Transcript UNEP ESTs Perth

4th International Experts Meeting on
Environmentally Sound Technologies
Otsu, Japan
4th December 2003
Outline
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Objectives of the workshop
UNEP’s role
Definition of ESTs
Core criteria
Consultative process
Task Group
Performance assessment
Decision support tools
Conformity assessment programs and initiatives
Overall conclusion
1. Objectives of the Workshop
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•
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Review global criteria for the assessment
and identification of environmentally sound
technologies from a regional perspective
Advance sustainable development and the
transfer of environmentally sound
technologies within the Asia-Pacific Region
Forge official and informal relationships
between technology developers, regulators
and policy makers in the Asia Pacific region.
Objective
• To provide an update on the core EST
criteria developed by IETC and to examine
their relevance to various existing EST
decision support tools and methodologies
Objective
• To discuss regional perspectives on the
appropriate application of EST criteria,
methodologies and tools.
• This includes discussion of technology
transfer, trade and policy issues, as well
as potential areas for synergy and
collaboration.
Key Questions from a Regional
Perspective
• What are the opportunities for EST
development in the Asia Pacific Region?
• How do we develop an agenda to achieve
synergy amongst stakeholders in the region?
2. UNEP’s Role
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Catalyst
Facilitator
Provides a “Platform”
Offers a Framework
Increasing the likelihood that ESTs will be
adopted and used
Overall Technology Transfer
Objectives of UNEP/IETC
• To advance transfer, adoption and use
of environmentally sound technologies
(ESTs) related to urban environmental
management and freshwater
management, through capacity
building and information exchange.
Guiding Principles
• Working together towards a common
approach
• UNEP can provide guidelines but national
governments and others must implement
• Focusing on what can be achieved
• Taking a strategic approach
Objectives of UNEP/IETC
EST Initiative
• Test “Version 1.0” of the criteria for ESTs in
developing countries
• Do a reality check on the overall initiative
• Assess the availability of and ability to access
information on ESTs and technology performance
• Establish databases, data sets and QA/QC
programs as appropriate
• Obtain leverage through action
Overview of UNEP EST Initiative
• 5 year program to improve awareness
and understanding about ESTs
• 3 expert meetings thus far:
– Bangkok meeting in September 2001
– Jeju meeting in February 2002
– Osaka meeting in March 2002
3. Definition of ESTs
• Based on Agenda 21
• Arose from the UN Conference on
Environment and development (UNCED) –
The Earth Summit – in 1992
Chapter 34 of Agenda 21 defines ESTs as
technologies which:
•
•
•
•
•
“protect the environment,
are less polluting,
use all resources in a more sustainable manner,
recycle more of their wastes and products, and
handle residual wastes in a more acceptable
manner than the technologies for which they are
substitutes”
Agenda 21 also states that:
• “new and efficient technologies will be essential to
increase the capabilities (in particular of
developing countries) to achieve sustainable
development, sustain the world’s economy, protect
the environment, and alleviate poverty and human
suffering.
• Inherent in these activities is the need to address
the improvement of technology currently used and
its replacement, when appropriate, with more
accessible and more environmentally sound
technology”.
As stated in Agenda 21,
• ESTs in the context of pollution are“process and
product technologies that generate low or no
waste, for the prevention of pollution”.
• They also cover “end of the pipe technologies for
treatment of pollution after it has been
generated”.
• Furthermore, ESTs are not just individual
technologies, but total systems that include
“know-how, procedures, goods and services, and
equipment as well as organizational and
managerial procedures”.
Thus the definition of ESTs:
• applies to all technology and the transition of all
technology to more “environmentally sound”
technology
• captures the full life cycle flow of the material,
energy and water in the production and
consumption system
• covers the full spectrum from basic technologies
that are adjunct to the production system, to fully
integrated technologies where the environmental
technology is the production technology itself
…and
• includes closed system technologies (where the
goal is zero waste and/or significant reductions in
resource use), as well as environmental
technologies that may result in emissions and high
levels of resource use
• considers technology development within both the
ecological and social context.
4. Core Criteria for ESTs
(as proposed by
UNEP/IETC EST Expert Group
7-8 March 2002)
Background on the development of core
environmental criteria for assessing and
evaluating ESTs
• Bangkok meeting agreed to retain the current
Agenda 21 definition
• Definition allows for continual improvement
• Context, initial criteria, and the perspective of
developing countries were discussed
• Further consultation took place in Korea and
Osaka, including elaboration of the core
criteria as well as sectoral, regional,
technological specific issues.
