Assaf Report (2014)

Science and Technology
Department:
REPUBLIC OF SOUTH AFRICA
The State of
Green Technologies in
South Africa
November 2014

© Academy of Science of South Africa
ISBN: 978-0-9922286-6-8
November 2014
Published by:
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country in the international community of science academies and elsewhere.

THE STATE OF
GREEN TECHNOLOGIES
IN SOUTH AFRICA
NOVEMBER 2014

3
The State of Green Technologies in South Africa
• LIST OF FIGURES 10
• LIST OF TABLES 12
• LIST OF ACRONYMS 13
• PREFIXES, UNITS AND GASES 16
• FOREWORD 17
• ACKNOWLEDGEMENTS 18
• EXECUTIVE SUMMARY 19
1 INTRODUCTION 29
1.1 Background to the Study 29
1.2 Approach and Methodology 30
1.3 Global and National Context for Growth in Green Technologies 30
1.4 Green Economy and Green Technologies Relationship 31
1.5 Definition of Green Technologies 32
1.6 Scope of Green Technologies 33
2 GREEN TECHNOLOGIES LANDSCAPE:
NEEDS AND PRIORITIES 35
2.1 Introduction 35
2.2 Greenhouse Gas Emissions 35
2.3 South Africa’s Technology Needs Assessment 35
2.4 McKinsey Cost Curve to Prioritising Green Technologies 37
2.5 Technology Readiness Level 38
2.6 Job Creation Potential 41
2.7 Concluding Remarks 44
Table of Contents page

4
3 NATIONAL LEGAL AND POLICY CONTEXT IN
SOUTH AFRICA 47
3.1 Introduction 47
3.2 Overview of National Policies driving Implementation of Green
Technologies 48
3.2.1 The National Framework for Sustainable Development and the
National Strategy for Sustainable Development 48
3.2.2 Medium-term Strategic Framework 48
3.2.3 Framework for South Africa’s Response to the International
Economic Crisis 49
3.2.4 New Growth Path 49
3.2.5 Support Programme for Industrial Innovation 49
3.2.6 Industrial Policy Action Plans 50
3.2.7 National Development Plan 50
3.2.8 Green Economy Accord 51
3.2.9 South Africa’s Green Economy Summit 51
3.2.10 National Climate Change Response Policy 51
3.2.11 National Skills Development Strategy 52
3.3 Sector-based National Policies driving Green Technologies 53
3.3.1 Energy 53
3.3.2 Water 59
3.3.3 Waste 59
3.3.4 Buildings 60
3.3.5 Information and Communication 61

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4 INTERNATIONAL PERSPECTIVES ON GREEN
TECHNOLOGY DRIVERS 63
4.1 Introduction 63
4.2 Global Trends in Green Technology 63
4.2.1 Green Energy Technologies 64
4.2.2 Global Trends in Green Technologies in Water and Sanitation 68
4.2.3 Global Trends in Green Technologies in Waste 71
4.3 Learning from International Experience 73
4.4 Successful National Approaches to Green Technology 75
4.5 Conclusions 76
5 STATE OF GREEN TECHNOLOGIES IN SOUTH AFRICA 79
5.1 Introduction 79
5.2 Green Technologies in Energy 79
5.2.1 Introduction 79
5.2.2 Energy Efficiency 79
5.2.3 Renewable Energy Resources and Implementation 82
5.2.4 Clean Coal Technologies 85
5.3 Green Technologies in Water 89
5.3.2 Applications of Green Technologies in the Water Sector 89
5.3.3 Concluding Remarks 92
5.4 Green Technologies in Waste 92
5.4.2 Global Trends in Waste Technology 94
5.4.3 Local Trends in Waste Technology 96
5.4.4 Technology Opportunities for South Africa 98
5.4.5 Barriers to Local Technology Uptake in the Waste Sector 100
5.5 Green Technologies in Sanitation 100
5.5.2 The Case for Green Sanitation 101

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5.6 Green Technologies in the Industrial Sector 103
5.6.2 Implementation of Green Technologies 103
5.6.3 Future Developments in Green Manufacturing 105
5.6.4 Future Developments in Green Chemistry 105
5.7 Green Technologies in the Mining Sector 106
5.7.2 Green Mining 107
5.7.3 International Perspectives: The Case of Canada 108
5.7.4 The Mining Sector and Rare Earth Elements in South Africa 109
5.8 Green Technologies in the Agricultural Sector 111
5.8.2 Barriers that hinder Green Initiatives in the Agricultural Sector 114
5.9 Green Technologies in the Information and Communications 115
Technology Sector
5.10 Green Technologies in the Health Sector 117
5.11 Green Technologies in the Transport Sector 117
5.11.2 Technologies for Green Transportation 118
5.11.3 Stimulating Uptake of Green Technologies in the Transport Sector 120
5.11.4 Potential Barriers to Uptake of Green Technologies 122
5.12 Green Technologies in the Building Sector 122
5.12.2 Uptake of Green Technologies in the Building Sector in
South Africa 123
5.12.3 Barriers and Opportunities in South Africa 126
5.13 Emerging Green Technologies 128

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6 IMPLEMENTATION OF GREEN TECHNOLOGIES IN
SOUTH AFRICA: DRIVERS, BARRIERS AND SOLUTIONS 131
6.1 Introduction 131
6.2 Instruments to Support the Development and Implementation of
Green Technologies 131
6.2.1 Policy and Regulatory Instruments 132
6.2.2 Economic Instruments 132
6.2.3 Research and Education Instruments 134
6.2.4 Co-operation Instruments 134
6.2.5 Information Instruments 135
6.3 Barriers to Development and Implementation of Green Technologies 135
6.3.1 Institutional Challenges 135
6.3.2 Government Bureaucracy 136
6.3.3 Skills Shortages 137
6.3.4 Intellectual Property Rights Barriers 137
6.3.5 Poor Track Record in Technology Transfer 138
6.3.6 Financial Barriers 139
6.3.7 Lack of Market Information 139
6.4 Overcoming Barriers: Roles of Government and the Private Sector 139
7 GREEN TECHNOLOGIES AND THE BUSINESS SECTOR 143
7.2 Global and Local Trends in Green Technologies in the Business Sector 143
7.3 Drivers of Green Technology from a Business Perspective 145
7.4 Defining the Role of Business in Green Technologies 146
7.5 Opportunities, Barriers and Trade-offs in Green Technologies 152
7.5.1 Opportunities 152
7.5.2 Barriers 155
7.5.3 Trade-offs 158
7.6 Framework for Implementation 158

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8 SOCIAL AND BEHAVIOURAL ASPECTS OF IMPLEMENTING
GREEN TECHNOLOGIES 165
8.2 Models of Technology Adoption 166
8.3 Previous Technology Adoption Research addressing Green Technologies 166
9 TOWARDS AN EVALUATION FRAMEWORK FOR THE
IMPLEMENTATION OF GREEN TECHNOLOGIES IN
SOUTH AFRICA 173
9.2 Developing an Evaluation Framework: Principles, Criteria & Indicators 174
9.2.1 Principles of Green Technology Implementation in South Africa 175
9.2.2 Green Technology Criteria 176
9.2.3 Developing a Set of Indicators to Evaluate Green Technology
Implementation 178
10 CONCLUSIONS AND RECOMMENDATIONS 181
10.1 Summary of Findings 181
10.2 Recommendations 185

9
REFERENCES 191
APPENDICES 217
Appendix 1: Biographies of Panel Members 217
Appendix 2: Biographies of Reviewers 220
Appendix 3: International Case Studies in Detail 221
1. Germany as a Case Study of Green Growth 221
2. South Korea as a Case Study of Green Growth 226
Appendix 4: R&D Priorities for PV Systems 232
Appendix 5: Models of Technology Adoption 233
1. Innovation Diffusion Theory 233
2. Technology Acceptance Models 233
3. Unified Theory of Acceptance and Use of Technology 235
4. Affective and Persuasive Design 235
5. Other Personal and Psychological Influences 236

10
LIST OF FIGURES
Figure 2.1: Global GHG abatement cost curve beyond business
as usual – 2030 37
Figure 4.1: Government energy RD&D expenditure in IEA member
countries (IEA, 2013) 64
Figure 4.2: Patent applications at the Patent Co-operation Treaty,
2008 (OECD, 2011a) 65
Figure 4.3: Annual growth rate of low-carbon technology
patenting (IEA, 2013) 65
Figure 4.4: Renewable consumption and renewable share of power
generation by region (BP, 2013) 66
Figure 4.5: Energy intensity trends by region, 1980 – 2010 (IEA, 2012b) 67
Figure 4.6: Trends in drinking water coverage, 1990 – 2011
(WHO and UNICEF, 2013) 68
Figure 4.7: Trends in sanitation coverage, 1990 – 2011
(WHO and UNICEF, 2013) 69
Figure 4.8: Patent applications of water pollution abatement
filed under the PCT (OECD, 2013a) 70
Figure 4.9: Global fresh water abstraction, population and GDP,
1997 – 2012 (World Bank, 2013) 71
Figure 4.10: Patent application of waste management filed
under the PCT (OECD, 2013a) 72
Figure 4.11: The World Bank’s investments in municipal solid waste
management (UNEP, 2011) 72
Figure 4.12: Relationship between private consumption and waste in
the OECD (OECD, 2008) 73
Figure 5.1: Waste hierarchy 93
Figure 5.2: Mix in waste management technologies within the EU
member states (2010) and South Africa (2011)
(EuroStat, 2013; DEAT, 2012) 94
Figure 5.3: Technology solutions in the private and public waste
sector in South Africa (DST, 2013) 97
Figure 5.4: Patent keyword search results. 97
Figure 5.5: Introduction of innovation within the private and public
waste sectors (DST, 2013) 98
Figure 5.6: Origin of waste innovation within the private and public
waste sectors (DST, 2013) 98

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Figure 5.7: CO2
emissions by sector for South Africa based on 2011
data (IEA, 2013) 118
Figure 6.1: Flows of hardware and knowledge in the technology transfer
process and their contribution to different types of new
capacity (African Development Report, 2012a) 138
Figure 7.1: Cleantech venture capital investment in green
technologies 2008 – 2013 (billion €) (Cleantech Group and
WWF, 2014) 144
Figure 7.2: Stages in the technology innovation lifecycle (IEA, 2008) 147
Figure 7.3: The roles of business in various stages of the technology
development and deployment life cycle (adapted from
Cleantech Group and WWF, 2012) 148
Figure 7.4: Categories of green technology projects according to
level of technological maturity and policy signals 159
Figure A.1: South Korean GHG emissions, excluding land-use
change & forestry. Data from the CAIT 2.0 beta tool,
World Resources Institute 227
Figure A.2: Musa’s extension of the Technology Acceptance
Model (Musa, 2006; p. 217) 234

12
LIST OF TABLES
Table 1.1: Composition of the study panel 30
Table 2.1: Key sectors and associated prioritised technologies
(after DST, 2007a) 36
Table 2.2: Definition of technology readiness levels
(adapted after CAETS, 2013) 39
Table 2.3: Technology ranking for green technologies in the energy
sector (CAETS, 2013) 40
Table 2.4: Direct green job creation potential in the long term
(25 years) in various categories (after Maia et al., 2011) 42
Table 3.1: Strategic priorities of the National Strategy for Sustainable
Development Action Plan(DEAT, 2011a) 48
Table 3.2: Analysis of REIPPPP allocations and planned allocations 56
Table 5.1: Key green technology applications for rare earth elements
(Jepson, 2012) 110
Table 5.2: Examples of Green ICT business functions (adapted from
Vodafone and Accenture, 2009 and WEF, 2009) 116
Table 5.3: Green technologies in the transport sector 119
Table 5.4: List of ‘no implementation constraints’ programmes (DPD, 2011) 121
Table 5.5: Status of green building technologies in South Africa 124
Table 6.1: Responsibilities of national government departments with
respect to green issues (after Montmasson-Clair, 2012) 136
Table 7.1: Payback periods of South African CDP responders for
emission reduction initiatives (CDP, 2013) 152
Table 7.2: Barriers to green technology uptake in business 155
Table 7.3: Commitments from business and government that would
promote green technology growth in South Africa 161
Table 8.1: Summary of important characteristics to consider 170
Table 9.1: Principles of green technology implementation in South Africa 175
Table 9.2: Green technology principles and their associated criteria 177
Table A.1: Green New Deal sectoral breakdown 228
Table A.2: Core green technologies (UNEP, 2010a) 230

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LIST OF ACRONYMS
AMD Acid mine drainage
ARC Agricultural Research Council
ASSAf Academy of Science of South Africa
BAU Business as usual
BMU Ministry of the Federal Republic of Germany (German: Bundesministerium
für Umwelt, Naturschutz und Reaktorsicherheit)
BMW Bayerische Motoren Werke
BP British Petroleum
BRICS Brazil, Russia, India, China, South Africa
CAIA Chemical and Allied Industries’ Association
CC Carbon capture
CCS Carbon capture and storage
CDM Clean development mechanism
CDP Carbon disclosure project
CEO Chief executive officer
CIC Climate Innovation Centre
COP Conference of the Parties
CPV Concentrator photovoltaic
CSIR Council for Scientific and Industrial Research
CSP Concentrated solar power
DAFF Department of Agriculture, Forestry and Fisheries
DBSA Development Bank of Southern Africa
DEAT Department of Environmental Affairs and Tourism
DME Department of Minerals and Energy
DMR Department of Mineral Resources
DoE Department of Energy
DST Department of Science and Technology
the dti Department of Trade and Industry
DWAF Department of Water Affairs and Forestry
EDD Economic Development Department
EE Energy efficiency
EEDSM Energy efficiency and demand-side management
EfW Energy-from-waste
ETS Emissions Trading Scheme
EU European Union
FIT Feed-in tariff
GDP Gross domestic product
GE Genetic engineering

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GHG Greenhouse gas
GMO Genetically modified organism
IBT Innovative building technology
ICSU International Council for Science
ICT Information and communications technology
IDC Industrial Development Corporation
IDM Integrated Demand Management
IEA International Energy Agency
IGCC Integrated gasification combined cycle
IPAP Industrial Policy Action Plan
IPCC Intergovernmental Panel on Climate Change
IPM Integrated pest management
IPP Independent power producer
IPR Intellectual property rights
IRP Integrated Resource Plan
ISMO Independent System and Market Operator
IWA International Water Association
M&E Monitoring and evaluation
MFMA Municipal Finance Management Act
MTSF The Medium-term Strategic Framework
NBI National Business Initiative
NCCRP National Climate Change Response Policy
NDP National Development Plan
NEES National Energy Efficiency Strategy
NEDLAC National Economic Development and Labour Council
NEM:WA National Environmental Management: Waste Act
NEPAD New Partnership for Africa’s Development
NERSA National Energy Regulator of South Africa
NFSD National Framework for Sustainable Development
NGP New Growth Path
NPC National Planning Commission
NRCS National Regulator for Compulsory Specification
NRF National Research Foundation
NSDS National Skills Development Strategy
NSI National System of Innovation
NSSD National Strategy for Sustainable Development
NWA National Water Act
NWRS National Water Resource Strategy
OECD Organisation for Economic Co-operation and Development
PCGG Presidential Commission on Green Growth
PC&Is Principles, Criteria & Indicators
PCT Patent Co-operation Treaty
PESTLE Political, economic, sociological, technological, legal & environmental
PGMs Platinum group metals
PPA Power purchase agreement
PV Photovoltaic

15
R&D Research and development
RD&D Research, development and demonstration
REBID Renewable energy bids
REE Rare earth element
REFIT Renewable Energy Feed-in Tariff
REIPPPP Renewable Energy Independent Power Producer Procurement
Programme
RSA Republic of South Africa
RWH Rainwater harvesting
SABS South African Bureau of Standards
SADC Southern African Development Community
SANEDI South African National Energy Development Institute
SARi South African Renewable Initiative
SBU Strategic business unit
SFM Sustainable forest management
SMEs Small and medium enterprises
SOAAN Sustainable Organic Agriculture Action Network
SPII Support Programme for Industrial Innovation
SWH Solar water heating
TAM Technology Acceptance Model
TIPP The Innovation Policy Platform
TMS Target Management System
TRL Technology readiness level
UK United Kingdom
UN United Nations
UNCTAD United Nations Conference on Trade and Development
UNEP United Nations Environment Programme
UNESCAP United Nations Economic and Social Commission for Asia and the Pacific
UNFCCC United Nations Framework Convention on Climate Change
UNGC United Nations Global Compact
UNICEF United Nations Children’s Fund
USA United States of America
UTAUT Unified Theory of Acceptance and Use of Technology
WHO World Health Organisation
WIPO World Intellectual Property Organisation
WRC Water Research Commission
WWF World Wildlife Fund

16
PREFIXES, UNITS AND GASES
Gases (units of measurement)
Prefix Symbol Power
Kilo K 103
Mega M 106
Giga G 109
Tera T 1012
Units of measurements
Unit Definition
h hour
t ton
W Watt

Gases
Unit
CO2
Carbon dioxide
CO2
e Carbon dioxide equivalent
NOx Nitrogen oxides
SOx Sulphur oxides
Currency
Unit
R Rand
$ United States Dollar
€ Euro
DM Deutschmark (West Germany: 1948 –1990)
KRW South Korea won

17
FOREWORD
The Academy of Science of South Africa (ASSAf) is mandated to provide evidence-based
science advice to government on matters of critical national importance. Transitioning
to a green economy is one of the key imperatives of government, as highlighted in the
National Development Plan (NDP). The implementation of green technologies is an
integral part of the green economy, making this study on the State of Green Technologies
in South Africa both timely and important.
The study has followed the traditional Academy consensus study methodology, in which
a panel of experts, guided by the panel chair, undertakes the study. The advantage of
this multi-perspective approach based on volunteerism is that it is free of partisan interest.
As a result, the findings and recommendations are the best considered outcomes in the
circumstances.
This report marks the ninth consensus study report that ASSAf has produced. It
provides valuable information about policies that support the implementation of
green technologies; valuable learning points from other countries; the state of green
technologies in South Africa across a wide range of sectors; the drivers of and barriers
to the implementation of green technologies; and finally, a set of recommendations
that should be useful to policymakers charged with increasing the implementation and
uptake of green technologies in South Africa. While the report was commissioned by
the Department of Science and Technology, it will be useful to many other government
departments, as well as be of value to the private sector.
The members of the study panel and the authors of the report, as well as the staff of the
Academy, are acknowledged for the valuable work that they have done and for the
care and attention with which they carried out their task.
Professor Daya Reddy
President: Academy of Science of South Africa

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ACKNOWLEDGEMENTS
This study was a collaborative effort involving many dedicated people. I want to thank
the following people and organisations for ensuring the success of the study:
• The Academy of Science of South Africa (ASSAf), the President of ASSAf, Prof
Daya Reddy and the Council for their ongoing support throughout the project.
• The Department of Science and Technology (DST) for commissioning and funding
the project, and DST officials, Dr Henry Roman and Ms Magamase Mange for their
guidance and support.
• The members of the consensus study panel for their commitment, valuable
discussions and contributions to the report.
• Participants in the workshop held in September 2013 for their contributions and
discussion, which added great value to the report.
• The many contributors who assisted by writing or editing sections of the report.
They include: Prof Raymond Auerbach, Prof Alan Brent, Dr Luthando Dziba, Prof
Rosemary Falcon, Dr Tamlynn Fleetwood, Ms Ioanna Ketsopoulou, Prof Phillip
Lloyd, Dr Tonderayi Matambo, Dr Martin Mgangira, the National Business Initiative
(NBI), Ms Zarina Moolla, Prof Andrew Thatcher, Mr Llewellyn van Wyk, Dr Xinxin
Wang and Prof Xiaohua Xia.
• The peer reviewers who gave valuable input that led to the improvement of the
report.
• The copy editor, Ms Patricia Scholtz, and Fishwicks – Print Beyond Limits for
attention to detail and the production of the report.
• The staff of the Academy, in particular, Prof Roseanne Diab, Ms Henriette
Wagener, Ms Nadia Weitz and Mr Ian Shendelana, for their contribution and
support throughout the project.
Prof Eugene Cloete
Chair of the Panel

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EXECUTIVE SUMMARY
One of the key drivers for an increasing focus on green technologies is climate change,
although other concerns, such as the global energy and financial crises, resource
depletion and environmental degradation have strengthened interest in green
technologies. Further, it is recognised that there can be no transition to a green economy
without green technologies and technological innovation.
The overall aim of this study is to document green technologies currently being utilised in
South Africa, to identify gaps and opportunities for the utilisation of these technologies
and to make recommendations to promote the growth of green technologies. The key
questions are as follows:
• What are the green technologies currently available and in use in South Africa
and how does South Africa compare globally in terms of the uptake of green
technologies?
• What are the political, economic, sociological, technological, legal &
environmental (PESTLE) factors that influence and impact on the implementation
of green technologies in the South African context?
• In which sectors/areas are there gaps in the availability and/or implementation of
technologies and potential for future growth?
• How best can new technologies be identified for transfer to South Africa and how
should this be done to ensure that skills transfer is included?
• Are there opportunities for new innovative green technologies that can be
implemented sustainably?
• Is there a set of indicators that can be used to measure successful
implementation of green technologies?
• What is needed to promote and increase the use and development of local
green technologies in South Africa?
• What recommendations are there for policies that would assist in promoting
efficient and sustainable green technologies in South Africa?
A broad definition of green technologies is favoured, with the term embracing products,
services and procedures that are used in green production and consumption processes.
Green technologies have as their goals, inter alia, to minimise damage to the environment,
conserve the use of energy and natural resources and, in the South African context
where green technologies form an integral part of the green economy, an additional
socio-economic goal that addresses job creation is considered vital.
The approach adopted in this study to assess the state of green technologies in South
Africa is an Academy consensus study methodology, in which a panel of experts
appointed by the ASSAf Council undertakes the task. The panel received evidence from
a variety of sources and organisations and also commissioned research.

20
A public workshop entitled Green Technologies: Drivers, Barriers and Gatekeepers was
also used as a forum to gather information. The panel compiled the report and through
consensus agreed on the findings and recommendations. The report is peer reviewed
and then considered by the ASSAf Council, which approves the report for publication
and dissemination.
There are many factors that influence the deployment of green technologies in a country.
These may include, inter alia, cost, geographic availability, technological readiness, job
creation potential, availability of skills and government policy.
Chapter 2 addresses the critical question of how a country should prioritise green
technologies, outlining various approaches. The greenhouse gas (GHG) inventory points
to the energy sector as the prime contributor to GHG emissions, making this sector a
key sector for interventions. A Technology Needs Assessment survey undertaken for
the Department of Science and technology (DST) prioritises solar power and waste
management under mitigation responses and the provision of water supply and sanitation
under the adaptation responses. The McKinsey cost curve approach, which takes into
account cost and potential to reduce GHGs, concludes that energy efficiency, the
introduction of renewable energy, carbon capture and storage (CCS) and biofuels,
offer the greatest opportunities. Technology readiness adds a further dimension and
shows that of the renewable energy technologies, such as wind and solar, wind is more
mature, with a technology readiness level (TRL) of 9. Solar thermal has a TRL of 6 – 8 and
solar PV is some way behind with a value of 3 – 4. First generation biofuels also have a
TRL of 9, with second generation biofuels scoring 5. Based on job creation potential,
the natural resource management sector emerges as the most favourable, followed by
energy generation, although it is cautioned against using employment potential as a
single criterion as there are broader environmental, particularly climate change, benefits
to be gained from activities in the other sectors. A further consideration is the number
of manufacturing jobs created, with natural resource management creating none and
energy generation the most at approximately 23 000.
Chapter 3 of the report focuses on the national policy context in South Africa. The
growth and dissemination of green technologies is strengthened by a favourable policy
environment. Policies can provide justification for the introduction of green technologies
(e.g. climate change policies aimed at mitigating GHGs); promote innovation; provide
incentives; alleviate barriers to implementation of green technologies; and through
investment in research, foster an environment conducive to innovation and human
capital development. Policies also help to guide the nature of and pace at which
investment in green technologies occurs.
South Africa is regarded as having a favourable policy environment when it comes to
green technologies. A chronological account of relevant national policies is given, with
the point of departure being the broad, overarching National Framework on Sustainable
Development. There are a large number of overarching and sector-based policies
that refer either directly or indirectly to green technologies. It was also noted that while
favourable policies are a necessary driver for success in green technology development
and implementation, they are not a sufficient condition. Green technology programmes
require a balanced mix of technical, financial and legal professional service providers,
innovative funding and interdepartmental leadership, and project championship to be
successful.

21
The need for this balance is very relevant for the South African situation, where there
tends to be an over-emphasis on creating a favourable policy environment, with some
neglect of other important factors.
Chapter 4 provides an international context for the analysis of the current status of, and
future priorities for, green technologies in South Africa. It starts by summarising global
trends in green technologies in the energy, water, sanitation and waste sectors. The
chapter draws on some of the available indicators of green innovation and its impacts
and then sets out some considerations for countries that are seeking to learn lessons from
international experience. This focuses on technology and industry-focused ‘catching
up’ strategies that have been pursued by some developing countries, and the role of
technological capabilities and policy frameworks in these strategies.
Case studies of two countries that have had particularly strong ‘green growth’ strategies,
viz. Germany and South Korea, are presented. Whilst the energy sector has been central
to green growth strategies in both countries, there are some differences in the way green
technologies are conceptualised. The differences are particularly apparent in the field of
nuclear power. In South Korea,the development and deployment of nuclear power is part
of the national green growth agenda and is prioritised in the country’s R&D strategy. On
the other hand, in Germany, the planned nuclear phase-out combined with challenging
national emissions reduction targets have shifted the focus to renewable energy.
Despite these differences, a common feature between the two countries is that green
growth is seen as a way to develop their economy and enable a transition to a new
economic model. In addition to supporting green technology diffusion in their domestic
markets, a focus on exports and achieving world leader status is considered key to long-
term economic growth.
The framework used in this report to assess the state of green technologies is sector-
based.
Chapter 5 provides an overview of the state of green technologies in energy, water,
waste and sanitation in South Africa, as well as green technologies in sectors such as
industry, mining, agriculture, information and communication technology (ICT), health,
transport and buildings.
There is a strong emphasis on green technologies in the energy sector, as transformation
in this sector is central to decoupling economic growth from negative ecological
impacts and excessive resource use and shifting to a low-carbon growth path. In sectors
other than energy, there has been limited progress in implementing green technologies,
with the general conclusion that South Africa’s record in terms of the uptake of green
technologies is below average. This is borne out by global ranking data. According to
the CleanTech Group and WWF Global Cleantech Innovation Index 2012, South Africa is
ranked 28 out of 38 countries and is below the ranking of other BRICS (Brazil, Russia, India,
China and South Africa) countries (e.g. Brazil (25th
), India (12th
) and China (13th
)). South
Africa has average scores for general innovation drivers, such as enabling institutions
and infrastructures and commercialised cleantech innovation, but performs poorly on
cleantech-specific innovation drivers and emerging cleantech innovation. The same
report showed that while South Africa raised an average amount of green technology-
related funds, the country has limited green technology friendly government policies
(contrary to conclusions drawn in this study), and local investors.

22
South Africa also performed poorly in terms of venture capital investments in green
technologies and the number of environmental patents attributable to South African
institutions. South Africa is one of the most carbon-intensive economies globally, and
national government has committed strongly to transitioning to a green economy and
being a clean technology leader. However, like many developing countries, South
Africa has been slow to develop and adopt green technologies despite much enabling
legislation. The implicit assumption embedded in these policy documents is that the
systems, such as financial, infrastructural, resources and skills, required to be a technology
leader are in place and work efficiently in all respects, however, in many instances this is
not the case.
Energy: Particular focus areas included energy efficient technologies, renewable energy
technologies, as well as technologies aimed at reducing the environmental impacts of
coal. South Africa has been slow to introduce renewable energy technologies, but the
recent improved progress in this regard was noted. Given South Africa’s high dependency
on coal, clean coal technologies must continue to receive attention. Energy efficient
technologies received relatively early attention and major investments have been made
in both the public and private sectors.
The priority areas for South Africa from a renewable energy perspective, given the policy
direction, are those of solar, wind and bioenergy resources. Hydropower potential is
limited due to the small number of rivers suitable for generating hydroelectricity and
current and projected water limitations in the country.
The country has amongst the best solar energy resources in the world – abundant
sunshine, together with low precipitation and vast tracts of unused flat land. To date,
very little has been exploited. Currently, concentrated solar power (CSP) is expensive
compared with fossil fuel-based plants and will need a variety of incentives to make it
cost-effective. However, South Africa could position itself as a leading global player in
CSP in the future. To date, two large 100 MW CSP projects have been commissioned.
Another opportunity is that the materials used to construct CSP plants are (mostly)
readily available and many of the components can be manufactured locally. There is
potential for South Africa to position itself In terms of technology development to support
photovoltaic (PV) applications. The current roadmap highlights that South Africa should
primarily consider crystalline silicon (wafer, cell), not only to create a knowledge base
for growing the market in the country and elsewhere in Africa, but also to be able to
compete in that market – in terms of establishing manufacturers across the PV value
chain.
Wind farms offer the largest immediate potential for input into the national electricity grid,
and for significantly alleviating South Africa’s power supply shortage. The technology is
mature, and is mainstreamed globally.
There is also considerable potential for biofuels, particularly when advanced second
generation biofuel technologies come to fruition.
Water: Provision of potable water to all people in South Africa presents a challenge and
there are millions of people without access to a potable water supply. This presents an
opportunity for the development of innovative, low-cost green technologies aimed
at potable water provision. Examples include solar water pasteurisation, ultraviolet
disinfection and rainwater harvesting. Nanotechnology also has a role to play in improved

23
water quality. South Africa also faces many water quality challenges linked to urban and
industrial activities. These include the management of algal blooms on dams and acid
mine drainage (AMD). Increasingly, green technologies are being used to solve these
problems.
Waste: Green technologies within the waste space are technologies that will facilitate
a move up the waste hierarchy from disposal through to recovery, recycling, reuse and
waste prevention.
Sanitation: Green sanitation does not favour a particular technology, but embraces a
philosophy of recycling resources. The question is whether urine and faeces can be made
safe for crop production. The challenge therefore is to safely reticulate human-derived
nutrients. In order to save energy, the case can be made for decentralised systems,
incorporating cost-effective solutions and a holistic interdisciplinary approach.
This opens up a wide range of sanitation options.
Industrial sector: The implementation of green technologies in industries aims to minimise
the use of hazardous materials and increases energy efficiency during a product’s
lifespan, as well as improve resource efficiency and water efficiency. Many opportunities
exist for new technologies that could green the manufacturing process. Examples include
the use of light-weight materials, methods of marking products so that a product’s life
cycle can be traced and digital or additive manufacturing.
Mining sector: This sector has a reputation as a major polluting sector, yet ironically, it
is the key to the introduction of green technologies in many other sectors. The mining
sector is the source of raw materials used, for example, in hybrid cars, modern wind
turbines, energy efficient lights and motor vehicle catalytic converters. The negative
impacts will need to be managed and balanced against the benefits that the mining
sector offers to the broader economy and at the same time highlight the importance of
sound environmental management within the mining sector itself and the value of green
mining.
Agricultural sector: This sector was one of the first to apply green technologies through
recycling of waste for use as fertiliser (composting, manure application) and sound
conservation management. It is also responsible for many negative environmental
impacts which present good opportunities for application of modern green technologies
to improve production efficiency and reduce the negative environmental impacts. Green
technologies considered include conservation agriculture, biogas production, precision
agriculture, biotechnology, integrated pest management and organic farming.
ICT sector: This sector has the potential to play a fundamental role in enabling system-
wide benefits, primarily through efficiency improvements that bring together various
systems, software, data and infrastructure.
Health sector: Green technologies can be implemented across the sector aimed
at implementing energy efficiency and clean energy generation; reducing water
consumption; reducing the volume and toxicity of waste and ensuring safe disposal
of waste; ensuring safe disposal of pharmaceuticals; following green building design
principles and procuring food locally.

