making right choices: a framework for sustainability assessment of technology (sat)

UNEP

Making Right Choices: A Framework for Sustainability Assessment of Technology (SAT)

Surya Prakash CHANDAKSenior Programme Officer

United Nations Environment Programme

Division of Technology, Industry and Economics

International Environmental Technology Centre

(UNEP DTIE IETC)

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UNEPInternational Environmental Technology Centre2

Structure of Presentation

About SAT Methodology

Key Characteristics of SAT methodology

Use of SAT

Key elements

Methodology / Decision making process of SAT

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Why integrate ‘Sustainable Development’ in Technology Assessment?

• Technology plays an important role in Development

• The dominant system of decision making in technology selection, focuses on economic considerations and tends to disassociate social and environmental factors

• A fragmented approach in making technology choices has implications on efficiency and sustainability of technology

• Integration of Economic, Social and Environmental considerations ensures Resource (Economic and Environmental) Efficiency and Social Acceptability

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Sustainable Assessment of Technology (SAT)

• SAT Methodology …

… Integrates Environmental, Social and Economic Considerations

… Focuses on environment and development together and puts them at the centre of the economic and political decision making process

... Can be adapted to country specific parameters and constraints

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SAT – Some Key Characteristics

• It Undergoes progressive assessment (Tiered) procedure (screening, scoping and detail assessment) thereby optimizing information requirements.

• It operates on strategic as well as operational level

• It is a quantitative procedure allowing objective assessment, sensitivity analyses and incorporation of scenarios

• It incorporates Continuous improvement through Plan-Do-Check-Act (PDCA) cycle

• It is not an automated process thereby making country specific adaptation possible

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Use of SAT

Policy and Government LevelFor Strategic Planning and Policy making

Financing Institution LevelFor Assessing projects for funding

Operational Level For assessment of alternative technologies

Community and Cluster LevelFor assessment and comparison of collective alternative technologies

Community / Enterprise LevelFor comparing technology options

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Application of SAT

The application areas include:

• Environment and health related programs

• Provision of basic infrastructure such as roads, power, water etc.

• Bio-diversity management

• End-of pipe water and waste management technologies

• Water and waste recycling programs

• Process technology modernization at shop floors and at industrial clusters

SAT Methodology

Screening

Public Information

/ Consultatio

n

Define targets

Issues to be addressed /

Problems to be solved

Strategic Level Assessment

Preferred Technology Options

Operational Level AssessmentDetailed

engineering design & costing

Monitoring / Performance Evaluation

Scoping

Detailed Assessmen

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Implementation

Situational Analysis

Anticipating Future Scenarios

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UNEPInternational Environmental Technology Centre

Examples of problems related to healthcare waste management

Lack of healthcare waste management has resulted in public health problems in the community as people are exposed to needles and contaminated waste

Improper healthcare waste management practices pose a risk to the health and safety of health workers, waste collectors and patients in the health facility

Poor healthcare waste treatment methods have created a serious environmental problem in the local community causing resentment among neighbors affected by foul odors, smoke, air pollutants, contaminated water, or toxic ash from the health facility

Inadequate waste management practices are putting a strain on the solid waste management system and undermine the potential for material recovery and recycling.

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SAT Methodology – Situation Analysis

Situation Analysis and Defining Targets

The Situation Analysis includes:

• Baseline data collection

• Stakeholder consultation

• Mapping and analyses

These two Steps help to identify issues, assess their significance and leads to setting of targets that should be addressed by proper technology intervention.

Situational Analysis

Define targets

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SAT Methodology – Strategic Level Assessment

Strategic level assessment

This is done by planners, decision–makers, elected representatives through participatory sessions

The outcomes are important as it

• Helps to develop customized criteria and indicators for operational level from generic level.

• Facilitates short-listing and identification of suitable options

• Provides leads to future scenario building (e.g. population growth, tighten legal requirement)

there by putting more light on technology choice.