Core EST Criteria (Version 1.0)
• Version 1.0 is the result of consultations
with experts and other stakeholders
• Can serve as an initial set of EST core
criteria
• As it evolves subsequent versions will be
adopted
• Note: “optional” criteria are also indicated
ESTs should be:
•
•
•
•
Environmentally sound
Economically viable
Socially and culturally acceptable
Characterised by sufficient, verified
information
Protects the Environment
Core Criteria
• Compliance with local, national and regional environmental
standards or internationally recognized standards (e.g. ISO)
• Compliance with multilateral environmental agreements
(MEAs)
Optional Criteria
• Cumulative air, water and waste emissions
• Overall impact on ecosystem health and integrity
• Compatibility with immediate and adjoining facilities and
systems
• Potential for geomorphological, landscape and
ecohydrological impacts
• Ecological footprint
Uses Resources in a More
Sustainable Manner
Core Criteria
• Efficiency of energy, water and materials use,
relative to the product or service provided
• Useful life of technology, and of products/services
• Relative use of renewable/non-renewable resources
• Conservation of water, including portion of recycled
water used
• Use of “environmentally friendly” materials
• Sustainable use of local resources
Less Polluting and Handles Wastes in a
More Acceptable Manner
Core Criteria
• Total quantities of wastes (solid, water, gaseous) generated
• Quantities of toxic wastes produced
• Potential for generation of secondary pollutants/byproducts
• Waste(air, water, and solid) treatment and disposal
requirements
• Generation of noise/vibration
• Thermal losses and radiation emissions
• Potential for climate change impacts
Optional Criteria
• Potential for long range transport of pollutants
• Potential for soil contamination
Recycles More of their Products
and Wastes
Core Criteria
• Use of recycled, reused and waste materials and byproducts
Optional Criteria
• Incorporation of closed loop processes
• Life cycle performance
Characterized by Verified
Information
All Optional Criteria
• Compliance with fundamental scientific and
engineering principles
• Performance at different settings and at
different locations
• Sensitivity to specific operating conditions
• Replicability
• Reliability and potential for system failure
• Profiling of risks and uncertainties
• Information verified by 3rd party
Other Factors
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•
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Cost
Receptor Capacity
Innovation Process
Ability to Apply New Technologies
• Generic EST criteria to facilitate initial
screening followed by sector specific
standards
• Criteria need to be measurable,
quantifiable
• Technologies that get through the initial
screening are not necessarily ESTs and
therefore should be fully assessed
5. Consultative Process…
ongoing…
• Further development of these core criteria
will be ongoing
• Subsequent versions (i.e. 2.0, 3.0, etc…)
will emerge from this process as feedback is
provided through consultations
• IETC Task Group to be established to guide
this process.
Components of the UNEP/IETC EST Consultative
Process
Elaboration of
EST definition
and context
Core EST
Criteria
Sector
Specific
Site
Specific
Technology
Specific
6. IETC Task Group on the Further
Elaboration of EST Definition and Context
• The work of this Task Group will serve as an important
initial interface on the social and economic aspects of
sustainability and other issues including further
examination of things that are difficult to quantify
• Concepts to be explored include (Industrial Ecology,
Industrial Symbiosis, CASE, DFE, Eco-efficiency, CP,
Ecological Footprint, etc…)
• Builds on existing and ongoing work including the Ethics
Paper currently being developed
Task Group will examine the following:
• Needs of developing countries
• Factors influencing the uptake of ESTs (and
Sustainable-ESTs)
• Linkages to MEAs (incl. Biodiversity)
• Short-cuts for developing countries (and how to
benefit from lessons learned)
• Link to governance (not just democracy)
• Sustainable development as a process (rather than
an “end in itself”)
Task Group will also help:
• Clarify what we mean by “sustainable technology”
• Define the mechanisms that would make ESTs
sustainable
• Link technology to its broadest impact through
systems integration
• Explore issues related to changing economic
dynamics and policy including the application of
discount rates, subsides, etc…
Task Group will also examine the
following:
• Innovation cycle and
• Ways of “leaping forward” (eg DFE)
through lessons learned
• LCA/ material and energy flows
• Absolute criteria vs relative criteria (eg use
of renewables)
• Multi criteria analysis and other integrative
tools
Task Group - Next Steps
• Conceptual framework, supporting paper and
action plan with clearly defined steps
• Further elaborate consultation process on sector,
site and technology specific issues
• Networking (through IETC Intranet and other
mechanisms) and interaction with other groups
• Inventory of “concepts”, process tools and a
“decision tree”
• Identification of pilot and demonstration projects
with some key early-stage applications
7. Environmental Performance
• Need to assess environmental performance
at different levels
• Also need to identify and implement
opportunities to improve environmental
performance throughout the technology
development cycle.
Technology Development Cycle
Identification of Need, Problem and/or
Opportunity
Consideration of Options and Alternatives
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Operational Steps:
Technology and/or Site Selection
Design
Approvals
Construction
Operation and Maintenance
Monitoring and Evaluation
Upgrading and Repair
Replacement and/or Reuse
Abandonment and Disposal
Indicators of environmental performance
should be:
•
•
•
•
Easy to understand
Supported by data
Sensitive to data collection cost
Verifiable and reproducible
Indicators of environmental performance
should reflect:
• Trends and timelines
• Local circumstances and goals
• An understanding of the “triple bottom line”
Challenges Related to EST Performance
• Environmental performance cannot be assured; it
must be established and reconfirmed for the
entire life cycle, by employing accepted
procedures, and judging against established
criteria.
• A technology that is assessed to be
environmentally sound in a given locale, culture,
economic setting or stage in its life cycle may not
be in another.
• A technology that qualifies as being
environmentally sound at one point of time, may
not do so at another.