24
Transport sector: Transport is the third largest source of GHG emissions in South Africa.
Since an effective transport system is a key driver of economic growth and social
development, one of the strategic focus areas outlined in the National Development
Plan is the prioritisation of transport solutions that are safe, affordable and effective.
Development and uptake of green technologies in the transport sector are therefore
an important strategy. Road transport accounts for 87% of transport emissions and
presents as the sub-sector where the use of green technologies will have the greatest
impact. There are many green technologies that have been implemented or are being
investigated within the transport sector internationally, some of which are in use or under
investigation in South Africa, while others have the potential to be acquired through
technology transfer mechanisms. Examples include the use of green fuels, various green
paving systems and green materials used in the manufacture of transport systems.
Building sector: The construction industry is also a significant consumer of resources,
especially materials, energy and water. In South Africa, buildings account for 23% of
electricity used, and a further 5% in the manufacturing of construction products. The
construction industry has traditionally been a slow adopter of new technologies in
general, mainly due to the perceived associated risks. The building sector, in particular, is
reluctant to adopt new technologies due to potential buyer resistance. It was concluded
that major reforms are necessary to respond to the various challenges facing the sector
in terms of the implementation of green technologies.
There are many barriers that inhibit innovation and stand in the way of more effective
implementation of green technologies in South Africa. Those highlighted in the report
(Chapter 6) include: institutional challenges, pertaining to the lack of a coherent policy
framework; government bureaucracy, referring to complex and lengthy government
processes, and a lack of political will, that are delaying and even preventing green
investment and the implementation of green projects; skills shortages; intellectual
property rights (IPR) barriers; South Africa’s poor track record in adopting foreign
technologies; financial barriers, particularly funding during the ‘valley of death’ stage
to ensure commercialisation and scale-up of technologies; and finally, a lack of market
information and an understanding of how to address human behaviour.
Overcoming these barriers requires interventions that support green transition. Various
categories of instruments that could assist in the development and implementation of
green technologies were considered. These included: regulatory instruments, with South
Africa having an abundance of relevant policies and an enabling policy environment;
economic instruments, with South Africa having a range of financial instruments such
as environmental taxes, incentives and subsidies to support the growth of green
enterprises; research and education instruments, which were recognised as critical to
successful implementation of green technologies but acknowledging that there is a
skills development lag; cooperation instruments, such as voluntary agreements and
interventions that support technology transfer, with the latter not having demonstrated
great success to date in South Africa (e.g. clean development mechanism (CDM)) and
the latter having had some measure of success; and finally, information instruments,
aimed at plugging the information gaps and of which many recent successful examples
were given.
Perspectives from the business sector are considered in Chapter 7. Like many emerging
industries, increased uptake of green technologies requires support from both the private
and the public sectors. Business is faced with the challenge of reducing pollution, waste

25
and resource consumption to minimise environmental impacts, while at the same time,
continuing to grow and increase profitability, and acting as a stimulus for innovation in
the private sector. The focus of this chapter is on the key role for the business sector in
South Africa in terms of green technology development and uptake, the challenges
and opportunities around diffusion of green technologies and then finally, to explore
opportunities for enhancing the role of business in green technology implementation.
The various roles that the private sector plays in green technology innovation and
deployment are summarised as developer/innovator; manufacturer; distributor/user;
and partner/collaborator.
Chapter 8 addresses social and behavioural aspects of implementing green technologies.
There are many factors that determine the success or failure of a specific technology,
with the most common reason often being attributed (sometimes incorrectly) to cost.
While cost is an important component, it is suggested here that the adoption and use of
technology is less about cost and the technical qualities of the technology, and more
about being socially bound; being determined by access to education and training, the
perceived application within a society and by individual ability.
Adoption of green technologies is a process that takes place over a period of time, with
significant interactions required between the adopter and the target technology. The
logical starting point relates to two aspects of awareness: (1) awareness that a technology
exists, and (2) awareness that the specific technology may have some positive impact
on socio-economic or environmental upliftment for the individual or the individual’s
community. At this point it is vital that there is sufficient communication by government,
consumer groups, and green technology innovation companies so that people are aware
of the existence of the technology, as well as the potential benefits of that technology.
It is important to consider communication networks other than traditional media such as
the power of early adoption by significant people (e.g. celebrities, politicians, business
leaders, etc.), user-friendly websites, education at schools, and online social networking.
Next, one needs to pay close attention to the socio-economic environment in order
to establish a social environment conducive to technological adoption. Technology
adoption can only be considered if people actually have access to the target technology.
Government can assist at this point by providing incentives such as subsidies, tax relief,
and eco-labelling. Similarly, government can assist by instituting barriers to non-adoption
such as taxes (e.g. carbon emissions tax for vehicles), government-regulated minimum
costs, and raising disposal costs.
The development of an evaluation framework for measuring the implementation of
green technologies is discussed in Chapter 9. The approach is based on the Principles,
Criteria & Indicators (PC&Is) framework, from which a set of robust input and output
indicators can be developed through a consultative process. Six principles, reflecting
the broad goals of green technology implementation in the South African context
were identified as: boosting economic growth; creating employment opportunities;
facilitating the sustainable use of natural resources; reducing waste and pollution;
reducing dependency on non-renewable resources; and addressing inequality and
historical imbalances. In order to ensure that these goals are achieved, a set of criteria or
management principles is identified. They are: increasing financial investment in research
and development (R&D) to improve opportunities for the development and dissemination
of green technologies; developing the necessary skills and capacity to foster innovation
and provide the knowledge base and skills to facilitate uptake of green technologies;
creating a business environment that is conducive to the uptake/diffusion of green

26
technologies; ensuring that the development and deployment of green technologies
contributes to ecological sustainability; ensuring that new green job opportunities are
‘decent’ and target previously disadvantaged and marginalised groups; and ensuring
that green technologies are utilised to improve quality of life and basic service delivery.
The development of a set of indicators is proposed as a follow-up consultative study.
Finally, in Chapter 10, the key findings are summarised and a consolidated set of nine
recommendations aimed at promoting the implementation and development of green
technologies in South Africa is provided. The recommendations are as follows:
1. Policy Certainty and Policy Coherence
Ensure that policies play an enabling role by: setting clear targets and including
mechanisms to assist in meeting those targets; instilling certainty in the market;
and, ensuring that there is policy co-ordination between different government
departments.
Make provision for a regular review of the effectiveness of green technologies
policies to allow for learning to be incorporated.
2. Implementer and Developer Roles
Prioritise niche areas for local development of green technologies based on
existing innovation capacity and encourage transfer of green technologies that
have a good socio-technical fit with the local context. It makes sense to prioritise
and maximise synergies with current industrial and other capabilities in South Africa
but there is also a need to think about and develop capabilities in new niche areas.
3. Creation of an ‘Entrepreneurial State’
Government should consider itself as more than an enabler of green technologies
but should actively shape the market through sound investments in R&D, education
and training, and through the implementation of market incentives.
4. Skills Transfer and Innovation Capacity
Government should focus on strengthening the National System of Innovation
(NSI), ensuring interconnectedness between role players and skills development at
tertiary level.
5. Focus on the Market
Ensure that market demand is not neglected in favour of a focus on the supply-side
of green technologies. There is a need for a targeted communication strategy to
promote uptake of green technologies by the public and a need to plan for the
export market, particularly within Africa.
6. Alignment with South Africa’s Development Needs
South Africa’s development needs, particularly job creation, poverty alleviation
and the need to overcome equity imbalances, should inform and direct, but not
prescribe, green technology investment strategies.
7. Development of Indicators
Initiate a follow-up study to identify a set of indicators for the monitoring and
evaluation (M&E) framework for green technology uptake in South Africa.

27
8. Green Technology Hubs
Municipalities should consider the establishment of green technology hubs to foster
the development of green technologies.
9. Systematic Evaluations of Failed or Discontinued Projects
There should be systematic reviews of projects, particularly failed or discontinued
projects, so that learning can be enhanced.

29
1 INTRODUCTION
1.1 Background to the Study
The Academy of Science of South Africa (ASSAf) was tasked by the Department
of Science and Technology (DST) with conducting this study due to its unique
position as a nationally recognised body which provides scientific and evidence-
based advice to government on critical scientific issues. The Academy is also
well placed to provide an assessment of the state of green technologies in South
Africa and to provide recommendations to increase the development and use of
green technologies. As the body that holds the Membership of the most prominent
scientists in the country, the Academy is able to draw on the expertise of a large
number of people who serve in a voluntary capacity to contribute towards the
objectives of the study.
The study brief and specific objectives of this study are presented in Box 1.1.
Box 1.1: Study brief
The aim of this study is to document green technologies currently being utilised
in South Africa, to identify gaps and opportunities for the utilisation of these
technologies and to make recommendations to promote the growth of green
technologies.
Key questions
• What are the green technologies currently available and in use in South
Africa and how does South Africa compare globally in terms of the uptake
of green technologies?
• What are the political, economic, sociological, technological, legal
& environmental (PESTLE) factors that influence and impact on the
implementation of green technologies in the South African context?
• In which sectors/areas are there gaps in the availability and/or
implementation of technologies and potential for future growth?
• How best can new technologies be identified for transfer to South Africa
and how should this be done to ensure that skills transfer is included?
• Are there opportunities for new innovative green technologies that can be
implemented sustainably?
• Is there a set of indicators that can be used to measure successful

30
• What is needed to promote and increase the use and development of
local green technologies in South Africa?
• What recommendations are there for policies that would assist in promoting
efficient and sustainable green technologies in South Africa?
1.2 Approach and Methodology
The study was approved by the ASSAf Council on 17 October 2012 and the eight-
memberpanelchairedbyProfessorEugeneCloetewasappointed.Thefullmembership
of the panel is presented in Table 1.1 and membership biographies in Appendix 1.
Table 1.1: Composition of the study panel
Name Affiliation
Prof Eugene Cloete Stellenbosch University
Prof Chris Buckley University of KwaZulu-Natal
Dr Linda Godfrey Council for Scientific and Industrial Research
Prof Diane Hildebrandt University of South Africa
Dr Makhapa Makhafola Mintek
Prof Anastassios Pouris University of Pretoria
Prof Emile van Zyl Stellenbosch University
Prof Jim Watson UK Energy Research Centre
The panel met five times. At the first meeting on 15 and16 January 2013, a
presentation was made by Dr Henry Roman, Director: Environmental Services and
Technologies of the DST to provide the background to the study, the expectations
of DST and an overview of relevant policies. Subsequent meetings were held on 5
February 2013, 2 May 2013, 11 September 2013 and 14 February 2014. A workshop,
focused on Green Technologies: Drivers, Barriers and Gatekeepers, was held on 10
September 2013.
The final draft report was submitted for peer review in May 2014. Following peer
review by experts, listed in Appendix 2, the panel finalised the report and submitted
it to the ASSAf Council for approval. The ASSAf Council approved its publication at
a Council Executive meeting on 29 July 2014.
1.3 Global and National Context for Growth in Green Technologies
One of the key drivers for an increasing focus on green technologies is climate
change. While it is acknowledged that this may be the dominant driver, other
concerns related, for instance, to the global energy and financial crises, resource
depletion and environmental degradation have strengthened the growth in green
technologies. In searching for solutions to these crises and ways to carve a new
development path, the notion of a green economy emerges as a means to ensure
sustainable development. A critical aspect of the proposed new development
path is the decoupling of economic growth from environmental degradation
(UNEP, 2011).

31
Maintaining ecological integrity is crucial for economic growth and social well-
being. There are two ways in which decoupling can be achieved: first, through
resource decoupling (i.e. using fewer resources to achieve the same level of
growth and well-being), and second, through impact decoupling (i.e. decoupling
the use of resources from the impact on ecosystems). The growing need for this
decoupling drives green technology innovation and diffusion. Implementing green
technologies can assist by providing alternative sources of energy, by improving
efficiency and productivity, and by reducing waste and pollution. In turn, these
improvements have positive spin-offs for job creation and improved environmental
quality of life.
In South Africa, government recognises the value of adopting a greener, more
sustainable development path. Green technologies have the potential not only to
stimulate economic growth, create new job opportunities, and mitigate ecological
risks, but they can also be implemented to improve living conditions and speed up
service delivery, thereby fulfilling national social justice commitments. To adopt this
green development path successfully, various efforts have been made by the state
to support the green economy, as will be seen in Chapter 3. Despite these efforts,
however, there are still obstacles that prevent green technologies from realising
their full potential. These will be unpacked in this report.
1.4 Green Economy and Green Technologies Relationship
The term green economy was coined in Blueprint for a Green Economy (Pearce et
al., 1989), but did not receive much attention until 2008, when in response to the
global financial crisis and the threat of a possible global recession, the United Nations
Environment Programme (UNEP) raised the idea of ‘green stimulus packages’ that
could stimulate a ‘green economy’ (Atkisson, 2012). The concept gained traction
in the lead up to the Rio+20 conference, forming one of the two themes addressed
at the 2012 United Nations (UN) Conference on Sustainable Development or Rio+20
conference.
While there is no universally accepted definition of green economy, the UNEP has
defined the green economy as “one that results in improved human well-being
and social equity, while significantly reducing environmental risks and ecological
scarcities. It is low carbon, resource efficient and socially inclusive” (UNEP, 2011). It is
evident that the green economy is much more than a shift to green technologies.
It is also about a social transformation that takes account of human well-being,
addressing key aspects of job creation and poverty alleviation. It is an approach
that considers not only ecological sustainability and the limitations of resources and
the deteriorating natural environment but takes an integrated view of sustainability
that includes the socio-economic drivers as well.
In this interpretation, green technologies are a necessary, but not sufficient,
component of the green economy. This was captured in a statement prepared
by Gisbert Glaser on behalf of the International Council for Science (ICSU) in the
preparations for the Rio+20 meeting which reads “the green economy should
emphasise environmentally sustainable economic progress to foster low-carbon,
socially inclusive development and investment in green jobs, clean technologies
and green sectors”. He went on further to state that there can be no green
economy without green technologies and technological innovation.

32
1.5 Definition of Green Technologies
Green technologies are characterised by innovation and comprise a set of
products, services and systems that are continuously evolving. Growth in recent
years has been driven by climate change and more general environmental
challenges that are confronting the world.
Various definitions of ‘green technology’ exist. The simplest definition defines green
technology as a technology that is environmentally friendly or environmentally
sound. Terms such as ‘environmental technology’, ‘clean technology’, ‘cleantech’
or ‘low-carbon technology’ are sometimes used, although low-carbon technology
can be considered as a sub-set of green technology. Other less commonly used
terms include climate-smart and climate-friendly technology.
A broad definition of green technologies is generally favoured; hence the
definition does not only include ‘end-of-pipe’ technologies that reduce pollution,
but integrated technologies that prevent pollutants from being generated during
production processes, as well as new materials and more efficient production
processes (EC, 2002). Green technology also means more than individual
technologies; the term embraces products, services and procedures that are used
to green production and consumption processes (UNESCAP, 2012).
A useful definition is provided by the Malaysian Ministry of Energy, Green Technology
and Water, which defines green technology as “the development and application
of products, equipment and systems used to conserve the natural environment and
resources, which minimises and reduces the negative impact of human activities1
”.
They further note that green technology includes products, equipment or systems
that:
• minimise damage to the environment;
• have zero or low GHG emissions;
• are safe to use;
• promote a healthy and improved environment for all life;
• conserve the use of energy and natural resources;
• promote the use of renewable resources.
These criteria can be considered as goals of green technologies and are univer-
sally applicable. Within the South African context, where green technology forms
an integral part of the green economy, an additional socio-economic goal that
recognises the high unemployment rate in the country and strives to address job
creation is considered vital. Over and above all these objectives, economic com-
petitiveness will play a significant role in the implementation of green technologies.

(http://www.greentechmalaysia.my/index.php/green-technology/introduction.html)

33
1.6 Scope of Green Technologies
It is important to articulate our understanding of the scope of green technologies
and to provide a coherent framework for assessing the state of green technologies.
For example, green technologies can be categorised as follows (UNEP, 2003):
(1) Monitoring and assessment technologies which are used to measure the
state or condition of the environment.
(2) Prevention technologies that minimise or prevent the production of
substances that harm the environment. These may include product
substitution, ways of altering human activities and the redesign of a
production process.
(3) Control technologies which act on substances released into the
environment, rendering them harmless at source.
(4) Remediation and restoration technologies which aim at improving the
environment that has been damaged by human activities.
The framework used in this report to assess the state of green technologies is
sector-based. First, green technologies in energy, water, sanitation and waste
are presented. Then green technologies in each of the following sectors are
considered: manufacturing, mining, agriculture, information and communications
technology (ICT), health, transport and building. It is recognised that there will be
some inevitable overlap with the earlier sections but it was deemed important to
provide such a structured and comprehensive account. Duplication of content is
avoided as far as possible.

35
2 GREEN TECHNOLOGIES
LANDSCAPE: NEEDS AND
PRIORITIES
2.1 Introduction
There are many factors that influence the deployment of green technologies in a
country. These may include, inter alia, cost, geographic availability, technological
readiness, job creation potential, availability of skills and government policy.
Questions also arise as to how a country should prioritise green technologies.
This chapter addresses some of these prioritisation issues.
2.2 Greenhouse Gas Emissions
While it is recognised that the definition of green technologies used in this report
goes far beyond pollution control technologies, a useful point of departure is the
contribution of various sectors to GHG emissions in South Africa, as this illustrates
where the greatest need for intervention lies. According to the most recently
available national GHG inventory, which is based on 2000 data (DEAT, 2009), the
percentage contribution to CO2
emissions is: energy supply and consumption,
78.9%; industrial processes, 14.1%; agriculture, 4.9%; and waste, 2.1%.
This breakdown accords with global trends and perhaps explains the dominance
of the energy sector when it comes to matters of the green economy and green
technologies. Certainly, much of the sector-based policy focus in South Africa has
been on energy (See Chapter 3). By introducing green technologies into the energy
sector, one is likely to have the greatest impact on GHG emissions and reporting to
the United Nations Framework Convention on Climate Change (UNFCCC).
2.3 South Africa’s Technology Needs Assessment
A stakeholder-driven technology needs assessment was undertaken as part of South
Africa’s commitment to the UNFCCC (DST, 2007a). It expressed South Africa’s priorities
in terms of green technologies and identified barriers to technology transfer and
measures to overcome them. Its purpose was to guide investments from developed
country partners, in particular, and to increase opportunities for commercialisation
and/or diffusion of green technologies.

36
Taking into consideration only those technologies that had not yet reached full
commercialisation and where technology transfer was required, technologies were
ranked by experts (DST, 2007a). The method of ranking involved the definition of four
broad criteria: relevance to climate change; alignment with national goals; market
potential; and skills and capacity building. Within each criterion a number of measures
wereidentifiedandweightedonascaleof1(lowimportance)to3(criticalimportance).
For every measure, technologies under consideration were then assigned a value of
1 (low importance) to 3 (critical importance) and the total calculated. The total was
then weighted relative to the value ranking of the defined measures to produce a
percentage indicating the relative importance of the technology according to the
defined measures. The results are summarised in Table 2.1.
Table 2.1: Key sectors and associated prioritised technologies (after DST, 2007a)
Response Sector Sub-sector Measures/Technology
Options
Total
Score
(%)
Mitigation
Energy
Electrical
Energy
Generation
Solar power 85.6
Clean coal technologies 75
Wind power 75
Industry/Mining Boiler improvement 78.8
Waste
Management
Promote source reduction,
recycle and reuse
84.8
Agriculture, Land Use and
Forestry
Conservation agriculture 83.3
Control of biomass burning
in wildfires (including forests)
81.8
Transport
Improvement of urban mass
transport systems
81.8
Fuel-efficiency
improvements
81.1
Adaptation
Human Health
Provision of water supply
and sanitation
90.4
Control of the spread of
vector-borne disease
87.1
Agriculture, Land Use and
Forestry
New crop species and
cultivars
88.6
Information technology 87.1
Macro-economic
diversification and livelihood
diversification in rural areas
82.6
Pest management 80.3
Vulnerability research 80.1
Water Resources
Technologies that promote
water efficiency
81.8
Built Environment and
Infrastructure
Climate-sensitive building
design
81.1

37
2.4 McKinsey Cost Curve to Prioritising Green Technologies
Faced with many possible green technologies in various stages of development
and spread across sectors such as energy, water and waste, a useful starting point
is the cost curve approach introduced by McKinsey & Co., which was refined and
presented in their study, Pathways to a Low-carbon Economy (McKinsey & Co.,
2010). More than 200 opportunities were compared across ten sectors and 21
geographical regions. While cost is not the only consideration, a global picture
comparing green technologies in terms of their costs in reducing GHG emissions,
offers a baseline of potential opportunities against which priorities that match
national development needs can take place.
Figure 2.1 shows the emission reductions that are possible with technologies
available today or with a high degree of certainty by 2030. The width of each bar is
proportional to the potential of that opportunity to reduce GHGs and the height is
proportional to cost, with the lowest cost abatement opportunities on the left-hand
side and the highest on the right-hand side.
Figure 2.1: Global GHG abatement cost curve beyond business as usual – 2030
Note: The curve presents an estimate of the maximum potential of all technical GHG abatement
measures below €80 per tCO2
e if each lever was pursued aggressively. It is not a forecast of what role
different abatement measures and technologies will play.

38
Abatement opportunities lie in four categories:
(1) Energy efficiency – improving energy efficiency in vehicles, buildings,
industrial equipment, etc.
(2) Low-carbon energy – shifting to renewable energy resources, equipping
conventional power plants with carbon capture and storage (CCS), and
replacing conventional transport fuels with biofuels.
(3) Terrestrial carbon (forestry and agriculture) – involves putting an end to
tropical deforestation, reforesting marginal lands and sequestering more
carbon in soils through changing agricultural practices.
(4) Behaviour change – there are many opportunities, such as shifting from
road to rail transport, but it is recognised that behavioural changes are
difficult to implement.
The first three categories are captured on the global GHG abatement cost curve
(McKinsey & Co., 2010).
The analysis above is for the globe as a whole. Studies for individual countries have
also been undertaken, with that for China (McKinsey & Co., 2009) being perhaps
most relevant for South Africa. In terms of GHG abatement, the following priorities
for China were identified:
(1) Replacement of coal with clean energy sources.
(2) Comprehensively adopting green cars.
(3) Improving waste management in high emission industries.
(4) Designing energy efficient buildings.
(5) Restoring China’s carbon sink (forestry and agriculture).
(6) Rethinking urban design and adjusting consumer behaviour.
2.5 Technology Readiness Level
Technology readiness level (TRL) is a useful measure to assess the maturity of a
technology and can guide decision-making (Table 2.2). Nine levels are defined,
commencing with the lowest level (TRL 1), where the transition from scientific
research is just beginning, to the highest level (TRL 9), where the technology has
been thoroughly tested and has been successful in the operational environment.

39
Table 2.2: Definition of technology readiness levels (adapted after CAETS, 2013)
TRL 1: Basic principles observed and reported: Lowest level of technology readiness.
Scientific research begins to be translated into applied research and
development.
TRL 2: Technology concept and/or application formulated: Applied research. Theory
and scientific principles are focused on specific application areas to define
concept. Characteristics of the application are described. Analytical tools are
developed for simulation or analysis of the application. Once basic principles
are observed, practical applications can be invented. Applications are
speculative, and there may be no proof or detailed analysis to support the
assumptions.
TRL 3: Analytical and experimental critical function and/or proof-of-concept: Proof-
of-concept validation. Active R&D is initiated with analytical and laboratory
studies. Demonstration of technical feasibility using breadboard or brassboard
implementations that are exercised with representative data.
TRL 4: Component/subsystem validation in laboratory equipment: Standalone
prototyping implementation and testing. Experiments with full-scale problems
or data sets. Basic technological components are integrated to establish that
they will work together.
TRL 5: System/subsystem/component validation in relevant environment: Thorough
testing of prototyping in representative environment. Basic technology
elements integrated with reasonably realistic supporting elements.
TRL 6: System/subsystem model or prototyping demonstration in a relevant end-
to-end environment (ground or space): Prototyping implementations on
full-scale realistic problems. Partially integrated with existing systems. Limited
documentation available. Engineering feasibility fully demonstrated in actual
system application.
TRL 7: System prototyping demonstration in an operational environment (ground or
space): System prototyping demonstration in operational environment. System
is at or near scale of the operational system, with most functions available for
demonstration and testing.
TRL 8: Actual system completed and ‘mission qualified’ through test and
demonstration in an operational environment (ground or space): End of
system development. Fully integrated with operational hardware and
software systems. Most user documentation, training documentation, and
maintenance documentation completed. All functionality tested in simulated
and operational scenarios. Verification and validation completed.
TRL 9: Actual system ‘mission proven’ through successful mission operations (ground
or space): Fully integrated with operational hardware/software systems.
Actual system has been thoroughly demonstrated and tested in its operational
environment. All documentation completed. Successful operational
experience. Sustaining engineering support in place.
Based on these principles, various green technologies in the energy sector were
assessed from a global perspective in terms of their ability to lower the carbon foot-
print and their TRL. The most promising initiative that would accelerate deployment
was identified, as well as the technical and financial risks that act as barriers (Table
2.3) (CAETS, 2013).

40
Table 2.3: Technology ranking for green technologies in the energy sector (CAETS, 2013)
Technology
Ability to
Lower
Carbon
Footprint*
Technology
Readiness
Level
Timescale
for Wide
Deployment
(Years)
Most Promising Initiative for
Accelerating Deployment
Hydro 1 9 Now Design standardisation
Solar Thermal 1-2 6-8 10+
Efficient thermal energy
storage
Advanced Solar
Photovoltaic
2-3 3-4 15+
Photo(Electro)
Chemical
2-3 1-3 10-15
Geothermal 1 4-5 15+
Hot dry rock demonstration
plants of > 50MW
Wave Energy 1 4 15 High efficiency devices
Tidal Current 1 5 15 High efficiency devices
Tidal Barrage 1 9 5 High efficiency devices
Wind 1 9
Onshore – now
Offshore – 5 –
10
Feed-in tariffs and
commitments to
technology deployment
Biomass 1
1st
generation
– 9
2nd
generation
– 5
1st
generation –
now
2nd
generation
– 5 – 8
Feed-in tariffs and
commitments to
technology deployment
Natural Gas 3 9 Immediate
Natural gas from
unconventional geological
formations
Fuel cells
Coal (Including
Integrated
Gasification
Combined
Cycle (IGCC)
and Carbon
Capture(CC))
1-2 7
IGCC – 10
IGCC with
CC – 20
Ultrasupercriti-
cal pulverised
coal-fired
(USCPC) with
CC – 20
Carbon market and carbon
emission constraints
Carbon
Sequestration
1 6 10+
Carbon market and carbon
emission constraints
Nuclear Energy 1 9
Generation II/
III – now
Generation IV
– 15 – 25
Fusion – 35 – 50
Higher efficiency and
improved safety
*Ability to lower carbon footprint is defined in terms of life cycle reduction of CO2
generation compared to
standard coal-based generation, where 1=80 - 100% reduction; 2=60 - 79%; 3=40 - 59%; 4=20 - 39%; and 5=0 - 19%.

41
2.6 Job Creation Potential
Job creation is a top priority of government and features prominently in the
NDP, which is described in Chapter 3. Targeting sectors that have the greatest
job creation potential aligns well with government imperatives and is a means to
prioritise investment and provide policy focus.
A landmark report on green jobs in South Africa (Maia et al., 2011) has estimated
the direct employment opportunities (excluding multiplier effects) in various sub-
sectors as a result of greening the economy. Table 2.4 summarises their findings
and demonstrates that jobs associated with natural resource management
are expected to be greatest over the short, medium and long-term time
frames, increasing from around 43 000 direct jobs in the short term to over
230 000 direct jobs in the long term. Such jobs would include activities relating to
biodiversity conservation, ecosystem restoration and soil and land management.
The energy generation sector is expected to show considerable growth in
employment opportunities, increasing from 13 500 direct jobs in the short term to
130 000 direct jobs in the long term. Energy and resource efficiency activities are
expected to increase from 31 500 to 68 000 direct jobs from the short to long term.
The category of emissions and pollution mitigation, rises from 8 400 to 32 000 new
direct jobs over the same time frame.

42
Table 2.4: Direct green job creation potential in the long term (25 years) in various
categories (after Maia et al., 2011)
Broad Green Economy
Category
Segment Technology/Product
Total Net
Direct
Employ-
ment
Potential
Net Direct
Manu-
facturing
Employ-
ment
Potential
Energy
Generation
Renew-
able
(Non-
fuel)
Electric-
ity
Wind
Power
2 105 5 156
Solar
Power
Concentrated solar power 3 014 608
Photovoltaic power 13 541 8 463
Marine
Power
197 0
Hydro
Power
Large hydropower 272 111
Micro/small hydropower 100 0
Fuel-
based
Renew-
able
Energy
Waste-to-
energy
Landfills 1 178 180
Biomass combustion 37 270 154
Anaerobic digestion 1 429 591
Pyrolosis/gasification 4 348 2 663
Co-generation 10 789 1 050
Liquid
Fuel
Biofuel
Bio-ethanol
52 729 6 641
Bio-diesel
Energy Generation Sub-total 130 023 22 566
Energy and
Resource
Efficiency
Green Buildings
Insulation, lighting,
windows
7 340 838
Solar water heaters 17 621 1 225
Rainwater harvesting 1 275 181
Transportation Bus rapid transport 41 641 350
Industrial
Energy efficient motors -566 4
Mechanical insulation 666 89
Energy And Resource Efficiency Sub-total 67 977 2 686

43
Broad Green Economy
Category
Segment Technology/Product
Total Net
Direct
Employ-
ment
Potential
Net Direct
Manu-
facturing
Employ-
ment
Potential
Emissions and Pollution
Mitigation
Pollution
Control
Air pollution control 900 166
Electric vehicles 11 428 10 642
Clean stoves 2 783 973
Acid mine water treatment 361 0
Carbon capture and
storage
251 0
Recycling 15 918 9 016
Emissions and Pollution Mitigation Sub-total 31 641 20 797
Natural Resource
Management
Biodiversity conservation and
ecosystem restoration
121 553 0
Soil and land management 111 373 0
Natural Resource Management Sub-total 232 926 0
TOTAL 462 567 46 049

44
2.7 Concluding Remarks
The analysis presented in this chapter incorporates various perspectives, all aimed
at trying to prioritise green technologies, either by sector or by type.
The GHG inventory points to the energy sector as the prime contributor to GHG
emissions, making this sector a key sector for interventions.
The Technology Needs Assessment survey (DST, 2007a) prioritises solar power and
waste management under mitigation responses and the provision of water supply
and sanitation under the adaptation responses.
The McKinsey cost curve approach takes into account cost and potential to
reduce GHGs and concludes that energy efficiency, the introduction of renewable
energy, CCS and biofuels, offer the greatest opportunities.
Technology readiness adds a new dimension and shows that of the renewable
energy technologies, such as wind and solar, wind is more mature with a TRL of 9.
Solar thermal has a TRL of 6 – 8 and solar PV is some way behind with a value of
3 – 4. First generation biofuels also have a TRL of 9, with second generation biofuels
scoring 5.
Based on job creation potential, the natural resource management sector emerges
as the most favourable, followed by energy generation, although it is cautioned
against using employment potential as a single criterion as there are broader
environmental, particularly climate change, benefits to be gained from activities
in the other sectors. A further consideration is the number of manufacturing jobs
created, with natural resource management creating none and energy generation
the most at approximately 23 000. The analysis presented here has also not taken
into account the skills level of the jobs created.

47
3 NATIONAL LEGAL AND POLICY
CONTEXT IN SOUTH AFRICA
3.1 Introduction
The growth and dissemination of green technologies are strengthened by a
favourable policy environment. Policies can provide justification for the introduction
of green technologies (e.g. climate change policies aimed at mitigating
GHG emissions); promote innovation; provide incentives; alleviate barriers to
implementation of green technologies; and through investment in research, foster
an environment conducive to innovation and human capital development.
Policies also help to guide the nature of and pace at which investment in green
technologies occurs.
South Africa can generally be regarded as having a favourable policy environment
when it comes to green technologies. Certainly, there is not a deficiency of pertinent
overarching national policies, many of which are highlighted in this chapter.
A chronological account of relevant national policies is given, with the point of
departure being the broad, overarching National Framework on Sustainable
Development (NFSD).
Compliance with international agreements is also important. South Africa is a
signatory to the Kyoto Protocol, which provides the context for South Africa’s
commitment to reduce its GHG emissions and thereby drives the introduction of
green technologies. This point is elaborated upon when discussing South Africa’s
climate change response. It is also true that growth and dissemination of green
technologies can be driven by policies at the local level, but only a passing
reference to relevant policies in some of the major metropolitan areas in South
Africa is made later in this report.
While favourable policies are a necessary driver for success in green technology
development and implementation, they are not a sufficient condition. It is important
to note that green technology programmes require a balanced mix of technical,
financial and legal professional service providers, innovative funding and inter-
departmental leadership, and project championship to be successful.

48
3.2 Overview of National Policies driving Implementation of Green
Technologies
3.2.1 The National Framework for Sustainable Development and the
National Strategy for Sustainable Development
The NFSD, promulgated in 2008 (DEAT, 2008), established a broad framework that is
intended to guide South Africa’s development along a sustainable path. It set out the
vision for sustainable development and identified five strategic priority areas or pathways
that would guide subsequent implementation plans. Although broad, the NFSD provides
an enabling policy for investment in green technologies.
Following on from the NFSD, a more binding strategy and action plan known as the
National Strategy for Sustainable Development and Action Plan or NSSD 1 (2011 – 2014)
was approved by Cabinet in 2011 (DEAT, 2011a). The original priority areas of the NFSD
were slightly reformulated (Table 3.1); 113 interventions identified and 20 indicators
establishedtomonitorandevaluateprogress.LessonslearnedfromNSSD1areexpected
to feed into NSSD 2 (2015 – 2020).
Table 3.1: Strategic priorities of the National Strategy for Sustainable Development
Action Plan (DEAT, 2011a)
Priority Areas NSSD 1
1 Enhancing systems for integrated planning and implementation
2 Sustaining our ecosystems and using natural resources efficiently
3 Towards a green economy
4 Building sustainable communities
5 Responding effectively to climate change
3.2.2 Medium-term Strategic Framework
The Medium-term Strategic Framework (MTSF) sets out the government priorities for
the electoral mandate period, 2009 – 2014 (The Presidency, 2009). Although not
mentioned as a specific priority area, growth in green technologies aligns well with
the outcome to create decent employment through inclusive economic growth,
the outcome stating that environmental assets and natural resources are valued,
protected and continually enhanced, as well as the outcome that highlights the
implementation of the NFSD. Various policy responses implemented in response to
the MTSF have created an enabling environment for renewable energy and water
management projects.
At the time of writing, the final version of the MTSF for the electoral period 2014 –
2019 was not available, but it is anticipated that it will address the same priorities
as the NDP (See Section 3.2.7) and build towards the realisation of the 2030 vision.

49
3.2.3 Framework for South Africa’s Response to the International
Economic Crisis
This economic policy document (RSA, 2009a), the Framework for South Africa’s
Response to the International Economic Crisis, which was published in February
2009, was the first policy document to refer specifically to green jobs and has led
to substantial green investment, particularly in renewable energy (Montmasson-
Clair, 2012). It was produced as a result of collaborative efforts of government,
business and labour and was facilitated by the National Economic Development
and Labour Council (NEDLAC).
3.2.4 New Growth Path
The New Growth Path (NGP), launched in November 2010, aims to increase
economic growth rates to between 6% – 7% per annum (Economic Development
Department (EDD), 2010). The NGP follows on from the Reconstruction and
Development Programme, the Growth Employment and Redistribution Programme
and the Accelerated and Shared Growth Initiative of South Africa.
The cornerstone of the NGP is job creation, with a target of five million new jobs
by 2020 and of these, 300 000 jobs in the green economy. Other priority areas are
infrastructure development, agriculture, mining, manufacturing and tourism. The
NGP aims to reduce the unemployment rate to 15% by 2020. It is envisaged that
most of the projected new jobs will come from the private sector.
Although criticised for being an aspirational document that is lacking in operational
details (Natrass, 2011), the NGP set the target for the number of jobs to be created
in the green economy, a figure that is widely quoted.
3.2.5 Support Programme for Industrial Innovation
The Support Programme for Industrial Innovation (SPII) has essentially been
operating since 1993, but has undergone various changes over time to improve
its accessibility. It aims to support the development and commercialisation of
new technologies in South African industry by providing financial assistance for
innovative products and/or processes, particularly those at the ‘proof of concept’
stage. The programme is managed by the Industrial Development Corporation
(IDC) on behalf of the Department of Trade and Industry (the dti).
At the end of the 2009/2010 financial year, there were concerns about
discrepancies in the level of SPII’s outstanding commitments. A moratorium was
placed on new applications and a review undertaken. Dormant and inactive
projects were cancelled and according to the 2012/2013 Annual Report (SPII,
2013), there has been a gradual improvement in the effectiveness and efficiency
of the programme. Notwithstanding its administrative challenges and the need to
address some under-performing schemes, it remains a key intervention. Its impact
is monitored through indicators such as local and export sales, taxes paid and jobs
created. Over R1 billion has been invested in innovative technologies and more
than 3 000 jobs created in South Africa (SPII, 2013).

