more information, contact: MichaelWilliams, UNEP Information Officer in Geneva,Tel: +41 22 917 8242, Mobile : +41 79 409 1528,E-mail: [email protected]. Also see www.pops.int. ◆

Sustainable consumption andproduction training materialon-line

UNEP DTIE, in cooperation with UNEP part-ner InWEnt, has carried out training workshopsat National Cleaner Production Centers world-wide since 2000. Training has focused on the inte-gration of sustainable consumption and cleanerproduction. It has also covered multilateral envi-ronmental agreements (MEAs) and environmen-tal technology assessment. The training package,developed for NCPC directors and other profes-sionals, includes materials for a two-day sessionon integrating cleaner production and sustainableconsumption, with supplementary reading.

For more information, see http://www.uneptie.org/pc/cp/library/training/cdgpack/cpsc.htm. ◆

Cold water coral reefs a focus of WED 2004 Saving the world’s seas and oceans was the themeof World Environment Day 2004, which washosted by Barcelona, Spain. This year’s WEDtheme, “Wanted! Seas and Oceans – Dead orAlive?” reflects UNEP’s activities on the marineenvironment and sustainable coastal livelihoods.UNEP released the findings of a report on coldwater coral reefs around the world, Cold-WaterCoral Reefs: Out of Sight – No Longer Out of Mind.The report includes information about coldwater coral reefs in various parts of the world.Found at temperatures of 4-13ºC, these reefs areusually at depths of 200-1000 metres. However,they can occur in water as shallow as 40 metres oras deep as 6300 metres. Coldwater corals thrive in waters offthe coasts of more than 40 coun-tries, including Spain, Surinamand the Seychelles. Until recent-ly, it was popularly believed thatcold water corals were largelyconfined to waters in the north-ern hemisphere (e.g. off Canada,Scandinavia and the BritishIsles).

The report demonstratesUNEP’s focus on marine pro-tection as a theme for WED2004. United Nations Secre-tary-General Kofi Annan said ina message: “Less than two yearsago, at the World Summit onSustainable Development, governments com-mitted to time-bound goals to end unsustain-able fishing practices, restore depleted fishstocks, establish a regular global assessment of

the marine environment, and create a represen-tative network of marine protected areas. Thislast goal, to be achieved by 2012, is particularlyimportant. Less than half of one per cent ofmarine habitats are protected – compared with11.5% of global land area. Yet studies show thatprotecting critical marine habitats, such aswarm- and cold-water coral reefs, seagrass bedsand mangroves, can dramatically increase fishsize and quantity, with obvious benefits to large-scale commercial as well as local fisheries.’’

Klaus Toepfer, UNEP’s Ex-ecutive Director,added that during the last four years “the worldhas adopted a number of internationally agreed

development targets, includingthe Millennium DevelopmentGoals and the JohannesburgPlan of Implementation. Wehave a blueprint for a sustain-able future. The challenge is inthe implementation. Protectingthe marine environment is anessential part of the solution –for food security, for health andfor the livelihoods of the bil-lions who depend to one degreeor another on the sea. However,protecting the marine environ-ment also means addressinghuman activities on land, whichis where 80% of marine pollu-tion originates.”

World Environment Day is observed in morethan 120 countries. It was established by theUN General Assembly in 1972 to mark theopening of the Stockholm Conference on the

Human Environment. Another resolutionadopted by the General Assembly at that timeled to the creation of UNEP.

For more information, see www.unep.org/wed/2004. Also see www.barcelona2004. org forthe Universal Forum of Cultures in Barcelona.

UNEP asks for photocompetition entries

World Environment Day was the occasionfor announcing UNEP’s fourth Interna-tional Photographic Competition on theEnvironment. With “Celebrating Diversi-ty” as its theme, the competition will rununtil 24 October 2004. Sponsored byCanon and several other global companies,it is open to photographers of all national-ities and ages. The winner will receive aGold Prize of US$ 20,000.

The General category is open to pho-tographers 25 years or over. There are alsocategories and cash prizes for “Youth” and“Children”. The panel of judges, headed byTakeyoshi Tanuma of Japan, will includeSebastião Salgado of Brazil, Raghu Rai ofIndia and Susan Meiselas of the UnitedStates, all world-famous photographers.The awards ceremony will take place inJapan in March 2005.

For full details about the competition’srules and regulations, information on how tosubmit photographs in both hard and elec-tronic formats, and application forms, seewww. unep-photo.com.

Lophelia is the dominantdeepwater colonial coral in

the North Atlantic

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General

GEO Yearbook 2003Global Environment Outlook (GEO) is

UNEP’s flagship publication. GEO Yearbook2003 is the first in a new annual series of GEOpublications that complement the GEO report.These Yearbooks will highlight significant envi-ronmental events and achievements during theyear (at the global and regional levels) as well asemerging issues. They will also present indicatorsof progress towards sustainability. GEO Yearbook2003 includes a section on freshwater and its rolein realizing internationally agreed developmentgoals. The entire publication can be downloadedat www.unep.org/geo/yearbook.