Characterising the Environmental
Performance of Technologies
• Two level approach:
– Global/generic  “Environmentally Sound
Technology Performance Assessment (ESTPA)
– Locale/Application specific 
Environmentally-focussed Technology
Assessment (EnTA)
EST Assessment and Uptake
Support
Global & Generic
Production and
Consumption
Technologies
Environmental
Technologies
EST
 Generic Guidelines
 Generic Criteria
 Generic Benchmarks
Applications
Site and Specific
EST
Performance
Assessment
(ESTPA)
Self and 3rd Party
Verification
Monitoring
and
Evaluation
Data Bases
 ESTIS
 Maestro II
 Other
Proposed
Technology
Investment
Environmentallyfocussed Technology
Assessment
(EnTA)
Case Study
“Library” &
Demonstration
Projects
Critical Factors
 Environmental Pressures
 Local Conditions
 Local Requirements
 Local Values/Aspirations
Recommendation
on Technology
Investment
Operational
Experience within
an EMS
Global and Generic Evaluations and Verifications
Site and Technology Specific Assessments
Framework for the Identification
and Selection of ESTs
ENVIRONMENTAL INFORMATION
ENVIRONMENTAL PERFORMANCE INDICATORS
ENVIRONMENTAL PERFORMANCE CRITERIA
GUIDELINES FOR ASSESSING AND
EVALUATING ENVIRONMENTAL PERFORMANCE
IDENTIFICATION AND SELECTION OF ESTs
ADOPTION AND USE OF ESTs
Requirements for Assessing and
Evaluating Technology Performance
• Defining the context in relation to
sustainability
• Stakeholder involvement and collaboration
• Defining the boundaries (or scope) of the
assessment
• Monitoring and reporting
Context
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Technological
Cultural values
Location
Scale
Time
Dynamics of change
Characteristics of Environmentally Sound Technologies
ESTs
Environm
ental
Sustainability
Protectionof
Ecosystem
s
Protectionof
Resources
Econom
ic
Sustainability
LowOperating
andM
aintenance
Costs
LongTerm
Resource
Productivity
SocialandCultural
Sustainability
Preservationand Protectionand
Enhancem
entofSocial Enhancem
ent
andCulturalValues
ofHealth
Stakeholder Engagement –
Key Elements
• Determining expectations
• Defining policies and strategies
• Building local capacity
Engaging Different Kinds of Stakeholders
Stop it from
happening
Let it
happen
Help it
happen
Make it
happen
Other important factors
• Defining the Boundaries of the Assessment
• Monitoring and Reporting
8. Decision Support Tools
• Many approaches are possible (eg
voluntary ecolabelling, industry
benchmarks, etc.)
• Also performance verification – existing
programs in North America and
emerging ones in Asia.
Various tools and methods are
already available
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•
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Emission standards
EIA
CP/CT Declaration
Environmental Master Plans
Benchmarking
Greening of the Supply Chain
LCA
………but in developing countries, most of these are
donor driven
Applying Various Assessment
Tools
– Technology Assessment
– Environmental Impact Assessment
– Risk Assessment
– Life Cycle Assessment
– Ecosystems Valuation
Example of
“Cross-Cutting” Decision Support
Sectors
Dec’n
support
tools
EMS
EST
Assess’t
(EnTA)
EnRA
EVT
etc.
Cities (IETC)
Waste
Water
Bldgs. &
Cnstrct’n
Industry (other DTIE units)
O&G
Mining
P&P
etc.
Environmental Technology
Assessment (EnTA)
• Facilitates identification and selection of
ESTs
• Encourages consensus amongst multiple
stakeholders
• Improves quality of decision making
Evaluating Environmental
Consequences
Factors that Determine
Environmental Consequences
Step 2: Identify Environmental Pressures
• The characteristics of the pressures (e.g. the
nature and quantity of the resources consumed
and wastes released).
• The nature of the pathways.
• The characteristics of the receiving
environment (e.g. community values, hazard
pathways, number of people or animals
exposed, and sensitivity of the receiving
environment).
EnTA
• Information that is generated during the
performance assessment and verification
of a given technology will produce no
tangible environmental benefits unless it
is used to ensure that specific technology
investment decisions result in the
selection of the most appropriate EST for
a given locale, application and other
circumstances.
EnTA
• There is a reasonable level of harmony between
the proposed EST criteria and the environmental
pressure and outcome categories used in EnTA.
• The information that would be available if the
proposed suite of indicators was to be used to
characterise an EST would find useful application
in EnTA and could serve to enhance the rigour,
objectivity and certainty of that assessment
procedure
• EnTA extends the assessment process to
include categories of criteria that relate to
sustainable technologies, rather than being
restricted to ESTs.
• Thus EnTA involves a more holistic
assessment, by including considerations of
social and cultural acceptability and economic
viability.
• As progress is made towards defining
sustainable as opposed to environmentally
sound technologies, one can envision even
more harmony between the EnTA categories
and the suite of criteria and indicators.
Other Tools
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•
•
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Environmental Impact Assessment
Risk Assessment
Life Cycle Assessment
Ecosystems Valuation
9. Selected Conformity Programs
and Initiatives
All involve…
• Measurement standards
• Transparent reporting of information
Needs and challenges in
developing countries
• Transparent, reliable environmental
performance information
• Assistance in the development and
application of test methods and protocols
• Harmonization where practical
Ecolabelling
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•
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•
Blue Angel
Environmental Choice
Nordic White Swan
Green Seal
GEN (Global Ecolabelling Network)
etc…
Blue Angel
• Environmental Label Jury (made up of
representatives from citizen, environmental,
industry, and union organisations) makes
final decisions on product categories and
award criteria.
• There is no official public review process.
Environmental Choice Program
(ECP)
• Draft guidelines for product and service
categories are subject to a 4-8 week public
review period
• Notification is also sent directly to
interested individuals and groups
• Comments and supporting information are
taken into account when modifying the final
guideline
Nordic White Swan Label
• Members of National Boards represent
consumers, environmental authorities, nongovernmental organisations, trade and
industry, and research institutes.
• Draft criteria are sent out for review.
Green Seal (US)
• Review process involves manufacturers,
environmental organizations, consumer
groups and government agencies.
Global Ecolabelling Network
(GEN)
• Membership open to national or
multinational ecolabelling organizations run
by not-for-profit organizations without
commercial interests
• Consultation is based on voluntary
participation of potential licensees.
• Seeks advice from and consults with
stakeholder interests.
Verification
• Environmental Verification of Technology
(EVT)
• Environmental Technology Verification
(ETV)
• Environmental Performance Evaluation of
Technology (EPET)
Verification - Options to consider
• Testing against standards established by a
third party…or agreed upon through
stakeholder consultation
• Testing against performance claims of
manufacturers
• Testing of performance relative to other
technologies… or benchmarks
ETV
• ETV is a voluntary system to provide validation and
independent verification of environmental technology
performance claims
• ETV provides endorsement for both established and
emerging technologies
• It is not a duplication of the ISO 14000 Environment
Management Series.