50
3.2.6 Industrial Policy Action Plans
The implementation of the National Industrial Policy Framework, which was adopted
in January 2007 and which sets out government’s policy on industrialisation, is
captured in a series of Industrial Policy Action Plans (IPAPs). The IPAPs represent
an integral part of the NGP. The first of these, IPAP 1, was released in August 2007
and since then there have been a number of updates. The IPAP 2 for the period
2010/11 – 2012/13 was the first to address a revised three-year planning period. In
March 2013, IPAP 2 for the period 2013/14 – 2015/16 (the dti, 2013a) was released.
The first IPAP was focused on solar water heating. The 2011 revision was broadened
to cover, inter alia, wind, solar and biomass energy, as well as water and energy-
efficient appliances and materials, and waste and waste water treatment and
energy and material recovery (the dti, 2011a).
The most recent IPAP 2 includes ambitious plans to boost renewable energy and
local manufacturing of green technologies (the dti, 2013a). The central objective
of IPAP 2 is the creation of jobs and one of the critical contributors is the support of
green industries, renewables and energy efficiency.
Many challenges in the implementation of this plan have been identified, including
the need for coordination across government departments and state entities. One
such setback was the decision by the National Energy Regulator of South Africa
(NERSA) to reduce the renewable energy feed-in tariff (REFIT) to procure electricity
from independent power producers (IPPs) and thus significantly impacting the
viability of many alternative energy schemes and compromising the attainment
of the renewable energy targets in the Integrated Resource Plan (IRP) 2010 (DoE,
2011a).
3.2.7 National Development Plan
The NDP was released by the National Planning Commission (NPC) in November
2011. It followed closely after the diagnostic report, published in June 2011, which
outlined the achievements and challenges of South Africa since 1994. In addressing
South Africa’s development challenges, the NDP placed great emphasis on the
need to ensure environmental sustainability and the role of green products and
services in contributing to the creation of jobs, the alleviation of poverty and an
equitable transition to a low-carbon economy (NPC, 2011).
Key points made in the NDP with respect to transitioning to a low-carbon economy
include the need to invest in skills, technology and institutional capacity; the
introduction of a carbon price; the need to create greater consumer awareness;
and the development of green products and services that will contribute to job
creation in niche areas where South Africa has or had the potential to develop
competitive advantage (NPC, 2011). Specific mention was made of a target of
five million solar water heaters (SWHs) by 2030, the introduction of vehicle emission
standards, plans for zero-emission building standards by 2030, and plans to simplify
the regulatory regime to facilitate contracting for 20 000 MW of renewable energy
by 2030.

51
3.2.8 Green Economy Accord
The Green Economy Accord (EDD, 2011a) was signed by the South African
government and its partners from organised labour, business and civil society in
November 2011. It represents an agreement under the overarching framework of the
NGP. It is a collective commitment of 18 different ministries to the green economy.
There is a recognition that the green economy is founded on new economic
activities, that the goal is to create at least 300 000 new jobs by 2020 and that the
green economy must address the needs of women and youth, and provide broad-
based black economic empowerment.
A number of opportunities based on current technologies were identified, however,
the Accord also mentioned the role of innovation and the requirement for capital
and investment to bring new technologies to market. The need for a localisation
strategy that would assist in creating local industrial capacity, local jobs and local
technological innovation was also highlighted.
Finally, a number of specific commitments were made, including the roll-out of one
million solar-water heating systems by 2014/15; increasing investments in the green
economy; procurement of renewable energy as part of the energy generation;
promotion of biofuels for vehicles; clean-coal initiatives; promoting energy efficiency;
waste-recycling; reducing carbon emissions in the transport sector; and electrification
of low-income communities.
3.2.9 South Africa’s Green Economy Summit
In response to the United Nations’ call for a Global Green New Deal, the Department
of Environmental Affairs and Tourism (DEAT)2
convened a Green Economy Summit
in May 2010 to pave the way for the formulation of a Green Economy Plan. The
Summit aimed at catalysing efforts towards a resource efficient, low-carbon and
pro-employment growth path (DEAT, 2010).
Based on the Green Economy Summit, the DEAT requested UNEP to commission
the South African Green Economy Modelling Report (SAGEM), which “aimed at
assessing the impacts of green economy investments in selected sectors pertaining
to the South African economy” (UNEP, 2013).
3.2.10 National Climate Change Response Policy
The 2004 National Climate Change Response Strategy represented the first direct
recognition of the need for action on climate change. Two years later, the Cabinet
commissioned the Long-term Mitigation Scenario study in an attempt to produce
sound scientific analysis from which the government could derive a long-term
climate policy. The study produced a series of policy recommendations. In July 2008,
the Vision, Strategic Direction and Framework for Climate Policy were announced.
The current flagship policy in South Africa is the National Climate Change Response
Policy (NCCRP), approved by Cabinet in October 2011 (DEAT, 2011b). This policy’s
White Paper presents the South African government’s vision for an effective
climate change response and the long-term, just transition to a climate resilient
and lower carbon economy and society. It reflects a strategic approach referred
to as “climate change resilient development”, addressing both adaptation and
2
The new name of this ministry was announced on 25 May 2014 as the Department of Environmental Affairs (DEA). However, all
of the publications and activities mentioned in this report are those of the previous ministry, the Department of Environmental
Affairs and Tourism (DEAT).

52
mitigation. The White Paper accepts the conclusions of the Intergovernmental
Panel on Climate Change (IPCC); regards climate change as one of the greatest
threats to sustainable development; reaffirms its commitment towards the UNFCCC
and the Kyoto Protocol, and undertakes to develop a comprehensive national
response plan of which the White Paper is an integral part.
South Africa’s response to climate change is organised around two major objectives:
(1) Managing the inevitable impacts through building resilience and
emergency response capabilities.
(2) Making a fair contribution to global efforts to stabilise GHG concentrations
in the atmosphere, in order to prevent dangerous anthropogenic
interference with the climate system, and within an appropriate timeframe.
Under the UNFCCC and its Kyoto Protocol, South Africa is committed to reduce
its GHG emissions by 34% (by 2020) and 42% (by 2025) below its ‘business as usual’
(BAU) emissions growth trajectory. This commitment is contingent (in accordance
with Article 4.7 of the UNFCCC) on the extent to which developed countries
meet their own commitments to provide financial, capacity-building, technology
development and transfer support to developing countries, including South Africa.
Accordingly, the NCCRP defines as a strategic goal the need to “prioritise cost-
effective and beneficial mitigation policies, measures and interventions” that lead
to a reduction in emissions below the country’s BAU trajectory as measured against
a benchmark “peak, plateau and decline” GHG emission trajectory – where GHG
emissions peak between 2020 and 2025, plateau for approximately a decade and
then begin declining in absolute terms (DEAT, 2011b).
Adapting to climate change and making the transition to a much less carbon-
intensive economy will require massive changes. Investments in green technologies
will be essential to achieving the envisaged objectives of the NCCRP.
3.2.11 National Skills Development Strategy
The National Skills Development Strategy (NSDS III) was introduced in 2011 as an
overarching strategy to guide skills development over the period 2011 to 2016
(DHET, undated). Although it does not specifically mention green technologies, it
states that priorities that will take precedence in the National Skills Fund include skills
to support the green economy.

53
3.3 Sector-based National Policies driving Green Technologies
3.3.1 Energy
The policy environment is dominated by policies in the energy sector, some of
which are highlighted below.
3.3.1.1 Renewable Energy White Paper
An earlier White Paper on Energy Policy published in 1998 set out national policy on
supply and consumption of energy, but failed to set targets for a contribution from
renewable energy. Consequently, a separate White Paper on Renewable Energy
aimed at promoting renewable energy development was published in 2003. It set a
target of 10 000 GWh of renewable energy contribution to energy consumption by
2013. It was to be made up of contributions from biomass, wind, solar, small-scale
hydro and biofuels, and would comprise about 4% of projected electricity demand
by 2013 (DME, 2003). However, until recently, there has been poor implementation,
largely as a result of a lack of an implementation plan and poor capacity in the
Department of Energy (DoE) (Trollip and Marquard, 2010). At the time of writing
this report, in terms of implemented renewable energy capacity, less than 10% has
been achieved (Trollip and Marquard, 2013).
3.3.1.2 National Energy Efficiency Strategy
The National Energy Efficiency Strategy (NEES) of 2005 (DME, 2005) follows from the
White Paper on Energy Policy published in 1998. It sets a national target for energy
efficiency improvement of 12% by 2015 as measured against the projected BAU
increase in energy use, thereby aiming to retard the rate of increase in energy use
rather than to reduce energy demand. Included in the strategy were sector-based
targets ranging from 15% for the Industrial and Mining sector, the Power Generation
sector and the Commercial and Public Building sector, to 10% for the Residential
sector and 9% for the Transport sector. The NEES was reviewed in 2008 and again
in 2011, although the latest revision was only approved by Cabinet in 2012. Targets
were not revised as the current cycle of the NEES is due to end in 2015. The second
review made recommendations that will be implemented through the National
Energy Efficiency Action Plan in the period leading up to 2015 and post-2015.
According to Nassiep (2013), there is a lack of an adequate data repository on
energy efficiency to facilitate measurement of progress in this regard and some
proposed interventions have not materialised.
One of the outcomes of the 2005 NEES was a voluntary Energy Efficiency Accord
between the Department of Minerals and Energy (DME) and major industrial users
and industrial associations which commits signatories to the development of an
energy efficiency strategy. Initially, there were 30 signatories and currently there
are 59. The Accord (now referred to as the Energy Efficiency Leadership Network)
is facilitated by the National Business Initiative (NBI). In an assessment undertaken
in 2008 (DME, 2008), it was shown that almost 2 500 GWh of electricity, equivalent
to 3.5 days of average national electricity demand at the time, was saved by only
15 signatories who were able to report. The overall conclusion of the initiative’s

54
role was positive and many recommendations for continuous improvement were
made (DME, 2008).
A number of other regulations are aligned with NEES and assist with implementation.
These include the Income Tax Allowance on Energy Efficiency Savings regulations
that target large companies; National Building Codes and Regulations; and
Minimum Energy Performance Specifications for household electrical appliances.
3.3.1.3 Amended Electricity Regulation Act
The Amended Electricity Regulation Act of 2006 has as one of its objectives the
promotion of the use of diverse energy sources. Within the Act, the Minister of
Energy, in consultation with the NERSA, may determine the sources, as well as
the mix of energy sources from which electricity may be generated (RSA, 2006).
However, there are some shortcomings; for example, the Act does not provide
an incentive for municipalities to diversify the sources from which they generate
electricity, or to generate electricity themselves.
3.3.1.4 Biofuels Industrial Strategy
The first version of the Biofuels Industrial Strategy was released in 2007 (DME, 2007).
The overall aim was to contribute up to 50% of the national renewable energy
target of 10 000 GWh. This would be achieved through a biofuels average market
penetration of 2% of liquid road transport fuels, i.e. petrol and diesel, by exploiting
the biomass resources potential of the country and secondly, by introducing
mandatory blending, which was gazetted in 2012 for implementation in 2015 (DoE,
2013a).
In January 2014, the DoE published its draft position paper on the South African
Biofuels Regulatory Framework for public comment. The paper is aimed at creating
a regulatory environment that is conducive to the production of biofuels, bearing
in mind that the 2009 strategy has not yielded the results expected. Amongst the
incentives is a mandatory blending regulation, requiring 5% biodiesel in diesel
and between 2% – 10% bioethanol in petrol, due to come into effect in October
2015, but now delayed until October 2017. The framework also provides financial
incentives to biodiesel manufacture (De Bruyn, 2014).
3.3.1.5 National Energy Act
The National Energy Act (Act 34 of 2008) is the core legislation governing energy in
South Africa. Although not directly related to the introduction of green technologies
in the energy sector, the fact that it supports a mix of diverse energy sources
provides an enabling environment for green renewable energy technologies. The
Act states, inter alia, that increased generation and consumption of renewable
energy will be an important contributing factor towards attaining the objective of
promoting sustainable development in South Africa.

55
3.3.1.6 Ten-year Innovation Plan
In 2008, the DST adopted a Ten-year Innovation Plan, Innovation Towards a
Knowledge-based Economy 2008 – 2018 (DST, 2008). The plan identifies five Grand
Challenges, one of which is Energy Security. Specific mention is made of renewable
energy, clean coal technologies and the hydrogen economy. It is therefore to be
expected that there will be an investment in research in these areas and a greater
likelihood of innovation in these fields.
3.3.1.7 Renewable Energy Feed-in Tariffs and Renewable Energy Bids
In an attempt to kick-start the renewable energy industry in South Africa, renewable
energy feed-in tariff (REFIT) guidelines were published in March 2009 by NERSA,
specifying the rates that IPPs would be paid for electricity generated from renewable
energy sources (NERSA, 2009a). However, two years after having announced REFIT
rates, there were still no power purchase agreements (PPAs) that had been made
available to developers by Eskom. The slow early start can be attributed to the
problem of having a single, dominant conventional energy company, namely
Eskom, as the system operator (Trollip and Marquard, 2010; Eberhard, 2013) and
uncertainty in REFIT rates, which were revised downwards by NERSA in 2011 (NERSA,
2011).
A dramatic shift was needed to improve the implementation of renewable
energy. In July 2011, the DoE announced that REFIT rates were to be replaced by a
competitive bidding process known as the Renewable Energy Independent Power
Producer Procurement Programme (REIPPPP). Renewable energy bids (REBID)
would be managed by the National Treasury as opposed to NERSA.
Despite the considerable early uncertainty that was created by this policy switch,
Eberhard (2013) has expressed confidence in the new approach, suggesting that it
may offer lessons for other developing countries.
It has stimulated considerable interest from the private sector, has been competitive,
has attracted international investment and has been implemented in record time.
Under this new scheme, there have been three bidding rounds. In the first phase
1 415.5 MW capacity was allocated and in the second phase, 1 043.9 MW (Table
3.2).
In early 2012, it was also confirmed, although not through a formal announcement,
that municipalities would be allowed to enter into their own contractual agreements
to procure renewable electricity.
Although it is a little premature to report success of the REBID programme as most
projectsstillhavetoachievecommercialoperation,theschemehasbeensuccessful
in terms of attracting private investors (Eberhard, 2013) and certainly has given a
significant boost to the green technology industry in South Africa. A key success
factor included the positioning of the REIPPPP in the Public-Private Partnership Unit
in the National Treasury which was able to involve local and international advisors
to assist in running a complex bidding process.

56
Table 3.2: Analysis of REIPPPPallocations and planned allocations
Technology
Total MW
Allocation
Planned
MW
Capacity
Allocated
in First Bid
Submission
Phase
MW
Capacity
Allocated in
Second Bid
Submission
Phase
MW
Capacity
Allocated
in Third Bid
Submission
Phase
MW
Capacity
Allocated
in Future Bid
Submission
Phases
Onshore Wind 1 850.0 634.0 562.5 787.0 1 336.0
Solar
Photovoltaic
1 450.0 631.5 417.1 435.0 1 041.0
Concentrated
Solar Power
200.0 150.0 50.0 200.0 200.0
Small
Hydropower
(≤ 10MW) 75.0 0.0 14.3 0.0 121.0
Landfill Gas 25.0 0.0 0 18.0 7.0
Biomass 12.5 0.0 0 16.0 43.0
Biogas 12.5 0.0 0 0.0 60.0
Total 3 625.0 1 415.5 1 043.9 1 456.0 2 808.0
Source: http://www.ipp-renewables.co.za
3.3.1.8 Electricity Regulations on New Generation Capacity
The electricity regulations on new generation capacity passed in 2009 apply to
all technologies, including renewable energy (NERSA, 2009b). Their main aim is to
regulate the entry of a buyer and an IPP through a power purchase agreement (PPA),
or a contract between the producer and the purchaser of power. An example is the
PPA between Darling Wind Power (Pty) Ltd and the City of Cape Town that buys
the electricity generated by the wind farm. The electricity is then offered, for sale, to
customers within the municipality who are in the market for ‘green’ electricity.
3.3.1.9 Integrated Resource Plan for Electricity
The Integrated Resource Plan (IRP) is a medium to long-term electricity plan that
guides the expansion of electricity supply (DoE, 2011a); the appropriate timing and
mix of technologies to meet the supply; and takes into account the influence of
other factors such as water, transmission infrastructure, skills, etc. It is an important
document as it forms the basis on which NERSA will license projects.
The IRP (2010), which was promulgated in May 2011, projects an almost doubling
of electricity capacity by 2030 (DoE, 2011a). A total of 33% of new generation is
anticipated to come from renewable energy. It includes plans for 8 400 MW of new
wind generation, 8 400 MW of new PV generation and 1 000 MW of concentrated
solar power (CSP) over the period 2010 to 2030. Notwithstanding the criticism from
some quarters that these targets are too low, there is unequivocable support for
renewable energy as part of South Africa’s energy mix into the future and hence
green growth. There are also plans to improve energy efficiency and to reduce
emissions.

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It was noted in the ASSAf commentary on the IRP 2010 (ASSAf, 2011a) that the
targets for electricity from renewable resources were out of alignment with public
pronouncements about a 5 000 MW solar plant to be built in the Northern Cape.
Bearing in mind that all new generation capacity must be specified in the IRP 2010
in order to be licensed, the status of the announcement is unclear. The cost for the
proposed solar plant (R150 million) is also substantially lower than solar costs used in
the IRP 2010 and international costs (Trollip and Marquard, 2010).
The roll-out of the renewable energy commitment is being initiated through the
REIPPPP through a series of bidding rounds. There are significant opportunities for
foreign investment in the country, but also the development of the local renewable
energy industry. The dti has the responsibility for setting local content targets and
monitoring progress through the IPAPs. It is intended that local content targets will
increase with every bidding round.
There has also been much criticism of the IRP (2010), for example Trollip and Tyler
(2011) who argue that the electricity demand forecasts are based on confidential
information within Eskom and that there is a lack of alignment with policy documents
such as the IPAP or NEES.
The IRP is intended to be reviewed every two years as new information and data
become available. An IRP update has recently been published (DoE, 2013b).
Although the IRP (2010) is still the official plan, the update attempts to take into
account significant changes that have taken place over the last three years, in
particular the aspirations of the NDP. The 2030 electricity demand has been revised
downwards; the nuclear decision has been delayed; and additional renewable
energy capacity announced, specifically 1 000 MW of PV, 1 000 MW of wind and
200 MW of CSP. Although the targets for renewable generation are noteworthy, the
IRP lacks a solid monitoring and evaluation strategy that can track these targets
and measure their performance. Without a commitment to monitoring these
targets, it is uncertain whether they will be met.
3.3.1.10 South African Renewables Initiative
The South African Renewables Initiative (SARi) was launched at the UN 17th
Conference of the Parties (COP 17) climate change conference in Durban in 2011
(the dti, 2011b). It seeks to stimulate the growth of the local renewable energy
industry through an international financing scheme for South African renewable
energy projects and industries. It is anticipated that it will make a significant
contribution to boosting the green economy and in assisting South Africa to
meeting the country’s emission reduction targets of 34% below BAU by 2020 and
42% by 2025 as announced at the COP 16 meeting in Copenhagen.
The SARi could potentially increase the contribution of renewables in the energy
mix above the 17 800 MW specified in the IRP (2010) and could also create
approximately 40 000 green industry jobs (the dti, 2011b).

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3.3.1.11 Solar and Wind Sector Development Strategy
Investment in renewable energy applications is clearly signalled in the IRP 2010
and the proposed allocation to solar and wind energy provides an opportunity for
localisation of products and services in these sectors. In response, the dti published
its Solar and Wind Sector Development Strategy in May 2012 (the dti, 2012). Its
vision is to establish a local renewable energy manufacturing sector in South Africa
that would supply both final products and components in the solar and wind
sectors. The strategy, which was approved in May 2012, identified seven key action
programmes: market facilitation, local manufacturing and industry upgrading
incentives, local content requirements, technical and physical infrastructure,
trade and investment support and facilitation, research demonstration and skills
development (the dti, 2012).
The localisation potential of CSP, PV and large and small-scale wind is addressed,
as well as potential for investment, job creation and local economic development.
All this is considered in the context of South Africa’s renewable energy resource
and state of R&D in the country. Finally, key action plans for government to support
the wind and solar power industry are outlined.
3.3.1.12 Department of Energy’s 2012 Strategic Plan
The Department of Energy’s (DoE) approved 2012 strategic plan for the next three
years has set a national energy saving target of 20 TWh from implemented energy
efficiency and demand-side management (EEDSM) measures across all sectors
including the public sector.
3.3.1.13 Electric Vehicle Industry Road Map Initiative
In an attempt to stimulate the electric vehicle industry in South Africa, the dti, in
collaboration with the DEAT, launched the Electric Vehicle Industry Road Map
Initiative in 2013. The initiative aims to stimulate demand for electric vehicles through
various incentive schemes, to increase public awareness, to support R&D, and to
stimulate investment in local electric vehicle-manufacturing and to plan for the
provision of the necessary infrastructure, such as charging stations (the dti, 2013b).
3.3.1.14 Working for Energy Programme
Designed as a social upliftment programme, this initiative aims to improve access
of people living in rural and peri-urban areas to simple, low-carbon energy
technologies (Nassiep, 2013). Most of the projects are related to biomass and solar
energy. It specifically targets youth, women and people with disabilities.
3.3.1.15 Independent System and Market Operator Bill
This bill, which is currently under consideration, aims to establish the Independent
System and Market Operator (ISMO) as a company responsible for the planning
of the electricity supply by electricity generators through the national transmission
system, electricity dispatch and aggregation in respect of the sale of electricity.
The ISMO is intended to act as the buyer of electricity from the generators in South

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Africa, and also a seller to its customers, and should do so in a manner that minimises
the overall cost of electricity to customers (DoE, 2011b). The bill is not clear, at this
stage, as to how the ISMO will interact with, for example, municipalities and heavy
industry, especially those that, at times in future, may be net suppliers of electricity.
3.3.2 Water
3.3.2.1 National Water Act
The National Water Act (NWA) (Act 36 of 1998) is the primary legislation pertaining
to the regulation of water in South Africa and aims to ensure that the nation’s water
resources are protected, used, developed, conserved, managed and controlled
sustainably.
3.3.2.2 National Services Water Act
The National Water Services Act (Act 108 of 1997) operates in tandem with the
NWA. Its objectives include the right of access to basic water supply and the right
to basic sanitation necessary to secure sufficient water and an environment not
harmful to human health or well-being; and the promotion of effective water
resource management and conservation amongst others.
There is a drive to merge the legislation governing water services and water
resources to facilitate government objectives, including equitable access to water
(DWA, 2013).
3.3.2.3 National Water Resource Strategy
In accordance with the NWA, a National Water Resource Strategy (NWRS) was
released in September 2004. A second National Water Resource Strategy (NWRS2)
was published in 2013. It aims at ensuring “that national water resources are
protected, used, developed, conserved, managed and controlled in an efficient
and sustainable manner towards achieving South Africa’s development priorities,
in an equitable manner” (DWA, 2013). The NWRS2 places a strong emphasis on
the water energy connection and one of the objectives is to promote the optimal
development of hydroelectricity generation.
3.3.3 Waste
The waste sector in South Africa is guided by a number of key pieces of legislation
that provide the basis for green technologies to contribute to waste minimisation,
reuse and recycling. An overview of the various acts and international agreements
is provided by DST (2012), with the primary policies governing waste management
summarised briefly here. It is noted that successful implementation of the goals
contained in the national policies often depends on translation into municipal by-
laws.

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3.3.3.1 White Paper on Integrated Pollution and Waste Management Act
The White Paper on Integrated Pollution and Waste Management for South Africa
written in 1998 (RSA, 2000) provides a broad framework for integrated waste
management. It introduced the principles of ‘cradle-to-grave’ and ‘polluter pays’.
3.3.3.2 National Environmental Management: Waste Act
The National Environmental Management: Waste Act (NEM:WA) of 2008 (RSA,
2009b) is the primary piece of legislation governing waste management in South
Africa. It introduced the concept of the 3Rs: reduce, recycle and re-use for the first
time.
3.3.3.3 National Environmental Management: Waste Amendment Act
The National Environmental Management: Waste Amendment Act (NEM:WAA)
of 2014 (RSA, 2014) sets out amendments to the Waste Act, particularly relating
to certain definitions, including the definition of “waste”; the drafting of a pricing
strategy to guide the implementation of economic instruments in the waste sector;
establishment of the Waste Management Bureau; and transitional provisions in
respect of existing industry waste management plans.
3.3.3.4 National Waste Management Strategy
The National Waste Management Strategy (DEAT, 2011c) specifies eight goals
to be achieved by 2016, many of which provide an enabling framework for the
development and implementation of green technologies. Examples include Goal
1 – Promote waste minimisation, re-use, recycling and recovery of waste; Goal
3 – Grow the contribution of the waste sector to the green economy; Goal 5 –
Achieve integrated waste management planning; and Goal 7 – Provide measures
to remediate contaminated land.
3.3.4 Buildings
Policies that address buildings directly are summarised below.
3.3.4.1 National Building Regulation and Building Standards Act
The National Building Regulation and Building Standards Act (Act 103 of 1977) sets
standards and regulations for energy efficiency in buildings. In November 2011,
an amendment to the act stated that all new buildings and extensions to existing
buildings have to meet standard energy efficiency regulations (Botes, 2011).
3.3.4.2 National Framework for Green Buildings
The National Framework for Green Buildings of 2011 aims to enunciate South Africa’s
national vision for sustainable building and construction and indicates strategic
interventions to recalibrate the South African construction and property industries.

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3.3.4.3 Innovative Building Technology Implementation Plan
The Innovative Building Technology (IBT) Implementation Plan of 2013 aims to
advance the uptake of innovative building technologies in South Africa and
creates a set-aside of government investment in social infrastructure construction
for IBT.
3.3.5 Information and Communication
The Information and Communication Technology (ICT) R&D and Innovation
Strategy for South Africa was introduced in 2007 (DST, 2007b). Although there is no
mention of ICT’s contribution to green technologies, an enabling framework for the
advancement of ICT R&D and innovation is established.
The ICT Research, Development and Innovation Roadmap, developed by the DST,
was approved by Cabinet in May 2013 and is in the process of implementation.
One of the clusters is sustainability and the environment, which includes green ICT.
While this chapter has highlighted only the most pertinent laws and policies, it is
clear that South Africa has no shortage of policies that address green technologies,
either in a direct or indirect manner. The challenge, as will be seen later, is to ensure
policy co-ordination amongst the various sectors.

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4 INTERNATIONAL PERSPECTIVES ON
GREEN TECHNOLOGY DRIVERS
4.1 Introduction
The aim of this chapter is to provide some further international context for the
analysis of the current status of, and future priorities for, green technologies in South
Africa. It starts by summarising global trends in green technologies in the energy,
water, sanitation and waste sectors. The chapter draws on some of the available
indicators of green innovation and its impacts. Next, some considerations for
countries that are seeking to learn lessons from international experience are set out.
This focuses on technology and industry ‘catching up’ strategies that have been
pursued by some developing countries, and the role of technological capabilities
and policy frameworks in these strategies. This discussion is followed by case studies
of two countries that have had particularly strong ‘green growth’ strategies, viz.
Germany and South Korea. A detailed discussion of the strategies of each country
is included in Appendix 3.
4.2 Global Trends in Green Technology
There are a number of proxy indicators that can be used to analyse patterns of
innovation in green technologies. Given the systemic, long-term and uncertain
nature of innovation processes, such indicators can only provide a partial picture
of these patterns. In addition to this, data availability is sometimes inadequate.
Changes in the structure of many industrialised economies over time, and the
increasing importance of globalisation, mean that some indicators may become
less useful over time.
Despite well-documented drawbacks (e.g. Freeman and Soete, 2009), efforts to
analyse innovation often focus on input measures, particularly levels of research,
development and demonstration (RD&D) funding devoted to technology develop-
ment by the public and private sectors. Data on public funding – especially in
Organisation for Economic Co-operation and Development (OECD) countries –
are more readily available than data on private sector funding for RD&D. These
indicators are sometimes complemented by indicators of innovation outputs,
particularly patents. Patent data need to be handled with care, given that raw
data on patent applications are a poor guide to the quality or impact of those
patents. In addition, the importance of patents for innovation varies between
technologies, firms, sectors and countries.

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In addition to these traditional indicators, innovation outcomes can also be
represented using indicators, such as rates of deployment of new technologies or
trends in technology costs. Taken together, these indicators can provide a useful
starting point for understanding broad trends in green technology innovation
patterns on a national, sectoral or global basis.
4.2.1 Green Energy Technologies
Shifting towards more sustainable, low-carbon energy systems is centrally important
in the transition to a green economy. Low-carbon energy supply technologies and
more efficient energy technologies have been promoted in many countries through
government policies and private sector investments. Government spending on
energy-related RD&D by International Energy Agency (IEA) member countries has
increased since the late 1990s (Figure 4.1). Among these technologies, nuclear
energy has historically accounted for the largest share of spending, although this
share has gradually decreased in the last 40 years. Spending on renewable energy
and energy efficiency technologies has increased rapidly in the last ten years. In
the BRICS countries and Mexico, spending on energy RD&D has also increased.
China had the largest spending on energy RD&D in 2008, representing about one
third of the total spending in IEA member countries.
Figure 4.1: Government energy RD&D expenditure in IEA member countries (IEA, 2013)
This increase in RD&D has mirrored a rise in the number of patent applications for
cleaner energy technologies. Between 1999 and 2008, the number of patented
inventions in renewable energy increased by 24%. In comparison, patents for
electric and hybrid vehicles and energy efficiency in building and lighting
increased by 20% and 11% respectively, more rapidly than the rise of total patent
applications which was 6% (OECD, 2011a). These figures also show that technology
development and patenting is concentrated in a small number of countries (Figure
4.2). Despite the increase in RD&D spending in emerging countries, companies and
other organisations based in OECD countries still hold a majority of patents in clean

65
energy technologies. For example, in 2008, the number of patent applications by
Japan, the United States of America (USA) and Germany accounted for more
than half of the world’s total applications. Japan’s patent applications were
relatively more focused on the area of energy-efficient buildings and lighting. The
USA’s applications were concentrated in innovation related to renewable energy.
Both Germany and South Korea’s applications were also largely concentrated in
renewable energy.
Figure 4.2: Patent applications at the Patent Co-operation Treaty, 2008 (OECD, 2011a)
Figure 4.3 shows the longer-term trend in patent applications for a number of specific
cleaner energy technologies. The number of low-carbon technology patents filed
grew four-fold between 1980 and 2008, reflecting increases in RD&D spending, as
well as significant demonstration and deployment policies in several countries. Since
2000, the patents filed for wind power and solar PV have increased sharply. The
number of CCS-related patent applications increased at an annual growth rate of
23% over the period 2000 – 2011, and by 45% between 2006 – 2011(IEA, 2013).
Figure 4.3: Annual growth rate of low-carbon technology patenting (IEA, 2013)

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There is significant evidence that this rapid increase in RD&D and patenting in
cleaner energy supply technologies is starting to have an impact on the global
technology mix. According to the BP Statistical Review of World Energy, renewable
energy used in power generation increased by 15.2% between 2011 and 2012,
building on many years of growth. Wind energy accounted for more than half of
this renewable power generation growth, whilst solar power generation grew by
58% (BP, 2013). Global hydroelectric output also increased, with China accounting
for all of the net increase. Hydroelectric output accounted for 6.7% of global
energy consumption in 2012, the highest share on record (BP, 2013). By contrast,
biofuels production in the world saw its first decline since 2000. The share of nuclear
power also fell, to 4.5% of global energy consumption. This represented the second
consecutive year that nuclear power’s contribution has fallen, and is the largest
decline on record (BP, 2013). Overall, the share of renewable energy in global
energy consumption, including large hydro, is now 8.6%.
Figure 4.4 shows the renewable consumption and renewable share of power
generation by region. It is clear that OECD countries have a higher renewable
share than non-OECD countries. Europe and Eurasia’s deployment of renewable
energy in power generation has been growing rapidly since 1992. In contrast, the
Middle East has the lowest rate of using renewable energy in power generation.
Turning to trends in new investment in low-carbon energy technologies, total
investment for renewable power and fuels (including small hydroelectric projects) in
2012 was $244 billion. China was the dominant country with $67 billion of investment
in renewable energy, rising by 22% from the previous year (Frankfurt School-UNDP
Centre and BNEF, 2013). Several other emerging countries also saw sharp increases
in investment, including Morocco, Mexico, South Africa and Chile.
Figure 4.4: Renewable consumption and renewable share of power generation by
region (BP, 2013)

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On the demand side, energy efficiency plays an important role in restraining
demand growth and energy costs, and in mitigating climate change. It can be
implemented quickly compared with some energy supply investments, and is
one of the cheapest options for large-scale CO2
abatement. Therefore all major
energy-consuming countries have introduced new legislation on energy efficiency
(IEA, 2012b). In order to measure energy efficiency’s impact, energy intensity is
widely used as a popular indicator. This has shortcomings as it fails to distinguish the
effects of factors such as changes in the structure of a country’s economy or its
climate (IEA, 2012b).
Energy intensity is defined as the ratio of energy used to gross domestic product
(GDP). Figure 4.5 shows energy intensity trends by region for the period 1980 – 2010.
In most areas, it has fallen over the last 30 years, but the rate of decline has slowed
down. However, the energy intensity in the Middle East has increased since 1980.
This is mainly driven by the region’s low energy prices that provide little incentive
for the deployment of energy-efficient technologies (IEA, 2012b). Africa’s energy
intensity went up until 1995, mainly driven by the area’s economic development,
but since then it has slowly decreased.
It is hard to obtain data for investment in energy efficiency technologies. A recent
report by environmental non-government organisation (NGO), the World Wildlife
Fund (WWF), suggests that investment in these technologies was approximately 25%
of the total investment in renewable energy and energy efficiency technologies in
2011 (Van der Slot and Van den Berg, 2012). Such figures are open to criticism,
however, given that judgements about what should be included as energy
efficiency investment are likely to be very subjective.
Figure 4.5: Energy intensity trends by region, 1980 – 2010 (IEA, 2012b)

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4.2.2 Global Trends in Green Technologies in Water and Sanitation
Water is a fundamental source for human beings on the planet. According to
the World Health Organisation (WHO), “inadequate sanitation is a major cause
of disease world-wide and improving sanitation is known to have a significant
beneficial impact on health, both in households and across communities. The word
‘sanitation’ also refers to the maintenance of hygienic conditions, through services
such as garbage collection and wastewater” (WHO, 2013).
According to the WHO and the United Nations Children’s Fund (UNICEF), 768 million
people live without access to clean drinking water supplies, most of whom live
in rural areas. A total of 2.5 billion lack access to improved sanitation services.
Since 1990, almost 1.9 billion people have received access to improved sanitation
facilities (WHO and UNICEF, 2013). This means that the world has achieved the
Millennium Development Goal (MDG) drinking water target but will not meet
the MDG sanitation target if the pace of change in the sanitation sector is not
accelerated. Figure 4.6 and Figure 4.7 show global trends in access to fresh drinking
water and sanitation facilities respectively.
Figure 4.6: Trends in drinking water coverage, 1990 – 2011 (WHO and UNICEF,
2013)

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Water security in many countries is deteriorating due to increasing water demand
and water pollution. On the demand side, agriculture accounts for around 70% of
global freshwater withdrawals; industry and domestic use accounts for about 20%
and10%respectively(UN-Water,2012).Itisestimatedthatglobalwaterdemandrose
twice as fast as population growth over the last century (OECD, 2012a). However,
increasing water supply tends to be costly and difficult, and freshwater sources
in the world are already under stress. Historical data show that the government
expenditure for upstream water supply (excluding distribution) has been $40 billion
to $45 billion per year. As the demand increases, this bill could increase to around
$200 billion a year by 2030 (McKinsey Global Institute, 2011). Therefore sustainable
management of water resources is a key component for the coming decades and
green technologies will play an important role in all stages of water management.
This includes water production and treatment, water distribution, efficiency of
water usage and waste-water disposal (BMU, 2012).
Specific data on the development of greener technologies for water and sanitation
are hard to find. It is possible to get patent data, however, which are a partial and
imperfect indicator of green innovation in these sectors. In the last decade, the
number of patent applications of water pollution abatement filed under the Patent
Co-operation Treaty (PCT) has increased by 70% in the world (Figure 4.8). There was
a fall in patenting between 2010 and 2011, which was largely accounted for by
patenting patterns in OECD countries outside the EU.
Figure 4.7: Trends in sanitation coverage, 1990 – 2011 (WHO and UNICEF, 2013)

70
Figure 4.8: Patent applications of water pollution abatement filed under the PCT
(OECD, 2013a)
In addition to the data on access to drinking water and improved sanitation shown
in Figures 4.6 and 4.7, an important indicator of the sustainable management of
water is water use intensity. Similar to energy intensity, it is defined as the ratio of
water input to the useful economic/product output of a system or activity (UNEP,
2012a). The long-term trend of water use intensity can be used to show whether the
pattern of water use is decoupled from economic growth (UN, 2013).
Globally, the available data suggest that the freshwater abstraction rate has
increased and is in line with the increase in population (Figure 4.9). Global GDP
has increased much more rapidly over the last decade – and has therefore been
partially decoupled from water abstraction. Within OECD countries, technological
change is more evident. Total fresh water abstraction has not changed since 1990,
despite increases in population, GDP and public supply. This is due to the use of
more advanced irrigation techniques, the decline of water intensive industries,
improved efficiency of water use, and increased use of cleaner technologies
(OECD, 2012b).