(2003). UNEP/DEWA (Division of Early Warn-ing and Assessment), PO Box 30552, Nairobi00100, Kenya, Tel: +254 20 623562; Fax: +25420 623944; E-mail: [email protected]; Internet:www.unep.org/geo/yearbook. GEO Yearbook 2003can be ordered from Earthprint Ltd., PO Box 119,Stevenage SG1 4TP, UK, Tel.: +44 1438 748 111;Fax: +44 1438 748 844; E-mail: [email protected]; Internet: www.earthprint.com. Pbk.,76p. ISBN 92-807-2415-0. Also published inFrench as GEO Annuaire 2003.

World Resources 2002-2004:Decisions for the Earth: Balance,Voice and PowerThis is the tenth in the series of biennial WorldResources reports. It contains statistics on envi-ronmental, social and economic trends in morethan 150 countries. The data collected in WorldResources 2002-2004 support the view that betterenvironmental governance is one of the mostdirect routes to fairer, more sustainable use of nat-ural resources. Results from the Access Initiative(the first attempt to systematically measure gov-ernments’ performance in providing access toenvironmental information, decision-making andjustice) are presented. UNEP, the UN Develop-ment Programme (UNDP), the World Bank andthe World Resources Institute collaborate on theWorld Resources series. The World Resourcesdatabase is freely available and is searchable on-line at www.earthtrends.wri.org. The report isavailable at www.wri.org/wr2002. There is a CD-ROM version.

(2003). Published by the World Resources Insti-tute, 10 G. St., NE, Washington, DC 20002, USA,Tel: +1 202 729 7600; Fax: +1 202 729 7610,Internet: Pbk., 315p. ISBN 1-56973-532-8.World Resources 2002-2004 can be ordered from

Earthprint Ltd., PO Box 119, Stevenage SG1 4TP,UK, Tel.: +44 1438 748 111; Fax: +44 1438 748844; E-mail: [email protected]; Internet:www.earthprint.com. Also published in Spanish asRecursos Mundiales 2004: Decisiones para la Tier-ra: Equilibrio, voz y poder.

State of the World 2004: A Worldwatch Institute Report on Progress Toward a Sustainable Society

The 21st edition of State ofthe World is, as the intro-duction says, “once againa mix of progress, set-backs, and missed stepsaround the world that areaffecting society’s envi-ronmental and socialgoals.” This year the focus

is on consumerism: how people consume, whythey do it, and the impacts of their choices. The“consumer class” has around 1.7 billion members– over a quarter of humanity. Not only does thegrowing appetite for consumer goods threaten theenvironment. It also makes it increasingly difficultfor the world’s poor to meet their basic needs.

Linda Starke, ed. (2004). Worldwatch Institute,1776 Massachusetts Ave., NW, Washington, DC20036, USA, Tel: + 1 202 452 1999; Fax: + 1 202296 7365; E-mail (media inquiries): [email protected]; Internet: www.world-watch.org. Publications Ordering and CustomerService Center: Worldwatch Institute, PO Box 188,Williamsport, Pennsylvania 17703-9913, USA,Tel: +1 888 544 2303/2076; Fax: +1 570 3202079; Internet: [email protected]. Pbk.,245p. ISBN 0-393-32539-3.

Plan B: Rescuing a Planet UnderStress and a Civilization in Trouble

In Eco-Economy: Buildingan Economy for the Earth,published in 2001, LesterR. Brown argued that theeconomy is part of theenvironment – and not theother way around. Plan Bmakes the case for urgentrestructuring of the worldeconomy before the “envi-

ronmental bubble economy” bursts. (Plan A is busi-ness as usual.) “The scope of Plan B has beenlimited,” Brown explains in the Preface, “so that itwill be short enough to be read by busy people…the principle policy recommendations – stabilizing

population and stabilizing climate – arecentral to protecting the diversity of life…If

we cannot stabilize population and if we cannotstabilize climate, there is not an ecosystem on earththat we can save.”

Lester R. Brown (2003). Earth Policy Institute,1350 Connecticut Ave., NW, Suite 403, Washing-ton, DC 20036, USA, Tel: +1 202 496 9290; Fax:+ 1 202 496 9325; E-mail: [email protected];Internet: www.earth-policy.org. Published by W.W.Norton & Co., 500 Fifth Avenue, New York, NY10110, USA, Tel: +1 212 354 5500, Fax: +1 212869 0856, Internet: www.wwnorton.com. Pbk.,285p. ISBN: 0-393-32523-7.