Brief History of ETV
1995: Federal ETV Program established in the US by US/EPA.
Robust and relatively costly, currently operating from six subject
‘nodes’: air pollution control, greenhouse gas prevention,
drinking water treatment, water protection and pollution
prevention, recycling and waste treatment systems. US/EPA ETV
has agreements with Philippines and Indonesia, negotiating with
Thailand, Taiwan and India.
1997: National Canadian ETV system established. Less costly but
less robust than the US system. The ETV Canada has
established MOUs or technology partnerships on ETV with
California, New Jersey, Pakistan, India, Russia, Poland,
negotiating with Bangladesh and China.
2000: Major conference theme at ‘Globe 2000’ held in Vancouver.
Examples of Technology
Verification Programs
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ETV Canada
US/EPA ETV Program
California ETC Program
Korean ETV Program
etc…
US Environmental Protection Agency
ETV Program
• Stakeholder Groups consist of
representatives of all verification customer
groups (e.g. regulatory personnel,
consulting engineers, technology
purchasing organizations, developers and
vendors) for particular technology sectors
• Stakeholder Groups guide and inform EPA
and its verification partners
Environment Canada ETV Program
• Voluntary program designed to provide third-party
independent assessment and validation of vendors’
claims regarding performance of their technologies.
• Delivered on behalf of Environment Canada by ETV
Canada Inc. (a private sector organisation) licensed to
use the ETV logo and issue verification certificates.
• Environmental technology vendors apply to ETV
Canada Inc. for verification of the performance claims
they make.
• Testing is conducted by “verification entities” (e.g.
specialised laboratories under contract with ETV
Canada qualified to provide technology performance
testing services).
Korean ETV Program
• Korean ETV program (operated by EMC)
• 3rd Party Review using verification entities
• Basic protocols are developed by these entities and
augmented as required
• Similar to ETV Canada and US/California/EPA
programs
ETV in Australia
1999: Federal working group, supported by the CRC for Waste
Management established to investigate the possibilities for ETV
in Australia, however a low response rate to a survey conducted
by the group suggested low interest in ETV.
2001: ETV seminar held at EPA Melbourne in November 2001.
Federal position was that ETV has merit. However establishing
an ETV system in Australia was ruled out due to the projected
high costs of establishing such a system.
2002: ETV Working Group formed in the State of Victoria to
review options for the establishment of cost-effective ETV for
Australia by utilising existing technical,
organisational
and
intellectual resources. The initial work being undertaken by the
Victorian Working Party is being funded by the Department of
Innovation, Industry and Regional Development.
Challenges for ETV in Australia
– Many believe that for the continued development of a vibrant
environmental industry in Australia, local industry must have
access to a locally administered, pragmatic, cost-effective
ETV system, and that having an internationally accepted
ETV system will be an essential tool for exports.
– It has been further argued that there is a need to raise
awareness of the objectives and opportunities for ETV in
Australia and to establish ETV in Australia “before we miss
the boat”
– To avoid “reinventing the wheel”, one option would be to form
an Australian body to operate as a franchisee/licensee of an
established internationally recognised system.
GHG-related verification
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Kyoto (UNFCCC)
GHG Emissions Trading (UNCTAD)
AIJ Pilot (World Bank)
GERT & GHG-SMART (Canada)
etc…
Kyoto Protocol
• Under the Kyoto Protocol, there are a
number of approaches currently being
considered for reducing GHG emissions:
Allowance System –
• This involves specific industry sectors, regions or countries
being allotted a cap on GHG emissions that they cannot
surpass.
• Companies can trade permits in order to achieve the
allowance targets.
• Verification, certification and registration of emission
allowances at a company level is important to ensure that
targets are being met.
• Companies also want to ensure that they are receiving real
emissions reductions when they trade.
Regulatory Standards • A system based on regulatory standards would use
penalties for non-compliance as a means to drive
businesses and industry sectors to meet their predetermined targets.
• Regulatory standards require verification,
certification and registration of GHG emissions to
ensure that the standards are being met, and that
commitments to meet reductions are occurring.
Carbon Charges • A carbon charge is a measure that might be
applied to the consumption of carbon (e.g.,
fuels such as oil, gas and coal) at a rate
dependent on the amount of carbon
emissions produced.
• Verification would also be needed for this
approach.
Credit for Early Action • Rules for early action credits provide incentives to
organizations to reduce emissions earlier rather
than later.
• In doing so, credits for early action are created
which may have value in trading systems.
• Regardless of how the rules emerge, companies
claiming credits for early action would have to
verify that these are legitimate and real.
National Inventories and
Country Reports • Verification is also part of the substantiation
accompanying country reports under the
Kyoto framework.
EMS
•
•
•
•
ISO 14000
ISO 14000 Registry
EMAS
etc…
ISO 14000 series
A series of voluntary generic standards that provide business management with
the comprehensive framework for managing the environmental impacts of a
company’s processes and activities.
The standards include a broad range of environmental disciplines, e.g. basic
management system, auditing, performance evaluation, labelling, and
lifecycle assessment.
The standards are all guidance documents (i.e. “descriptive”) except for ISO
14001 which is a “prescriptive” document and the model for an
environmental management system.
The ISO 14000 Registry
• The purpose of this Registry is to allow
organizations to publicly announce their
conformance (either through self-declaration or
third party certification/registration) to ISO 14000.
• While the focus is primarily small and medium
sized companies, the Registry is open to any
enterprise regardless of size, sector, organizational
profile, or geographic location.