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Figure 4.9: Global fresh water abstraction, population and GDP, 1997 – 2012
(World Bank, 2013)
4.2.3 Global Trends in Green Technologies in Waste
Green technology development in the waste sector focuses on three areas:
reduction, reuse and recycling. UNEP described the long-term vision for the waste
sector as “to establish a circular global economy in which the use of materials
and generation of waste are minimised, any unavoidable waste recycled or
remanufactured, and any remaining waste treated in a way that cause the least
damage to the environment and human health or even creating additional value
by recovering energy from waste.” The first priority is to reduce waste to a minimum.
If waste could not be avoided, reusing materials and energy from waste and
recycling waste would be the second priority (UNEP, 2011).
The fifth Global Environment Outlook indicated that underlying global data
on waste generation, treatment and recycling are lacking, especially in most
developing regions (UNEP, 2012b). This lack of data also extends to indicators of
R&D funding and innovation. Figure 4.10 shows trends in applications for patents in
waste management. Whilst the number of patent applications has generally risen
over time (apart from a significant recent fall), it is difficult to draw any conclusions
from these data about trends in the development and deployment of technologies
for reuse, energy recovery and recycling.

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Figure 4.10: Patent application of waste management filed under the PCT (OECD, 2013a)

Government spending on waste management is different across countries. Recently
there has been more private involvement in this sector even though investment in
this sector has traditionally been financed by local government in many countries
(UNEP, 2011). One major international source of funding for greening the waste
sector is the World Bank. As shown in Figure 4.11, 199 waste-related projects were
funded by the World Bank in 2009.
Figure 4.11: The World Bank’s
investments in municipal solid
waste management (UNEP, 2011)

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Generally speaking, waste generation is driven by both economic growth and
population growth. However in OECD countries, relative decoupling has taken
place. Figure 4.12 shows that the quantity of municipal waste generation in the
OECD has risen since 1980, but waste generated per capita has increased at a
lower rate than private consumption – and has recently started to level off. This
is due to the efforts of many OECD countries to encourage waste minimisation,
recycling and prevention and to manage materials in a sustainable manner
(OECD, 2013b).
Figure 4.12: Relationship between private consumption and waste in the OECD
(OECD, 2008)
In non-OECD countries, waste generation per capita and overall national waste
production is also increasing because of the population and economic growth.
However, it is estimated that the average annual per capita waste generation in
developing countries is at 10% – 20% of the level seen in developed nations (UNEP,
2010b). Due to the increased volume of waste generation, the costs of waste
management are also rising. It is expected that by 2025, the costs will reach US$375
billion, compared to the 2010 levels of US $205 billion (Hoornweg, 2012).
4.3 Learning from International Experience
An important question for emerging economies such as South Africa is the extent to
which they can catch up with, or perhaps ‘leapfrog’ the development pathways
of OECD countries. If this can be achieved, it may be possible to accelerate the
transition to more sustainable provision of energy, water and other services. Related
to this, is whether South Africa and other emerging economies can learn from the
policy approaches that have already been implemented by countries that are
seen as ‘leaders’ in green technologies.

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There is a significant literature that addresses these questions, and focuses on the
scope for the transfer of technologies and/or policy frameworks to developing
countries – and on the prospects for technological leapfrogging (e.g. Sauter and
Watson, 2008). Most of this literature deals with the question of how latecomer
countries can catch up with industrialised countries and their level of industrial
development. Whilst some of this literature is concerned with environmental
and energy technologies (Goldemberg, 1998; Perkins, 2003; Unruh and Carrillo-
Hermosilla, 2006), much of it takes a wider perspective and focuses on the broader
role of innovation in industrial growth (Soete, 1985; Steinmueller, 2001).
In his groundbreaking paper on technological leapfrogging, Soete (1985: 416)
defines technological leapfrogging as: “the opportunities offered by the inter-
national diffusion of technology to jump particular technological paradigms and
import the more if not most, sophisticated technologies that will neither displace
the capital invested nor the skilled labour of the previous technological paradigm,
constitute one of the most crucial advantages of newly industrialising countries in
their bid for rapid industrialisation”.
The literature builds upon the historical evidence of the importance of foreign
technology in driving economic growth in Europe and the USA in the second half
of the 19th century and Japan in the 20th century. Latecomers to the diffusion of
new technologies can expect two advantages: they avoid adopting technologies
at an early phase of diffusion that might still be subject to major improvements;
and they adopt these technologies when experience has brought their costs
down. The fact that no or low levels of capital and skills were accumulated in
previous generations of technology can also constitute a major opportunity for
latecomers. Latecomers could therefore leapfrog ‘vintages’ of technology, avoid
heavy investments in older technologies, invest directly in affordable up-to-date
technologies and finally, catch up with advanced industrialised countries through
further innovation (Perez and Soete, 1988).
There are a number of examples in the literature of catching up and/or leapfrogging
by emerging economies. These include the case of steel and automobiles in South
Korea (D’Costa, 1994; Lee and Lim, 2001) and wind power in India and China (Lewis,
2007; Lewis, 2012). Whilst these examples involve the development, manufacturing
and deployment of the technologies concerned within those emerging economies,
this does not necessarily need to be the case.
The diffusion of mobile phone technology in developing countries is a good
example where the focus has been mainly on investment in infrastructure and
consumer adoption. A key factor behind rapid diffusion in this case is that mobile
phone technology had been developed and successfully commercialised many
years before developing countries adopted it. It had thus been proven as a
mature mass-market product at relatively low prices, which strongly enabled
the transfer to developing countries (Rouvinen, 2006). However, this case does
not necessarily provide a good guide to the potential for leapfrogging in other
sectors such as cleaner energy (Unruh and Carrillo-Hermosilla, 2006). For example,
many low-carbon energy technologies are still at an early stage of diffusion in
major industrialised countries. This means that in some cases, their costs are still
high. Therefore, adoption and use depends on national and international policy
frameworks for their promotion.

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Whether the objective is the deployment of new technologies in an emerging
economy or the development of new industrial and manufacturing capabilities in
those technologies, the adaptation of technology to the local context is often a
necessary condition for success. This is a continuous process that also requires social,
economic and institutional changes. The focus cannot therefore be restricted to the
physical artefact involved, but needs to include other important dimensions such as
human capabilities (Sharif, 1989), policy (Perkins, 2003) or organisational structures
(Steinmueller, 2001). Of particular importance is a sufficient level of absorptive
capacity within an emerging economy – i.e. the ability of firms, research institutions
and other actors to adopt, manage and develop new technologies. Absorptive
capacity is often built up over a significant period of time and countries tend to
build capabilities in fields related to existing strengths. These capabilities include
knowledge and skills and operations and maintenance and further innovation –
not just the capability to buy and install new technological hardware (Bell, 2012).
However, the empirical evidence shows that leapfrogging and catching up
strategies vary widely (e.g. Hobday, 2003). A country’s distinctive resources need to
be taken into consideration, and trial-and-error learning needs to be accepted as
part of leapfrogging strategies. A common feature of successful leapfrogging is a
coherent set of public interventions in support of a long-term leapfrogging strategy.
Balanced public interventions to support catching up should be both functional
(e.g. generic support for education and critical infrastructures) and selective (e.g.
support for specific sectors or industries). In addition, they often need to be tailored
to fit with existing policy frameworks in a particular country. Policies that have
successfully supported technology development and deployment in one country
(e.g. feed-in tariffs for renewable electricity deployment) cannot necessarily be
transferred to another country without significant adaptation (Dolowitz and Marsh,
2000; Rose, 1993).
There are a number of risks associated with catching up or leapfrogging strategies.
The successful cases show that it is important to support emerging industries without
disconnecting them entirely from global competition, as well as international
learning and knowledge networks. This balance between indigenous innovation
and international sourcing of technologies, skills and capabilities is difficult to
strike. Furthermore, an early decision to embark into a certain technological area
can lead to picking a losing technology. But late entry into an emerging market
can result in ‘lock out’ if firms within other countries develop faster. Besides this,
technical risks and financial risks are critical for many developing countries with
scarce financial resources. Emerging economies face difficult policy trade-offs
between long-term leapfrogging strategies that aim to build up a sufficient level of
absorptive capacity and the provision of immediate basic needs.
4.4 Successful National Approaches to Green Technology
In this section we present the national approaches of Germany and South Korea
to the development and deployment of green technologies. The key features that
enabled this development are discussed in detail in Appendix 3, with a view to
drawing lessons for South Africa and other countries that are considering a similar
development path. Emphasis is placed on the policy instruments and other drivers
that were designed to underpin a strategic focus on green technologies. Finally,
the tangible impacts of the strategies of these countries are identified.

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GermanyandSouthKoreawereselectedasthetwocasestudiessincetheyhavehad
prominent strategies for the development and deployment of green technologies
as part of broader ‘green growth’ strategies. Germany is one of the most widely
acknowledged examples of an industrialised, developed country that has sought
to implement a shift towards green technologies in energy and other sectors – and
to develop new industrial capabilities in these technologies. A significant feature
of the German case is the effect of the national environmental movement and
the rise of the Green Party that led to increasing support for renewable energy.
Paradoxically for some observers, this support has been coupled with a policy of
phasing out the country’s active nuclear plants by 2022 (Schreurs, 2012).
In contrast, South Korea has gone through an accelerated industrialisation process
since the 1960s, which led to a substantial increase in energy demand and GHG
emissions (Zelenovskaya, 2012). This industrialisation process included strategies
for rapid catching up with (and in some cases leapfrogging of) more advanced
industrialised economies in sectors such as steel and automobiles. Following the
2008 global financial crisis, South Korea was one of the first countries that identified
green growth and green technology development as a model to guarantee long-
term economic growth in conjunction with achieving improved quality of life.
Whilst the energy sector has been central to green growth strategies in both
countries, there are some differences in the way green technologies are
conceptualised. The differences are particularly apparent in the field of nuclear
power. In South Korea, the development and deployment of nuclear power is part
of the national green growth agenda and is prioritised in the country’s R&D strategy
(UNEP, 2010a). On the other hand, in Germany, the planned nuclear phase-out
combined with challenging national emissions reduction targets has shifted the
focus to renewable energy (Schreurs, 2012). This is linked to a broader strategy
known as the Energiewende which aims to transform the energy system.
Despite these differences, a common feature between the two countries is that
green growth is seen as a way to develop their economy and enable a transition
to a new economic model. In addition to supporting green technology diffusion
in their domestic markets, a focus on exports and achieving world leader status is
considered key to long-term economic growth.
4.5 Conclusions
This chapter has provided some international context for the analysis of green
technologies in South Africa. It has shown that there is an increasing global emphasis
on technologies to reduce the environmental impacts in the energy, water and
waste sectors. Significant public and private funding of these technologies have
been coupled with a general increase in patent applications and – in many cases
– of technology deployment. However, many indicators of global environmental
outcomes are still going in the wrong direction. Global carbon emissions are rising,
as are levels of water abstraction and waste generation. The development and
deployment of green technologies have not yet successfully addressed many of
the world’s most pressing environmental challenges.

77
The chapter has also provided some analysis of technological and industrial
strategies to accelerate the development and deployment of green technologies.
It has summarised insights from the literature on ‘catching up’ and leapfrogging by
emerging economies such as China, India and South Korea. On one hand, these
countries have the opportunity to skip some of the dirtier development pathways
that were taken by OECD countries. On the other, significant technological
capabilities and the implementation of comprehensive policy frameworks are
likely to be required if emerging economies are to take up these opportunities.
Whilst the conditions for ‘green growth’ (or broader ‘green development’) will vary
significantly from country to country, the chapter has also shown that successful
countries are likely to have placed an emphasis on both technological capabilities
and policy reforms. The cases of Germany and South Korea illustrate the important
role played by a number of factors, including long-term strategies, high levels of
political support and consensus, and the successful implementation of detailed
policiesforindustrialdevelopmentandtechnologydeployment.Inbothcases,these
strategies have also been export-oriented – and have been driven by the desire
to create jobs and industrial development, as well as to achieve environmental
improvements.
German policies, which have been in place for a long time, have led to many
positive outcomes. The South Korean Green Growth Strategy is more recent,
and it is too early to tell what impact it will have on that country’s economic and
environmental outcomes. In both cases, however, the implementation of strategies
for ‘green growth’ has not been entirely straightforward. This illustrates the political
nature of strategies to improve the development and use of green technologies
significantly, and the likelihood that they will create both winners and losers as
economies seek to restructure.

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5 STATE OF GREEN TECHNOLOGIES IN
SOUTH AFRICA
5.1 Introduction
The purpose of this chapter is to provide an overview of the state of green
technologies in energy, water, waste and sanitation in South Africa. Thereafter,
attention turns to green technologies in sectors such as industry, mining, agriculture,
ICT, health, transport and buildings. The chapter concludes with a discussion on
emerging green technologies.
5.2 Green Technologies in Energy
5.2.1 Introduction
The transformation of the energy sector is central to decoupling economic growth
from negative ecological impacts and excessive resource use and shifting to a
low-carbon growth path. Green technologies in the energy sector therefore have
a critical role to play (Brent et al., 2009; 2012).
Given that the South African economy is so heavily dependent on coal, driven
largely by low cost and availability, the transformation of the energy sector will take
time. Conventional fossil fuel-based energy sources will continue to be a significant
source of energy supply for the foreseeable future. To transform the South African
energy sector, green technologies, including energy efficient technologies,
renewable energy technologies, as well as technologies aimed at producing
clean coal should be promoted. These broad categories will form the basis of the
assessment of green technologies in the energy sector in this chapter.
5.2.2 Energy Efficiency
5.2.2.1 Policy Framework
The former DME issued a White Paper on Energy in 1998, which promoted energy
efficiency (EE) and energy conservation within the framework of integrated resource
planning. The National Electricity Regulator (NERSA) issued the Regulatory Policy
on Energy Efficiency and Demand-side Management (EEDSM) for the electricity
industry in July 2004, which provided the mechanisms for, inter alia, access to
EEDSM funding and EEDSM awareness raising.

80
The NEES was published in March 2005 (revised in 2008 and 2012), emphasising the
urgent need to solve the energy security problem through EEDSM. A national target
of 12% EE improvement by 2015 was set. In May 2010, the DoE published a policy
framework document to support EEDSM for the electricity sector, which empowers
NERSA to regulate and set the funding level for EEDSM.
Financing of the implementation of EE is obtained mainly through electricity
tariffs (De la Rue du Can et al., 2013). While the main EE programme is the EEDSM
Programme led by Eskom, tax allowances are introduced for EE in Sections 12I and
12L of the Income Tax Act of 1962 as incentives for energy conservation.
In the building sector, the energy efficiency in building standard (SANS 204) that
was drawn up in 2009 as a voluntary energy standard was made binding and came
into effect in November 2011, targeting newly designed buildings. With regard to
the EE of electric appliances, the DoE confirmed the importance of introducing an
energy labelling programme in 2009, in its review of the NEES. In the meanwhile,
according to the IPAP 2, the South African Bureau of Standards (SABS) is required
to develop a national standard for EE and the National Regulator for Compulsory
Specification (NRCS) is to formulate a compulsory standard for home appliances.
In addition, the government is planning for a carbon tax of approximately R120
per ton of CO2
in the 2015 budget. The National Treasury released the Carbon Tax
Paper for public comment in May 2013 (National Treasury, 2013).
In terms of governance, major reorganisation has led to new legislation and entities
to govern and implement EE in SA. In 2009, the DME was split into two separate
departments: the Department of Mineral Resources (DMR) and the DoE. The
2008 National Energy Act gives authority to the DoE to conduct the EE policy in
South Africa. The dti is also an important actor in the implementation of EE policy,
especially standards and labelling, for two main reasons. First, the SABS and the
NRCS fall under its authority, and second, the dti’s main goals are to enhance the
competitiveness of South African industry and to advance international trade. The
SABS has signed a memorandum of understanding with the DoE and, as such, has
formed a working relationship with them which can be used for setting standards
and labelling(UNDP, 2011). The 2008 Energy Act established the South African
National Energy Development Institute (SANEDI) to conduct public-interest energy
research. SANEDI reports to the DoE and is a combination of the National Energy
Efficiency Agency and the former South African National Energy Research Institute
(Pty) Ltd which have kept their structure at this point.
5.2.2.2 Supporting Programmes for Energy Efficiency Improvements
The government of South Africa has made large investments in EE projects through
many initiatives, the main programme being the EEDSM programme. Other support-
ing programmes for EE improvement include:
• Public Sector Support: The National Treasury has approved R600 million for
the implementation of EE measures in the municipal infrastructure.
• Manufacturing Upgrade Support: The dti has budgeted R5.75 billion to
support manufacturing enterprises to upgrade their plant, create jobs,
increase their competitiveness and support the value-add process, as well
as help companies invest in green technologies.

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• Green Energy Efficiency Fund: A joint project between the IDC and the
German Development Bank, whereby soft loans (prime rate 2%) of up to
R20 million are made available to companies qualifying for EE investments.
• Residential Mass Roll-out: Eskom is currently launching the Residential Mass
Roll-out Programme to stimulate bulk replacement of inefficient lighting,
implementation of energy-saving technologies and load control devices in
the residential sector.
• Solar Water Heating (SWH) and Heat Pumps: Eskom has had a financial
incentive programme that aims at promoting the uptake of 1 million SWH
units by 2015. However, to date, the programme has fallen short of targets.
In November 2010, Eskom began a programme that offers rebates on
heat pumps for retrofit or replacement of electric geysers. Unlike the SWH
rebates, heat pump rebates are offered up front to buyers; suppliers take on
the responsibility of claiming the rebates. The plan is to distribute 65 500 units
over the course of the programme.
• Tax Incentives: The National Treasury has announced Section 12L of the
Income Tax Act. Both industries and individuals can apply for an energy
efficiency allowance from taxable income on the basis of energy efficiency
savings. The 12L initiative has become operational very recently and it is
not yet possible to determine how successful it will be in improving EE in the
industrial and commercial sector.
5.2.2.3 Business Model of EEDSM
Eskom is the main administrator and implementer of NERSA-funded demand-
management programmes and has set up an entire division, Integrated Demand
Management (IDM), dedicated to EEDSM implementation. Eskom will continue in
this role for the interim but it is uncertain whether this will be the case in the future.
Besides the Eskom model, municipalities have recently applied directly to the
government to receive funds in order to carry out the programme themselves for
low-pressure SWHs. In addition, the 12L tax incentive projects will be administered
by SANEDI.
5.2.2.4 Measurement and Verification
To monitor the results of the energy conservation measures undertaken, measure-
ment and verification of the resultant savings are of crucial importance for achieving
the goal of the EEDSM programmes. According to Eskom, a total of 3 072 MW has
been saved since the implementation of their IDM programmes, equivalent to the
output of approximately five power stations in the past four years (Eskom, 2012). In
terms of the first mass roll-out programme, a total of 2 137 MW has been saved by
replacing over 53 million incandescent bulbs with efficient compact fluorescent
lamp bulbs. Savings from this programme have contributed to 70% of all savings
claimed by the Eskom IDM unit. Several new, more flexible funding mechanisms
were introduced in the past 18 months which target mainly the commercial and
small industrial sectors. Savings from these initiatives are only now being realised
(De la Rue du Can et al., 2013).

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5.2.3 Renewable Energy Resources and Implementation
The priority areas for South Africa from a renewable energy perspective, given the
policy direction, are those of solar, wind and bioenergy resources. Hydropower
potential is limited due to the small number of rivers suitable for generating
hydroelectricity and current and projected water limitations in the country (ERC,
2007).
5.2.3.1 Solar Energy
It is estimated that South Africa has about 280 TW of solar energy (CRSES, 2013).
The country has amongst the best solar energy resources in the world – abundant
sunshine, together with low precipitation and vast tracts of unused flatland. The
greatest potential is in the western and north-western parts of the country. However,
to date, relatively little has been exploited.
Concentrated Solar Power
Concentrated solar power (CSP) is a simple technology in which solar collectors are
used to concentrate solar radiation to achieve high temperatures in a heat transfer
fluid (Pitz-Paal, 2013). Currently, CSP is expensive compared with fossil fuel-based
plants and will need a variety of incentives to make it cost-effective. However,
South Africa could position itself as a leading global player in CSP in the future. To
date, two large 100 MW CSP projects have been commissioned (Rycroft, 2013).
Another opportunity is that the materials used to construct CSP plants are (mostly)
readily available and many of the components can be manufactured locally. The
South African Renewables Initiative (SARi) has estimated that more than 60% of
CSP systems could be manufactured locally with little government support. The
establishment of local value chains is hoped to drive the CSP industry towards
greater commercialisation and eventually drive the price of electricity from CSP
systems low enough to make them competitive with conventional generation
sources (Edkins et al., 2010).
Photovoltaic Systems
ThereispotentialforSouthAfricatopositionitselfIntermsoftechnologydevelopment
to support photovoltaic (PV) applications. The current roadmap (RECORD, 2013)
highlights that South Africa should primarily consider crystalline silicon (wafer, cell),
not only to create a knowledge base for growing the market in the country and
elsewhere in Africa, but also to be able to compete in that market – in terms of
establishing manufacturers across the PV value chain. R&D activities, over the next
five years, to support these focus areas are given in Appendix 4.
Thermal Heating and Cooling Applications
Although policy has not directly supported solar resource applications in the
agricultural and industrial sectors, these sectors offer potential in for example,
space heating for factories, steam generation for production processes, drying
applications, and desalination (Holm, 2009).

83
Advanced applications, such as solar cooling and air conditioning, industrial
applications and desalination/water treatment, are in the early stages of develop-
ment, with only a few hundred first-generation systems in operation. For the water-
stressed regions of the world, much emphasis is placed on driving down the cost
of water treatment and desalination, with solar thermal systems. Also, in contrast
to many other renewable energy technologies, the majority of firms in the solar
thermal heating (and cooling) segment are not listed companies, but large firms
from the broader heating and thermal sector or independent actors. They remain
highly fragmented, with only one in four companies producing more than 35 MWth
(50 000 m2
) per year, and the largest group manufacturing fewer than 7 MWth (10
000 m2
). Thus, South Africa may be able to capitalise on applied R&D to develop
products for a growing market that will maximise entrepreneurial opportunities for
the country.
CSP Hybridisation
Solar steam augmentation can be used to increase a conventional power station’s
electricity production or to reduce the amount of fossil fuel required. Either way
leads to a reduction in the carbon footprint of the cumulative production of
electricity.
As the infrastructure of the conventional power station is already in place, capital
costs of solar steam augmentation are significantly reduced. Together with the
accompanying reduced risk, steam augmentation plants are likely to reach
economic feasibility earlier than stand-alone CSP systems (Turchi et al., 2011).
5.2.3.2 Wind Energy
The wind energy resource of South Africa is estimated by the South African Wind
Energy Association to exceed 30 GW. Potential is greatest along the southern and
north-east coastline (and associated inland regions). Wind farms offer the largest
immediate potential for input into the national electricity grid, and for significantly
alleviating South Africa’s power supply shortage. The technology is mature, and is
mainstreamed globally (Trollip and Marquard, 2010).
5.2.3.3 Biofuels
Biofuels are liquid or gaseous fuels derived from organic material or biomass. They
are particularly important for the transport sector as a replacement for fossil fuel-
based fuels. Biofuels include bioethanol, biomethanol, biodiesel and biohydrogen.
Generally, biofuels are categorised into conventional or first-generation biofuels
and advanced or second-generation biofuels (WBA, 2013). The former are based
on feedstocks, such as corn, cereals, canola and soybean, whereas the latter are
based on cellulosic feedstock such as straw, bagasse, rice husks, organic waste
and algae. Second-generation biofuels are mainly in the pre-commercialisation or
early commercialisation phases.
The national biofuels policy (DME, 2007) set a target of 2% of fuel supply from
biofuels by 2013. Maize is excluded as a feedstock and biodiesel feedstock is
limited to soybeans, canola or sunflower oils, and the production of ethanol is
restricted to sugar cane or sugar beet. There is provision for fuel tax exemptions

84
of 50% for biodiesel and 100% for ethanol in the policy. To alleviate concerns
about competition with food production, there is a focus on new and additional
agricultural land.
At present, biomass is used for co-generation of heat and electricity in the paper
and sugar industries, and biogas is generated, for example, from waste biomass in
breweries. The use of biomass as an energy source is also supported by the Working
for Energy programme.
The position paper on the South African Biofuels Regulatory Framework (DoE, 2014)
acknowledged that biofuels projects are on their own not financially attractive
at the prevailing feedstock and crude oil/liquid fuels prices. The position paper
proposed that a better regulatory environment be created that is more conducive
for the production of biofuels. Actions include:
• Blending of a minimum of 5% biodiesel (v/v) and 2% bioethanol (v/v) with
fossil fuels will be mandatory as from 1 October 2015.
• Eight manufacturing licenses (four bioethanol and four biodiesel licences)
have thus far been granted by the DoE.
• The DoE is working on an appropriate Biofuels Pricing Framework in
conjunction with the National Treasury.
• A levy earmarked for the subsidisation of manufacturers of biofuels will be
part of the General Fuel Levy applicable to all petrol and diesel consumed
nationally.
Research projects are underway at a number of South African universities on
the production of biofuels, including biodiesel from algae (University of the
Western Cape, Durban University of Technology) and bioethanol from biomass
(Stellenbosch, Rhodes, Free State Universities). Significant progress has been made
in the conversion of cellulosic feedstocks, such as agricultural residues, to biofuels
at Stellenbosch University.
When advanced second-generation biofuel technologies come to fruition and
50% of the residual lignocellulosic biomass (almost 50 Mt on an annual basis) is
used, biofuels could play a significant role in South Africa’s transport fuel future
(Lynd et al., 2003).
5.2.3.4 Concluding Remarks
A number of outstanding issues are delaying initiation of the renewable energy
industry in South Africa due to the required technical and policy investigations,
however, the country is set to become a global leader in renewable energy roll-
out. Although the local renewable energy industry is currently in its infancy stage, it
possesses long-term potential for growth and job creation.
Considerable experience in renewable energy research exists in South Africa.
Harnessing its science and technology potential, relative economic prosperity
and strategic geographical position at the southern tip of Africa, South Africa can
change its role from being the main emitter of CO2
in Africa, to the technology
provider to set Africa on a future path of sustainable development.

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5.2.4 Clean Coal Technologies
5.2.4.1 Introduction
Currently coal supplies 92% of the primary energy and 40% of the country’s liquid
fuel. Furthermore, coal provides 98% of the carbon-based requirements in the iron
and steel industry in the form of reductants (coke, char and anthracite) used to
reduce metal oxides to metals. Coal also supplies heat and power to approximately
6 000 smaller-scale industrial users for process heat and power, including the pulp
and paper, sugar, brick and tile, cement and lime, food and chemical industries.
In order to maintain the country’s current basic source of energy whilst alternatives
(renewable energy and nuclear power) are in the ascendency, urgent steps
are required to reduce GHG emissions, specifically CO2
from coal consumption.
The introduction of clean coal technologies includes, inter alia, the upgrading
or beneficiation of South Africa’s poor-grade coals to produce a product with
significantly improved combustion efficiencies and thereby significant emissions
reduction in power generation, process heat production, metallurgical processes
and when using coal as a source for valuable carbon-based solid, liquid and
gaseous chemicals. Such processes must also be designed to provide greater
operational efficiencies and in a manner that requires little or no water, given the
paucity of water in the country.
5.2.4.2 Clean Coal Technology
Clean coal technology is applicable during both coal extraction and use. Whilst
the term generally refers to the use of coal for power generation, it also applies to
all other aspects of coal utilisation, e.g. gasification, coal-to-liquids and chemicals,
metallurgical iron, steel and ferroalloy manufacture, and cement, brick, pulp and
paper production amongst others.
Coals must be used in the most efficient manner in order to maximise the output of,
for example, steam and power, with the minimum of GHG emissions. In essence,
this implies that the boiler or gasifier must obtain the most suitable coal qualities to
meet plant design specifications or the boiler or gasifier must be designed to meet
the grades available. The different GHGs emitted during use are then handled
accordingly. Low NOx burners and post-combustion ammonia-based processes
for NOx reduction are installed to prevent NOx emissions; SOx is reduced either in
the pre-utilisation phase by means of beneficiation (whereby sulphur in the form
of the mineral pyrite (FeS) is extracted from coal) or in post-utilisation where it is
captured in gaseous form during flue gas desulphurisation. CO2
is captured pre-,
during and post-utilisation using various methods and is then transported to various
suitable geological sites for injection, storage and monitoring.
5.2.4.3 Challenges in using Coal in a Low Carbon Economy
Achieving the proposed reduction in GHG emissions while coal remains a significant
element in the energy mix is hampered by a number of factors.

86
The first challenge facing the continued use of coal in South Africa is that the coal
now being mined is of a lower quality than was the case in the past, primarily
because the best qualities have largely been mined out for both local and export
purposes over the past 60 years. This situation poses major challenges throughout
the coal value chain as many coal plants brought into this country over the years
– both for production and utilisation – were designed for high grades of coal. Such
low-combustion efficiencies require more tons of coal being burnt to produce a
given energy output, resulting in turn, in the production of high emissions of GHGs
for every megawatt or ton of steam produced.
To reduce CO2
emissions further, a major improvement in efficiency is required, which
can only be achieved by the introduction of new clean coal technologies. With
the introduction of super and advanced super-critical pulverised power stations
and integrated gasification and combined cycle (IGCC), efficiencies increase and
CO2
emissions drop further, but major emission reduction is considered possible only
through CCS.
Limited water capacity in the country further exacerbates the situation because
almost all beneficiation, utilisation and environmental processes require water to
operate in one form or another. To minimise water use, Eskom has installed the first
dry-cooling towers at Matimba Power Station, Limpopo province, whilst dry de-
shaling technologies are now being introduced in some beneficiation processes.
Such processes, however, come at ever-increasing costs.
5.2.4.4 Upgrading or Beneficiation of Coal prior to Use
The upgrading or beneficiation of South Africa’s poor-grade coals is of vital
importance as it can separate out good grades of coal from poor, thereby
providing a range of products for use in industry.
Considerable work has also been conducted on increasing the operational
efficiency of various conventional washing plants, improvements in the designs
of existing plant equipment and the introduction of new processes. Furthermore,
an integration of two or more beneficiation process plants in sequence has been
found to increase the levels of separation between good coal and contaminating
materials. A number of such multi-process plants are currently on trial.
5.2.4.5 Carbon Mitigation Technologies – Carbon Capture and Storage
South Africa has a relatively high carbon footprint per capita. As a result, CCS
offers an important means to limit CO2
emissions from large-scale energy-intensive
sources. Research has been undertaken into the potential for CO2
storage and
in 2010 a national geological survey of potential storage sites in the country was
undertaken, both on land and off-shore. The results indicated that, without further
research, less than 2% of potential storage is available on-shore, with the bulk some
distance off-shore in gas fields along the southern and western coastlines of the
country.

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5.2.4.6 Coal Combustion and Power Generation
Establishing higher efficiency coal-fired power plants is seen as an important and
near-term step in reducing carbon emissions.
Modern systems of replacements or upgrading for large-scale power plants include
clean coal technologies, such as changing sub-critical power plants that operate
at modest temperatures to super-critical and ultra super-critical plants which
operate at much higher temperatures.
Attempts to increase efficiency in South Africa’s other sub-critical large-scale
coal-fired power stations are on-going and difficult. The qualities of coal being
fed to the stations do not match the original specifications provided by the boiler
manufacturers. In order to improve the situation, de-shaling (removal of rock) of
the coal-feed prior to it being fed into the mills, and installation of on-line analyses
to check the qualities of coal prior to combustion, are undertaken.
Improved efficiencies in industrial boilers are a further area of concern and in need
of urgent attention. Approximately 6 000 industrial boilers provide heat and power
generation for a wide range of industries in South Africa. Many of these boilers were
imported from the United Kingdom, Europe or the USA during the period 1950 to
1970 and were installed with coal-quality specifications equal to those used in their
countries of origin.
In the short term, boiler manufacturers are now hard pressed to design and produce
equipment that will provide adaptations to existing plants to ensure more efficient
operation and to reduce particulates and GHGs emitted from such boilers.
In the medium to longer term, the methods underway for reducing emissions,
increasing efficiencies and providing a source of energy and related products for
South Africa are:
• Underground coal gasification: This is designed to reduce CO2
emissions, to
utilise deep otherwise-sterilised and lower-grade coal seams, to provide gas
for power generation and gas-to-liquids, and is overall more cost-effective
and efficient than conventional coal-fired power stations.
• Co-firing with biomass: Co-firing coal with biomass to reduce CO2
emissions
is currently being practised in South Africa by some paper, pulp and sugar
industries.
• Co-generation: The capture and use of waste heat in power generation,
metallurgical plants or other industrial coal-fired process operations is
currently being undertaken as a further step in CO2
abatement in those
industries.
• Conversion of coal-fired boilers to gas: The combustion of gas is
considerably more efficient than coal and produces considerably lower
CO2
emissions.
• Introduction of new clean coal technology boiler plants such as fluidised-
bed combustion.
• CCS and GHG emissions: In anticipation of impending carbon taxes and
limits on CO2
emissions, all new large-scale power plants in South Africa will
be required to be CO2
capture-ready in preparation for full-scale capture in
due course.