Strategic Level Assessment

Examples of issues and targets at strategic levelISSUES TARGETS

All health facilities in the area do not have a way to treat their infectious waste

Implementation of a large-scale central treatment technology to handle infectious waste from all generators in the area; promulgation of policies to require treatment of all infectious waste

Long distances and poor roads between districts preclude one central treatment facility for the province

Designation of a cluster treatment hub in each district and deployment of technology at each hub

Health facilities are remotely located and too far from each other

Implementation of a decentralized treatment scheme with a technology appropriately sized for each facility

The health facility plans to expand the number of beds, types of services, and its area of coverage in the future

Deployment of technology that is modular and can be easily scaled up

Strong public opposition to open burning and air pollution

Deployment of technology with little or no air emissions

Inadequate space in the landfill Use of technology that results in significant volume reduction; expansion of existing recycling infrastructure

Lack of information and training in healthcare waste management among health workers

Development of training programs as part of facility accreditation and/or professional licensing13

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SAT Methodology – Operational Level Assessment

Operational level assessment

Engineers and technical staff assess the available technology options

In community or enterprise level, operational level assessment can be the first step.

The level of expert opinion and technical information is very important.

Operational Level Assessment

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SAT Methodology - Three -Tier Assessment

Screening

Scoping

Detailed Assessme

nt

Customized Criteria and Indicators

considering environmental,

social and economic

considerations

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SAT Methodology - Screening

In this Step:

• The short listed systems from Operational level

Assessment, undergoes objective YES/NO type

answers

• Options which do not qualify one or more conditions,

are eliminated.

Operational level assessment - Generic Screening Criteria

Heading Criteria Notes

Compliance Compliance with local environmental laws

The technology must comply with environmental laws of the city, municipality, district and/or province, such as air pollution or landfill regulations.

Compliance Compliance with national environmental laws

The technology must comply with national environmental laws, in particular, air pollution, wastewater, and solid waste disposal laws, and healthcare waste or hazardous waste management regulations. Some countries or local governments have banned incineration. Others specify only approved technologies for the treatment of one or more classifications of healthcare waste.

Compliance Compliance with multilateral environmental agreements

Many countries are parties to the Stockholm Convention on Persistent Organic Pollutants, and the Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and Their Disposal. Both of these Conventions have guidance related to healthcare waste treatment. The technology should be consistent with this guidance and the country’s National Implementation Plans for these treaties.

Other requirements

Consistency with WHO policies

Many countries have adopted the World Health Organization’s policy on “Safe health-care waste management” (2004)

Other requirements

Meeting the objectives of 3R programs

Many local governments promote reduce-reuse-recycling programs. The technology should meet the objectives of these local environmental programs.

Other requirements

Other basic criterion Include other basic criterion from the stakeholder consultation workshops. Examples that might be raised during a consultation are: proven technology, good environmental performance, no smoke stack or visible smoke, safe handling of infectious waste, etc.

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SAT Methodology - Scoping

• It is a Comprehensive and Qualitative type (High/Medium/Low) assessment

• Various technology options are assessed against generic or customized criteria and indicators with use of computational methods such as:

– The weighted sum technique

– Sensitivity analysis

– Multi Criteria Decision Making (MCDM): By ‘Expert choice’, a software using Analytical Hierarchy Process (AHP) to carry out MCDM

Operational level assessment – General Scoping Criteria

A. Technical Suitability

Criteria Notes

Preference for locally manufactured technologies Can the equipment be manufactured locally to reduce cost and support local employment

Availability of spare parts and usage of local materials To minimize downtime, consumable items and spare parts should be readily available. If there are no locally manufactured technologies, preference could be given to technologies that make use of locally made accessories, consumable items, and spare parts.

Availability of local expertise It would be essential to have the necessary local expertise for commissioning as well as operation, maintenance and repair of the technology. If local expertise is not available, preference could be given to vendors that are willing to train local operators and technicians to run and maintain the technology.

Compatibility with existing technology or management system

In some cases, it is possible that the new technology system would build upon some existing system. As such, it is essential that the new system is compatible with the existing infrastructure/ technology systems as well as the organization’s management systems.


B. Environment (Resources and Emissions)

Criteria Notes

Air emissions Some technologies, such as steam-based systems, have minimal air emissions while others, such as incinerators, release significant air contaminants that require air pollution abatement.

Liquid effluents Liquid effluents—such as sterile condensate, wastewater with high biological oxygen demand, spent chemical disinfectants, or contaminated effluents from scrubbers—are released in varying amounts and impact the environment differently.

Solid residues Some residues, such as sterilized plastics, have lower health/safety and environmental risks, compared to other residues, such as unshredded needles or incinerator ash.

Volume reduction Higher reduction in volume could mean lower transportation and disposal costs and lower impact on landfill space.