Benchmarking & Reporting
•
•
•
•
•
CERES Report
Environmental Benchmarking Network
Responsible Care
WSSD Sector Reports
etc…
CERES Report
• Inception in 1989.
• Based on a standardized corporate
environmental report format developed with
the collaboration of Fortune 500 companies,
progressive smaller companies, institutional
investors and other environmental
organizations.
• The CERES Report is revised annually
through a collaborative industryenvironmental-investor process.
WSSD Sector Reports
• Initiative launched by UNEP/DTIE
involving 22 key sectors
• Supports WSSD
• Addresses vertical and horizontal issues
• Provides an account of performance against
sustainability goals
EST Information Systems
•
•
•
•
•
•
•
maESTro
ICPIC
EST-IS
SANet
aboutRemediation.com
CLU-in.org
etc…
10.Overall Conclusion – Part 1
• The establishment of criteria and indicators for
assessing and verifying an EST will greatly
enhance the quality of decision making related
to technology interventions and investments.
• The challenge now is to ensure that EST
assessment and verification programmes make
full use of the proposed criteria and indicators
and that they are effectively incorporated within
the suite of available environmental decision
support tools.
• Having the core criteria (Version 1.0) will allow
us to move forward, while continuing to
evaluate and strengthen them.
Outline – Part 2
1.
2.
3.
4.
5.
6.
7.
8.
Challenge
Ideas
Specific needs
Road map
Regional action plan
“Top line” items
Next steps
Some further comments
1. Challenge
• Define the common ground
• Establish a platform to facilitate mutually
supportive approaches and mechanisms for
evaluating the environmental performance
of technologies
• Build on and augment current initiatives
Challenge
• Mainstreaming… inclusiveness
• Ensuring relevance to decision-makers and
investors
• Usefulness to developing countries
• Link to sustainability… and “Sustainability Index”
• Link to sectoral initiatives (e.g. building and
construction, transportation, other)
• Strengthening networks
• Quality management and continual improvement
Challenge - Creation of a Regional
Initiative
• Barriers and Opportunities
– Including the role of financial institutions (i.e., credit
unions and investment funds)
• Elements of a Roadmap (consensus on this)
– Defining the “common ground”
– Way forward… steps
– Link to WSSD, etc.
• Strategy and Framework for Action
– Fit the tools to this, if appropriate
– Other actors (both pioneering and consensus-oriented)
– Pragmatic actions
Regional Initiative - Opportunity
• Development of an Asia-Pacific Strategy for
EST promotion, adoption and use
2. Ideas - Regional Initiative
• (ETC)
– UNEP can only provide guidelines, criteria, etc. (UN
constituents will implement)
– Each country will want its own Environmental Industry
to be competitive
– Regional co-operation necessary in working together on
a “Common Approach”
– Leverage is essential
– Transfer of ESTs and impact on biodiversity and
cultural diversity is a key issue
• (Thailand)
– Current status – Tools (i.e., Standards, EIA, CP declaration, CP
“Master-plan”,etc…) are donor-driven
– Technology transfer largely dependent upon imported technology
– Introduction of technologies and tools into different countries
should be appropriate
– Asian approach to criteria/guidelines would be desirable
– Need financial resources to implement
– Need capacity building, training, test methods, protocols etc…
– Also, need equipment
– Awareness & education on ESTs is essential
– Supportive of EST initiative - IETC should lead, but need a clear
picture of UNEP 5 year programme
• (Vietnam)
– Transition/transformation of economy is important
– Needs include:
•
•
•
•
•
information on ESTs and criteria
information on alternative technologies
Criteria and standards
Monitoring performance against standards
Capacity building
• (ESCAP)
– Public-Private Partnerships (P3) are important but what
is proper mix?
– Basic information is required on initiatives,
expenditures and ODA to identify where we currently
stand
• (Aus)
– Environmentally soundness not relevant driver;
sustainability is more important as driver
– Labeling is not enough nor adequate
– Clear and credible benchmarks are essential
– 3rd party accredited testing facilities are needed
– Keep it simple
– Financing – lack of information …raising awareness
– Corporate residual liability… regulations and
governance
– Focus initially on “low hanging fruit” (ex. Mining, then
heavy industry, etc..)
– Public environmental reporting and disclosure
– Nurturing SME success and growth
– Also, market and export potential
• (WA)
– Political agreement on specific outcomes on what the
region wants to achieve by use of ESTs
– Commitment to open industrial policies, find synergies,
and harmonize policies around environmental
benefits/outcomes
– Process of mapping pathways of technology
development to achieve outcomes (i.e., where do we
want to be?) using “fore” and “back” casting techniques
– Country, business, community accords – define the
steps that need to be taken
– Focus aid and development assistance more effectively
– Align industrial policies and remove barriers, including
negative subsidies
– Focus on partnership benefits
(Aus – GI)
– Create a strategic module linked to EnTA (for example)
– Implement a 2-pronged approach
• Create a New Future – ecorestructuring of economy, “leaping
forward”, foresighting, etc.
• Continue to meet basic requirements
– Focus on key drivers, including:
• Environmental standards/regulations
• Learning from past mistakes and avoiding future decline
• Recognizing “waves” of industrialization and compatibility
issues (i.e. countries without the “old ways” are better off)
• Supporting a competitive and dynamic economy with
immediate local and global benefits
• Support the “sustainability promoting firm” concept
• Explore transformative funds and ethical investments
• Empower change agents to push for higher standards
• Establish “stretch” goals and mechanisms (i.e. Zero waste by
X date) to drive innovation
• (CSIRO)
– Define what is practically achievable - country by
country, sector by sector
– Testing of criteria in developing countries,
promulgation, leverage through action, reality check
– Make info available on technologies and their testing
– Database QA/QC
– Identifying common approaches to performance
assessment
• (CUT)
– Needs Assessment is essential
– Technology collaboration, cooperation and
capacity building are necessary
– Local industries have a key role
– Seed/Venture Capital is required
– Engineering small-ware is needed focusing on
processes, monitoring and optimization
(“manage what you measure”)
– More discussion on regional strategies is
needed.
