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4th International Experts Meeting on Environmentally Sound Technologies Otsu, Japan 4th December 2003


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Title: 4th International Experts Meeting on Environmentally Sound Technologies Otsu, Japan 4th December 2003

4th International Experts Meeting on
Environmentally Sound Technologies Otsu,
Japan 4th December 2003  
  • Objectives of the workshop
  • UNEPs 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
  • 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.

  • 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

  • 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. UNEPs Role
  • Catalyst
  • Facilitator
  • Provides a Platform
  • Offers a Framework
  • Increasing the likelihood that ESTs will be
    adopted and used

Overall Technology Transfer Objectives of
  • 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

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 worlds economy, protect
    the environment, and alleviate poverty and human
  • 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

As stated in Agenda 21,
  • ESTs in the context of pollution areprocess 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
  • 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
  • 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

  • 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
  • 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
  • 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
  • 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
  • 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

Components of the UNEP/IETC EST Consultative
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
  • 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
  • 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
  • Multi criteria analysis and other integrative

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.

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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
  • 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
  • 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
  • Two level approach
  • Global/generic ? Environmentally Sound
    Technology Performance Assessment (ESTPA)
  • Locale/Application specific ? Environmentally-focu
    ssed Technology Assessment (EnTA)

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Requirements for Assessing and Evaluating
Technology Performance
  • Defining the context in relation to
  • Stakeholder involvement and collaboration
  • Defining the boundaries (or scope) of the
  • Monitoring and reporting

  • Technological
  • Cultural values
  • Location
  • Scale
  • Time
  • Dynamics of change

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Stakeholder Engagement Key Elements
  • Determining expectations
  • Defining policies and strategies
  • Building local capacity

Engaging Different Kinds of Stakeholders
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
  • 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
Environmental Technology Assessment (EnTA)
  • Facilitates identification and selection of ESTs
  • Encourages consensus amongst multiple
  • Improves quality of decision making

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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).

  • 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.

  • 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

  • EnTA extends the assessment process to include
    categories of criteria that relate to sustainable
    technologies, rather than being restricted to
  • 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

Other Tools
  • 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
  • Assistance in the development and application of
    test methods and protocols
  • Harmonization where practical

  • 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
  • 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, non-governmental
    organisations, trade and industry, and research
  • 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

  • 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
    partyor agreed upon through stakeholder
  • Testing against performance claims of
  • Testing of performance relative to other
    technologies or benchmarks

  • 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
  • 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
  • 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

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
  • 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
  • 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
  • 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

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
    pre-determined 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

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

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

  • 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 companys 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
  • 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 industry-environmental-investor

WSSD Sector Reports
  • Initiative launched by UNEP/DTIE involving 22 key
  • Supports WSSD
  • Addresses vertical and horizontal issues
  • Provides an account of performance against
    sustainability goals

EST Information Systems
  • maESTro
  • 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
  • Having the core criteria (Version 1.0) will allow
    us to move forward, while continuing to evaluate
    and strengthen them.

Outline Part 2
  1. Challenge
  2. Ideas
  3. Specific needs
  4. Road map
  5. Regional action plan
  6. Top line items
  7. Next steps
  8. 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
  • Build on and augment current initiatives

  • Mainstreaming inclusiveness
  • Ensuring relevance to decision-makers and
  • Usefulness to developing countries
  • Link to sustainability and Sustainability
  • 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
  • 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
  • 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
  • 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
  • Keep it simple
  • Financing lack of information raising
  • Corporate residual liability regulations and
  • 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
  • Country, business, community accords define the
    steps that need to be taken
  • Focus aid and development assistance more
  • Align industrial policies and remove barriers,
    including negative subsidies
  • Focus on partnership benefits

  • (Aus GI)
  • Create a strategic module linked to EnTA (for
  • 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
  • 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
  • Explore transformative funds and ethical
  • Empower change agents to push for higher
  • 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
  • Make info available on technologies and their
  • Database QA/QC
  • Identifying common approaches to performance

  • (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
  • 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
  • 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,
  • Optimize existing processes, technologies and
  • 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

  • Different needs and different levels of
    development throughout the Region need to be
    taken into account
  • Assistance needs to be provided bearing this in
  • 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

  • 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)
Source adapted from Queensland EPA
  • 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
  • Developing strategies to improve performance and
    an implementation plan
  • Engaging drivers to champion internalisation of

  • 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

  • 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
  • Meeting external verification of environmental or
    sustainability performance
  • Leveraging other strategic, innovation or market

  • 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
  • Tools
  • Actions
  • Feedback
  • Continual improvement

Compliance Inventory
Development of ESTs (Supply Side)
Application of ESTs (Demand Side)
Compliance Inventory
  • Know where you are and where you want to be
  • Know where things fit and where are the gaps

  • Apply technology and knowledge through
    partnerships in order to achieve leverage
  • Optimize

  • Solve problems and spin off the solutions to
    other areas
  • Demonstrate results

  • Shape future market realities and be positioned
    to respond

A further simplification
Adapt/ Meet Basic Requirements Leap/ Innovate
based on a 2-pronged approach
  • Work to improve the present situation
  • Simultaneously work towards the creation of a new

5. Action Plan for a Regional Strategy
  • Multiple levels to consider regional, national,
  • Interaction and continuous feedback
  • Leverage and synergy

Regional National
  • Provide
  • Needs Assessment Tools
  • Technology Cooperation Agreements
  • Facilitate
  • Innovation
  • Barrier Removal
  • Cooperation
  • Identify
  • Technology Requirements
  • Barriers
  • Cooperation
  • Harmonise
  • Performance Assessment
  • Guidelines
  • Criteria
  • Benchmarks
  • Implement
  • Evaluation Programmes
  • Verification Programmes
  • Identify Select
  • Appropriate ESTs
  • Exchange
  • Evaluation/Verification Protocols
  • Establish
  • National Data Base on ESTs
  • Establish
  • Regional Data Base on ESTs
  • Provide
  • Decision Support Tools (EnRA, EnTA etc)
  • Capacity Building
  • ESTs
  • Adopt
  • Evaluate
  • Mobilize
  • Financial Resources
  • Facilitate
  • Uptake of ESTs

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 does not have specific tool, but a tool
  • 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
  • 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 does not have specific tool, but a tool is
  • 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
  • Clearinghouse function with ESCAP and ASEAN

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/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
  • 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
  • Financial Institutions Initiative (run by
  • GEF mechanism for specific application areas
  • SANET supporting broader initiatives, including
  • 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
  • Address upstream opportunities
  • Examine similar and related initiatives e.g.
  • Dutch initiative (see green innovation web site
  • University based industrial transformation
  • Japanese innovation initiative
  • WBCSD innovative technology sustainability
  • Promote a dialogue amongst leaders (perhaps via
    Global Innovation Strategy)
  • 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
  • Examine similar and related initiatives e.g.
  • Dutch initiative (see green innovation web site
  • University based industrial transformation
  • Facilitate demonstration projects
  • 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
  • How
  • Work with local governments
  • Facilitate partnerships with the private sector
  • Develop a good communications plan for this
  • Promote good governance
  • 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
  • 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,
  • utilization of criteria, guidelines, protocols
    and tools for the identification and uptake of
  • establishment of effective regulatory/ incentive
  • communication and awareness
  • Strengthen key pathways and mechanisms for EST
  • 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
  • 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
  • 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
  • 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
  • IETC intranet site in place to facilitate ongoing

  • 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
  • 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
  • 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
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