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5.2.4.7 Carbon Capture
Large-scale CO2
capture systems on coal-fired power plants are still at the pilot
stage in a number of research centres round the world. Certain larger demonstration
units are now being planned but there are no full-scale operations as yet. South
Africa has not as yet entered into any serious levels of R&D in CO2
capturing, apart
from initial oxyfuel combustion investigations currently being undertaken at the
Council for Scientific and Industrial Research (CSIR). Being aware of international
developments in CO2
capture is, however, of paramount importance to South
Africa as any future large-scale coal-fired power plants will be required to be CC-
ready when built.
5.2.4.8 Co-firing with Biomass
ThereisincreasinginterestintheuseofbiomassforreducingCO2
inpowergeneration.
This is based upon the concept that if biomass is grown in a regenerative manner,
its combustion will not produce any net CO2
emissions, i.e. growing plants ingest
CO2
and produce O2
to the atmosphere, so the CO2
produced when the biomass is
combusted equates to the CO2
ingested by currently growing plant populations. Co-
firing of biomass with coal is particularly attractive to coal-fired power generators as
it is considered to be one of the simplest ways to reduce CO2
emissions from a coal-
fired power plant. There are, however, a number of issues associated with co-firing
biomass with coal due largely to the difference in fuel composition and physical
and combustion characteristics. This includes difficulties in handling and crushing to
adequate pulverised sizes and to transporting it via ducts into the boilers due to its
low density relative to the heavier pulverised coal particles. Biomass materials also
have different chemical compositions and combustion characteristics.
One further area of research in South Africa involves the growth of algae, both
as a source of biomass for power generation and as a natural and sustainable
CO2
sink (consumer). Initial results showed that increased CO2
concentrations in
algal ponds can lead to a 12-fold increase in the growth of the algal population.
In addition, excess algal mass can be used to produce associated food products,
liquid fuels and other high-value industrial products and it has been shown to
support fish culture.
5.2.4.9 Concluding Remarks
Considerable opportunity exists to reduce the environmental impact of coal
usage in various quarters of the South African industry leading to increased process
efficiency and reduced GHG emissions, but these come at a cost. Given the high
dependency on coal for the country’s energy, liquid fuels and metal products,
great care will need to be taken in future to achieve the correct balance between
environmental responsibility and socio-economic and industrial development.

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5.3 Green Technologies in Water
5.3.1 Introduction
Waterprovisionisthemostbasicinterventionandrequirementforpovertyalleviation.
In addition to the well-documented economic, social and environmental impacts
of poor water supply and sanitation (Mara, 2003; Moore et al., 2003; Johnson et
al., 2007; Montgomery and Elimelech, 2007), the health and welfare of people,
especially of vulnerable groups, such as children, the elderly and poor, are closely
related to the availability of adequate, safe and affordable water supplies (Theron
and Cloete, 2002; Ashbolt, 2004; Eshelby, 2007).
In South Africa, there are still millions of people who are ‘water poor’. According to
the latest statistics (StatsSA, 2013a), almost 10% of the population lacks access to
piped water. Of the component of the population with access to piped water, only
44.5% had access to piped water in the dwelling. The remainder experienced access
either through piped water on-site, at their neighbour’s dwelling or communal taps.
A small percentage (2.3%) still relies on rivers, streams and dams for drinking water.
Moreover, increasing pollution of groundwater and surface water from a wide
variety of industrial, municipal and agricultural sources has seriously tainted water
quality in these sources, effectively reducing the supply of fresh water for human
use (Kemper, 2004; Foley et al., 2005; Coetser et al., 2007). Although the nature
of pollution problems may vary, they are typically due to inadequate sanitation,
algal blooms fertilised by the phosphorus and nitrogen contained in human and
animal wastes, detergents and fertilisers, pesticides, chemicals, heavy metals,
salinity caused by widespread and inefficient irrigation, and high sediment loads
resulting from upstream soil erosion (Ritter et al., 2002; Fawell and Nieuwenhuijsen,
2003; Mara, 2003; Falconer and Humpage, 2005; Foley et al., 2005).
Given the importance of potable water provision to all people and taking into
account concerns regarding the viability of current practices of meeting the
increasing demands of all water users (Weber, 2002), there is a clear need for
the development of innovative and low-cost green technologies and materials
whereby challenges associated with the provision of safe potable water can be
addressed.
5.3.2 Applications of Green Technologies in the Water Sector
5.3.2.1 Management of Algal Blooms
Eutrophication of water sources, caused by a high inflow of nutrients such as
phosphates and nitrates, often results in toxic algal blooms. The decay of algal
matter may lead to oxygen depletion in the water, which in turn can cause
secondary problems, such as fish kills from lack of oxygen and the liberation of
toxic substances or phosphates that were previously bound to oxidised sediment.
The Hartbeespoort Dam is one such dam, which is dominated for most of the year
by visible cyanobacterial or algal blooms.

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It is accepted that phosphorus control is more achievable than that of nitrogen;
a small degree of phosphorus reduction can achieve a much greater degree
of growth reduction of cyanobacteria than a reduction of a similar magnitude
in the nitrogen level. A green technology, using lanthanum-modified bentonite
(Ross et al., 2008) and/or lanthanum-modified zeolite (Ning et al., 2008) has
developed as a specially modified phosphorous binding clay and proven effective
in euthrophication control. It reduces phosphorus levels, neutralises the pH of the
water and acts as a successful algal flocculant.
These specific products do not negate the improvement and optimisation of
biological wastewater treatment systems and specifically, systems designed for
enhanced nutrient removal.
5.3.2.2 Acid Mine Water Treatment
The production of effluents containing high concentrations of sulphate and heavy
metals, and having a low pH, is a worldwide problem primarily associated with
the mining industry. Known as acid mine drainage (AMD), these effluents lead to
various environmental problems, killing aquatic life, as well as presenting economic
problems due to their highly corrosive properties.
AMD may be remediated by neutralising the effluent and removing the sulphate
and metals. Various active sulphate removal technologies are available (Hulshoff
Pol et al., 2001), however, they are linked to negative effects, such as the
production of large amounts of sludge and brine that require disposal at additional
cost. Widespread application of these active AMD treatment processes has not
yet occurred, probably due to the high costs involved, as well as to the degree of
maintenance and supervision required. However, depending on fitness for purpose
(irrigation, industrial or potable) and the level of purity required, the cost will vary
and in some cases may be cost-effective.
There is an increasing demand for inexpensive, green technologies to remediate
AMD. One such potential technology is the so-called passive treatment system,
defined as a water treatment system utilising naturally available energy sources such
as microbial metabolic energy, photosynthesis, chemical energy, and the use of
natural topographical gradients to regulate flow. Sulphate reducing bacteria drive
sulphate reduction in passive treatment systems and utilise organic compounds, if
a suitable electron donor is available for the reduction of sulphate to sulphide (Dill
et al.,1994).
The most cost-effective and available organic electron donors are of plant material
(wood chips, silage, grass, etc.) or industrial and/or municipal waste (sewage,
sludge, etc.) (Howard et al., 1989). Their effectiveness in the passive treatment of
AMD depends on their chemical composition, specifically the ratio of components
such as lignin, hemicellulose, cellulose, proteins and carbohydrates. Malherbe and
Cloete (2002) provide further details on their biodegradability and on other forms
of organic electron donors.
One of the limitations of passive treatment systems is the availability of readily
available carbon sources to drive sulphate reduction over the design life of the
passive treatment system (~20 years). Another technology is the BioSure process

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that takes care of two waste streams at the same time. Although the carbon
availability problem did arise, the Water Research Commission (WRC) is currently
funding a project to overcome this hurdle with positive results to date.
5.3.2.3 Potable Water Provision
Microbiologically contaminated water impacts the health of people, especially in
rural areas, where there is a lack of treated water and where people drink directly
from their respective water sources without any treatment. There is thus an urgent
need to implement low-cost, simple, sustainable and effective technologies for the
production of satisfactory drinking water in these areas to prevent the spread of
water-borne diseases.
Solar water pasteurisation is one such green technology that has shown that
it is possible to decontaminate sewage water of faecal indicator bacteria by
heating water to temperatures above 60°C (Nevondo and Cloete, 1999). Both
these technologies, solar pasteurisation and UV disinfection, are low-cost green
technologies that can be used to treat water and contribute to solving the
challenge of the provision of clean drinking water for all South Africans, particularly
those in rural areas.
5.3.2.4 Nanotechnology Applications in Water Treatment
Nanotechnology has been identified as a technology that could play an important
role in resolving or ameliorating many of the problems involving water purification
and water quality (Savage and Diallo, 2005; Bottero et al., 2006).
Potential impact areas for nanotechnology are divided into two categories as
follows (Masciangioli and Zhang, 2003; Rickerby and Morrison, 2007; Vaseashta et
al., 2007):
1. Treatment and remediation – nanotechnology has the potential to contribute
to long-term water quality and availability, and the viability of water resources,
through the use of advanced filtration materials that enable greater water
reuse, recycling, and desalination.
2. Sensing and detection – of particular interest is the development of new and
enhanced sensors to detect biological and chemical contaminants at very
low concentration levels in the environment, including in water. Moreover,
nanotechnology has the potential to facilitate the development of conti-
nuous monitoring devices capable of yielding real-time measurements at
lower cost and with improved specificity, allowing municipalities to react
more quickly to potential crises (Riu et al., 2006; Vaseashta et al., 2007).
5.3.2.5 Rainwater Harvesting
Rooftop rainwater harvesting (RWH) can play a major role in sustainable water
provision, contributing to water conservation in urban areas and in providing
access to water. RWH involves the small-scale collection, capture and storage of
rainwater runoff for different productive purposes, including irrigation, drinking and
domestic use. RWH is thus considered one of the alternative water resources that
may enable South Africa to meet the goals set by the government, and to ensure
people’s well-being. This practice is currently spreading in rural areas throughout

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the country, especially with the financial assistance provided by government
to resource-poor households for the capital cost of rainwater storage tanks and
related works.
Advantages of rooftop RWH include direct management by households, provision
of water at or near the point-of-use. The chemical quality is generally acceptable
for general use (non-human consumption). However the microbiological quality
does not meet potable standards and hence further treatment is required before
the water can be used for human consumption. There is a risk of spreading water-
related diseases and hence education to avoid water contamination is necessary.
5.3.2.6 Information and Communication Technologies in Water Delivery
In order to deliver water to millions of people in a sustainable way in the future,
smart water delivery systems using tailor-made software will be used. Information
and communication technologies (ICT) can be a useful tool to manage water
delivery (Goodall et al., 2011). Increasingly factors such as climate change, energy
availability for pumping water, and unpredictable rainfall causing water scarcity
are making it more complex to deliver water. The availability of real-time information
about the physical environment has become crucial for the management of water
(Kanwar et al., 2010). These variables include temperature, soil moisture, dam levels,
rainfall, leakages and real-time water consumption, etc. ICT provides a platform to
integrate geographical information system data (Fengyun and Xiaochun, 2010)
with satellite data, enabling climatologists to model weather forecasting that may
lead to innovative solutions to water management better, especially in water
scarce areas.
5.3.3 Concluding Remarks
Provision of potable water to all people in South Africa presents a challenge and
there are millions of people without access to a potable water supply. This presents
an opportunity for the development of innovative, low-cost green technologies
aimed at potable water provision. Examples include solar water pasteurisation, UV
disinfection and RWH. Nanotechnology also has a role to play in improved water
quality. South Africa also faces many water quality challenges linked to urban and
industrial activities. Increasingly, green technologies are being used to solve these
problems.
5.4 Green Technologies in Waste
5.4.1 Introduction
Waste management is currently undergoing a major global paradigm shift. This shift
is driven by issues of climate change, carbon economics and resource scarcity,
and requires that waste no longer be viewed as an unwanted by-product requiring
disposal to landfill, but rather as a renewable resource, suitable for re-introduction
back into local and global economies (Perella, 2013). This paradigm shift from
one of a linear to a circular economy creates significant economic and social
opportunities. These opportunities provided by the waste sector are integral to the
larger discussion underway with regard to greening the economy.

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This paradigm shift is having a significant influence on waste technologies, as
the waste sector seeks out alternative solutions to traditional disposal of waste
to landfill. As noted by Perella (2013:21), as the resource management agenda
unfolds, the biggest commercial opportunities will arise from “smarter value
extraction techniques. This will require a strong need for technical innovation”.
Moving waste up the hierarchy away from disposal towards waste prevention,
reuse, recycling and recovery will require new technological innovation (Figure 5.1).
Globally, government, business and academia are investing in alternative waste
technologies which efficiently, and cost-effectively, recover resources from waste.
Green technologies within the waste space are therefore seen as technologies
which will facilitate such a move up the waste hierarchy and which will maximise
resource recovery. The rationale of moving waste up the hierarchy is ultimately one
of improved environmental outcome (DEFRA, 2013a). However, alternative waste
management solutions should only be adopted if the environmental, social and
economic benefits outweigh those of disposal.
Figure 5.1: Waste hierarchy
The following sections explore these emerging waste technologies and the oppor-
tunities they present for South Africa.

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5.4.2 Global Trends in Waste Technology
A recent study on the impact of a circular economy on the waste sector, found
that the majority of businesses are moving waste up the hierarchy by focusing on
increasing recycling rates, better waste prevention, a greater focus on waste reuse,
setting zero-waste to landfill targets and energy recovery (Perella, 2013). Waste
recycling and recovery, and associated technologies, have become a key focus
under the green economy.
Recent Eurostat data for 2010 show this transition away from landfilling towards
recycling and recovery within the European Union (EU) (Figure 5.2). While differences
in waste management technologies exist between EU member states, the EU, as
with most developed countries, is showing a move away from waste disposal to
landfill, to resource recovery (other than energy) (which includes recycling) and
energy recovery (Eurostat, 2013). Countries such as the Czech Republic, Poland,
Italy, Germany, Denmark and Belgium have managed to reduce the quantity of
waste disposed to landfill, to less than 25% (Figure 5.2).
Figure 5.2: Mix in waste management technologies within the EU member states
(2010) and South Africa (2011) (EuroStat, 2013; DEAT, 2012)
The USA has shown slight year-on-year improvements in the percentage of
municipal solid waste recovered over the past five years (2006 – 2011), with the
most recent figures for 2011 that of 46.4% recovery (including energy recovery) and
53.6% disposal of waste (US EPA, 2013).

95
Asia is also driving this trend towards increased recycling and recovery. The 12th
five-year plan for national economic and social development of the People’s
Republic of China (2011 – 2015) (CBI, 2011) has identified two specific areas of
socio-economic development relating to waste:
• Cultivating and developing strategic emerging industries, one of which
focuses on an energy conservation and environmental protection industry,
including recycling.
• Vigorously developing a circular economy, including implementing circular
production methods; enhancing the circular use of resources and recycling
systems; popularising the green consumption model; and strengthening
policy and technical support.
Major areas of waste recycling technology identified by China in the 12th
five-year
plan for waste recycling technology (China Briefing, 2012) are very similar to those
emerging from Europe, and include:
• Waste recycling and recovery of metals (i.e. scrap metal, waste electronics,
used electro-mechanical products) and plastic (recycled polymer).
• Recycling of large industrial waste streams, e.g. fly ash, gypsum, mining
waste, etc.
• Energy recovery from waste, e.g. domestic waste, industrial and sewage
sludge.
Waste recycling and recovery technologies cover a wide range of waste streams
and technology types, too extensive to cover in any detail in this report. These
technologies include mechanical, thermal, chemical and biological processes
(VTT, 2012). The ultimate aim of these technologies is to recover viable resources,
such as polymer, fibre, ferrous and non-ferrous metals, etc., from within the waste
and re-introduce them into the manufacturing economy in order to make new
products. While paper can be recycled five to seven times before the fibres become
too short to be useful, other materials such as glass and metals can be recycled
indefinitely. The number of times that plastic can be recycled varies, depending on
the plastic type and the new product into which it is to be used (US EPA 2013b; VTT,
2012).
Given the current limitations, the future of recycling and recovery technologies will
need to be on (VTT, 2012):
• increased efficiency in material recovery and recycling;
• design for dismantling and recycling, in response to the increasing
complexity of products and related wastes;
• improved feedstock management, including increased access to
recyclables (quantity) and to clean recyclables (quality).
Energy-from-waste (EfW) technology is a blanket term for a range of technology
types, including both thermal and non-thermal technologies, aimed at creating
energy in the form of electricity, heat or transport fuels (DEFRA, 2013a; ISWA, 2013).
Current examples of thermal EfW technologies include conventional incineration/
combustion, and advanced3
thermal treatments such as gasification, pyrolysis,
plasma gasification and thermal depolymerisation. Examples of non-thermal EfW
technologies include anaerobic digestion, fermentation, mechanical biological
treatment and landfill gas recovery (REA, 2011; DEFRA, 2013a; Funk et al., 2013;
3
Also often referred to as alternative thermal treatment.

96
ISWA, 2013; McDonald, 2013). Within each of these EfW processes, there are a wide
variety of individual technologies.
As the use of EfW technologies grows and becomes part of the standard
technology portfolio of a country, there is increasing debate around the trade-off
between recycling and energy recovery. From a circular economy and resource
recovery philosophy, EfW should be seen as a complementary technology to
recycling, with the approach to integrated waste management being one of first
waste prevention, followed by maximising waste reuse and recycling and finally
recovery, including energy recovery (REA, 2011; DEFRA, 2013b). EfW technologies
are therefore typically concerned with recovering energy from residual waste,
once all economically viable recyclables have been removed (DEFRA, 2013a).
If countries are successful in achieving the top orders of the waste hierarchy,
potentially less residual waste will be available for energy recovery. According
to DEFRA (2013a:22), “government’s aim is to get the most energy out of residual
waste, rather than to get the most waste into energy recovery”.
The focus of future EfW technologies are therefore largely on (DEFRA, 2013a; Funk
et al., 2013):
• higher-efficiency energy recovery, both in terms of resources and cost;
• flexibility to long-term changes in residual waste feedstock so as to support
the move up the waste hierarchy, rather than constrain it;
• coping with the heterogeneous nature of municipal solid waste feedstock,
which can result in the widely varying chemical composition of the energy
products.
5.4.3 Local Trends in Waste Technology
5.4.3.1 Status Quo in South Africa
South Africa is still largely at the periphery of this global transition towards a circular
economy. The promulgation of the National Environmental Management: Waste
Act (Act 59 of 2008) (NEM:WA) (RSA, 2009b), underpinned by the principle of
the waste hierarchy, is prompting change within the South African waste sector.
However, as at 2011, 90.1% of all general and hazardous waste generated in the
country was still disposed of to landfill sites, often uncontrolled open dumpsites.
Only 9.8% of generated waste was recycled and 0.1% treated (DEAT, 2012). The
current portfolio of waste technology solutions for South Africa is therefore still
heavily reliant on landfilling (Figure 5.3).
As with most developing countries, where recycling is occurring in South Africa, it is
largely driven by the informal waste sector, currently estimated to provide a living
for some 60 000 – 90 000 people (World Bank, 2012; DST, 2013). The informal sector
in South Africa is thought to collect 80% of glass, 90% of polyethylene terephthalate
plastic and the majority of the recovered paper into the recycling economy (BMI,
2013). This has resulted in fairly good (by international standards) recycling rates for
packaging material including glass, metal, paper and plastic (BMI, 2013).
The national Waste Sector Survey for 2012 (DST, 2013), also highlighted the heavy
reliance on landfilling as a technology option in both the South African private and
public waste sectors. The study showed that while the private sector is introducing

97
(to some degree) alternative technology solutions, municipalities still rely very
heavily on landfilling as the primary solution for the management of waste (Figure
5.3).
Figure 5.3: Technology solutions in the private and public waste sector in South
Africa (DST, 2013)
When one considers that approximately 13% of general waste generated in
South Africa is municipal organic waste (DEAT, 2012), collected predominantly by
municipalities, and an additional 61% industrial biomass waste, it is surprising that
biological treatment (e.g. composting, anaerobic digestion) is not utilised more
extensively in South Africa. Large quantities of waste biomass, for example, food
waste and agricultural biomass, are being generated by industry, yet thermal
and biological technologies remain under-utilised. Industrial biomass presents the
largest, single type of general waste generated in South Africa at an estimated
36 mT per annum for 2011.
5.4.3.2 Emerging Technologies
A review of registered waste pat-
ents in South Africa, over the period
2007 - 2012 was conducted by the
CSIR to assess the potential intro-
duction of new waste technologies
into South Africa (future trends).
A search of patent title keywords
showed a strong leaning towards
high and low-temperature EfW
technologies (‘fuel’, ‘incineration’,
‘combustion’, ‘anaerobic diges-
tion’ and ‘pyrolysis’) and recycling
(DST, 2012a), which mirrors interna-
tional trends in new waste technol-
ogies towards recycling and recov-
ery (Figure 5.4).

However, according to DST (2012a), the majority of these patents (86%) were non-
South African owned. This would suggest that international companies see South
Africa as an attractive market for the introduction of green technologies, and have
begun to protect their intellectual property locally.
Figure 5.4: Patent keyword search results

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5.4.4 Technology Opportunities for South Africa
5.4.4.1 Innovation Activity within the Waste Sector
The Waste Sector Survey for 2012 (DST, 2013), showed that while both the private
and public waste sectors are innovating, the innovation activity remains relatively
low (Figure 5.5). This is to be expected given that currently, only 10% of waste is
diverted to alternative technology solutions. The private waste sector showed a
noticeably higher innovation activity than the public sector, which would suggest
that waste businesses are beginning to recognise the business opportunities in the
move towards a circular economy.

Figure 5.5: Introduction of innovation within the private and public waste sectors
(DST, 2013)
Interestingly, the majority of new technological innovation (product and process
innovation) being introduced into the private and public waste sectors, originates locally
(Figure 5.6). An analysis of innovation within the waste sector shows that 60% to 67%
of private waste companies are introducing local technological innovations, with 26%
to 35% introducing innovations from abroad into the South African market (DST, 2013).
The private waste sector showed a higher tendency than municipalities to introduce
technological innovations from overseas, with 26.1% of private enterprises indicating that
they had sourced their product innovations mainly from abroad, and 34.7% their process
innovations. This is higher than the figure of 24.0% for the broader South African business
sector, reported on in the South African Innovation Survey for 2008 (HSRC, 2011).
Figure 5.6: Origin of waste innovation within the private and public waste sectors
(DST, 2013)

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The availability of off-the-shelf waste technologies internationally is of benefit to
the South African waste sector, where companies are able to ‘shoparound’ for
the most appropriate technological solutions. It does however appear to have
impacted upon the local investment in waste R&D, which is low at only 0.33% of
the value of the sector (DST, 2013).
5.4.4.2 Local Waste Technology Opportunities
While 90% of South Africa’s waste is currently landfilled, our waste streams hold
significant potential for waste minimisation, followed by increased waste reuse,
recycling and recovery. This potential lies both in increasing current recycling figures,
as well as exploring new waste streams where recycling is low or non-existent. The
CSIR has identified the following waste streams, as possible waste streams to target
for achieving the goal of the South African Waste Roadmap for “a 20% reduction
(by weight) in industrial waste and a 60% reduction (by weight) in domestic waste,
to landfill by 2022, as measured against the 2011 National Waste Baseline for South
Africa” (DST, 2012b).
• Organic waste (e.g. garden waste, food waste, agricultural biomass,
industrial organics).
• Mining and power generation waste (e.g. residue stockpiles, slag, ash).
• Waste tyres.
• Waste of electric and electronic equipment (e-waste).
• Packaging waste (e.g. paper, plastic, glass, metals).
These waste streams provide significant opportunity given both the large quantities
of waste generated in South Africa, as well as their potential for recycling and
recovery. The Waste Roadmap, currently under development by the DST and due
for completion mid-2014, will further explore where opportunities exist for local
science, technology and innovation in the South African waste sector.
Domestic, commercial and industrial organic waste in particular provides oppor-
tunities for recycling and recovery technologies. Municipalities and business are
investigating, and in instances implementing, alternative solutions in the form
of composting and anaerobic digestion to deal with the organic fraction of
municipal solid waste and agricultural biomass. Most of the larger metropolitan
municipalities in South Africa are also currently looking at establishing large, high-
temperature thermal EfW technology solutions, such as pyrolysis and gasification,
through public-private partnerships with the private waste sector. However, due to
a number of obstacles (See Section 5.4.5), no large-scale EfW technologies have
yet been commissioned in South Africa.
As at August 2013, seven EfW clean development mechanism (CDM) projects were
registered in South Africa, all associated with landfill gas recovery; this from a total
of 56 waste management CDM projects which have been reviewed to date (DoE,
2013c).

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5.4.5 Barriers to Local Technology Uptake in the Waste Sector
Many alternative waste technologies are readily available from local and
international companies, ready for adoption and adaptation to South Africa
conditions and waste streams. Yet the uptake of green technologies in the South
African waste sector to date has been slow. Adoption of alternative technologies
does not appear to be so much of a technology issue as it is a receiving environment
issue (political, governance, societal, economic) (DST, 2012a). An analysis of current
obstacles to waste innovation in South Africa showed that economic/financial and
legislative issues were cited by both the public and private waste sectors as the two
biggest constraints to waste innovation in the country (DST, 2013).
Alternative waste technology projects in the waste sector are currently being
constrained by issues such as (pers. comm., industry representatives; SALGA, 2013):
• Ownership of waste by municipalities, who act as ‘gatekeeper’ to
renewable resources.
• Public Finance Management Act and Municipal Finance Management
Act issues regarding long-term contracting between the public and private
sectors, and public-private partnerships.
• Artificially low costs of landfilling which make alternative technology options
more expensive and unaffordable.
• Supplying electricity into the Eskom grid.
• Delays in approval of industry waste management plans.
• Licensing and approval processes for alternative waste management
options required by the NEM:WA.
• The definition of waste which adopts a conservative, risk-based approach.
• Political will to prioritise waste within the municipal functions.
• Community resistance to certain technology options, e.g. high-temperature
technologies.
• The lack of technical waste skills in many municipalities to appropriately
evaluate waste technology options.
• The lack of reliable waste data.
Joining this global paradigm shift towards a circular economy is therefore going to
require attention on a supportive and enabling environment for alternative waste
technologies. Perhaps the problem in South Africa is that recycling and recovery
are still viewed as waste management solutions, rather than resource and energy
solutions.
5.5 Green Technologies in Sanitation
5.5.1 Introduction
The urban population will double in the next 50 years. It is foreseen that water
scarcity will increase, energy requirements will soar and agriculture nutrients will
be under pressure. Sanitation has a major impact on human health, water and
energy usage and could play an important role in nutrient recycling for agricultural
purposes.

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Limitations of conventional sanitation include inadequate purification of more
than 90% of wastewater worldwide leading to pollution and health risks, while using
precious water. In many cases water used in conventional flush toilet sanitation is of
a potable quality leading to more water being used for sanitation than drinking. Not
only does this require a significant amount of energy, but also high costs pertaining
to operation and maintenance of conventional wastewater treatment works.
In terms of the national average, the percentage of households without flush toilets
or still using bucket toilets was 5.3% in 2012, which is an improvement from 12.3%
in 2002 (StatsSA, 2013a). Government intended to provide access to water and
sanitation throughout the country by 2014, and indications were that flush toilets
were the means to achieving the sanitation targets. Given this significant task, the
necessity of adopting alternative technologies increases when water shortages
and high costs of sewerage are considered (Eales, 2010).
5.5.2 The Case for Green Sanitation
Farmers require millions of tons of fertiliser annually for growing crops and simulta-
neously millions of tons of fertiliser equivalent are dumped as waste annually. Sus-
tainable sanitation can contribute to sustainable agriculture by using the nutrients
in the sewage sludge to supplement fertilisers, turning the disposal of products into
new products. The question is whether there is a single solution as an alternative
to conventional sanitation. Green sanitation (also referred to as eco-sanitation)
does not favour a particular technology, but embraces a philosophy of recycling
resources. The question is whether urine and faeces can be made safe for crop
production. The challenge therefore is to safely reticulate human-derived nutrients.
In order to save energy, the case can be made for decentralised systems, incorpo-
rating cost-effective solutions and a holistic interdisciplinary approach. This opens
up a wide range of sanitation options.

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The most important short-term driver for improved sanitation is however public
health concerns. A new mindset is required therefore, where wastewater is
considered as a valuable resource rather than a waste. The challenges of such
a new approach include minimising the introduction of pathogens from human
excrement into the environment. System design should minimise health risks and
maximise nutrient recovery. Recovered nutrients can be used to promote soil
fertility and the improvement of agriculture and food security.
The main requirements of green sanitation are: compatibility with socio-cultural
economic conditions, ease of use, being robust in operation, and making
maximum use of locally available resources. This renders green sanitation options
more complex than conventional flush toilet systems.
Essentially, three types of green sanitation designs are used, including urine diversion
systems, dry sanitation systems and composting latrines. The design criteria of each
and the advantages and disadvantages of each will not be discussed in detail
since these have been reviewed previously (Water Aid, 2011).
Eco-sanitation options are often not successful because of the lack of demand
from the user. The key question is, what would change the mindset and result in
the household being prepared to spend money on sanitation options available?
It seems obvious that health reasons could be a driver for behaviour change, but
research has shown that it is not the case.
Research by the World Bank Water and Sanitation Programme has identified
several other factors that motivate poor households to invest in sanitation (Water
Aid, 2011). “These include:
• convenience and comfort;
• privacy and safety;
• for women and girls, avoidance of sexual harassment and assault;
• less embarrassment with visitors; and
• dignity and social status.”
Many sanitation projects have failed due to a poor consideration of the socio-
cultural sustainability of the system.
Simpson-Hebert and Wood (1998) have identified ten barriers to progress in
sanitation, all of which are equally valid for the safe use of excreta and grey-water.
“These include:
• lack of political will;
• low prestige, priority and recognition;
• poor policy at all levels;
• weak institutional framework and unclear distribution of responsibilities;
• inadequate and poorly used resources;
• inappropriate approaches;
• failure to recognise defects of current excreta management systems;
• neglect of consumer preferences;
• ineffective promotion and low public awareness; and
• women and children last.”

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5.6 Green Technologies in the Industrial Sector
5.6.1 Introduction
The implementation of green technologies in industries aims to minimise the use of
hazardous materials and increase energy efficiency during a product’s lifespan.
The focus is on recyclable or biodegradability products and industry waste.
5.6.2 Implementation of Green Technologies
South Africa is a carbon-intensive economy due to its reliance on coal for energy
production. Given that the industrial sector consumes nearly a third of South
Africa’s energy use and over 50% of its electricity, this sector presents a tremendous
opportunity for implementing green technologies. To develop green industries
in South Africa, the IDC has allocated R25 billion over five years (2010/2011–
2015/2016). These funds were distributed via the Green Industries Strategic Business
Unit (SBU), the purpose of which is to develop, grow and invest in green industries
within the country. The focus areas are:
• Non-fuel-based green energy such as renewable energy.
• Energy efficiency and demand-side management.
• Emission and pollution management.
• Fuel-based green energy, i.e. waste to energy and co-generation.
• Biofuels, e.g. bio-ethanol.
South African industries have the potential to supply large amounts of electricity
through co-generation onto the grid. Barriers to implementation are difficulties in
getting agreements with Eskom and/or local municipalities, uncertainty about the
future in terms of prices that will be paid for selling electricity to the grid and high
wheeling costs, although in recent years there is evidence that there barriers are
being overcome.
A R500 million Green Energy Efficiency Fund was launched between a partnership
with Green Industries SBU and a German development bank (KfW). The aim was to
encourage investment by local entrepreneurs on energy efficiency projects. R96
million was allocated to eight projects which ranged from co-generation to waste-
to-energy, solar water heating and rooftop PV.
In the South African IPAP 2012/2013 – 2014/2015, green industries have been
identified as one of the key sectors which will strengthen industrial policy
interventions. Contributions to developing green industry in South Africa include:
• The Renewable Energy Independent Power Producer Procurement
Programme (REIPPP), launched in August 2011 with the goal of reaching a
capacity of 17.8 GW renewable energy generation by 2030.
• Increasing levels of local content with an emphasis on adhering to green
principles.
• New regulations on the mandatory blending of biofuels.
• The Industrial Energy Efficiency Programme which was launched in
November 2011.

