unep making right choices: a framework for sustainability assessment of technology (sat) surya...
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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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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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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.
Operational level assessment – General Scoping Criteria
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.
Operational level assessment – General Scoping Criteria
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
Operational level assessment – General Scoping Criteria
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/