Renewable Bioresources: Scopeand Modification for Non-FoodApplications This innovatory handbook was produced as partof work aimed at organizing a joint European Mas-ters degree programme on renewable resources.The authors of individual chapters provide over-views of basic issues that need to be addressed withrespect to industry’s use of renewable materials.While it is impossible to be an expert in chemistry,biology, biochemistry, agricultural sciences, envi-ronmental technology and economics – to saynothing of their complicated interconnections –Renewable Bioresources is intended to encourageusers to go deeper into these subjects and findmore specific information.

Christian V. Stevens with Roland Verhé, eds.(2004). John Wiley & Sons, Ltd, The Atrium,Southern Gate, Chichester, West Sussex PO19 8SQ,United Kingdom, Tel: +44 1243 779 777; Fax:+44 1234 770 620; E-mail: [email protected];Internet: www.wiley.com. Pbk., 310p. ISBN 0-470-85447-2. (Also available in hardback.)

Environmental ImpactAssessment and Strategic

Environmental Assessment:Towards an Integrated ApproachThis document provides information and guid-ance on environmental impact assessment (EIA)and strategic environmental assessment (SEA),with particular application to developing coun-tries and countries whose economies are in transi-tion. It is an update of Environmental ImpactAssessment: Issues, Trends and Practice, publishedby UNEP in 1996. As before, this is a companionvolume to the UNEP EIA Training ResourceManual, which was issued in an updated andrevised edition in 2002. The two documents maybe used separately or together.

Hussein Abaza, Ron Bisset and Barry Sadler(2004). UNEP DTIE/ETB (Economics and TradeBranch), 11-13 chemin des Anémones, CH-1219Geneva, Switzerland, Tel: +41 22 917 82 43; Fax:+41 22 917 80 76; Internet: www.unep.ch/etu.This publication can be ordered from EarthprintLtd., PO Box 119, Stevenage SG1 4TP, UK, Tel.:+44 1438 748 111; Fax: +44 1438 748 844; E-mail: [email protected]; Internet: www.earth-print.com. Pbk., 147p. ISBN 92-807-2429-0.

Books & Reports

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Measuring Your Company’sEnvironmental Impact: Templatesand Tools for a Complete ISO14001 Initial Review

Originally published inSwedish, Measuring YourCompany’s EnvironmentalImpact was designed andwritten by environmentalengineers. It has alreadybeen used by consultantsand companies in Europe.This step-by-step manualmakes available tools for

carrying out complete company-wide environ-mental reviews, as a prerequisite for introducingan environmental management system in accor-dance with ISO 14001 or the European Eco-Man-agement and Audit Scheme (EMAS). Theaccompanying CD-ROM includes: a template foran environmental review; an inventory tool to cal-culate emissions and the impacts of transportation,energy consumption and other activities; andmaterials for carrying out an environmental fail-ure mode and effects analysis (FMEA).

Matts Zackrisson, Gunnar Bengtsson and Camil-la Norberg (2004). Earthscan, 8-12 Camden HighSt., London, NW1 0JH, United Kingdom, Tel: +4420 7387 8558; Fax: +44 20 7387 8998; E-mail:[email protected]; Internet: www.earth-scan.co.uk. Pbk. 137p. ISBN 1-84407-054-9.

Raising the Bar: Creating Valuewith the United Nations GlobalCompactRaising the Bar is a comprehensive reference guideproduced by an international team of experts. Itresponds to the need for practical knowledge(tools, case studies, and other types of informationand resources) related to the Global Compact’s 10principles. The title refers to the situation busi-nesses face when stakeholders “raise the bar” ofexpected performance to correspond to universalprinciples. Published to coincide with the UNGlobal Compact Leaders Summit in New York inJune.

Claude Fussler, Aron Cramer and Sebastian vander Vegt, eds. (2004). Greenleaf Publishing Ltd.,Aizlewood Business Centre, Aizlewood’s Mill, Nurs-ery Street, Sheffield S3 8GG, UK, Tel: +44 114 2824375, Fax: +44 114 282 3476, E-mail: [email protected], Internet: www.greenleaf-pub-lishing.com. Pbk., 236p. ISBN 1-874719-8-29.

Corporate Social Opportunity! 7 Steps to Make Corporate SocialResponsibility Work for YourBusinessBusinesses need to be made aware of the opportu-nities that Corporate Social Responsibility (CSR)provides for developing new products and ser-vices, new markets and new business models. Cor-porate Social Opportunity! proposes a practicalseven-step process to help business leaders assess

CSR’s impact on their strategies and operationsand to discover opportunities in their own com-panies. Instead of a “bolt on”, CSR can become avaluable “built in”.