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The National Cleaner Production Centre, which was set up to primarily assist industry
in becoming more resource efficient, is housed at the CSIR on behalf of the dti. The
centre aims to assist companies and sectors to become greener while increasing
competiveness, creating jobs and growth. It does this by creating awareness,
technical interventions, advising, building local expertise and demonstrating
successes.
The chemical industry in South Africa, through the Chemical and Allied Industries’
Association (CAIA), subscribes to the Responsible Care programme, a global
initiative of the chemical industry launched in 1985, which developed into
the UN Responsible Care Global Charter of 2006. CAIA has over 150 members,
including chemical manufacturers, traders and industry service providers. The
Responsible Care programme looks at continuous improvements in health, safety
and environmental performance of industries. The programme encompasses
the development of green chemistry leading to more sustainable processes. For
example, the Strategic Approach to International Chemicals Management, part
of the Responsible Care initiative, has as its overall objective the achievement
of the sound management of chemicals throughout their life cycle so that, by
2020, chemicals are produced and used in ways that minimise significant adverse
impacts on human health and the environment4
. The chemical industry thus reports
annually against certain performance indicators, such as water consumption or
energy consumed per ton of product.
PetroSA has embarked on a programme to import liquefied natural gas. Part of
the rationale for this programme is that it may be possible to generate power near
the coast using combined-cycle gas turbines. Not only are these far more efficient
than pulverised-fuel power stations, but by siting them at the coast, they can use
seawater for cooling, which is more efficient than dry cooling. They also save the
transmission losses otherwise associated with generating power inland. The net
effect is a marked reduction in GHG emissions for the same installed power.
The paper and pulp industry is a big energy consumer—the world’s fifth-largest
industrial user. The World Resources Institute set the industry’s CO2
emissions at
about 500 million tons worldwide in 20055
. This industry is also a large consumer
of water, with much of the water that is taken into the process being released
back into the environment. Reducing water use leads to both lower chemical
consumption, as well as reduced energy usage. Energy is used to make hot waste
and steam for cooking wood chips, pulp washing and drying paper. Hence there
is a possible win-win situation in terms of reducing energy and water consumption
and increasing profitability of the process. South African paper mills do implement
water recycling already. Paper mills and processing produce waste that can be
used to generate steam and also produce waste steam. This could be used for co-
generation of energy, which is currently not undertaken.
The South African sugar industry comprises 14 sugar mills, which are designed to be
energy neutral. However, the mills could be operated in such a way that significant
amounts of excess energy are produced, which could be converted to electricity
and, in turn, fed into the grid.
4
http://www.caia.co.za/index.php?pg=19http://www.caia.co.za/index.php?pg=19
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5.6.3 Future Developments in Green Manufacturing
The concept of green manufacturing includes both the manufacturing of greener
products as well as the greening of the manufacturing process. Here we focus on
the second aspect, namely the manufacturing process itself.
Reducing the use of resources, the production of waste and recycling and reusing
can improve the profitability of a company and is also good for the image of
the company. In order to achieve this, ways of redesigning and re-engineering,
restructuring or retooling have to be considered so that the manufacturing process
is more sustainable. A systems approach has to be used to look at the overall
manufacturing process and this has evolved into the field of industrial ecology.
To this end, the concept of cradle-to-grave product design and production has
been proposed as a way of considering the life cycle of the product so that
aspects such as the manufacturing, the distribution and the disposal of the product
can be holistically viewed.
Examples of technologies that might be implemented in future with a view to
greening the manufacturing process could include:
• Methods of marking products, such as sensors, so that that life cycle of the
product can be traced.
• New production technologies such as digital or additive manufacturing.
• Reconfigurable manufacturing systems.
• New materials such as composites or light weight alloys.
5.6.4 Future Developments in Green Chemistry
Global trends in R&D include the following:
1. Use of Renewable Feedstock
Renewable feedstock includes biomass, possibly waste, which may be generated
through a number of approaches, such as:
• Thermochemical treatment (i.e. gasification) of the substrate to yield a
simplified intermediate (typically syngas), which can then be used in fairly
conventional processes to yield syngas-based chemicals. This approach is
best suited for situations where biomass is being processed in any event (for
food, paper, etc.), and where the final product can be sold at a significant
premium as a result of its green credentials.
• Biological breakdown to a simplified platform, from which processing starts
again. This covers classical fermentations to ethanol, as well as conversions
to methanol, methane (anaerobic digestion), and new ‘platforms’ such
as succinic acid, lactic acid, etc. which are coming increasingly into
vogue. Typically, this is more efficient, but struggles to utilise the full range of
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2. Using Biological Processes to do Transformations
The following are being considered:
• Using the inherent efficiency and selectivity of biological processes to
convert syngas directly into ethanol or butanol or methane into methanol or
ethylene. Typically when volumes are large, contamination is a challenge
and conversion temperatures and pressures are low. The mild operating
conditions may have advantages in certain situations, but are often
problematic in terms of compactness, heat recovery or downstream
separations from water.
• Using plants (algae, plants, etc.) to capture sunlight and process CO2
.
(There are also some ventures into generating hydrogen, but this is still at an
early stage.) The production of chemicals in this way will remain a challenge
and will require either a green premium or a focus on products on the high-
value end of the chemicals spectrum.
• Using biochemical processes to attack biomass and do the conversions
discussed in the previous sections.
3. Developing Entirely New Products
This is an area where the pharmaceutical and ‘flavours and fragrances’ industries
have led the way in finding useful compounds in nature that have not been
created using conventional chemistry. This approach is struggling to take off in the
more general industry.
5.7 Green Technologies in the Mining Sector
5.7.1 Introduction
Mining is arguably South Africa’s most recognisable industry having made a major
contribution to South Africa’s economic development. According to Simpson
(2012), the mining sector is less than a third the size of the country’s manufacturing
sector in terms of gross domestic product (GDP) contribution. It comprises about
60% of the country’s exports and eight of the ten largest individual export categories
are commodities. Mining plays an important role in the economic prosperity and
social development of South Africans, particularly in rural areas, where mines are
one of the largest employers.
The mining sector has a reputation as a major polluting sector, having many
negative environmental and health impacts (Dexia, 2010), yet ironically, it is the
key to the introduction of green technologies in many other sectors. The mining
sector is the source of raw materials used, for example, in hybrid cars, modern
wind turbines, energy efficient lights and motor vehicle catalytic converters. The
negative impacts will need to be managed and balanced against the benefits
that the mining sector offers to the broader economy and at the same time
highlight the importance of sound environmental management within the mining
sector itself and the value of green mining.

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5.7.2 Green Mining
Green technologies have struggled to find traction in the mining sector as the
industry is risk averse, according to a recent report released by Kachan & Co.
(2013). However, changes are now taking place largely as a result of the promise of
economic benefits from new developments in green mining. Other drivers of green
innovation in mining technology according to Kachan & Co. (2013) are market
volatility, rising costs, falling commodity prices, decreasing productivity, policy
changes and social justice scrutiny.
Green mining involves finding innovative ways to minimise waste, improve
energy efficiency, minimise water consumption and to rehabilitate landscapes.
Interventions can be introduced at each stage of the mining process. For example,
during the mineral extraction stage, various chemicals and reagents are used to
extract minerals. These may include mercury, cyanide and sulphuric acid. After use,
most of these chemicals are released into waters near the mines, leading to water
pollution. Despite the use of tailings or pipes to dispose the chemicals, leakages
do occur. Leaked chemicals, infiltrating the earth, could therefore pollute the
groundwater. The chemicals can also make the soil unsuitable for plants to grow.
The use of green reagents, which eliminate the use or generation of hazardous
substances in the design, manufacture and application of chemical products, will
alleviate the contamination of the soil. Greener reagents and chemicals are the
technology of the future within the mining industry.
Other examples of green mining include the reduction of GHGs, selective mining
approaches to reduce ecological footprint, the use of bioremediation in mine
closures and the use of an environmentally friendly slag binder as an alternative to
cement to shore up shafts to prevent collapse (Vella, 2013).
In South Africa, green mining initiatives are becoming an increasingly economically
viable option for the industry. While it may be costly to comply with environmental
legislation, the long-term benefits that a mining company could reap by going
‘green’ present a more viable option. Non-compliance with environmental
legislation may result in the directors of the offending companies being held
liable, companies shutting down, operation stoppages, delays or having licences
revoked, large legal bills, imposition of penalties, and loss of investment, all of which
can be avoided (Newman, 2011). High energy costs and pressures for sustainability
are also triggering efforts to improve energy efficiency and investigate the use of
alternative energy sources.
South African mining houses such as Anglo American Platinum (Amplats) and
Sibanye Gold have both introduced green mining. Amplats has two pilot projects
that have introduced platinum-based fuel cell-powered equipment into their
underground operations and Sibanye Gold is capturing methane to generate
electricity at one of its mines and feeding the excess back into the national grid6
.
6
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Box 5.1 presents green initiatives of Mintek (2013).
Box 5.1: Mintek and green technologies
The mining industry is responsible for using substantial quantities of water and energy,
producing high CO2
emissions and contaminating water resources. Mintek believes
that there is potential to improve the efficiency of energy and water use in mineral
processing, and hence has as its third strategic objective: Research and develop
green technologies and processes to mitigate the impact of mineral development
on the environment (Mintek, 2013).
Specific objectives are as follows:
• Water: Develop water efficient flowsheets to optimise water consumption
and enable processing of ore bodies in water stricken areas.
• Energy: Develop energy efficient processes, flowsheets and control
technologies that minimise energy consumption and carbon emissions.
• Waste: Develop technologies for treating and recycling waste in order to
extend mineral resources and rehabilitate derelict and ownerless mine sites.
With regard to rehabilitation of mine sites, Mintek has managed a three-year pro-
gramme valued at R90 million on behalf of the Department of Mineral Resources .
The programme ended in March 2013 and resulted in the completion of 14 projects
and the creation of 305 temporary jobs (Mintek, 2013).
5.7.3 International Perspectives: The Case of Canada
The importance of the mining sector in Canada’s economy, as in South Africa,
makes green mining innovation especially vital. Some lessons from Canada’s
experience are relevant. The environmental performance of the mining industry
in Canada, which is built on a solid foundation of technological innovation, has
greatly improved over the last few decades and has already produced impressive
results. Some of their successes include the dramatic reduction of acid-related
damage of mining activities as a result of new prediction, prevention and treatment
methods. In addition, mine closure methods for both current and new mines have
been improved, through a requirement for closure plans and financial assurances
provided upfront.
In 2002, the Canadian government took a bold step by introducing the Green Mining
Initiative. The initiative aims to encourage innovation and promote environmentally
responsible mining practices at every stage of the mining life cycle. This $8-million
initiative is led by Natural Resources Canada in partnership with federal and
provincial ministries, as well as key stakeholders from industry, universities and non-
profit organisations.
The Green Mining Initiative offers a holistic approach that addresses all steps in the
mining process7
. The approach is based on four broad pillars:
• Footprint Reduction.
7
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• Innovation in Waste Management.
• Mine Closure and Rehabilitation.
• Ecosystem Risk Management.
5.7.4 The Mining Sector and Rare Earth Elements in South Africa
An overview of green technologies in the mining sector would be incomplete
without commentary on the potentially significant future role of South Africa in the
production of the strategically important rare earth elements (REEs). REEs consist of
17 different metals that are vital for the production of green technologies (Table
5.1) (Jepson, 2012). Currently, China accounts for 97% of the REEs produced
globally due to China’s recognition of the strategic importance of REEs early in the
1980s and subsequent strong state support and competitive pricing. Interestingly,
however, during the 1950s, South Africa was the world leader in REE production,
and is currently at the forefront of global efforts to revitalise the REE industry in
competition with China (Jepson, 2012).
Mintek has a good database around the recovery and refining of REEs, which was
developed from the 1980s. More recently, REE processing has become a potential
strategic project that would limit dependence on the supply of REEs from China.
Based on these market developments, Mintek has been involved in major projects
in South Africa, and southern Africa to develop cost-effective flowsheets for the
recovery and refining of REE. A REE separation pilot plant will be operated during
the first six months in 2014 to demonstrate a portion of the refining flowsheet. This
work forms part of a larger initiative to establish a central REE processing facility in
South Africa to facilitate the development of South African REE resources (Mintek,
2013).
There are two mines in South Africa that offer potential in this regard. The first is at
Steenkampskraal in the Western Cape, which was operated as a thorium mine
between 1950 and 1963, with REEs being mined as a byproduct. The mine contains
high-quality REEs in the tailings above ground and is expected to create 100 jobs
at the mine and a further 80 to 100 jobs at the separation plant. The second mine
is focused on a much larger deposit in the Northern Cape, known as Zandkopsdrift,
which is potentially the largest REE mine outside of China. Extraction and separation
of REEs is technically more difficult here and the mine is likely to create fewer
jobs than at Steenkampskraal, but importantly, the jobs would be created in an
economically depressed area of South Africa (Jepson, 2012).

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Table 5.1: Key green technology applications for rare earth elements (Jepson, 2012).
Rare Earth Element Application
Dysprosium Nuclear reactors, electric vehicles, lasers, future green
technologies
Holmium Generates strongest magnetic fields currently possible, lasers,
nuclear reactors
Erbium Fibre optics, lasers
Thulium Few current applications, does not occur naturally
Ytterbium Solar cells, optics, crystals
Lutetium Petroleum refining, possible cancer treatment, x-rays, computer
memory
Yttrium Phosphors, many alloys, turbochargers, prosthetics, cancer and
arthritis treatment
Scandium Aluminium alloys for aerospace, guns
Lanthanum Hybrid batteries, computers, fuel cells, electronic vacuums,
petroleum cracking
Cerium Glass polishing, solar panels, light-emitting diodes (LEDs),
catalytic converters
Praseodymium Aircraft engine alloys, super magnets, computerised axial
tomography (CAT) scan machines, fibre optics
Neodymium Electric cars, wind turbines, air conditioning, hard drives
Samarium Permanent magnets for defence applications, cancer drugs
Europium Red and green colours in TV sets, control rods for nuclear
reactors, alloys
There are significant negative environmental impacts to take into account in REE
mining. Poor environmental controls in China have devastated vast tracts of land.
The mines generate acidic waste water, produce harmful gases, contaminate
groundwater and produce radioactive tailings (Jepson, 2012). The environmental
impacts of the separation plants that convert the mined ore into oxides are even
greater than the actual mining process. It will be imperative to address these
potentially negative impacts in revitalising the industry. Over and above its own
REE mining activities, South Africa has the potential to act as a regional hub for the
processing of REEs mined elsewhere on the African continent (Jepson, 2012).

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5.8 Green Technologies in the Agricultural Sector
5.8.1 Introduction
The agricultural sector is one of the earliest sectors to apply green technologies
such as recycling of waste for use as fertiliser (composting, manure application)
and contributing to conservation of biodiversity in grasslands and savannas
through sound management of livestock grazing. It is, however, also responsible
for many negative impacts on the environment including contribution to GHG
emissions; pollution of water resources and environment from agricultural waste;
consumption of a large share of the nation’s water resources; land degradation
through overgrazing; and biodiversity loss due to irreversible conversion of virgin
land into cropland. These factors give the sector a negative image. They, however,
also present great opportunities for application of modern green technologies to
improve production efficiency and reduce the negative impacts of the agricultural
sector on the environment, while improving the livelihoods of rural communities
and ensuring national food security. Green technologies are an integral part of a
response to climate change impacts that are likely to have major consequences
for agriculture, such as increase in weather extremes, highly variable rainfall
patterns, uneven distribution of rainfall over the season, high temperatures and
associated evapotranspiration and less reliable predictive ability of short term or
seasonal weather forecasts which play a crucial role in planning farming activities.
5.8.1.1 Conservation Agriculture
Conservation agriculture involves no-till methods of cultivating crops at both large
and small scale, leaving much of the crop stubble in the field and thus replenishing
soil organic matter content. This form of cultivation improves conservation of water
resources as there is always vegetation cover that mitigates evaporation of soil
moisture. Conservation agriculturehas otherbenefitssuch as tangible improvements
in soil biology, colloidal humus and water-holding capacity of the soil. All these
lead to critical improvements in water use efficiency especially in rain-fed farming
systems and reduce fertiliser inputs and use of herbicides over time. Principles of
conservation agriculture include minimal mechanical soil disturbance (no-till),
permanent organic soil cover and use of diversified rotations between annual and
perennial crops. There are case studies in South Africa that have demonstrated the
success of conservation agriculture by both small-scale farmers and commercial
farmers near Bergville, east of the Drakensberg Mountains in KwaZulu-Natal.
Much research aimed at investigating strategies to give “more crop per drop”, as
requested by Kofi Annan in 2000, is supported by the Water Research Commission
(WRC) in South Africa (Everson et al., 2011).
5.8.1.2 Biogas Generation
A technology that has received considerable attention recently is the use of biogas
for renewable energy generation. Livestock manure is used in biogas digesters that
produce biogas, which is a cost-effective, environmentally friendly energy source
and an alternative to wood, charcoal and coal-generated electricity. Biogas
generation supports sustainable and integrated agriculture practice. It is one of the
simplest sources of renewable energy derived from sewage, liquid manure from

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chickens, cattle and pigs and organic waste from agricultural food processing.
Biogas generation can produce by-products such as the organic waste that can
be used as fertiliser in crop fields. Biogas digesters capture and utilise methane (one
of the most potent GHGs) directly and in the process reduce GHG emissions from
livestock. The gas generated from biogas digesters is used for generating power
for cooking, heating and lighting. The biogas system has been piloted in several
communities in KwaZulu-Natal, Limpopo and the Eastern Cape through research
funded by the Agricultural Research Council and the WRC amongst others.
5.8.1.3 Precision Agriculture
In the past, fertiliser applications, irrigation and herbicide applications were often
haphazard, and low prices for inputs did not lead to economic losses associated
with such wasteful practices. However, wasteful application of agricultural inputs is
no longer economically viable due to substantial and sustained increases in input
costs. The rise in the crude oil price has substantially increased fuel costs of farming
and increases in nitrogen fertiliser costs driven by supply and demand functions
and persistent shortages in phosphorus have driven fertiliser prices high. Fertiliser
contributes between 30% – 50% of production costs for grain crop producers as
production input in South Africa (GrainSA Report, 2011), largely as a result of the
energy-intensive nature of fertiliser production (Future Agricultures, 2008). Global
positioning systems (GPS) on tractors, planters and sprayers have resulted in
more precise placement of agricultural inputs, resulting in less waste and greater
productivity; coupled with GIS-linked soil testing (GIS pinpoints soil sample locations),
it is possible for the farmer to increase fertiliser application on small sections of land
identified as nutrient-poor, without over-applying nutrients on better-endowed
areas.
Another area of significant improvement in precision agriculture has been the
use of hydroponics (Kumar and Cho, 2014). Hydroponic farming is a method of
growing plants using mineral nutrient solutions, in water, without soil or in an inert
medium, such as perlite or gravel. This form of farming is useful for growing niche
market vegetables and herbs, particularly when combined with integrated pest
management (IPM) practices to produce crops that are certified as organic.
In South Africa, there is potential for application under greenhouse conditions
especially in extremely dry climates (Kumar and Cho, 2014). Hydroponics also saves
water because it uses as little as 1/20th
the amount of water a regular farm uses to
produce the same amount of food. Thus, this technology has huge potential for
saving water use in agriculture given that South Africa is one of most water scarce
countries in the world.
5.8.1.4 Biotechnology
Biotechnology is the use of living systems and organisms to develop or make useful
products, or “any technological application that uses biological systems, living
organisms or derivatives thereof, to make or modify products or processes for specific
use” (UN Convention on Biological Diversity, Art. 2). Biotechnology might include
genetic engineering of seeds to develop improved plant varieties, bioengineering
to increase resistance to stresses such as water stress diseases and pests, and other
environmental stresses (climate variability). While genetically modified (GM) foods
have been introduced extensively in South Africa, there still exists caution about their

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impacts on the environment and human health in the long term. However, there is
scientific consensus that there is nothing alarming in the use of GM foods based on
studies conducted over at least two decades. South Africa has policies that govern
the use of genetically modified organisms. It is unlikely, however, that these will
address all the concerns that arise from concerned members of the public. The main
reason the use of GM foods is growing internationally is that they are economical and
can produce high yields under very challenging conditions due to the genetically
engineering plant traits. The dire need to address food security will always make the
use of GM foods a viable option for many countries in the foreseeable future.
5.8.1.5 Integrated Pest Management
IPM has dramatically reduced the quantities and toxicity of pest control measures
for farmers adopting this approach. IPM emphasises the implementation of
biological control strategies, such as the use of pheromones, predators and traps
to control pests. This includes careful scouting for pests, monitoring pest presence
and levels and identifying economic thresholds in order to determine the required
IPM intervention. Where chemicals are used, the least toxic available compounds
are used; it is often possible to target pests at their most sensitive stage, using fewer
chemicals or lower chemical concentrations than would be required at other
stages.
5.8.1.6 Organic Farming
The International Federation for Organic Agriculture Movement defines organic
farming as a production system that sustains the health of soils, ecosystems and
people. Organic farming relies on ecological processes, biodiversity and cycles
adapted to local conditions, rather than the use of inputs with possible adverse
effects. Organic farming methods include 1) crop rotation (incorporating legumes
with nitrogen-fixing bacteria for nitrogen fertilisation of the soil); 2) use of compost
to increase soil organic matter and specifically colloidal humus; 3) emphasis on
creating aerobic conditions in the soil (through appropriate cultivation, irrigation
and plant management); 4) mulching to improve water use efficiency, 5) no-till or
reduced tillage to save energy and 6) natural pest management (using bio-control
instead of chemical methods). Organic farmers or their associations attempt to
support social interactions with consumers through participatory guarantee systems
of quality management, third-party organic certification, and development of
farmers’ markets and community-supported agriculture schemes, where there is a
direct link between producer and consumer.
The nutritional quality of many common vegetable crops has declined significantly
over the past 60 years (Davis et al., 2004). Organic agriculture is seen as a means
to restore the natural state of many food crops and thereby improving quality.
Other benefits of organic farming include soil carbon sequestration, low or zero
chemical residues, improved water use and energy efficiency, improved agro-
biodiversity. The emphasis of organic farming is local production and thus it is
important for farmers to use locally produced inputs (seeds, compost, biocontrol
measures) and avoid dependence on expensive imported seeds, fertilisers and
herbicides and pesticides. Conventional farming’s protagonists argue that hi-tech
approaches (precision farming, genetic engineering, appropriate fertilisation and
crop protection, strategic irrigation and mechanisation) are all environmentally

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sustainable, and that although the inputs may require energy and cause pollution,
the high yields per hectare reduce the effective carbon footprint of the production
system.
5.8.2 Barriers that hinder Green Initiatives in the Agricultural Sector
The various green technologies that are critical to the agricultural sector have
major stumbling blocks because they are nonconventional, innovative and cutting
edge. This suggests a requirement for a higher level of skills than those required for
conventional farming practice especially for areas like the precision agriculture,
decision-making in use of biotechnology products and application of integrated
pest management systems. There is also a lag in both production and financial
return between when a farmer makes a change from one method of farming to
another, whether it is a shift from conventional farming to conservation agriculture
or organic farming. The generation of biogas involves reuse of manure from farm
animals and can be a labour intensive exercise, depending on the size of the biogas
generation capacity. There is also a stigma associated with use of some of these
green technologies such as biogas generation and organic farming. Some farmers
and communities view them as ‘going backwards’ and therefore their adoption
can be problematic. What is usually required is a champion farmer or community
leader who can demonstrate the success of the application of the technologies on
their yield and income.
Energy costs associated with agricultural production are linked to increases
in oil prices. These substantial energy costs can be reduced by shifting focus to
alternative energy sources (such as biogas energy as discussed earlier). However,
use of renewable energy (solar power and wind power), although not strictly an
agricultural green technology, has potential to improve agricultural by cutting down
costs of production substantially. Solar and wind are renewable sources of energy
and following the initial hurdle of high capital input for installation, the actual cost
of operation and generating energy far outweigh the costs. This may also reduce
dependence of farmers on the central national electricity grid, thereby giving
them more control over their energy generation. Innovative policy instruments that
allow farmers to sell surplus energy to the central power grid can go a long way in
incentivising the use of renewable energy in the agriculture sector.
Another set of challenges to adoption of some of the green technologies, especially
biotechnology, is their likely threat or risks to biodiversity, the environment and human
health. There are fears in society that genetically modified organisms (GMOs) will
likely outcompete natural species should they be allowed into the wild due to the
tolerance for extreme environmental conditions. There are also concerns about
human consumption of GMOs and their likely contribution to human ailments.
However, there is little evidence to support some of these concerns in scientific
literature.
Lastly, development of green technologies requires enabling policy and regulatory
frameworks. Absence of relevant policies and regulatory frameworks might also
allow unscrupulous profit-driven individuals to cause great harm to the sector and
the reputation of green technologies. Fast developments in technologies also
require a responsive policy environment.

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This section has shown that the application of green technologies in the agricultural
sector presents opportunities to improve production efficiency, reduce negative
impacts on the environment and simultaneously contribute to sustainable livelihoods
and food security. The focus has been on the application of green technologies
to crops. The livestock sub-sector has not been considered and requires further
investigation.
5.9 Green Technologies in the Information and Communications
Technology Sector
The information and communications (ICT) sector has the potential to play a
fundamental role in enabling system-wide benefits, primarily through efficiency
improvements. South Africa’s ICT Research, Development and Innovation Road-
map (DST, 2013), passed by Cabinet in 2013 makes specific mention of green
technologies and provides an enabling framework for the introduction of green
ICT.
The ICT industry itself is responsible for only approximately 2% of global CO2
emissions. Narrowly-defined green ICT, including data centres and IT infrastructure,
is being introduced in many companies. However, it is the broader contribution of
the ICT industry that is far more significant. “ICT solutions have the potential to be an
enabler to reduce a significant part of the remaining 98% of total CO2
emitted by
non-ICT industries” (WEF, 2009). The ICT sector can bring together various systems,
software, data and infrastructure to improve efficiencies, to reduce costs and to
have positive environmental impacts, either directly or indirectly (WEF, 2009).
Examples include substituting physical goods and services with virtual alternatives,
such as teleconferences, online shopping or e-books. Table 5.2 provides examples
of areas where ICT can improve operational efficiency, reduce costs and minimise
environmental impacts.

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Table 5.2: Examples of Green ICT business functions (adapted from Vodafone and
Accenture, 2009 and WEF, 2009).
Business Operations Manufacturing and
Distribution
Sales, Marketing and
Support Services
• Smart buildings and
smart metering – to
improve energy
efficiency and
encourage end-users to
reduce consumption
• Virtual collaboration
– to minimise travel
requirements, therefore
reducing emissions
• Dematerialisation –
introducing a paperless
workplace through
e-billing and e-filing
• Data centre – improving
data centre efficiencies
• Procurement – ensuring
procurement practices
incorporate green
requirements
• Smart manufacturing
– optimise efficiencies
and minimise raw
material movement
through ICT, as well as
communication modules
to high-value products
to transmit maintenance
status
• Smart logistics – use
ICT to map efficient
transportation networks,
communicate wirelessly
with vehicles to optimise
speeds and loads
• Sales support – provide
online and mobile sales
support, minimising
consumer transportation
costs and emissions
• Product marketing –
online advertising and
mobile apps, reducing
paper usage, as well as
costs
• Customer billing –
e-billing and payments
reduce consumer needs
to travel to business
• Field operations –
optimise travel of
support staff to increase
efficiencies
One of the areas where ICT can make a major contribution to reducing carbon
emissions is as an enabler to smart grids (Vodafone and Accenture, 2009). With
South African electricity supply constraints and the low reserve margin, there is
a need for a system that will assist in ensuring consistent and reliable electricity
supply in the country. Smart grids can allow for control of peak hour demand,
without having to increase generation capacity. Smart grids use digital technology
to constantly monitor and manage grid characteristics to enable utilities and
consumers to maximise efficiencies in how they create or use energy (Enerweb,
2011; Folly, 2013).
Smart grid technologies play an important enabling role for other green technol-
ogies, such as allowing for an easier integration of electric vehicles into the elec-
tricity load at lower costs, providing reliable energy supply to enable green ICT as
discussed above, as well as allowing for an easier interplay of energy to and from
the grid (Morgan, 2012; Vodafone and Accenture, 2009). There are many other
benefits, including accommodation of all generation and storage options, and
detection and response to routine problems (Enerweb, 2011; Folly, 2013).
A South African Smart Grid Initiative has been established recently by SANEDI to
facilitate the roll-out of smart grids in South Africa.

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5.10 Green Technologies in the Health Sector
The health sector has the potential to be one of the largest recipients of green
technologies, based on the size of its annual budget (R268 billion in 2013/14). Green
technologies can be implemented across the sector aimed at implementing energy
efficiency and clean energy generation; reducing water consumption; reducing
the volume and toxicity of waste and ensuring safe disposal of waste; ensuring
safe disposal of pharmaceuticals; following green building design principles and
procuring food locally. Telemedicine applications also offer potential, particularly
in rural areas. Initiatives to green the health sector in South Africa are in their infancy
but the sector presents many opportunities.
Health Care without Harm, an international coalition of more than 500 members in
53 countries, launched an initiative termed Global Green and Healthy Hospitals in
2011. The initiative aims to green the health sector and create a network of hospitals
(Karliner and Guenther, 2011). The report provides a framework for hospitals and
health systems to achieve greater environmental sustainability.
5.11 Green Technologies in the Transport Sector
5.11.1 Introduction
An effective transport system is a key driver of economic growth and social
development. Hence, one of the strategic focus areas outlined in the NDP is the
prioritisation of transport solutions that are safe, affordable and effective options.
One of the main challenges of the transport sector is its contribution to GHG
emissions. Based on 2011 data, transport is the third largest source of GHG emissions
in South Africa (Figure 5.) (IEA, 2012).
Various modes of transport impact on GHG emissions differently. The environmental
issues relating to air transportation, including airport operations, for example, are
noise emissions and fuel burn. For maritime transportation, it is mostly fuel burn. With
respect to rail, about 60% of South Africa’s network utilises electric power, with the
remainder reliant on diesel (Marsay, 2012). Rail transport generates lower GHG
emissions, with the main concern being noise. Transport GHG emissions are largely
due to road transport, which accounts for 87% of transport emissions. Clearly, road
transportation is the sub-sector where the use of green technologies will have the
greatest impact in terms of arresting GHG emissions. In this respect it is noted that
South Africa conveys nearly 89% of all freight by road.
With increasing population, additional transport services and infrastructure will
be required, placing even greater demands on the sector to reduce GHG
emissions. A further consideration is the energy required during construction of
transport infrastructure. Pavements are the most critical element of an efficient
road transportation system, and innovation in pavement technology is the key to
reducing emissions from the transport sector.

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Figure 5.7: CO2
emissions by sector for South Africa based on 2011 data (IEA, 2013)
5.11.2 Technologies for Green Transportation
There are many green technologies that have been implemented or are being
investigated within the transport sector internationally, some of which are in use or
under investigation in South Africa, while others have the potential to be acquired
through technology transfer mechanisms. Those green technologies identified from
various literature sources are listed in Table 5.3 (Agarwal, 2012; Endo et al., 2010;
Krohn et al., 2009, Lamb et al., 2011; FEHR, 2013; CAPSA 2011).

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Table 5.3: Green technologies in the transport sector
Technology Description
Biofuels These are already showing promise; third generation biofuels may
exploit fast growing algae to provide a drop-in fuel substitute.
Advanced
composites
Future composites that will be lighter and stronger. Airplane
manufacturers are starting to implement these.
Composite
brake blocks
Technology being employed to significantly reduce noise made by
freight trains.
Diesel hybrid Technology being used in railcars. Railcars use both a diesel engine
and regenerative brakes to charge an electric battery.
Electric power Electric battery-powered aircraft such as unmanned aerial vehicles
and vehicles are already in service. It is expected that as battery
power improves, light aircraft and small helicopters will be battery
powered.
Electric/hybrid Use of electric, hybrid or hydrogen technology in vehicles.
Fuel cells Hydrogen fuel cells will eventually take over from jet turbine
auxiliary power units and allow electrics such as in-flight
entertainment systems, galleys, etc. to run on green power.
Hydrogen
power
Considered the ultimate green fuel. Early versions of hydrogen
powered aircraft may be in service by 2050.
Inductive
charging
On-line electric vehicle developed by the Korean Advanced
Institute for Science and Technology. The electric vehicle picks
up power from cables buried underground via a non-contact
magnetic charging method. This provides a system that makes the
range of an electric vehicle almost unlimited.
Industrial and
demolition
waste
Reduces environmental impact of using virgin materials in road
construction.
Metal
composites
New metal composites could result in lighter and stronger
components for key areas in aircraft as well as vehicles.
Porous asphalt Paving systems that allow runoff to pass through the pavement into
a stone base, then into the soil below to recharge the groundwater
supply.
Recycling Re-use of materials. Currently being used extensively in all transport
sectors, including road pavements. Initiatives are now underway
to recycle up to 85% of an aircraft’s components, including
composites – rather than the current 60%. By 2050, this could be at
95%.
Rollpave A concept developed from the Dutch ‘Road to the Future’
innovation programme. It is a prefabricated asphalt mat,
approximately 30 mm thick that is laid on top of an existing
pavement. It has sufficient structural strength to carry the design
traffic and reduces traffic noise.
Soil pavement Laid and compacted with natural soils and sands and chemical
binders.

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Technology Description
Solar heat
blocking
pavement
A reflective paint capable of reflecting solar radiation is applied
on the pavement surface, thus lowering the pavement surface
temperature by about 10%.
Solar power Power generation for road rest areas. Solar-powered aircraft could
be practical for light sport, motor gliders. Hybrid sea vessels (wind/
solar).
Ultra-thin
reinforced
concrete
pavement
Ultra-thin reinforced concrete pavement is highly suitable for
labour-based construction; simple, inexpensive construction
equipment is required and significant reduction in construction
energy.
Warm mix
asphalt
Asphalt surfacing which uses 15% of the recovered asphalt as a
substitute for virgin materials and is able to reduce temperature by
30°C and CO2
emissions by 20%.
Water retaining
pavement
Purpose is the same as the solar heat blocking pavement, viz. to
reduce pavement surface temperature. A specific paste with
a water-retaining effect is infiltrated in the air voids of a porous
asphalt pavement, keeping rainwater for several days, evaporation
takes the heat from the pavement.
Recycling is a further green technology option that finds application in all categories
of the transport sector, reducing consumption of material resources and impact on
the environment. Aeroplanes, motor vehicles, railcars and pavements are being
recycled and furthermore, materials used in their manufacture are environmentally
friendly.
To have the greatest impact on emissions in the transport sector, roads should be
designed and built to mitigate the effects of a range of environmental factors. Roads
should be built to reduce traffic noise and GHG emissions by using appropriate
surfacing technologies and low-carbon materials.
Captured solar energy can find use across the transport sector. It can be used to
power light sport aircraft, hybrid sea vessels, lighting, signage on roads and even
electric vehicles.
Against this background, it is clear that efforts are being made towards reducing
GHG emissions by introducing green technologies in the transport sector. However,
with increasing emphasis on the key role of transport, the stimulation of uptake of
green technologies in the transport sector requires particular attention.
5.11.3 Stimulating Uptake of Green Technologies in the Transport Sector
Table 5.4 lists green transport solutions that have no implementation constraints. A
first step towards achieving targeted and effective uptake is to ensure that there
is a link between these green technologies and the projects that are supported
under the Green Fund.

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Table 5.4: List of “no implementation constraints” programmes (DPD, 2011).
Transport Mode Cleaner Vehicles Alternative Fuel Roads Construction
• Urban mass
transportation
system: BRT
(passenger)
• Passenger rail
(including high-
speed trains)
• Mass
transportation
system
applications in
freight (road or
rail)
• Cars: hybrid or
electric
• Hybrid buses
• Electric bikes
• Bus retrofitting
(gas)
• Motor/vehicle
efficiency
• Gas fuel
technology
• Biodiesel
• Hydrogen fuel
cell
• Solar production
of hydrogen for
rail and public
transport
• Biofuel
• Roads upgrading
programme using
environmentally
responsible
technologies
(green roads)
The Green Transport Centre – Energy Mobility Centre temporarily located at the
CSIR, and being developed by SANEDI, is intended to stimulate innovative green
technologies in the transport sector. It will test and demonstrate, for example,
innovations in the development of alternate fuels and propulsion, as well as provide
an incubator for new business development and technology partnerships which
will assist small private sector partners to bring their designs to maturity and market
readiness. The vision is to be a one stop facility for information sharing, technology
development, technology demonstration related to use and testing of alternate
fuels and vehicles.
A coordinated approach is necessary to stimulate green technology uptake in
the transport sector (Rennkamp and Boyd, 2013). Links between universities and
research councils should be strengthened for the purpose of supporting small
business.
An appropriate funding mechanism to stimulate development and uptake of green
technologies already exists in the form of the Green Fund. It is based on a model that
recognises the need for continuous improvement, promoting green technologies,
capacity building and research and policy development. Additional funding can
be sourced through agreements between public and private financing institutions.
The institutional framework to stimulate uptake of green technologies also exists.
What is required, however, is the strengthening of the institutional links in supporting
small business. Many of the technologies are from international sources and require
technology transfer agreements to facilitate uptake. Technology transfer is a factor
that must be addressed in order to achieve long-term low-carbon development
goals.

