1 Making Right Choices: A Framework for Sustainability Assessment of Technology (SAT) Surya Prakash CHANDAKSenior Programme OfficerUnited Nations Environment ProgrammeDivision of Technology, Industry and EconomicsInternational Environmental Technology Centre(UNEP DTIE IETC)
2 Structure of Presentation About SAT MethodologyKey Characteristics of SAT methodologyUse of SATKey elementsMethodology / Decision making process of SAT
3 Why integrate ‘Sustainable Development’ in Technology Assessment? Technology plays an important role in DevelopmentThe dominant system of decision making in technology selection, focuses on economic considerations and tends to disassociate social and environmental factorsA fragmented approach in making technology choices has implications on efficiency and sustainability of technologyIntegration of Economic, Social and Environmental considerations ensures Resource (Economic and Environmental) Efficiency and Social Acceptability
4 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
5 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 levelIt is a quantitative procedure allowing objective assessment, sensitivity analyses and incorporation of scenariosIt incorporates Continuous improvement through Plan-Do-Check-Act (PDCA) cycleIt is not an automated process thereby making country specific adaptation possible
6 Use of SAT Policy and Government Level Financing Institution Level For Strategic Planning and Policy makingFinancing Institution LevelFor Assessing projects for fundingOperational LevelFor assessment of alternative technologiesCommunity and Cluster LevelFor assessment and comparison of collective alternative technologiesCommunity / Enterprise LevelFor comparing technology options
7 Application of SAT The application areas include: Environment and health related programsProvision of basic infrastructure such as roads, power, water etc.Bio-diversity managementEnd-of pipe water and waste management technologiesWater and waste recycling programsProcess technology modernization at shop floors and at industrial clusters
8 SAT Methodology Issues to be addressed / Problems to be solved ScreeningDefine targetsIssues to be addressed /Problems to be solvedStrategic Level AssessmentPreferred Technology OptionsOperational Level AssessmentDetailed engineering design & costingMonitoring / Performance EvaluationScopingDetailed AssessmentCustomized Criteria and Indicators considering environmental, social and economic considerationsImplementationSituational AnalysisAnticipating FutureScenarios
9 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 wasteImproper healthcare waste management practices pose a risk to the health and safety of health workers, waste collectors and patients in the health facilityPoor 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 facilityInadequate waste management practices are putting a strain on the solid waste management system and undermine the potential for material recovery and recycling.
11 SAT Methodology – Situation Analysis Situation Analysis and Defining TargetsThe Situation Analysis includes:Baseline data collectionStakeholder consultationMapping and analysesThese two Steps help to identify issues, assess their significance and leads to setting of targets that should be addressed by proper technology intervention.Situational AnalysisDefine targets
12 SAT Methodology – Strategic Level Assessment This is done by planners, decision–makers, elected representatives through participatory sessionsThe outcomes are important as itHelps to develop customized criteria and indicators for operational level from generic level.Facilitates short-listing and identification of suitable optionsProvides leads to future scenario building (e.g. population growth, tighten legal requirement) there by putting more light on technology choice.
13 Examples of issues and targets at strategic level All health facilities in the area do not have a way to treat their infectious wasteImplementation 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 wasteLong distances and poor roads between districts preclude one central treatment facility for the provinceDesignation of a cluster treatment hub in each district and deployment of technology at each hubHealth facilities are remotely located and too far from each otherImplementation of a decentralized treatment scheme with a technology appropriately sized for each facilityThe health facility plans to expand the number of beds, types of services, and its area of coverage in the futureDeployment of technology that is modular and can be easily scaled upStrong public opposition to open burning and air pollutionDeployment of technology with little or no air emissionsInadequate space in the landfillUse of technology that results in significant volume reduction; expansion of existing recycling infrastructureLack of information and training in healthcare waste management among health workersDevelopment of training programs as part of facility accreditation and/or professional licensing
14 SAT Methodology – Operational Level Assessment Engineers and technical staff assess the available technology optionsIn community or enterprise level, operational level assessment can be the first step.The level of expert opinion and technical information is very important.