David Grayson and Adrian Hodges (2004).Greenleaf Publishing (see above). Pbk., ISBN1874719837. (Also available in hardback.)

Eco-efficiency and Beyond:Towards the Sustainable EnterpriseThis collection of papers developed out of twoconferences on eco-efficiency held in Düsseldorfin 1998 and 2001. Eco-efficiency and Beyond looksat eco-efficiency’s past and present and stresses theneed for comprehensive uptake of the eco-effi-ciency concept by business, government and con-sumers as soon as possible. The challenge ofsustainable development will not be met “in slowmotion”. Policies that offer companies seriousincentives for innovative behaviour are urgentlyneeded. The editors are from the Wuppertal (Ger-many) Institute for Climate, Environment andEnergy.

Jan-Dirk Seiler-Hausmann, Christa Liedtke andErnst Ulrich von Weizsäcker, eds. Greenleaf Pub-lishing (see above). Hbk., 248p. ISBN 1-874719-60-8.

Learning to Talk: CorporateCitizenship and the Developmentof the UN Global Compact

Learning to Talk is a collectionof key writings about the UNGlobal Compact by some ofthe leading actors in its devel-opment to date. UN Secre-tary-General Kofi Annan hascontributed the Foreword. In1999 it was Kofi Annan whofirst proposed such a compactat the Davos World Econom-

ic Forum. Officially launched in July 2001, theGlobal Compact is a set of nine voluntary UNprinciples for business covering environmental,human rights and labour issues. A tenth principle,on corruption, was added during the UN GlobalCompact Leaders Summit in New York in June ofthis year. Publication of Learning to Talk coincidedwith that meeting.

Malcom McIntosh, Sandra Zaddock and GerogKell, eds. (2004) Greenleaf Publishing (see above).Hbk., 432p. ISBN 1874719756.

Environmental Policy andTechnological Innovation: Why Do Firms Adopt or Reject New Technologies? This book demonstrates how behavioural modelscan be applied to understand better why compa-nies adopt clean technologies. There is an analysisof the findings of a case study on companies locat-ed in northern Mexico, where inputs required forproduction are temporarily imported. The con-clusions are relevant to industries in other parts of

the world with different modes of operation. Theauthor is Senior Advisor in Science and Technol-ogy Policy to the Netherlands Organization forApplied Scientific Research (TNO). Environmen-tal Policy and Technological Innovation is part ofthe “New Horizons in the Economics of Innova-tion” series.

Carlos Montalvo Corral (2002). Edward ElgarPublishing Ltd., Glensanda House, MontpellierParade, Cheltenham, Glos GL50 1UA, United King-dom, Tel: +44 1242 226 934; Fax: +44 1242 262111; E-mail: [email protected]; Internet: www.e-elgar.uk. Hbk., 304p. ISBN 1-84064-957-7.

The Materiality of Social,Environmental and Corporate

Governance Issues to EquityPricing: 11 Sector Studies byBrokerage House Analysts at the Request of the UNEP FinanceInitiative Asset ManagementWorking GroupThis report summarizes the results of a projectconceived and implemented over 14 months in2003/4 by a public-private partnership betweenUNEP and a group of 12 asset managementfirms. The project’s purpose was to explore anddocument the financial materiality of environ-mental, social and corporate considerations andcriteria as they relate to the investment manage-ment of mutual, pension and other institutionalfunds. Project results show that these funds’ own-ers and managers may be exposing themselves tounnecessary financial risks (and missing out onopportunities) if they do not consider environ-mental, social and governance criteria in invest-ment procedures.

(2004). UNEP FI (Finance Initiative), Interna-tional Environment House, 15 chemin des Ané-mones, CH-1219 Châtelaine, Geneva, Switzerland,Tel: +41 22 917 8178; Fax: +41 22 796 9240, E-mail: [email protected]; Internet: www.unepfi.net. Thispublication can be ordered from Earthprint Ltd.,PO Box 119, Stevenage SG1 4TP, UK, Tel.: +441438 748 111; Fax: +44 1438 748 844; E-mail:[email protected]; Internet: www.earth-print.com. Pbk., 52p.

Values to Value: A GlobalDialogue on Sustainable

FinanceThe UNEP Finance Initiative’s Values to Value(V2V) report was published just before the UNGlobal Compact Leaders Summit in June.Designed as a living document, or a “work inprogress”, it is a ring binder in which papers andconference proceedings are collected. Additionaldocuments in the same format will be made avail-able to users in the future. Thematic sectionsinclude “Sustainability Management, Reportingand Indicators”, “Civil Society Perspectives onSustainable Finance”, “Asset Management”, “Cli-mate Change” and regional initiatives. Theaccompanying CD-ROM contains the report inpdf format, as well as many other related docu-

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ments concerned with finance and sustainability.(2004). UNEP FI (Finance Initiative), Interna-

tional Environment House, 15 chemin des Ané-mones, CH-1219 Châtelaine, Geneva, Switzerland,Tel: +41 22 917 8178; Fax: +41 22 796 9240, E-mail: [email protected]; Internet: www.unepfi.net. Valuesto Value can be ordered from Earthprint Ltd., POBox 119, Stevenage SG1 4TP, UK, Tel.: +44 1438748 111; Fax: +44 1438 748 844; E-mail:[email protected]; Internet: www.earth-print.com. Ring binder.