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5.11.4 Potential Barriers to Uptake of Green Technologies
The green technologies listed in Table 5.3 are not locally manufactured. While
implementation of such technologies can assist South Africa to leapfrog green
technology development in the transport sector, facilitating technology transfer
may be the binding constraint. Effective approaches to facilitating the transfer and
uptake of green technologies are crucial.
Green technology development is a new sector in South Africa and the immediate
need is to increase domestic technological capabilities. Lack of skills and limited
technical knowledge are therefore other barriers to uptake.
Lack of local performance history of certain green technologies may make it
difficult to penetrate the market. Due to differences in climatic conditions this may
lead to low acceptability. In order to overcome this, a series of technology trials
may be necessary before implementation or usage.
Inadequate policy implementation is a major potential barrier. A framework
to implement a programme may exist but capacity to implement may not be
available.
South Africa’s NDP sets out the country’s long-term development vision, which
includes that of a low-carbon economy. The high levels of GHGs emitted by the
transport sector are an important constraint on the long-term growth potential of the
South African green economy. Development and uptake of green technologies in
the transport sector are therefore an important strategy. However, there are barriers
to stimulating the uptake of green technologies. From an innovation perspective,
these include problems in technology transfer, knowledge capabilities, market
availability, technology acceptance and inadequate policy implementation.
The framework for stimulating uptake exists, but institutional linkages require
strengthening to support small businesses more effectively. Stimulation of green
technology uptake will only be successful if this is achieved.
5.12 Green Technologies in the Building Sector
5.12.1 Introduction
The construction industry is the seventh largest contributor to GDP in South Africa
at 3% (StatsSA, 2013b)and also a significant consumer of resources, especially
materials, energy and water. Globally, it is responsible for about 50% of all materials
used, 45% of energy generated to heat, cool and light buildings and a further 5%
to construct them, 40% of water used (in construction and operation), and 70% of
all timber products that end up in construction (Edwards, 2002). In South Africa,
buildings account for 23% of electricity used, and a further 5% in the manufacturing
of construction products (CIDB, 2009).

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The construction industry has traditionally been a slow adopter of new technologies
in general, mainly due to the perceived associated risks (Woudhuysen and Abley,
2004). The building sector, in particular, is reluctant to adopt new technologies
due to potential buyer resistance (Woudhuysen and Abley, 2004). Thus the sector
undertakes most of its work with conventional technologies.
Green technologies emerged at the time of the formal green building movement
led by the British Research Establishment in the late 1990s. This saw the publication
of green building systems such as the British Research Establishment’s Environmental
Assessment Method and the Passivhaus concept. Since then a number of new
green building systems have emerged, including the Green Star® system, as
adopted by the Green Building Council of South Africa.
Green technologies in the building sector can be defined as those technologies
which reduce the impact of building on the environment through the development
of more environmentally friendly materials and products, or through the generation
and/or conservation of resources such as energy and water.
South Africa has a well-developed environmental policy framework and some
of the policies impact on the building sector (CIDB, 2009; Van Wyk, 2003). Of the
international commitments, only Agenda 21 speaks directly to the building sector,
while within the South African policy and regulatory environment, the Green
Building Policy, the Innovative Building Technology (IBT) Implementation Plan and
the National Building Regulations and Building Standards Act directly address green
building and green building technologies (See Chapter 3).
5.12.2 Uptake of Green Technologies in the Building Sector in South Africa
There is a wide range of green technologies currently available globally, although
many of them could still be considered ‘fringe’ technologies insofar as they are not
yet mainstreamed in the building sector. Some international building markets, such
as the EU and the USA, demonstrate higher rates of adoption than other markets,
including South Africa.
The uptake of green building technologies is summarised in Table 5.58
.
8
Note: the assessment of uptake is based on the personal knowledge of L van Wyk, CSIR, Pretoria. Very little data are available
in South Africa to accurately quantify uptake of these technologies in South Africa.

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Table 5.5: Status of green building technologies in South Africa
Technology Description Status in South Africa
Innovative building
technologies
Non-conventional building
systems, generally industrial
and modular-based
Established as a fringe technology,
but becoming more mainstream
Bio-based
composite
materials
Using natural fibres and
resins to manufacture next-
generation materials
Already in use in aeronautics and
automobile industries; in R&D phase
for building industry
Green
infrastructure
Includes a range of
technologies using natural
systems to collect, treat
and handle water and
sanitation
Technologies available in South
Africa but uptake low
Advanced
cladding systems
High-performance building
envelopes, generally
modular and light-weight
Available but generally limited to
high-end commercial developments
Chilled beams Type of convection
heating, ventilation and air
conditioning system using a
heat exchanger to heat or
cool a space
Available but uptake low
Solar absorption
chillers
Uses solar thermal energy to
drive air conditioners
Only pilot-scale uptake
Demand-
controlled
ventilation
Provides the correct level
of heating/cooling for the
actual occupancy
Available and widely adopted
within the commercial building
sector
Dual-duct heating,
ventilation and
air conditioning
systems
Provides separate ducts
for heating and cooling
with mixing boxes where
required
Not widely used
Dual-wall facades Combination of two or
more high performance
walling systems
Electrochromic
glass
Changes light transmission
in response to voltage,
light or heat applications
thereby controlling the
amount of light and heat
transmitted
Widely available but limited to high-
end commercial buildings
Fuel cells Converts chemical energy
from a fuel into electricity
through a chemical
reaction with an oxidising
agent
Fringe technology, not yet ready for
large-scale adoption in the building
sector
Geothermal
systems
Uses geothermal energy
for heating or cooling
applications

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Thermal energy
storage systems
(e.g. ice-based)
Allows excess energy to
be collected for later use
through mediums such as
water, ice, and earth
Available but uptake limited to high-
Passive ventilation Using non-mechanised
systems to ventilate
buildings
Available, low-technology solutions
widely adopted but higher-
technologies uptake minimal
Underfloor air
distribution
Relies on air displacement
techniques
Solar energy Uses sun energy to either
heat a medium (solar water
heaters) or to generate
electricity (PV panels)
Widely available, adoption still fringe
but showing rapid growth as costs
come down
Co-generation
and tri-generation
Generation of electricity
and heat, mainly from gas
Limited uptake in areas with gas
infrastructure
Heat pumps Provides heat energy
from a source of heat to a
destination called a heat
sink
Uptake increasing on the back of
ESKOM incentives
Radiant heating/
cooling
Heats and cools surfaces
rather than air which then
radiate into the occupied
space
Widely available and used,
especially in residential sector
Wind turbines Uses wind energy to
generate electricity
Large-scale applications widely
available and uptake growing;
small-scale applications less
available
Thermochromic
glass
Regulates daylight
automatically under the
influence of light and heat
fluxes
Available but uptake limited to high-
Smart and
intelligent systems
Uses sensors and
actuators to respond to
predetermined inputs
Available but limited to high-end
commercial buildings
There have been some notable gains for certain green technologies, especially
SWHs, heat pumps, and integrated building technologies (IBTs). The gains in SWHs
and heat pumps have been driven by Eskom’s energy demand-side management
(DMS) strategy, where rebates have been provided to customers who have installed
these systems. The gains in IBTs have, up until recently, been driven by customers
seeking to reduce building time and cost; however, government’s adoption of
IBTs for its social infrastructure delivery programme is likely to accelerate growth
significantly in the sector.
With regard to the uptake of green technologies in the building sector, these have,
in the main, been restricted to energy efficiency in response to energy supply and
demand pressures. The uptake of non-energy-related technologies has been slow.

126
5.12.3 Barriers and Opportunities in South Africa
There are a number of barriers and, by implication, opportunities, to the wide-scale
adoption of green technologies in the building sector (Van Wyk, 2006).
i) The delivery system – the industry’s delivery chain consists of many composite
parts (complex), often operating in difficult and aggravating circumstances
(complicated), involving multiple participants operating from inside and
outside of the industry, resulting in a system(s) that may be assembled
with competing new and never-ending variations and combinations. This
multipartite structure results in unpredictable consequences, increasing risk
to all participants without allocating liability to any.
ii) Performance expectations – unlike commodity consumers, consumers of
building products have a very poor understanding of what constitutes building
performance and therefore have low expectations. The tolerance level of
building product consumers is far too high (perhaps because they believe
that the industry is incapable of delivering better) and their understanding of
risk far too low.
iii) The knowledge base – construction is a sector employing the fourth highest
number of persons having no formal education, after agriculture, households,
and mining. Generally construction skills are dominated by the most basic of
manual skills, and since the construction sector is still largely dependent upon
labour-based technologies, the net result is that the performance level of the
construction sector is being determined by the low level of skill inherent in the
sector as a whole.
iv) Construction inspections – enhancing the capability and competence of the
certification and inspection bodies through accreditation, better information
supply, and strengthening the enforcement powers of inspectors, will go a
long way towards improving building performance.
v) Construction warranties and service certification – one of the main drivers
for improving performance in the automobile industry was the provision of
extended warranties to consumers. The building sector, by contrast, accepts
very little responsibility for its performance. Part of this problem is related to (i)
above.
vi) Procurement environment – generally the procurement of building products
is driven by price alone, often to the detriment of long-term financial, social
and environmental performance.
vii) Social, environmental and economic issues – the impact of building on
natural resources, social well-being and cohesion, and economic viability
is poorly understood both inside and outside the sector. Generally, buildings
are measured in terms of the aesthetics with which they enclose basic shelter.
viii) Quality-based regulatory regime – essentially the building standards set a
minimum standard for performance as compared to best practice. There
is an international shift away from this approach to a performance-based
approach, where regulation demands that buildings are safe, healthy
and provide appropriate amenity, where amenity means something that
contributes to human well-being.
ix) Business acumen, management and innovation – the economic uncertainty
traditionally associated with the building sector (it is the sector where projects
are halted as soon as any market distress is evidenced and re-started well
after recovery has commenced) has resulted in a gradual but consistent

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loss of highly skilled personnel with a concomitant loss of business acumen,
knowledge and ethics (i.e. collusion). The industry is dominated by a plethora
of SMEs with very little working capital and a limited track record, high rates
of business failure, and little evidence of process productivity improvement
and very little attention paid to systematic performance improvement.
x) Research and development – R&D in the building sector significantly lags
R&D in other sectors. Thus the industry is notorious for lagging in the uptake of
new and innovative technologies.
Very little progress will be made until the above systemic issues have been
addressed: this will require a step-change in the industry, something that has
been recognised in some international construction markets and where significant
investment is made into changing the nature of the construction industry.
Part of the problem is located in the absence of responsibility; the industry is
not accountable to any authority for its performance, unlike the automotive or
aeronautical industries. The latter industries invest in R&D, design, manufacture, and
remain liable for the finished products they produce, i.e., they retain sole ownership
and therefore sole liability for their actions. The building sector is too disparate and
diverse and therefore no sole responsibility is vested within the sector.
This can all be distilled into the following four challenges:
i) The challenge of globalisation and economic restructuring, requiring the
strengthening of management skills throughout the public and private
sectors.
ii) The challenge of sustainable development, requiring the strengthening of
the links between economic restructuring (green economy), social cohesion
(equity) and environmental protection (resilience).
iii) The challenge of a sustainable built environment system requiring high-
performance facilities and infrastructure.
iv) The challenge of construction sector governance requiring an appropriate
response to fiscal stress and institutional restructuring and increasing local
capacity to manage change effectively.
A major priority should be to bring about a new total construction capability
founded on customer orientation (addressing of unique processes), environmen-
tal design-based consciousness (ecological judgement), and a technology-driven
(knowledge and expertise) delivery chain, including the clients, built environment
professions, material manufacturers and contractors. This will result in a re-con-
ceptualisation of construction delivery best practice away from determining what
processes are required from a construction perspective to what processes are re-
quired for the optimal formation of immovable assets. Inherent in this refocus is
the building of construction competence and product knowledge on the basis
of post-completion evaluation, assessment and re-application to achieve immov-
able asset fitness-for-purpose.

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5.13 Emerging Green Technologies
A number of sources have identified emerging technologies, amongst them the
World Economic Forum (WEF) and McKinsey & Co.
A recent report by McKinsey & Co. (2012) has identified five emerging green
technologies that could become game changers and make a major impact in the
energy sector in the future. Given that the energy sector is such an important sector
both globally and nationally, they are highlighted here as green technologies
where innovation is developing rapidly and are identified as technologies to
monitor closely.
Grid-scale Storage: Currently, only pumped-hydro or compressed air storage
systems enable the large-scale storage of electricity in the grid. Innovations using
flow batteries, liquid-metal batteries, flywheels and ultracapacitors could greatly
expand opportunities and reduce costs.
Digital-power Conversion: The replacement of conventional high-voltage trans-
formers by high-speed digital switches made of silicon carbide and gallium nitride
offers opportunities to use 90% less energy, to use only 1% as much space and at
considerably reduced cost.
Compressorless Air Conditioning and Electrochromic Windows: Air conditioners
that dehumidify the air with dessicants rather than the conventional compressors
and electrochromic window technologies that change the shade of the windows
depending on the exterior-interior temperature difference offer opportunities to
cut building heating and cooling costs. Costs of such technologies are expected
to fall dramatically.
Clean Coal: CCS is currently very expensive but innovative processes under
development could allow the capture of more than 90% of CO2
at considerably
lower costs. This technology could make coal with carbon sequestration more
economically viable than renewable energy technologies.
Biofuels and Electrofuels: Second-generation cellulosic and algae-based biofuels
are showing great potential. There is also research underway to supply CO2
, water
and energy to enzymes to create long-chain carbon molecules that function like
fossil fuels at a fraction of the cost.
The WEF’s Global Agenda Council on Emerging Technologies9
listed the top ten
emerging technologies in 2013, of which those that can be considered as green
technologies are highlighted below:
Online Electric Vehicles: These are next generation electric vehicles that receive
power remotely from an electromagnetic field produced by cables situated
underneath a road.
9
http://forumblog.org/2013/02/top-10-emerging-technologies-for-2013/

129
3-D Printing and Remote Manufacturing: Objects that can be manufactured
remotely through a process of printing layers of material on top of each other are
showing great potential.
Self-healing Materials: The creation of non-living materials that mimic living
organisms in their ability to repair damage extend the life of manufactured goods
and hence reduce the demand for raw materials.
Energy-efficient Water Purification: These are new technologies that significantly
improve energy efficiency in desalination or purification of waste water.
Carbon Dioxide Conversion and Use: These include new technologies that
overcome the economic and energetic shortcomings of conventional CCS
strategies. For example, one such technology is the use of biologically engineered
bacteria that are able to convert waste CO2
into liquid fuels or chemicals in solar
converter systems.

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6 IMPLEMENTATION OF GREEN
TECHNOLOGIES IN SOUTH
AFRICA: DRIVERS, BARRIERS AND
SOLUTIONS
6.1 Introduction
There are sound environmental, social and economic reasons to support the devel-
opment, diffusion and implementation of green technologies in South Africa. Not
only can green technologies help to address current environmental problems, but
there are valuable economic benefits in the form of job creation, and alleviation of
poverty and socio-economic inequality associated with their implementation. It is
largely in response to global ecological and socio-economic pressures that coun-
tries around the world, including South Africa, have begun to focus on sustainable
development agendas and green economic growth, in which green technologies
play a central role.
The preceding chapters have outlined the national policy shift towards green
growth (Chapter 3) and assessed the state of green technologies in various sectors
across the country (Chapter 5). In some cases, reference has been made to
sector-specific opportunities to increase the uptake of green technologies, and
some of the sector-specific barriers that inhibit uptake. This chapter consolidates
these findings to provide an overview of instruments available to promote the
implementation of green technologies and the barriers to effective implementation,
with a view towards providing a set of recommendations to improve the uptake
of green technologies in South Africa. Many of the observations made, stem from
a workshop hosted by ASSAf in September 2013 on Green Technologies: Drivers,
Barriers and Gatekeepers, which was specifically aimed at opening up the debate
on challenges experienced in the implementation of green technologies amongst
a variety of stakeholders.
6.2 Instruments to Support the Development and
Implementation of Green Technologies
Successful development, adoption and adaptation of green technologies depend
on an enabling environment, which to a large extent is created by national
governments. Hemraj (2013), following on from GTZ (2006), identified various

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categories of instruments that support green transition and which thereby assist in
the development and implementation of green technologies, as follows:
• Regulatory instruments: including, for example, the development of norms
and standards, which could mandate the uptake of certain types of
technologies.
• Economic instruments: such as environmental taxes, fees and user charges,
subsidies for the removal of environmentally harmful activities, and
environmental financing and subsidies.
• Research and education instruments: providing further support for R&D and
for education and training as new processes are developed.
• Cooperation instruments, such as technology transfer and voluntary
agreements.
• Information instruments: which can help address information asymmetry
and market failures through the provision of advice to consumers, reporting
around sustainability and eco-labelling.
This framework (GTZ, 2006), with some slight modifications, is used as a basis to assess
the status of various instruments to support green technology implementation in
South Africa.
6.2.1 Policy and Regulatory Instruments
The state has introduced a number of policies relevant to the development and
diffusion of green technologies (See Chapter 3). Some (e.g. Green Economy
Accord, the Green Jobs Report) deal with the green economy directly, drawing
attention to the goals, opportunities and challenges facing the green economy,
and the central role of green technologies therein. Others (e.g. the NSSD and the
NDP), recognise the importance of greening economic growth and increasing
green innovation within the context of sustainable development and hence
have an indirect reference to green technologies. It is clear that South Africa
has an abundance of relevant policies and an enabling policy environment;
any shortcomings in the implementation of green technologies are more likely to
depend on failings elsewhere in the system or the lack of co-ordination, rather than
on policy deficiencies, per se.
6.2.2 Economic Instruments
National Treasury began a policy process of environmental fiscal reform in 2004,
introducing a range of financial instruments in the form of tax reforms, incentives
and subsidies to support the growth of green enterprises (NT, 2006; Hemraj, 2013).
Examples of tax incentives include the DST’s R&D Tax Incentive and the dti’s 12l
Tax Allowance Programme, which help promote green technology research, as
well as the development and implementation of these technologies (Tshangela,
2013). Other environmentally related taxes include the electricity generation levy,
the CO2
-based purchase tax on new motor vehicles, the general fuel levy, the
incandescent globe tax, and the plastic bag levy. The DoE has recently introduced
a tax incentive for businesses which improve their energy efficiency, where each
kWh saved would receive a R0.45 tax deduction (Grewe, 2013). According to the
KPMG Green Tax Index, South Africa ranks 13th
out of 21 countries to use tax as an

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incentive to drive the green growth agenda; it ranks ahead of Australia, Singapore
and Finland (Engineering News, 2013).
The REIPPP is an example of a recently introduced scheme, which adopts a version
of a feed-in tariff scheme designed to help make green technologies more cost-
competitive. Other schemes include the R4.7 billion solar water heating subsidy
and the 70% annual subsidy for solar home systems (Modise, 2013). Subsidies play
an important role in promoting greater green technology uptake (Hemraj, 2013).
In addition to these fiscal instruments, both the government and the private sector
have made funds available to encourage green entrepreneurship, research and
innovation, as well as the commercialisation and scale up of green technologies.
Dedicated environmental financing mechanisms include:
• the Green Energy Efficiency Fund (managed by the IDC);
• the Drylands Fund (implemented by the Development Bank of Southern
Africa (DBSA));
• the Green Fund (set up by the National Treasury with the DBSA as
implementing agent). This is one of the key catalytic financing mechanisms
to promote innovation in the field of green technologies and local
manufacturing capacity. It provides support across the entire R&D value
chain, from proof-of-concept to project implementation, particularly in the
so-called ‘valley of death’, where funding is typically scarce and projects
are still high risk. Most of the funds are channelled into pilot or demonstration
projects (Mohamed, 2013). With an initial allocation of R800 million from
National Treasury, the Green Fund was allocated R1.1 billion over three
years (effective April 2012). At the time of writing, two rounds of proposal
calls had been completed. In the first call, 590 applications worth R10.9
billion were received and in the second call, 155 applications worth R1.6
billion were received (Mohamed, 2013). Funding has been approved for
22 projects to date and the first disbursements were made in February
2013. The successful projects cover areas such as renewable energy
and energy efficiency, waste beneficiation and waste to energy, waste
water treatment and rainwater harvesting and smart grids. Most of the
applications received were from the waste sector, followed by low-carbon
energy and biofuels. The private sector and small and medium enterprises
(SMEs) based in Gauteng made up the bulk of applications (Mohamed,
2013);
• the National Implementation Entity for the Global Adaptation Fund
(implemented by the South African National Biodiversity Institute);
• the dti’s Manufacturing Competitiveness Enhancement Programme
(MCEP).
These economic instruments aim to support cleaner environmental projects, in line
with national policy objectives, as well as mobilise additional funding from various
sources (Hemraj, 2013).
Over and above national funding, international funding is available for green
technologies. These include the Green Climate Fund and funds accessed through
the Global Environmental Facility and the carbon market financing through the
CDM.

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6.2.3 Research and Education Instruments
Central to successful implementation of green technologies is a human resources
base with the relevant knowledge, expertise, skills and values to support the green
transition. Rapid changes in the environmental sector, and the green economy
and green innovation more specifically, have meant that skills development has
not kept pace, with the result that there is a skills development lag (DEAT, nd). It is
widely recognised, for example the UNEP Green Jobs report (UNEP and ILO, 2008),
that employment will change as economies green. In some cases additional jobs
will be created, necessitating new skills, in other cases, jobs will be eliminated or
transformed.
There is a need to define the core competencies across the full spectrum
of professionals required to support technological innovation and to meet
the demands of the green jobs. The Human Capital Development Strategy:
Environmental Sector (2009 – 2014) of the Department of Environmental Affairs
(DEAT, nd) confirms the urgent need to attend to the human capital development
needs in the environmental sector more generally and provides a useful starting
point for a more focused strategy aimed at human capital development needs
for the development and implementation of green technologies. Such a strategy
would of necessity address not only education and training needs across the entire
system from primary to tertiary level, but would also focus on R&D needs.
6.2.4 Co-operation Instruments
Two categories can be identified:
• Technology Transfer: involves the acquisition of technologies from other
countries, i.e. either through north-south or south-south transfer. Technology
transfer options include bi-lateral and multi-lateral agreements; cooperation
with international development cooperation agencies; establishment of
technology transfer institutions; creation of local markets for environmental
technology and support for pilot projects. In terms of creating local markets,
the CDM can be classified as a ‘cooperation’ tool to facilitate technology
transfer and capacity building between parties in developed and developing
countries in response to climate change. Another mechanism aimed at
accelerating technology transfer and assisting developing countries is the
Climate Technology Centre and Network (CTCN), which is currently hosted
by the CSIR in South Africa. The CTCNs were established as the operational
component of the UNFCCC Technology Mechanism.
• Voluntary Agreements: involves firms, industries or sectors voluntarily com-
mitting to improvements in their environmental performance by setting their
own targets, and monitoring and enforcement systems. Examples in South
Africa include the Green Economy Accord and the Energy Efficiency Ac-
cord. Another is the agreement between government and industry with re-
spect to the plastic bag problem. A suite of policy instruments was used,
including: regulation of the minimum thickness of plastic bags, disclosure and
transparency of the costs of plastic shopping bags, regulation of the type
and amount of ink to be used for printing on bags, promoting a market for
recycled materials, imposition of the plastic bag levy and prohibiting plastic
bag imports. A further example is the chemical industry’s Responsible Care
programme or the voluntary uptake of ISO 14000.

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6.2.5 Information Instruments
Various initiatives offering technical and business advisory services act as important
drivers of green innovation. For example, the NBI has launched the Private Sector
Energy Efficiency project that aims to provide support and advice to business
(Grewe, 2013). The Climate Innovation Centre (CIC) located at The Innovation
Hub in Pretoria is an innovative model aimed at accelerating locally owned and
locally developed solutions to climate change (Mbileni, 2013). The CIC model was
conceptualised by the World Bank’s InfoDev Climate Technology Programme and
offers an integrated set of services, including policy support and market information
services, to technologists, entrepeneurs, start-up companies, SMEs and industry.
The CIC has a specific mandate to promote awareness of green technologies
among historically marginalised groups and to facilitate their participation in the
programme. It also aims to facilitate interaction and information exchange among
current players in the ‘climate innovation ecosystem’ (Mbileni, 2013) and to gather
information on stakeholder needs to refine CIC activities.
One of the initiatives supported by the CIC is Ecovest Holdings (Pty) Ltd, a South
African company that markets four leading products; namely, ECOlite, ECOvision,
ECOcool and an ECOstove (Ecovest Holdings, 2013). Importantly, these various
solar-powered and rechargeable household appliances are produced using
70% locally made materials, and they are sold at competitive prices. In order to
distribute the products, Ecovest Holdings has adopted a distribution model that
uses local ‘Spaza’ shops as vendors to trade the goods. These vendors form
cooperatives to ensure collaboration between shop owners. Local young people
are trained to work as technicians for installation, as well as in sales and in the repair
and maintenance of the products (Mbileni, 2013). To date, Ecovest Holdings has
supplied 600 million Africans with household products that are able to meet their
basic needs (Ecovest Holdings, 2013).
6.3 Barriers to Development and Implementation of Green Technologies
While recognising that many steps have been taken to provide an enabling
environment for the uptake of green technologies (See Section 6.2), there still exist
a number of barriers that inhibit innovation and stand in the way of more effective
implementation of green technologies. Barriers that were highlighted at the ASSAf
workshop on Green Technologies: Drivers, Barriers and Gatekeepers are discussed
below.
6.3.1 Institutional Challenges
The first set of barriers, broadly referred to as institutional challenges, pertains to the
lack of a coherent policy framework to support green technology development
and diffusion in South Africa. There is rather a proliferation of policies, sometimes
with conflicting goals (See Chapter 3), and in some cases a lack of policy certainty.
There are a large number of government departments with responsibilities to
promote the green economy as noted by Montmasson-Clair (2012) and sum-
marised in Table 6.1. Over and above these departmental responsibilities there
are many other departments (e.g. mining, agriculture, forestry, fisheries, transport,

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housing and local government) that have indirect responsibilities chiefly through
the creation of jobs.

Table 6.1: Responsibilities of national government departments with respect to
green issues (after Montmasson-Clair, 2012)
Department Responsibility
Presidency (advisory powers only) National Planning Commission
Economic Development Department
(has direct control over the Industrial
Development Corporation and the
Development Bank of Southern Africa)
New Growth Path and green economy
Department of Trade and Industry (has to
rely on other departments to implement
measures aimed at green industries)
Support for green industry
National Treasury
Environmental fiscal reform (green
taxes and subsidies which support both
green industries and the greening of the
economy as a whole)
Department of Environment Affairs and
Tourism
Responsible for the protection and
restoration of ecosystems and the setting
of environmental standards (e.g. for
pollution or emissions)
Department of Energy
Responsible for issues relating to fossil fuels
and renewable energy
Department of Water Affairs Responsible for issues relating to water
Department of Science and Technology
Responsible for technology policy and
R&D
Regulatory certainty, for example, a clear directive on issues such as carbon pricing
and the continuity of funding via the REIPPP, is needed to avoid chasing away
investors. Furthermore, policy direction is required in relation to the future use of
shale gas and nuclear energy (Nassiep, 2013).
6.3.2 Government Bureaucracy
Complex and lengthy government processes, and a lack of political will, are in some
cases delaying and even preventing green investment and the implementation of
green projects. Examples presented at the ASSAf workshop include BMW’s Tshwane
Landfill Gas project, which aims to provide renewable energy to the company’s
Rosslyn plant, thereby reducing energy costs and carbon emissions. The project
began in 2008 but has suffered serious delays due to difficulties in obtaining
legislative approval and licences from local government (Viljoen, 2013). The
proposed green technology manufacturing cluster in Atlantis in the Western Cape
is another example of where it was reported that inefficient government processes
have hampered green growth. In this case, the project set out to manufacture wind
turbine components in an economically depressed area, thereby boosting growth
and employment. The initiative has not materialised however, allegedly partly due
to restrictions imposed by the Municipal Finance Management Act (MFMA), which
has complicated the process (Du Plessis, 2013). The timeframes, processes and

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requirements of the MFMA have in some cases deterred investors. However, on a
positive note, many examples exist of innovative green technologies which have
been introduced by the eThekwini municipality (Durban) in the field of water and
sanitation and which have succeeded despite MFMA constraints (Moodliar, 2013).
Lessons in this case are early engagement and a partnership approach between
the local municipality and National Treasury.
6.3.3 Skills Shortages
Many stakeholders have referred to the frustration experienced in dealing with
officials, particularly local government officials, who lack the skills to provide the
necessary support to green projects and enterprises. Implementation takes place
at local level and given the range and sometimes complex nature of green
technologies, it is essential that all government officials, including those at the local
level, are sufficiently skilled and empowered to take decisions that will shape green
growth.
However, the notion of skills shortage goes far beyond this practical experience
with implementation and is often cited as a major impediment to innovation in
countries (TIPP, nd), with South Africa being no exception. A useful OECD report
(OECD, 2012c) addresses the matter of a strategic approach to skills policies, with
some reference to green technologies and equipping people for green jobs. It is
noted that the acquisition of green skills is likely to be a slow process and the OECD
report concludes that top-up training will be necessary.
It is acknowledged that there is no simple solution to fostering an innovation-friend-
ly environment as innovation requires a broad mix of skills. The formal education
system has an important role to play, requiring a balance between content knowl-
edge and innovation skills, which fall into three categories: technical skills; skills in
thinking and creativity; and behavioural and social skills (TIPP, nd). Entrepreneur-
ship programmes are acknowledged as important, as is pedagogy to encourage
problem-based learning, as well as assessment instruments that value creativity.
Mobility of people is also regarded as valuable for developing innovation skills in a
globalised world, and over and above the role of the formal education system, the
creation of an environment of lifelong learning in companies and organisations is
considered important. In summary, policies to promote innovation should focus on:
education policy; life-long learning policy; incentives to develop innovation-friend-
ly organisations; and the facilitation of people mobility (TIPP, nd).
6.3.4 Intellectual Property Rights Barriers
Intellectual property rights (IPR) are widely recognised as a potential barrier to
technology transfer (DST, 2007b) and a controversial issue. Developing countries
generally can not afford the high costs of obtaining advanced technologies from
multinational companies, usually located in developed countries. It is argued by
some that in view of the need to promote technology transfer of green technologies
as a public good to support global environmental sustainability, there is an urgent
need to promote affordable access, in a manner similar to achievements with
respect to HIV/AIDS drugs (Notaras, 2011). To date, the World Intellectual Property
Organisation (WIPO) has been unable to establish such a global agreement.

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6.3.5 Poor Track Record in Technology Transfer
Technology transfer can greatly facilitate access to green technologies. South
Africa has to improve its record greatly insofar as technology transfer is concerned.
One of the main market mechanisms designed to transfer technology is the CDM
of the Kyoto Protocol and yet South Africa’s involvement in the scheme has been
dismal (ASSAf, 2011b), in contrast to other developing nations such as China.
Technology transfer should not be about identifying a shopping list of green
technologies that can be imported. Prioritisiation is critical as was discussed in
Chapter 2. First, the green technology transferred should link to the local context,
and align with South Africa’s development needs and green growth strategy. In
essence, there needs to be a socio-technical fit. Second, technology transfer is
more than the transfer of hardware. It also includes knowledge transfer and even
more importantly, innovation capacity (African Development Report, 2012a)
(Figure 6.1). Innovation capacity is the knowledge required for generating and
managing technological change and explains the direct relationship between
innovation capacity and the flow of technologies.
Technology needs assessments, as required by the UNFCCC, are pivotal in assisting
targeted and appropriate technology transfer as was discussed in Section 2.3,
where it was used as a means of identifying priority technology needs. South Africa’s
technology needs assessment is currently being updated (pers. comm. H. Roman,
October 2014). Further information related to technology transfer is presented in
Box 7.2 in Section 7.3.5.
Figure 6.1: Flows of hardware and knowledge in the technology transfer process
and their contribution to different types of new capacity (African Development
Report, 2012a)

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The absence of a robust innovation system is one of the foremost reasons that some
green technology transfer schemes (e.g. the CDM) have failed in many developing
countries. A fundamental requirement for successful green technology transfer is
investment in the National System of Innovation (NSI), a requirement that would
apply to South Africa as well.
There are some unique elements of green technologies that distinguish them from
other technologies and therefore necessitate special consideration. For example,
benefits derived from green technologies are a public good and are not mar-
ket-driven. Furthermore, green technologies are often at the early technology de-
velopment stage and may require further testing in new environmental, social and
economic circumstances, leading to higher costs. Hence they may require greater
policy intervention to facilitate transfer and uptake (African Development Report,
2012a).
6.3.6 Financial Barriers

While some progress has been made by the state to address funding (e.g. the
Green Fund) that covers the so called ‘valley of death’, the supply of funding
clearly does not match the demand (Mohamed, 2013). Green technologies
require not only high R&D investments initially, but continued funding to ensure
the commercialisation and scale up of these technologies. Given the level of
investment, the substantial risks, and the slow, uncertain economic returns, both
the state and the private sector are understandably hesitant to invest in green
technologies. Access to finance is critical to green technology innovation and
deployment.
6.3.7 Lack of Market Information
In South Africa, there is a lack of awareness and information about markets
and trends, and a gap between the research environment where technology
generation takes place and the market. Awareness of market needs will provide
greater focus to innovation in South Africa.
A related aspect is the under-developed demand for green technologies amongst
the South African public and the need not only to actively create markets but to
better understand how to change human behaviour (See Chapter 8).
6.4 Overcoming Barriers: Roles of Government and the Private Sector
A recent OECD report (OECD, 2012c) provides evidence of a strong link between
policy and the development and diffusion of green technologies. While innovation
is determined largely by a country’s innovation capacity, favourable policies can
encourage local innovation and technology transfer. The role of government is not
only to set policy but also to provide leadership and direction. Government should
establish policies and provide incentives to stimulate the market, bearing in mind
that government intervention may be required to create a market. In addition,
their responsibilities include raising public awareness, providing appropriate
education and training to support the development and implementation of
green technologies, and providing the necessary advisory infrastructure to support
implementation (CAETS, 2013).

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Public financing is critical, with government funds being used to leverage private
sector funds (CAETS, 2013).
Private sector involvement is also vital, particularly at the commercialisation stage.
Partnerships between government and the private sector are important as industry
needs insights into future government policy changes, technological innovations
and new market opportunities (CAETS, 2013).
Given the importance of green technologies to supporting green economic
growth, it is essential to identify the barriers that impede their development and
diffusion. Overcoming these barriers is crucial, but it is also equally important to
reflect on, and learn from, successful green technology initiatives.
In summary, some of the learning points from the ASSAf workshop on Green
Technologies: Drivers, Barriers and Gatekeepers and the discussion in this chapter,
include:
• Ensuring a coherent policy framework.
• Ensuring regulatory certainty.
• Encouraging investment in green technology innovation across the various
stages of development, from R&D to commercialisation.
• Promoting green technologies amongst consumers and encouraging a shift
in behaviour patterns.
• Taking into account local capabilities to increase competitive advantage.
• Streamlining bureaucratic processes to fast-track green innovation and
project implementation.
• Facilitating public-private partnerships to pool resources.
• Supporting localisation.
• Providing adequate financial instruments.
• Providing greater business support to emerging and established green
enterprises.
• Building skills and capacity to foster innovation and facilitate a greater
uptake of green technologies.
• Investing in infrastructure to support emerging green technologies.
These will be taken forward when making recommendations in the final chapter of
this report.