3. Specific Needs
• Assessment of needs both on the demand
and the supply side
• Different drivers must be considered
(including social and economic)
• Recognition of differences amongst
countries within the region
• Incremental improvement
Specific Needs – Capacity Building
• Need to consider capacity building and know-how,
not just technology
• This involves:
–
–
–
–
–
–
–
Raising awareness
Changing attitudes
Training
Education
Knowledge
Informed judgment
Financial support
Specific Needs –Technology
Cooperation and Collaboration
• Need to define the roles of the private and public
sectors
• Need to define how ODA and other financial
assistance is now provided
• Need to transform IFIs to ensure that
environmental sustainability is taken into account
• Need seed capital to encourage the use of locally
developed technology
Specific Needs –
Measuring Performance
• Benchmarks must be clear and credible (ie.
Internationally recognised)
• Testing facilities must be accredited
• The process must be simple and easy to follow
• Measurement tools are essential (i.e., meters, etc.)
– “we can manage what we can measure”
• Monitoring and reporting
Specific Needs –
Application of EST Criteria
• Continue efforts to augment definition of ESTs
• Encourage use of sustainable alternatives (eg
minimise pollution, use energy more efficiently,
etc.)
• Optimize existing processes, technologies and
facilities
• Address potential impacts on biodiversity and
cultural diversity
Specific Needs –
Developing Country Perspective
• Communication between governments and
enterprises can be a problem.
• Different levels of action need to be taken (i.e.
local, national, global).
• Need to help SMEs with the uptake of ESTs
• Capacity building and leverage are needed
• Funds can be used to lever outside funds, but
training is needed on know how to use these funds
effectively.
• Different needs and different levels of
development throughout the Region need to be
taken into account
• Assistance needs to be provided bearing this in
mind
• Market mechanisms and poverty must be
considered
• Smaller scale decentralized solutions are needed
Specific Needs – Regional
Perspective
• A regional framework linked to national
governments and enterprises would be
helpful
• Would serve as a network for cooperation in
the region and for raising awareness of EST
concept
• However a mechanism is needed to
recognize disparities
• Sustainability and equity issues in the
region are significant and major changes are
needed
• ESTs are a pathway for resolving issues and
catalyzing change
• Australia and New Zealand have an
opportunity to play a key role within the
region
4. Strategic Roadmap - Key Drivers
• Defining the “big picture” in a logical manner
• Creating an environmentally competitive economy
while avoiding economic decline
• Moving beyond local to global sustainability
• Harmonizing approaches
• Creating and implementing strategies for
transformation and change
Strategic
Roadmap –
One approach to
engage stakeholders
(Source – Environment
Australia)
Sustainability
Roadmap
Strategic Roadmap
Economic
Economic
Performance
Performance
Phase 1
Phase 2
Phase 3
Phase 4
Positioned to
respond to or
set future
market
realities
Efficiency
Implement
gains
realised
Opportunities
Identified
Strategic,
Leverage
innovation &
or
Innovation
market
Marketing
advantages
Advantages
leveraged
Measure
Current
Baseline
Performance
position &
established
Establish
Baseline
Indicators
Compliance
Social &
Environmental
Outcomes
Source: adapted from Queensland EPA
Roadmap
Phase 1: Baseline position established by:
• Ensuring that a compliance management system is
in place
• Establishing baseline indicators by conducting
inventory, scoping study, audit or assessment
• Developing performance targets or identifying
benchmarks
• Developing strategies to improve performance and
an implementation plan
• Engaging drivers to champion internalisation of
sustainability
Roadmap
Phase 2: Efficiency gains realised through
the implementation of:
•
•
•
•
•
•
•
systems or system improvements
technology and process improvements
by-product exchange
community consultation
education programs
performance reporting
TBL accounting and reporting
Roadmap
Phase 3: Strategic, innovation & market
advantages realised through:
• Public reporting
• Influencing supply chain interactions
• Encouraging socially responsible investment
• Increasing access to and market penetration
of ESTs
• Meeting external verification of
environmental or sustainability performance
• Leveraging other strategic, innovation or
market advantages
Roadmap
Phase 4: Positioned to respond to or set
future realities by:
• Adapting to the rapidly changing market
place and/or regulatory environment
• Setting or influencing future market realities
and/or regulatory requirements
Simplification of the roadmap
from a regional perspective
•
•
•
•
Tools
Actions
Feedback
Continual improvement
Development
of ESTs
(Supply
Side)
Application
of ESTs
(Demand
Side)
Compliance
& Inventory
Efficiency
Innovation
Sustainability
Tools
Actions
Tools
Actions
Tools
Actions
Tools
Actions
Tools
Actions
Tools
Actions
Tools
Actions
Tools
Actions
Compliance
& Inventory
• Know where you are and where you want to
be
• Know where things fit and where are the
gaps
Efficiency
• Apply technology and knowledge through
partnerships in order to achieve leverage
• Optimize…
Innovation
• Solve problems and spin off the solutions to
other areas
• Demonstrate results
Sustainability
• Shape future market realities and be
positioned to respond
A further simplification …
Adapt/ Meet
Basic
Requirements
Demand
Supply
Leap/ Innovate
… based on a 2-pronged approach
• Work to improve the present situation
• Simultaneously work towards the creation
of a new future
5. Action Plan for a Regional
Strategy
• Multiple levels to consider – regional,
national, local
• Interaction and continuous feedback
• Leverage and synergy
Regional
Provide:
National
Facilitate:
Enterprise
Identify:
• Needs Assessment Tools
• Technology Cooperation Agreements
• Innovation
• Barrier Removal
• Cooperation
• Technology Requirements
• Barriers
• Cooperation
Harmonise:
• Performance Assessment
• Guidelines
• Criteria
• Benchmarks
Implement:
Identify & Select:
• Evaluation Programmes
• Verification Programmes
• Appropriate ESTs
Exchange:
• Evaluation/Verification Protocols
Establish:
• Regional Data Base on ESTs
Establish:
• National Data Base on ESTs
Provide:
• Decision Support Tools (EnRA, EnTA etc)
• Capacity Building
ESTs:
Mobilize:
Facilitate:
• Financial Resources
• Uptake of ESTs
• Adopt
• Evaluate
Key Milestones (Timetable)
•
•
•
•
•
•
UNFCCC (COP 7.4)
ASEAN Secretariat mid-May
Prep Com 4 in Bali 24 May - 7 June
WSSD Aug -Sept
Eco Asia Ministerial Nov.