Energy

Financial Risk ManagementInstruments for Renewable

Energy Projects: SummaryDocumentTraditional insurance products are gradually be-coming more widely available to the renewableenergy (RE) sector. However, “institutional iner-

tia” has impeded progressin developing new riskmanagement and financ-ing products. The costsof financing RE projectscould be reduced bytransferring certain typesof risks away from in-vestors and lenders usingrisk management instru-

ments such as contracts, insurance and reinsur-ance, alternative risk transfer instruments andcredit enhancement products. This report wasfunded by UNEP’s Sustainable Energy FinanceInitiative (SEFI) (www.sefi.unep. org). The en-tire report can be downloaded at www.untptie.org/energy/qct/fin/index.htm.

(2004). UNEP DTIE, Tour Mirabeau, 39-43quai André-Citroën, 75739 Paris Cedex 15, France,Tel: +33 1 44 37 14 50; Fax: +33 1 44 37 14 47; E-mail: [email protected]; Internet: uneptie.org. Thispublication can be ordered from Earthprint Ltd., POBox 119, Stevenage SG1 4TP, UK, Tel.: +44 1438748 111; Fax: +44 1438 748 844; E-mail:[email protected]; Internet: www.earthprint.com. Pbk., 47p. ISBN 92-807-2445-2.

Energy Subsidies: LessonsLearned in Assessing their

Impact and Designing PolicyReformsThe country case studies collected and analyzed inthis report demonstrate the complexity of the useof subsidies. Those that encourage production anduse of fossil fuels and other non-renewable formsof energy are generally – but not always – environ-mentally harmful. Some types of renewables canhave negative environmental consequences (e.g.disturbance of regional ecosystems when dams areconstructed). Governments should give priority toeliminating subsidies that are both economicallycostly and environmentally harmful.

(2003). UNEP DTIE/ETB (Economics andTrade Branch), 11-13 chemin des Anémones, CH-1219 Geneva, Switzerland, Tel: +41 22 917 82 43;Fax: +41 22 917 80 76; Internet: www.unep.ch/etu.This publication can be ordered from EarthprintLtd., PO Box 119, Stevenage SG1 4TP, UK, Tel.:+44 1438 748 111; Fax: +44 1438 748 844; E-mail: [email protected]; Internet: www.earth-print.com. Pbk., 174p. ISBN 92-807-2277-8.(Also available in hardback.)

Climate

Industry Genius: Inventions andPeople Protecting the Climate andFragile Ozone LayerIndustry Genius tells the story of eight companiesand two government enterprises whose “inventivegenius” is being used to protect the climate andozone layer. Sometimes the products of this geniusare almost accidental. More often, they resultfrom recognition by management and leadershipthat consumers want green products and that cit-izens want environmental quality. The Preface wascontributed by former astronaut Richard Truly,Director of the US Department of Energy’sNational Renewable Energy Laboratory; Jacque-line Aloisi de Larderel, UNEP DTIE’s ExecutiveDirector from 1987 to 2003, wrote the Foreword.

Stephen O. Andersen and Durwood Zaelke(2003). Greenleaf Publishing Ltd., Aizlewood Busi-ness Centre, Aizlewood’s Mill, Nursery Street,Sheffield S3 8GG, UK, Tel: +44 114 282 4375,Fax: +44 114 282 3476, E-mail: [email protected], Internet: www.greenleaf-publish-ing.com. Pbk., 192p. ISBN 1-874719-68-3.

Water

Guidelines on MunicipalWastewater Management

This is Version 3 of a set of practical guidelines fordecision-makers and professionals on how to plan,design and finance appropriate and environmen-tally sound municipal wastewater discharge sys-tems. They emphasize the need to link watersupply and the provision of household sanitation,wastewater collection, treatment and reuse, costrecovery and reallocation to the natural environ-ment. The Global Programme of Action for theProtection of the Marine Environment fromLand-Based Activities (GPA) developed theguidelines with WHO, UN-Habitat and theWater Supply and Sanitation CollaborativeCouncil (WSSCC). This document can bedownloaded at www.gpa.unep.org. Its contentsare shared with the Sanitation Connection Data-base (www.sanicon.net).