Noise Hammer mills and some shredders may generate unacceptable levels of noise especially if the treatment plant is adjacent to the community.


C. Economic/financial aspects

Criteria Notes

Capital cost of the treatment technology The capital costs should include shipment, customs, installation, start-up, testing, and commissioning costs could vary widely for different technologies. Particularly in developing countries, the capital cost could be an important consideration.

Capital costs of all accessories and related equipment The capital costs of all necessary accessories and related equipment should also be considered. These accessories could include containers, bins, trolleys, weighing scales, conveyors, bin loaders and other waste handling equipment, transport vehicles, boilers, computer controls, shredders, compactors, skips or dumpsters, water treatment systems, air pollution control systems, wastewater treatment systems, etc.

Operation and maintenance costs The main operating costs are labor, fuel (diesel, gas, etc.), electricity, water, consumables (personal protection equipment, disposable boxes and bags, labels, cleaning supplies, etc.), sewage, and landfill disposal costs, as well as preventive maintenance and repair costs including replacement parts.

Installation requirements If installation costs are not included in the capital cost of the technology, they should be estimated based on vendor information, technology fact sheets and expert opinions. Installation includes site preparation, foundation, construction or renovation of the space where the treatment technology will be located


D. Social/cultural aspects

Criteria Notes

Community acceptance of the technology Some technologies are easier to understand than others. For example, where pressure cookers and microwave ovens are common, communities are able to accept autoclave and microwave technologies more readily. Hospital personnel are generally already familiar with autoclaves and incinerators. However, many communities may be opposed to the siting of incinerators in their neighborhoods.

Income generation potential Job potential may be an important consideration in the community. The job potential can be assessed primarily by referring to vendor information, technology fact sheets and expert opinions.

Acceptability of treatment residues The acceptability of residues may depend on religious or cultural norms. Some communities may require that all healthcare waste be rendered unrecognizable. Others may require the burial of body parts and may not accept the burning, sterilizing or chemical decomposition of anatomical waste.

Extent of necessary resettlement of people Technology systems that use a lot of space or that should be sited far away from populations may mean the relocation of people. There may be other important social equity issues related to this criterion.

Visible or aesthetic impact Many communities are opposed to the sight of flue gas stacks and visible smoke.

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SAT Methodology - Detailed Assessment

• The options with best overall ratings from Scoping are

selected for detailed assessment

• The Assessment level is situation specific and

requires detailed and quantitative information.

• The outcome is a list of technology options ranked as

per their scores

Process stability

805.5, 922.5,1008

Level of automation

Estimated useful life

Fuel consumption

Electricity consumption

Savings in energy

Capital investment

O & M costs

Financial incentivesPayback periodNPV / IRR

Secondary contaminantgeneration

PPE requirement for staff

Safety risk for workers and communities

Noise levels

Odour levels

Person-power requirements

Technical knowledge

requirements

25

50

75

100

Technology 1

Technology 2

Technology 3

Composite Star Diagram for Detailed Assessment

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SAT Methodology - Anticipating Future Scenario

In order to check the robustness of

selected technology options, same

methodology with simulated future

scenario’s to be applied so at to confirm

that the technology stands the test of

time.

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SAT Methodology - Preferred Technology Options

Before discarding low scoring options and/or final

decision on selection of technology one must keep in

mind

• Highest score technology option for current scenario

needs to be carefully reviewed for different

scenarios as it may not be equally eligible as

feasible option in other scenarios

• On the other hand, the technology options with less

score may qualify for different scenarios with

suitable technology transfer/capacity building

efforts.

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SAT Methodology - Implementation and Monitoring

Once the decision on Suitable Option is made,

this step covers the following:

• Engineering design

• Tendering

• Actual construction and commissioning

Evaluation of technology during operational phase

ensures meeting of desired objective against

criteria considered in SAT process

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SAT Methodology – Reporting, Monitoring and Feedback

• Reporting the outcome of monitoring and evaluation

to stakeholders, govt. agencies and decision makers

acts as basis for situation analysis for future projects

and helps in making informed decisions

• It helps refine and build the Methodology by -

– Inclusion of additional criteria

– Disqualification of technology in future for similar

situations due to negative experiences.

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THANK YOU

For further information:http://www.unep.org/ietc/

making right choices: a framework for sustainability assessment of technology (sat)

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