15 SAT Methodology - Three -Tier Assessment Customized Criteria and Indicators considering environmental, social and economic considerationsScreeningScopingDetailed Assessment
16 SAT Methodology - Screening In this Step:The short listed systems from Operational level Assessment, undergoes objective YES/NO type answersOptions which do not qualify one or more conditions, are eliminated.
17 Operational level assessment - Generic Screening Criteria HeadingCriteriaNotesComplianceCompliance with local environmental lawsThe technology must comply with environmental laws of the city, municipality, district and/or province, such as air pollution or landfill regulations.Compliance with national environmental lawsThe 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 with multilateral environmental agreementsMany 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 requirementsConsistency with WHO policiesMany countries have adopted the World Health Organization’s policy on “Safe health-care waste management” (2004)Meeting the objectives of 3R programsMany local governments promote reduce-reuse-recycling programs. The technology should meet the objectives of these local environmental programs.Other basic criterionInclude 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.
18 SAT Methodology - Scoping It is a Comprehensive and Qualitative type (High/Medium/Low) assessmentVarious technology options are assessed against generic or customized criteria and indicators with use of computational methods such as:The weighted sum techniqueSensitivity analysisMulti Criteria Decision Making (MCDM): By ‘Expert choice’, a software using Analytical Hierarchy Process (AHP) to carry out MCDM
19 Operational level assessment – General Scoping Criteria A. Technical SuitabilityCriteriaNotesPreference for locally manufactured technologiesCan the equipment be manufactured locally to reduce cost and support local employmentAvailability of spare parts and usage of local materialsTo 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 expertiseIt 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 systemIn 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.
20 Operational level assessment – General Scoping Criteria B. Environment (Resources and Emissions)CriteriaNotesAir emissionsSome 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 effluentsLiquid 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 residuesSome residues, such as sterilized plastics, have lower health/safety and environmental risks, compared to other residues, such as unshredded needles or incinerator ash.Volume reductionHigher reduction in volume could mean lower transportation and disposal costs and lower impact on landfill space.NoiseHammer mills and some shredders may generate unacceptable levels of noise especially if the treatment plant is adjacent to the community.
21 Operational level assessment – General Scoping Criteria C. Economic/financial aspectsCriteriaNotesCapital cost of the treatment technologyThe 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 equipmentThe 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 costsThe 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 requirementsIf 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
22 Operational level assessment – General Scoping Criteria D. Social/cultural aspectsCriteriaNotesCommunity acceptance of the technologySome 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 potentialJob 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 residuesThe 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 peopleTechnology 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 impactMany communities are opposed to the sight of flue gas stacks and visible smoke.
24 SAT Methodology - Detailed Assessment The options with best overall ratings from Scoping are selected for detailed assessmentThe Assessment level is situation specific and requires detailed and quantitative information.The outcome is a list of technology options ranked as per their scores
25 Composite Star Diagram for Detailed Assessment Technology 1Technology 2Technology 3Technical knowledge requirementsProcess stabilityLevel of automationPerson-power requirementsEstimated useful lifeOdour levelsFuel consumptionNoise levels805.5, 922.5,1008Safety risk for workers and communitiesElectricity consumptionPPE requirementfor staffSavings in energy2550Capital investment75Secondary contaminantgenerationO & M costs100Payback periodFinancial incentivesNPV / IRR
26 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.
27 SAT Methodology - Preferred Technology Options Before discarding low scoring options and/or final decision on selection of technology one must keep in mindHighest 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 scenariosOn the other hand, the technology options with less score may qualify for different scenarios with suitable technology transfer/capacity building efforts.
28 SAT Methodology - Implementation and Monitoring Once the decision on Suitable Option is made, this step covers the following:Engineering designTenderingActual construction and commissioningEvaluation of technology during operational phase ensures meeting of desired objective against criteria considered in SAT process
29 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 decisionsIt helps refine and build the Methodology by -Inclusion of additional criteriaDisqualification of technology in future for similar situations due to negative experiences.
30 THANK YOU For further information: http://www.unep.org/ietc/