(2004). UNEP/GPA Co-ordination Office, POBox 16227, 2500 BE The Hague, the Netherlands,Tel: +31 (70) 311 4460; Fax: +31 (70) 345 6648;

E-mail: [email protected]; Internet: www.gpa.unep.org.Pbk., 92p.

Improving MunicipalWastewater Management in

Coastal CitiesThis is the first version of a training manual formunicipal water managers. It was developed withthe UNESCO-IHE Institute for Water Educationand the UN/DOALAS Train-Sea-Coast Pro-gramme. The content is based on the UNEP/WHO/HABITAT/WSSCC guidelines on munic-ipal wastewater management (above). GPA is theonly global action programme that specificallyaddresses the interface between the freshwater andcoastal environments. This training manual can bedownloaded at www.gpa.unep.org.

(2004) Train-Sea-Coast GPA, c/o UNEP/GPACoordination Office, PO Box 16227, 2500 BE TheHague, the Netherlands, Tel: +31 (70) 311 4460;Fax: +31 (70) 345 6648; E-mail: [email protected];Internet: www.gpa.unep.org/training. Pbk., 118p.

National/regional

Desk Study on the

Environment in Iraq

Desk Study on the

Environment in Liberia

These two post-conflict “Desk Studies” followsimilar UNEP reports on the Balkans, the Occu-pied Palestinian Territories and Afghanistan.Between the initiation of the Iraq study in Febru-ary 2003 and its publication, it was not possibleto work in the field, make environmental mea-surements or contact Iraqui scientists and scien-tific institutions. The report therefore presents anoverview of chronic and war-related environmen-tal issues. Easing the humanitarian situationshould have the highest priority (e.g. throughrestoration of water, power and sanitation net-works and ensuring food security). Cleaning uppollution hot spots and dealing with other sourcesof pollution are also critical. This Desk Studyemphasizes that environment should be integrat-ed into reconstruction and development projects.

In Liberia, as in many other countries, an abun-dance of resources has provoked war and muchsuffering (a peace agreement was signed in 2003).Liberians have paid a high price for living in acountry that is rich in natural resources The mosturgent environmental concerns identified in thisDesk Study are: increasing access to safe drinkingwater and sanitation; restoring household andcommercial solid waste collection; protecting tim-ber resources; and strengthening the country’senvironmental management capacity.

(2003, Iraq; 2004, Liberia). UNEP, PO Box

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30552, Nairobi, Kenya, Tel: +254 2 62134; Fax:+254 2 624489/90; E-mail: [email protected];Internet: www.unep.org. Copies of these reports canbe ordered from Earthprint Ltd., PO Box 119,Stevenage SG1 4TP, UK, Tel.: +44 1438 748 111;Fax: +44 1438 748 844; E-mail: [email protected]; Internet: www.earthprint.com. Pbk.,96p. ISBN 92-1-158628-3 (Iraq); Pbk., 116p.ISBN 92-807-2403-7 (Liberia).

Life Cycle Assessment for GreenProductivity: An Asian PerspectiveThis book is the outcome of a regional survey onlife cycle assessment (LCA) commissioned by theAsian Productivity Organization. Case studieswere carried out in eight countries (China, India,Indonesia, Japan, Republic of Korea, Malaysia,Singapore and Thailand). These case studies andcomplementary country reports are collected here.

LCA has been applied more widely in Asia sincethe ISO 14040 standards began to be publishedin 1997. With its focus on quantitative system-wide environmental inputs, outputs and potentialoutputs, LCA can enhance Green Productivity(GP) initiatives.

Reginald B.H. Tan, ed. (2003). Asian Produc-tivity Organization (APO), Hirakawa-cho Dai-ichiSeimei Bldg. 2F, 1-2-10, Hirakawa-cho, Chiyoda-ku, Tokyo, 102-0093, Japan, Tel: +81 3 52263920, Fax: +81 3 5226 3950, E-mail: [email protected], Internet: www.apo-tokyo.org. Pbk., 224p.ISBN 92-833-2348-3.

Policy Implementation and Fisheries Resource

Management: Lessons fromSenegalWidespread overfishing is a growing threat to sus-

tainable management of the world’s fisheries.Opinions differ concerning the impact of fishingsubsidies on the stability of fish stocks. To helpmeet the need for more information, UNEP sup-ported this study on the implementation of a setof conservation measures aimed at promoting sus-tainable management in Senegal’s fisheries sector.The study recommends restricting access to fish-eries through establishing fees and fishing zonesand involving local councils. It also suggestsimproving the enforcement of existing regulations.