Habitat 15 next year
Regional Action Plan
• Undertake needs assessment (specific needs as well as
the need for capacity building )
• Provide needs assessment tools that accommodate
regional diversity
How:
– need to assess what tools already exist
– OECD experience/approach relevant, as is CSD work
– GAP/SWOT analyses might be appropriate
UNEP ROLE
• UNEP does not have specific tool, but a tool required
• IPCC, CSD, Publications, etc…
Regional Action Plan
• Influence the substance and approaches underlying
Technology Cooperation Agreements to facilitate
“leaping forward”
• Operate at a higher level, and be more comprehensive
How:
–
–
–
–
need to assess what agreements already exist
GAP/SWOT analyses might be appropriate
CP Declaration might provide a good model but needs follow-up
WBC work may be relevant (report due next month); WB did case study
of buying out IP, to augment and accelerate potential benefits.
UNEP ROLE
• UNEP does not have specific tool, but a tool is required
• IPCC, CSD, Publications, etc…
Regional Action Plan
• Harmonize/ “Internationalize” performance assessment
criteria, guidelines and benchmarks
How:
– Promulgating the process at lower level (e.g. a sub-regional approach)
– Lexicon of terminology (not just acronyms and definitions, but also
practical explanations)
– Measuring performance against the core EST criteria by documenting
procedures and making information available
– Applying criteria and standards that can be verified to minimize risk
UNEP Role –
• Expert Group
• “Internationalizing” the assessment procedures and criteria
Regional Action Plan
• Exchange Evaluation/Verification Protocols
• Facilitate compatibility
How:
–Need to share directly and by providing links
–Countries already taking different routes
–Face to face and electronic communication and information
exchange…
UNEP ROLE
• Clearinghouse function with ESCAP and ASEAN Secretariat
Regional Action Plan
• Establish regional Database on ESTs
How:
– Already done
– APREN (regional; Aus/NZ still to “sign up”)
– ESTIS (national, but linked, feeding information into APREN, and
downloading from other databases)
– Need national databases, to support regional database, and vice versa
– National delegates should report on APREN discussions and opportunity
to use ESTIS
– Improve depth and detail in maESTro
UNEP ROLE
• UNEP/IETC doing this through ESTIS, APREN, etc…
Regional Action Plan
• Provide decision support tools (EnRA, EnTA etc) and
related capacity building
How:
– In addition to site specific ESTs, need support for higher end of the Tech
Transfer process  capacity enhancement
– Need credible “stretch goals” – develop inventory of best
practice/exemplars, perhaps via links, using a portal
– Also need to reach out to policy makers
UNEP ROLE –
•
•
•
•
•
EnTA resources available on WWW
Conventional training (incl Training the Trainer) courses underway
EnTA Online ready in May (CD and Web accessible)
Similar approach with EnRA, EMS etc
Web site – emlearning.net; public domain resource
Regional Action Plan
• Mobilize financial resources (or their proxies), plus
economic and non market incentives
How:
–
–
–
–
Transformative funds, eco funds and ethical funds
Find workable solutions in financing ESTs – innovation needed
Regional clearinghouse for information on funding of ESTs
Availability of funding not the only issue; need to link the innovators
with the financiers (“incubators” and “angel investors”)
– Characterise the risk and raise awareness
– Work with venture capitalists and technology start-ups on verification of
performance in order to bring confidence to investors
– Promote EST “investment tours”
UNEP ROLE –
•
•
•
•
•
Financial Institutions Initiative (run by UNEP/DTIE)
GEF mechanism for specific application areas
SANET – supporting broader initiatives, including ESTs
IETC focus – waste, water and construction technical assistance is available
IETC also developing an inventory of resources for financial resources
Regional Action Plan
• Stimulate innovation
How:
– Need tools that can help stimulate “leaping forward”
– Address upstream opportunities
– Examine similar and related initiatives e.g.
• Dutch initiative (see “green innovation” web site )
• University based industrial transformation project
• Japanese innovation initiative
• WBCSD – innovative technology sustainability report.
– Promote a dialogue amongst leaders (perhaps via Global
Innovation Strategy)
UNEP ROLE
• Further work is needed in this area
• Link with United Nations University
• Take stock and link with other initiatives
Regional Action Plan
• Assist SMEs
How:
– Identify and implement mechanisms that encourage and enable
SMEs to adopt ESTs
– Engage with Technology Advancement Centres, Cleaner
Production Centres, and Technology Incubators
– Examine similar and related initiatives e.g.