(2004). UNEP DTIE/ETB (Economics andTrade Branch), 11-13 chemin des Anémones, CH-1219 Geneva, Switzerland, Tel: +41 22 917 82 43,Fax: +41 22 917 80 76, Internet: www.unep.ch/etu.This publication can be ordered from EarthprintLtd., PO Box 119, Stevenage SG1 4TP, UK, Tel.:+44 1438 748 111; Fax: +44 1438 748 844; E-mail: [email protected]; Internet: www.earth-print.com. Pbk., 72p. ISBN 92-807-2436-3.

Responsible CareCanadian Chemical ProducersAssociation (www.ccpa.ca)

European Chemical Industry Council(www.cefic.be)

American Chemistry Council(www.americanchemistry.com)

Synthetic Organic ChemicalManufacturers Association(www.socma.com).

Responsible Care® is a voluntary code of prac-tice for the chemical industry. Created by theCanadian Chemical Producers Association(CCPA) in 1985, the year after the Bhopaltragedy, it focuses on health and safety issues.There is information about Responsible Careand other corporate responsibility initiatives onthe web sites of the chemical industry’s profes-sional organizations, including those listedabove. Individual companies also report regu-larly on their implementation of ResponsibleCare (for example, among many others, seewww.icca-chem.org/rcreport and www.bayer-groupindia.com/res_care.htm).

REACH (Registration, Evaluationand Authorisation of CHemicals)http://europa.eu.int/comm/environment/chemicals/reach.htmhttp://europa.eu.int/eur-lex/en/com/pdf/2003/com2003_0644en.htmlThe REACH proposal concerning a new EUregulatory framework for chemicals was adopt-ed by the European Commission in 2003.Changes in EU chemicals management policyis likely to have a significant effect beyond the25 EU Member States. Developments are there-fore being watched closely by the chemistry

industry and non-EU countries worldwide.(See the articles “A science-based strategy forchemicals control” and “The precautionaryprinciple and the EU chemicals policy” in thisissue.) The full text of the REACH proposal isat the second site above.

Mutual acceptance andrecognition of data on chemicalswww.oecd.org/document/41/0,2340,en_2649_34379_1890473_1_1_1_1,00.htmlhttp://europa.eu.int/comm/enterprise/chemicals/legislation/glp/data.htmThe same chemical is often being tested andassessed in different countries. Mutual Accep-tance of Data (MAD) is the concept that chem-ical data developed in one country should beacceptable in another country – if the data havebeen developed in accordance with mutuallyagreed guidelines and principles. This wouldmean that data for notifications or registrationsonly needed to be developed once.

Mutual Acceptance of Data is a programmeof the Organisation for Economic Co-opera-

tion and Development (OECD), in coopera-tion with industry, governments and otherinternational organizations. Data generated inthe testing of chemicals in a member country(in accordance with OECD Test Guidelinesand Principles of Good Laboratory Practice) areaccepted in other member countries. The MADsystem is open to non-OECD countries. SouthAfrica was the first non-member to participate,beginning in 2002.

The European Union has concluded MutualRecognition Agreements in the area of GoodLaboratory Practice (GLP) with Switzerland,Israel and Japan. By means of the Treaty of theEuropean Economic Area of 13 December 1993,European Regulations and Directives apply toNorway, Liechtenstein and Iceland as well as toEU countries.

Pollutant Release and Transferand Registers (PRTRs)www.oecd.org/department/0,2688,en_2649_34411_1_1_1_1_1,00.htmlwww.oecd.org/document/62/0,2340,en_2649_34411_1913918_1_1_1_1,00.htmlThe OECD and other international bodies arealso involved in efforts to help governmentsdevelop databases on releases and transfers ofpollutants to the environment. These effortsreflect the growing emphasis on the public’sright to know, e.g. in the UN Economic Com-mission for Europe’s Aarhus Convention onAccess to Information, Public Participation inDecision-making and Access to Justice in Envi-ronmental Matters (adopted 1998, entered intoforce 2001).

The second site above contains links to PRTR-related web sites in governments and organiza-tions.

Web SiteHighlights

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Chemicals/pollution/accidents

IPCS Environmental HealthCriteria (EHC) 230:Nitrobenzene Nitrobenzene is a synthetic compound, most ofwhich is used in the manufacture of aniline (amajor chemical intermediate that is used to makepolyurethanes). Numerous accidental deaths andpoisonings in humans due to the ingestion ofnitrobenzene have been reported.

The International Programme on ChemicalSafety (IPCS) Environmental Health Criteriaseries provides critical reviews of the potentialhealth and environmental effects of chemicals andcombinations of chemicals. They are primarily riskevaluations. Reviews are based on published andunpublished studies. The series is published under

the joint sponsorship of UNEP, the InternationalLabour Organisation (ILO) and the World HealthOrganization (WHO), within the framework ofthe Inter-Organization Programme for the SoundManagement of Chemicals (IOMC). EHS docu-ments are produced in English, with French andSpanish summaries. The series is available fromWHO and WHO sales agents.