• Dutch initiative (see “green innovation” web site )
• University based industrial transformation project
– Facilitate demonstration projects
UNEP ROLE
• DTIE in Paris assists in various ways (e.g., national CP centres, as well
as production and consumption, ozone, chemicals units) – all delivered
via national governments
• Context of MEAs; training, information materials, databases, etc
Regional Action Plan
• Assist communications between national
governments and the private sector
(including SMEs)
How:
–
–
–
–
Work with local governments
Facilitate partnerships with the private sector
Develop a good communications plan for this initiative
Promote good governance
UNEP ROLE
• Many initiatives
• At WSSD UNEP/DTIE will present findings for 22 industry sectors in
relation to Agenda 21
6. “Top Line” Items
• Key “top line” items that need to be
addressed in moving this initiative forward
“Top Line” – Guiding Principles
•Revisit and reemphasize guiding principles
•Ensure overall strategy and top line activities are
supportive of MEAs as well as regional sustainable
development initiatives
•Establish a UNEP inventory of stretch goals (e.g., a
20-fold decrease in resource use) and match targets
to the appropriate tools
•Mobilize financial resources to address
environmental enhancement and poverty alleviation
“Top Line” – Strategic Positioning
• Political level agreement on objectives/outcomes
of the UNEP EST initiative
• Revisit industrial policies and strategies to build
synergies and harmonise approaches that can help
drive the transition to sustainability
• Map potential pathways for the development of
innovative solutions leading to desired outcomes
• Employ innovative approaches to create
awareness and engage stakeholders
“Top Line” – Empowerment
• Identify and support key change agents and
stakeholders
• Empower the people who can actually make
the changes that are needed
• Foster action at the “lowest” appropriate
level – i.e. foster bottom up changes
“Top Line” – Enabling Environment
•
Create an enabling environment for EST uptake,
including:
–
–
–
•
•
•
utilization of criteria, guidelines, protocols and tools for the
identification and uptake of ESTs
establishment of effective regulatory/ incentive systems
communication and awareness
Strengthen key pathways and mechanisms for EST
transfer
Transform and strengthen management at all levels in
order to make activities more environmentally sound
(including management by national and local
government in countries where this is dominant)
Build capacity to achieve major breakthroughs and leaps
forward
“Top Line” – Innovation
• Pursue a dual strategy simultaneously:
• Encourage innovation to allow major technology leaps
• Build capacity to accelerate transfer and uptake of ESTs
•
•
•
•
Bring money and ideas together
Focus on ideas and know how - versus products
Encourage change agents to “push the envelope”
“Carrot versus Stick” has marketing potential given
the perception that regulations will become more
stringent
“Top Line” – Collaborative Networks
• Cooperation will ensure that progress is made
• Exploit the large multiplier effects of collaborative approaches,
including an EST network (i.e., APREN)
• Use creative collaborative approaches to enhance EST investments
• Commit to networking, collaboration, connection and partnerships
in order to foster the evaluation, transfer and adaptation of ESTs to
local conditions
• Commit to sharing of knowledge and expertise with colleagues
and other key players in the identification, selection and uptake of
ESTs, both on an individual basis and via regional mechanisms
• Identify and implement a “win win” paradigm for the uptake of
ESTs to assist movement along the path to sustainability
• Promote good governance
“Top Line” – Information Systems
• A regional database on ESTs makes sense
• APREN has already been established and many
Asia-Pacific countries have already signed up
• ESTIS is now available to support individual
databases in countries and the ability to
voluntarily upload onto a regional network
• ‘Leaping forward” needs to be rolled out through
ESTIS - This is important for the establishment of
a new economic development path.
“Top Line” – Influencing Financial Decisions
•Examine the need for a new competitive dynamic (i.e., the
“sustainability promoting firm”)
•Mobilise financial resources and their proxies (i.e., barter, etc)
•Conduct survey of sources of funds for ESTs, including pension
funds, transformity funds and ethical investments funds, and their
applicability to different stages of development (Note: development
banks are not the only structure for this)
•Link to the UNEP financial institutions initiative and the GEF
mechanism
•Advocate a strong role for ESTs in SANET, including access to
experts and consultants.
• Need to create a network by aggregating through
an incubator a number of people and ideas (e.g.,
an integrated package to match minimum of a $20
million dollar investment)
• Awareness raising at the financial level as well as
for those who are bringing the project forward
(i.e., Angel investor, incubator, proponent)
• SANET could help in this regard
“Top Line” – Performance Assessment
• Harmonize performance assessment approaches and
methodologies
• Take steps to ensure that performance assessment is not
used or seen as a trade manipulation tool
• Demonstrate the effective application of EST criteria,
guidelines, protocols and tools to ensure the adoption and
use of ESTs
• Disseminate knowledge, methods and tools that will help
reduce ecological footprints at both the national and
enterprise level
7. Next Steps
• UNEP/IETC Expert Group (and related
Task Group) already established
• The “internationalisation” of environmental
performance assessment and evaluation
already underway
• IETC intranet site in place to facilitate
ongoing dialogue
• Need to crystalize the regional framework
and action plan going forward
• Regional framework should be linked to the
needs of national governments, local
authorities and enterprises
• Need a Regional Forum on ESTs to further
investigate barriers and opportunities
• Need to advocate at ministerial meetings
• Briefing materials should be prepared
following the ASEAN Leaders Forum
Format (UNEP 2-pager)
• Expert group and task group meetings
should continue
• Need a Lexicon of definitions and
terminology
• Regional seminar on ESTs for Waste, Water
and Construction (Perth, May 2003) –
ensure its effective implementation as well
as the transfer and uptake of the seminar
outputs