(2003). Pbk, 130p. ISBN 92-4-157218-3.WHO, Distribution and Sales, CH-1211 Geneva27, Switzerland. Tel: +41 22 791 2476, Fax: +4122 791 4857, E-mail: [email protected], Inter-net: www.who.int.

Radioactive Releases in theEnvironment: Impact andAssessmentArtificial radionuclides have been injected intothe environment by nuclear weapons testing andby accidents, notably the Chernobyl reactor acci-

dent in 1986. Very low levels are released to theenvironment in effluent from nuclear power sta-tions and nuclear fuel cycle facilities. Productionand use of radionuclides for medical and researchpurposes also leads to some environmentalreleases. Radioactive Releases in the Environmentincludes chapters on: general principles for man-aging radioactive wastes; environmental levels ofradionuclides resulting from use of nuclearpower in its various forms; and radionuclidereleases from other industries. Among expectedusers are those responsible for providing radio-logical data or information for legislative andrelated purposes.

John R. Cooper, Keith Randle and Ranjeet S.Sokhi (2003). John Wiley & Sons, Ltd, The Atri-um, Southern Gate, Chichester, West Sussex PO198SQ, United Kingdom, Tel: +44 1243 779 777;Fax: +44 1234 770 620; E-mail: [email protected]; Internet: www.wiley.com. Pbk., 473p. ISBN0471 88924 0. (Also available in hardback.)

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THE UNEP DIVISION OF TECHNOLOGY, INDUSTRY AND ECONOMICS

Current uses and development of natural resources, technolo-gies and production processes, as well as urbanization patterns,have negative effects on human health and the environment.This is illustrated by unsustainable use of water, land and ener-gy, air and water pollution, persistent and toxic bio-accumu-lative chemicals in the food chain, and other industry-relatedproblems.

To have a healthy environment, we need to change how weproduce and consume goods and services. This changeinvolves revising and developing economic policies and tradepractices, so as to integrate environmental issues in the plan-ning and assessment processes.

UNEP’s Division of Technology, Industry and Economics (UNEPDTIE) was created in 1998 to help decision-makers in govern-ments, local authorities and industry develop and adopt poli-cies and practices that:

• are cleaner and safer; • use natural resources efficiently; • ensure adequate management of chemicals; • incorporate environmental costs; • reduce pollution and risks for humans and the environment.

UNEP DTIE, whose main office is in Paris, is composed of:

◆ The International Environmental Technology Centre(Osaka), which promotes the adoption and use of environ-mentally sound technologies, with a focus on the environ-mental management of cities and freshwater basins, indeveloping countries and countries in transition.

◆ The Production and Consumption Unit (Paris), which fos-ters the development of cleaner and safer production and con-sumption patterns that lead to increased efficiency in the use ofnatural resources and reductions in pollution.

◆ The Chemicals Unit (Geneva), which promotes sustainabledevelopment by catalyzing global actions and building nation-al capacities for the sound management of chemicals and theimprovement of chemical safety world-wide, with a priority onPersistent Organic Pollutants (POPs) and Prior Informed Con-sent (PIC, jointly with FAO).

◆ The Energy and OzonAction Unit (Paris), which supportsthe phase-out of ozone depleting substances in developingcountries and countries with economies in transition, and pro-motes good management practices and use of energy, with afocus on atmospheric impacts. The UNEP/RISØ CollaboratingCentre on Energy and Environment supports the work of thisUnit.

◆ The Economics and Trade Unit (Geneva), which promotesthe use and application of assessment and incentive tools forenvironmental policy, and helps improve the understandingof linkages between trade and environment and the role offinancial institutions in promoting sustainable development.

FEEDBACKIf you would like to respond to something you’ve read here – to agree or disagree with a point of view, clarify a fact, or provide additional information – write to us. If you would like to air your views on any other subject relevant to Industry andEnvironment, we also hope to hear from you. As space is limited, we cannot guarantee to publish all letters, or to publish longones in full.


UNITED NATIONS ENVIRONMENT PROGRAMME

DIVISION OF TECHNOLOGY, INDUSTRY AND ECONOMICS

39-43, QUAI ANDRE-CITROËN75739 PARIS CEDEX 15, FRANCETEL: (33) 1 44 37 14 50FAX: (33) 1 44 37 14 74E-MAIL: [email protected]://www.uneptie.org

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That will be the very last issue, as Industry and Environment will be discontinued at the endof 2004. Discontinuation of the quarterly coincides with a change in emphasis in the stra-tegy of UNEP’s Division of Technology, Industry and Economy. Other DTIE publications willcontinue to help achieve UNEP’s basic goal of sharing practical and technical informationabout sustainability issues and challenges.

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