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7 GREEN TECHNOLOGIES AND THE
BUSINESS SECTOR
7.1 Introduction
Like many emerging industries, increased uptake of green technologies requires
support from both the private and the public sectors. As a main contributor and
user of green technologies, business has an important role to play. Business is faced
with the challenge of reducing pollution, waste and resource consumption to
minimise environmental impacts, while at the same time continuing to grow and
increase profitability, and acting as a stimulus for innovation in the private sector
(Gunningham and Sinclair, 1997; UNGC and Accenture, 2013). The focus of this
chapter addresses the key role for the business sector in South Africa in terms of
green technology development and uptake, the challenges and opportunities
around diffusion of green technologies and then finally, explores opportunities for
enhancing the role of business in green technology implementation.
7.2 Global and Local Trends in Green Technologies in the Business Sector
Businesses are becoming increasingly involved in green technology development
and adoption. According to the Ernst and Young (2011) Tracking Global Trends
report, green technology is viewed by business as a key area to gain competitive
advantage and was identified as one of six key long-term developments shaping
the business world. Leading companies are beginning to realise the commercial
opportunities of green technologies and are starting to incorporate green
technologies into their growth strategies. The UN Global Compact-Accenture
CEO Study (UNGC and Accenture, 2013) also found that leading chief executive
officers (CEOs) view technology and innovation as one of the key themes to
achieve transformation and secure business sustainability. The ‘clean technology
(cleantech) revolution’ is predicted to be the second industrial revolution and
companies are being urged to act fast to ensure long-term sustainability (Pernick
and Wilder, 2007).
While the scope of green technologies covers a wide range of sustainable
technologies in various sectors (See Chapter 1), the largest proportion of clean
technology is made up of energy-related technologies (51% in 2013). Recently the
focus has shifted from renewable generation in 2010 to energy efficiency in 2013
(Cleantech Group and WWF, 2014).

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According to the Clean Economy, Living Planet report (WWF and Berger, 2012), the
global clean energy technology market has grown 31% per annum between 2008
and 2010.
In terms of investment in cleantech, Figure 7.1 illustrates global venture capital
expenditure in cleantech from 2008 to 2013. Over this period, investment in
cleantech declined from a peak in 2008 at €6 billion, declining in 2009 due to
the global economic recession and peaked again in 2011 at over €7 billion. The
current decline in investment may be attributed to gradual maturation of green
technologies, requiring less investment.
Figure 7.1: Cleantech venture capital investment in green technologies 2008 –
2013 (billion €) (Cleantech Group and WWF, 2014)
The report also identified those countries that are characterised by creativity and
innovation in green technology, and those that have stimulating environments
for companies in the industry, either through public policy or private funding. The
top ten leading countries in green technology are Israel, Finland, USA, Sweden,
Denmark, the UK, Canada, Switzerland, Germany and Ireland, according to the
Cleantech Group and WWF (2014).
Developing country governments are trying to create enabling environments for
companies involved in green technologies and are pursuing a variety of different
cleantech development paths to achieve relative advantage. Brazil, a country
known to be a renewable energy pioneer due to its large-scale hydropower and
ethanol production from sugarcane, is now diversifying to small-scale hydro, wind
and solar power and is also looking at harnessing energy from feedstocks, such
as sugarcane bagasse owing to population pressures and energy disruptions
due to droughts. India has singled out solar power as a key green technology to
develop and has set targets in their National Solar Mission. China is also viewed to
be an emerging clean energy leader, allocating 37% of its US$586 billion economic
stimulus plan to cleantech, primarily renewable energy and smart grids (Ernst and
Young, 2011). While Brazil, India and China feature 25th
, 21st
and 19th
respectively,
in the Global Cleantech Innovation Index, South Africa is ranked 29 out of the 40
countries (Cleantech Group and WWF, 2014).

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South Africa is one of the most carbon-intensive economies globally, and national
government has committed strongly to transitioning to a green economy and
being a clean technology leader. However, like many developing countries, South
Africa has been slow to develop and adopt green technologies (James, 2013)
despite much enabling legislation as noted in Chapter 3. The implicit assumption
embedded in these policy documents is that the systems, such as financial,
infrastructural, resources and skills, required to be a technology leader are in place
and work efficiently in all respects (NBI, 2013a), however, in many instances this is
not the case.
According to the Cleantech Group and the WWF (2014), South Africa has below-
average scores for most components of the Cleantech Technology Index including
the general innovation drivers, cleantech-specific innovation drivers, emerging
cleantech innovation and commercialised innovation. The score in Cleantech-
specific drivers is slightly better due to favourable government policies.
7.3 Drivers of Green Technology from a Business Perspective
To promote the role of business in green technology development and deployment,
it is important to understand the drivers of green technologies. In general, one of the
main drivers from a business perspective, especially in the South African context, is
theeconomicincentiveofcostsavingsontheenergybill(CDP,2012).Withincreasing
fuel and electricity prices, coupled with an increasing demand for energy as the
economy grows, companies are beginning to realise the importance of reducing
energy consumption. By implementing various green technologies, companies are
able to reduce or at least contain their operating costs (CarbonTrust, 2012).
In addition to increases in fuel and electricity prices, prices of other resources are
increasing, as a result of population growth and higher demands for environmental
resources. Combined with environmental risks and climate change impacts, such
as water constraints, this means that resource pressure is expected to increase
(Accenture and Barclays, 2011; UNEP, 2012c). These environmental factors are, in
turn, constraining production especially in the agricultural sector, impacting on a
number of supply chains that are dependent on the agricultural sector (IPCC, 2014).
Companiesthatadapttothesechangessooner(‘first-movers’)willhaveacompetitive
advantage over similar industries, as they will be able to identify opportunities and
sustain growth, while at the same time minimising the environmental impacts of their
industry (Kesidou and Demirel, 2010).
Furthermore, there are also regulatory and voluntary pressures that are driving
companies to increase green technology research and deployment. The planned
implementation of the carbon tax by National Treasury is encouraging more
companies to investigate green technology opportunities (CDP, 2012). Some
companies, particularly the Johannesburg Stock Exchange (JSE) top 100 companies
in South Africa, have already increased their focus on green technologies due
to voluntary reporting requirements, such as CDP Climate Change programme
(formerly known as the Carbon Disclosure Project) and the Global Reporting Initiative,
which expect companies to report their emission reduction initiatives and identify
their climate change risks and opportunities. By reporting through these voluntary
programmes, companies begin to think beyond climate change and environmental
risks to seeking opportunities (Ernst and Young, 2011; Nicholls and Moolla, 2012).

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One important opportunity that drives green technology development in business
is the enhancement of reputation with stakeholders. Globally, consumer demand
for sustainable products is increasing and there is potential for companies to meet
and increase this demand if they are more innovative and effectively market new
technologies (UNEP, 2012c). There are also a number of movements driving investors
and asset managers to integrate sustainability into their decision-making processes
(CDP, 2012). By increasing innovation in green technologies, companies are also
able to attract and retain higher quality employees. Furthermore, increased green
technology adoption can enhance companies’ reputation with communities and
civil society by building trust, giving them credibility and can assist with achieving
overall behaviour change (Luken and Rompaey, 2007).
7.4 Defining the Role of Business in Green Technologies
To understand the role that business plays in green technologies, a useful starting
point is the clean technology innovation life cycle. Traditionally, innovation is
driven by both technology push factors and market pull factors. Technology push
factors focus on R&D of green technologies primarily through publically funded
programmes. Market pull factors depend mostly on market demand and corporate
investment in R&D to respond to market demand. Innovation requires a complex
interaction of pull and push factors that are not necessarily linear (Grubb, 2004).
Figure 7.2 shows the stages of green technology innovation and the various
influencing factors, including research institutes, the policy environment, private
finance and market demand. While this life cycle is very similar to other innovation
life cycles, a key difference is the need for government support in the development
and diffusion of clean technologies through a range of mechanisms, for example
internalising the costs of environmental externalities of carbon-intensive energy
sources and products that would assist in making clean technologies more
competitive in the market (OECD, 2010). The figure indicates a number of feedback
loops from different stages in the innovation cycle that inform further R&D and
provide knowledge-sharing from market experience (Grubb, 2004). Furthermore,
for some innovations it is necessary to develop supporting technologies, institutions,
as well as awareness initiatives, to ensure public acceptance and uptake.
In Chapter 2, reference was made to TRL as a prioritisation tool. The link between
the TRL and the stage in the clean technology innovation cycle is noted here,
with those technologies with high TRL values being close to the commercialisation
stage.

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Figure 7.2: Stages in the technology innovation life cycle (IEA, 2008)
Depending on the technology type, these technology stages may vary significantly.
For example, the ICT sector is characterised by high degrees of innovation, rapid
technological change and is primarily funded by the private sector. The virtual
nature of many ICT products, such as mobile applications and online shopping,
also allows for rapid deployment and commercialisation phases. In contrast, in the
power generation sector, technological change is slow and driven primarily by
the public sector. Large-scale energy production requires high capital investments
and long timescales, which increase the risks of such investments. A key feature of
technologies that have high private sector R&D is product differentiation (e.g. smart
phones), whilst efficiency and price of the same technology is the main difference
between competitors in large-scale power generation technologies (Grubb, 2004).
Business consists of a range of sectors of various sizes, ranging from SMEs to
large multinational corporations. Each plays different roles in green technology
development and uptake, and is also confronted with different barriers and
opportunities. While some companies are engaged in the creation of new
technologies, most firms imitate or adapt existing production techniques to local
conditions (Evenson and Westphal, 1995; UNCTAD, 1999). The various roles that the
private sector plays in green technology innovation and deployment are illustrated
in Figure 7.3 and are described below.

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Figure 7.3: The roles of business in various stages of the technology development
and deployment life cycle (adapted from Cleantech Group and WWF, 2012)
1. Developer/innovator: Business has long been a leader in green technology
development and innovation. Business has a good ability to embrace ideas, innovate,
conceptualiseanddevelopsolutions,mainlyduetoanawarenessofmarketconditions
and in response to demand (WBCSD, 2002). Companies that are green technology
developers are commonly known as ‘early adopters’ and have R&D facilities within
their organisations. Technology innovators are also usually responsible for the market
demonstration of the technology to show potential purchasers the technology’s
performance and market potential. Green technology innovators in business can
either be large companies that have an R&D unit or smaller technology development
companies, such as engineering or information technology (IT) companies. While large
companies playing in this space are able to fund their innovations, their challenge is
that they require longer time frames to make decisions and are more risk averse, as
opposed to smaller companies that are able to make rapid decisions and are risk
takers, but are faced with the challenge of sourcing funding (Lindegaard, 2012).
2. Manufacturer: Once a technology has been demonstrated, established firms
may adopt the technology through an agreement with the developer (e.g. by
purchasing a production licence) and manufacture the technology for distribution.
In some cases, companies, particularly large companies, play the roles of both
innovator and manufacturer.

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3. Distributor/user: Distributors are mainly wholesalers and retailers who sell products to
consumers. As businesses procure technologies for their own use and for distribution
to consumers, they have a role to play in making informed and responsible
choices in the technologies they use. Distributors can potentially influence their
supply chains by providing support, information and guidance to their suppliers to
improve their products or by requiring that technologies meet certain standards. As
technology distributors, these companies can also influence consumer demand for
green technologies by introducing them to the market in ways that enhance their
widespread acceptance by society and thereby increase uptake and diffusion.
The private sector is also an important user of green technologies and has the
potential to create the market demand for sustainable technologies. The user
has a role to play in ensuring that products procured meet sustainability criteria,
including environmental sustainability, and also in ensuring that technologies and
products acquired are socially sustainable. A relevant example is that of Woolworths
partnering with Imperial Logistics to improve the sustainability of their transportation
chain, thereby reducing emissions and costs (NBI, 2013b).
4. Partner/collaborator: As a partner and collaborator, business has an important role
to play across the technology development life cycle, but is also necessary from
a technology transfer perspective. Businesses, academia and research institutes
need to partner with each other to ensure that the R&D in this sector is market-
driven and has the necessary support to ensure commercialisation of technologies
(Grubb, 2004). Academia and research institutes have the research capabilities
that can be lacking in companies, while companies have a better understanding
of technological needs. Increased partnerships between universities, research
institutions and business can increase innovation in the green technology space.
More collaboration with research institutes will also assist the integration of skills
needed in formal education systems and build capacity in companies to ensure
that green technologies are more widely understood and implemented (KPMG,
2012) (See Box 7.1).
Box 7.1: Anglo American Platinum: driving fuel cell development in South Africa
“Collaboration with various research institutions, fuel cell companies, government
and business is essential to successfully drive fuel cell technologies in South Africa”
– Kleantha Pillay: Senior Manager, International Market Development, Anglo
American Platinum Ltd, 2013.
Anglo American Platinum is the world’s leading primary producer of platinum and
accounts for about 37% of newly mined production globally (Anglo American
Platinum, 2013a). With South Africa holding 75% of the world’s platinum reserves,
Anglo American Platinum Limited (Anglo American Platinum) believes that it is
important to invest in developing sustainable markets for platinum group metals
(PGMs).
A key development area for platinum lies in accelerating the use of platinum-based
fuel cells for small and large-scale provision of electricity in mobile, stationary and
portable applications (Anglo American Platinum, 2013b).

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In order to accelerate the commercialisation of fuel cell technologies, and to
create a local market for deployment and eventual assembly and manufacture
of these technologies, Anglo American Platinum has well-established partnerships
with a range of stakeholders, including technology developers, research institutions
and government at various stages in the technology development cycle, both
locally and internationally.
Research and Development: Anglo American Platinum recognised that in order to
accelerate the development and deployment of fuel cell technologies, there was
a need to collaborate with international developers who can provide the expertise
where needed and transfer those skills to ensure the development of products for
local and global use. In partnership with the DST, Anglo American Platinum has
also invested in building human capacity through investing in fuel cell research as
part of the HySA programme. This includes the funding of research programmes
at local universities and encouraging collaboration with international institutions
to encourage the transfer of skills and provide access to new methodologies and
equipment. These initiatives have the benefit of ensuring technology transfer while,
at the same time, building local capacity.
Together with its partners, Anglo American Platinum has developed underground
fuel cell locomotive and dozer prototypes for use at its own mining operations.
Surface testing to refine the design criteria are largely complete, with underground
testing beginning towards the end of 2013. A large part of the technical feasibility
includes the design of the hydrogen fuelling infrastructure for underground use.
Extensive risk assessments form part of this feasibility phase. In parallel, the value
proposition and business case is being developed, with the ultimate goal to
commercialise fuel cell-powered mining equipment in South Africa.
Piloting fuel cell technologies in South Africa: Anglo American Platinum, in partner-
ship with Thermal Coal, operates a stationary fuel cell on the thermal coal explo-
ration site near Lephalale (Limpopo province) fuelled by coal-bed methane from
the site. The project has provided valuable insights into stationary fuel cells on a
coal-bed methane fuel source and its applications within the African environment
and will provide learning experiences for institutions and students for the further
development of this technology (PGM Development Fund, 2013).
Commercialisation: Anglo American Platinum partnered with the DST and Altergy to
create Clean Energy Investments in the South African market. This company focuses
on fuel cells for back-up power application in the telecommunications industry. The
aim is to market, distribute and eventually manufacture fuel cell products locally
for the sub-Saharan African market. This public-private partnership can potentially
enable South Africa to become a world leader in fuel cell technology while ensuring
local beneficiation (PGM Fund, 2013).
Business also has a collaborative role to play in partnership with government, across
all spheres. Building transparent relationships with government will build trust, and
facilitate knowledge-sharing and capacity building that is needed to increase
the development and use of green technologies in the country (KPMG, 2012).
Government can work closely with companies to identify what is needed to create

151
enabling environments to promote green technology innovation and diffusion.
Public-private partnerships can assist with increasing cleantech R&D, assist in the
demonstration of new technologies and the creation of new markets (IEA, 2012a).
Business-to-business partnerships refer to the role that business has in partnering
with their supply chains, competitors and service providers to share ideas and drive
efficiencies through innovation along their supply chain. Companies are closely
reliant on their front and back supply chains. Understanding the degree to which
a company’s supply chain uses resources can enable the company to establish
partnerships for a creative, proactive, supply chain that can help to develop new
approaches, while driving down costs and mitigating risks (SustainAbility, UNEP and
UNGC, 2008).
Furthermore, companies are now beginning to work together to investigate ways
in which waste outputs from one company can be used as a resource by another
company (industrial ecology) (Ellen MacArthur Foundation, 2013). Internationally,
companies are forming green clusters, which are a collection of related industries
in the value chain. Forming green clusters helps to increase innovation through
diversity, introduce new growth drivers, enhance national competitiveness and
stimulate economic growth and job creation (Yoon-Jun, 2010).
Business networks, such as the Energy Efficiency Leadership Network in South Africa
(NBI, 2012), also provide useful platforms for engagement, where companies from
different sectors, including research institutions and government representatives,
meet regularly to discuss new innovations and share ideas to improve energy
efficiency at their company. Networks play an important role in increasing
technology uptake and transferring technologies across different sectors.
5. Financier: This business role refers primarily to the private finance institutions (banks
and private equity companies) that fund green technology projects. Financiers
provide both development capital and procurement capital for clean technology
projects. Development capital is capital that is required for R&D, production and
commercialisation of a technology, while procurement capital is required for
purchasing and installing green technology assets. Development capital is vital
for driving innovation, improving products and increasing operational efficiencies
(Accenture and Barclays, 2011). Commercial financial institutions mostly fund
products that reach the commercialisation stage. Public R&D is insufficient either
in quantity or in terms of its linkage to commercially viable technologies to fund
technologies to the commercialisation stage (NBI, 2013a). As a result, there is a
market gap in the centre stage of the technology innovation life cycle that
terminates many promising new technologies in the R&D phase termed the
‘technological valley of death’ (Grubb, 2004; NBI, 2013a).
Earlier sources of finance depend mainly on venture capital and private equity
investment. Procurement capital ranges from small-scale individual investments to
large-scale infrastructural projects like renewable energy (Accenture and Barclays,
2011). Private sector finance plays an important role in the entire green technology
innovation life cycle, however, it is most common during the commercialisation
and commercial maturity stages.

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7.5 Opportunities, Barriers and Trade-offs in Green Technologies
7.5.1 Opportunities
The global trend towards transitioning to a low-carbon economy presents a number
of opportunities for business, with the roles varying across the different sectors.
Opportunities related to green technology adaptation for business are:
• Improved efficiencies and cost reduction: By implementing green technolo-
gies, companies can improve production efficiencies and reduce their oper-
ating costs, such as energy and water costs and maintenance costs. Green
technologies are sometimes viewed as win-win solutions as they are bene-
ficial for the environment, while also improving productivity and economic
growth. Cost savings depend on the payback period of various technolo-
gies. Many energy efficiency technologies have shorter payback periods
(less than three years) and result in cost savings over the short term (CDP,
2013; UNESCAP, 2012). Table 7.1, which illustrates the payback periods of var-
ious emission reduction activities from South African CDP responders, shows
that 77% of energy efficiency initiatives as a result of processes (e.g. heat
recovery, refrigeration, fuel switching) have payback periods of less than
three years. Large-scale technologies, such as renewable energy technolo-
gies have higher start-up costs than traditional energy technologies, howev-
er, over the long term, future savings can make green technologies a more
cost-effective option (Luken and Rompaey, 2007; UNESCAP, 2012). This is also
shown in Table 7.1 where 45% of low-carbon energy installations have pay-
back periods of between one and three years in 2013, which is up from 30%
in 2012 (CDP, 2013).
Table 7.1: Payback periods of South African CDP responders for emission
reduction initiatives (CDP, 2013)

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• International trade benefits: Developed countries, like those of the European Union,
can have strict environmental requirements for products that they import. Adopting
green technologies can help companies that export goods to developed countries
gain a competitive advantage and an international market share, as they would
meet the stringent environmental requirements imposed (Luken and Rompaey,
2007; UNESCAP, 2012).
• Minimise risk and build resilience: Climate change and natural disasters can disrupt
or change the way business operates and result in high costs and infrastructure
losses. Companies are increasingly investigating new technologies that make their
company, consumers and society more resilient to shocks, disruptions, and costs
of climate change impacts (PWC, 2013). By developing more resilient energy and
water infrastructure, companies can minimise risks related to extreme weather
events, cost increases of resources and stricter environmental regulatory pressures
(PWC, 2013; UNEP, 2012c). For example, small-scale renewables such as roof-top
solar PV can endure storms, floods, and other disasters with minimal or no disruption
to the energy supply (PWC, 2013).
• Product differentiation: By investing in green technologies, companies are able to
identify new market opportunities, stimulate innovation and allow companies to
gain a market share through intellectual property rights (UNEP, 2012c). For example,
Siemens, one of the world’s largest suppliers of environmental technologies,
through diversifying its portfolio to incorporate green technologies, has generated
€33 billion in revenue in 2012 through its environmental portfolio, which accounts for
42% of its total business (Siemens, 2012).
• Environmental reputation: Increasing the implementation and distribution of green
technologies can improve a company’s reputation, which is important as many
investors and consumers are incorporating environmental factors in their decision-
making processes (Luken and Rompaey, 2007; UNESCAP, 2012).
• Create jobs: Increasing innovation and deployment in green technologies will
create a number of jobs in existing companies and in new emerging companies.
The IDC’s study on Green Jobs estimated the direct job potential in South Africa as
a result of green technologies to be 230 000 employment opportunities in the long
term (2025), of which 130 000 jobs are associated with green energy generation,
68 000 jobs are associated with energy and resource efficiency activities and
32 000 are associated with emissions and pollution migration-related activities
(Maia et al., 2011).

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Box 7.2: Green technology transfer
Technology transfer is one opportunity that business has of implementing green
technologies, through the importation of technologies produced in developed
countries. The benefits of technology transfer are that it increases diffusion of green
technologies in developing countries, can potentially minimise costs of technologies
by leapfrogging the fixed-line technology process and, if done correctly, can
create jobs and build skills for further innovation.
Technology transfer includes “not only the purchase and acquisition of equipment
but includes the transfer of skills and capacity to use, operate, maintain, as well as
to understand the technology hardware so that further independent innovation
is possible by recipient firms” (cited in Shashikant and Khor, 2010). The transfer of
green technologies from developed to developing countries can be done in the
following ways:
• Transfer from multi-national parent companies to subsidiaries.
• Through joint ventures between local and international companies.
• Trade – importers can improve their products by importing green, efficient inputs
which may not be available domestically.
• Direct transfer as firms engage in the trade of knowledge through licensing
agreements that typically involve the purchase of production or distribution
rights and necessary know-how.
To increase the transfer of green technologies, both supply and demand factors
must be considered. On the supply-side, companies and investors involved in
green technology transfer seek countries with the necessary skills, infrastructure
and regulations that would encourage further development. On the demand-
side there must be sufficient demand to enable green technologies to be diffused
effectively.
Governments in developing countries need to nurture the transfer of green
technologies by building technical capacity and by creating an institutional
framework that enables them to absorb, adapt and improve the transferred
components and systems. An institutional framework can act as a screening
process to ensure that technologies transferred are appropriate in a local context
and that it meets localisation requirements (Ockwell et al., 2008).
A key challenge to technology transfer is IPR. Depending on the type of IPR, such
as patents and copyright protection, IPR could increase the costs of importing
technologies, limit the sharing of knowledge and skills transfer and reduce growth
possibilities obtained from imitation and localisation of technologies. Many
proponents view green technologies as a public good that should be made freely
available to developing countries. Calls have been made to the UNFCCC and
trade-related aspects of intellectual property rights to use multilateral funds to buy
up green technology IPR and make it freely available, however, these discussions
are still in progress (Gopakumar, 2013; KPMG, 2012; Ockwell et al., 2008).
While technology transfer can bring many benefits for increasing green technology
diffusion, it is important to note that in some instances developed country solutions

155
are not suitable in developing countries and developing countries play an
instrumental role in creating new technologies or adapting existing technologies
to meet local needs.
7.5.2 Barriers
There is a range of barriers affecting business, again varying according to sector,
business size, availability of supporting infrastructure, human resource capabilities
and geographic region (Park, 2005). Studies have categorised barriers differently,
however. From a business perspective, a useful categorisation is in terms of the
overarching macroeconomic and policy barriers that a company faces; then
barriers related to a company’s supply chain, including suppliers and consumers;
and finally, company-specific barriers in relation to green technology uptake and
diffusion. This categorisation is to provide structure to the barriers and is not intended
to be deterministic. Furthermore, the number of barriers in each category is not an
indicator of the relevance of particular barriers, as a single barrier may have a
disproportionately high or low impact. Table 7.2 summarises the barriers that face
business in green technology development and deployment.
Table 7.2: Barriers to green technology uptake in business
Category Barrier (Luken and Rompaey, 2008; NBI, 2013a; Park, 2005;
UNESCAP, 2012)
Macroeconomic/
Policy Barriers
Lack of certainty and consistency in policies in the country
Limited incentives driving green technology uptake
Communication challenges between government and
companies
Implementation and structural provision to support green
technology development is limited
High costs of green technology investments and uncertainty
around return on investment
Limited access to finance for green technologies in certain stages
of the technology development life cycle
Value Chain
Barriers
Minimal green technology supply market
No known or cheaply available alternative chemical or raw
material
Limited customer demand for cleaner technologies
Company –
Technology
Interaction Barriers
Lack of commitment from top management
Companies are structured as silos thus limiting innovation that
requires alignment of business and technology functions
Lack of information, awareness and skills within companies,
especially smaller companies
Competing business priorities such as the pressure for short-term
profits
• Macroeconomic/policy barriers
Policy and regulatory-related barriers may result from delays in revising and
developing regulatory frameworks and policies to increase investor confidence and

156
certainty in green technology development. In addition, there are co-ordination
and communication challenges between government and business. While there
are some incentives to drive green technology uptake in South Africa, these
are limited. According to an Ernst and Young (2011) Global Cleantech Adoption
Survey, the most important role for government in supporting cleantech is to provide
financial incentives and subsidies. It is important for government to simplify and
streamline the regulations to improve efficiencies and increase cleantech diffusion
(Maia et al., 2011). These barriers primarily impact on developers and manufacturers,
who are subjected to older regulations and policies that do not account for green
technologies. Furthermore, policy-related barriers due to a ‘misalignment between
green economy vision, industrial policy and structure of the financial system’, result in
uncertain markets that restricts funders’ ability to invest in low-carbon technologies
(NBI, 2013a).
“Government needs to provide business with clear targets, rules and timelines, as
well as an articulated desire to give the private sector a role and space to act
in order to increase the supply and use of clean technologies” (K. Ireton, pers.
comm., 29 November 2013).
To implement some green technologies requires a sub-set of other technologies,
infrastructure and capabilities to allow for the technology to be implemented
successfully. For example, in the case of electric vehicles, it is necessary to provide
the technological infrastructure to support the charging of batteries, increase skills in
manufacturing and maintaining the vehicles, and initiate a drive towards behavioural
change and uptake of the new technology10
. This is a key barrier for technology
manufacturers and importers, who are reliant on certain structures, resources and
other technologies to ensure the success of manufacturing a new technology.
While there are cost-saving benefits of developing and using cleantechs, for
large-scale technologies these benefits have long payback periods. Traditional
technologies are cheaper over the short term and generally have less operational
risk and uncertainty. The high capital investment and operating costs of green
technologies are major barriers to uptake (Gunningham and Sinclair, 1997; James,
2013; Park, 2005).
According to a survey by the NBI (2013) that focused on ‘Enhancing private sector
access to climate finance in South Africa’, the process is also hindered due to a
range of barriers that limits access to climate finance. Structural barriers include
limited funding available for early-stage, high-risk projects that assists projects to
move to commercialisation. Furthermore, mid-sized private sector project funding
is limited (between R50 million and R250 million in value) because they are too
large for development institutions but too small for commercial banks to pursue
(NBI, 2013a). This is especially prominent in SMEs due to the absence of appropriate
funding mechanisms (Gunningham and Sinclair, 1997; Park, 2005).
Project developers as well as commercial banks face skills and capacity constraints
to effectively access or provide the necessary funding. In commercial banks, the
10
http://evobsession.com/electric-car-sales-increased-228-88-2013/

157
decision to fund a project depends on whether the project proposal is bankable
(NBI, 2013a). The NBI survey (2013) indicated that these skills are generally lacking
in South African low-carbon project developers. This is also seen in the commercial
banks and there is a general lack of skills to evaluate these projects. There is a
need for new and innovative sources of financing that deals with unique environ-
mental and climate change challenges (KPMG, 2012; NBI 2013).
• Supply chain barriers
Along the value chain, companies are also faced with a number of challenges.
On the supply-side, there are a number of barriers limiting a company’s access
to green technologies. Suppliers may not supply new, green technologies for
various reasons, such as lack of knowledge and skills required for providing these
technologies. In some instances there is no known alternative chemical/material
input or process technology available (Luken and Rompaey, 2007).
Furthermore,manycompaniesarediscouragedfromgreentechnologydevelopment
and commericalisation due to a lack of market demand for these products. A key
enabler for diffusion of green technologies is the need for market pull factors, such
as customer demand (Luken and Rompaey, 2007). While consumer demand may
exist in developed countries, in South Africa it is still minimal, as consumers associate
these technologies and products with higher prices (CDP, 2012). Consumer demand
is primarily driven by price, appeal and convenience. Depending on the green
technology, the complexities and price of clean technologies drives consumers to
purchase traditional technologies. For example, the extensive process of acquiring
solar water heating rebates, higher short-term costs, as well as the time taken to
select and install a suitable SWH, makes purchasing a traditional geyser a more
convenient option (K. Ireton, pers comm., 2013; Naicker, 2010). There is a need for
societal behavioural change to increase the demand for many green technologies.
• Company-technology related barriers
Getting buy-in and commitment from top management is a key barrier that com-
panies need to overcome to increase the implementation of green technologies.
An important barrier to the widespread adoption of green technologies is the
inaccessibility of appropriate information and expertise. A lack of awareness and
expertise also limits the ability of top management to make decisions that would
increase innovation and implementation of green technologies. Although there is a
high potential for green technologies to improve a company’s competitiveness, in
many instances they lack the knowledge and skills to exploit these opportunities. This
lackofknowledgeincreasestherisksanduncertaintiesofadoptingnewtechnologies.
SMEs, in particular, suffer from a lack of resources and expertise to devote to increase
green technology uptake (Gunningham and Sinclair, 1997; Park, 2005).
Companies are also faced with competing business priorities. In most instances,
activities or technologies that show short-term profitability are favoured over green
technologies. Furthermore, in some instances companies are judged by markets
and investors on short-term performance, which results in a reduction in long-
term green investments, undermining the future competitiveness of corporations
(Gunningham and Sinclair, 1997; James, 2013).

158
Overcoming these barriers can be complex as it requires support and collaboration
of a variety of stakeholders including government, business, NGOs, research
institutions and civil society.
7.5.3 Trade-offs
While green technologies provide many opportunities for business, there are
a number of trade-offs that business needs to consider when developing and
commercialising green technologies. Much of this chapter has focused on the role
of business in the stages of technology innovation and commercialisation, however,
studies have shown that there is also high mitigation and adaption potential in
scaling up and adapting existing technologies. Companies need to decide
whether to invest in R&D to develop their own technological solutions or whether
to scale up existing technologies. The decision between technology development
and/or technology deployment will determine the technology trajectory of the
company. The timing of R&D cleantech investments by companies impacts on the
company attaining a ‘first-mover’ advantage, however, this is also associated with
high start-up costs (Pinkse and Kolk, 2010).
Increasing the development and deployment of green technologies in companies
can potentially redefine a company as there is a shift from traditional carbon-
intensive technologies to cleaner technologies (Pinkse and Kolk, 2010). This structural
change in firms would require a different skills set and could potentially result in job
losses of traditional industry jobs. However, this can be mitigated through reskilling
and re-education programmes to ensure that these people are reabsorbed into
the workforce (Maia et al., 2011).
The complexities and risks of partnerships is another trade-off that companies must
face to increase green technology uptake. In order to find solutions for complex
environmental issues it is important for companies to cooperate with others, even
across sectors, to find systemic solutions. To ensure diffusion of green technologies
it is important to influence the entire sociotechnical system. Single companies
cannot do it alone as they depend on complementary technologies, as well
as capabilities such as consumer demand for the technology and government
regulations. This creates a trade-off between cooperation to achieve optimal
levels and competitiveness through becoming leaders in the green technology
space. The benefit of cooperation is that it allows for a sharing of risks, reduces the
amount of resources required and increases levels of innovation and knowledge.
On the other hand, if cooperation is with a similar company, it can hinder building
capabilities and resources in the firm (Pinkse and Kolk, 2010).

7.6 Framework for Implementation
Whilst there are many barriers to green technology development and uptake in
business, studies have shown that policy and technological certainty are vital for
ensuring uptake in clean technologies. Such certainty increases stability in the
market, can attract foreign direct investment, and through economies of scale can
bring down the prices of green technologies. Figure 7.4, which was developed for
this report, categorises cleantech projects according to the level of technological
maturity and regulation and policy signals.

159
Figure 7.4: Categories of green technology projects according to level of
technological maturity and policy signals
Quadrant 1 (Clear policies, mature technologies): This quadrant consists of well-es-
tablished, commercialised technologies that are provided with clear policy signals,
such as clear targets, strategic deployment and barrier removal policies, market
incentives and market engagement programmes (Grubb, 2004). Technologies in
this category are low risk and have achieved economies of scale, hence the costs
of these technologies have declined.
Examples of technologies within this segment in South Africa are some renewable
energy technologies through the REIPPP. The government realised that in order
to diversify South Africa’s energy mix and to increase renewable energy supply
to the grid, the private sector’s involvement was crucial. In May 2011, the DOE
gazetted the Electricity Regulations on New Generation Capacity (Eskom, 2013).
Government and the DoE provided clear rules and guidelines that bidders must
adhere to in order to be successful. Bidders were also given a clear indication of
targets and timelines were set in line with the IRP 2010 (K. Ireton, pers. comm., 2013;
IPP Procurement Programme, 2012; SAnews, 2012). The government incorporated
lessons from the previous two bidding rounds such that by the third round 93 bids
were received with a collective capacity of 6 023 MW against an allocation of
1 473 MW. While only 17 bids were successful, many other applications met the
criteria and there have been discussions to increase the number. This raises the
number of renewable projects under or to begin construction to 64, with a collective
investment value of R150 billion and an installed capacity of 3 933 MW (Creamer,
2013). Progress in this sector is significant, bringing in new funding, technologies and
skills (Greve, 2013; Odendaal, 2013).

160
Quadrant 2 (Unclear policies, mature technologies): Well-established, mature tech-
nologies that lack clear policy signals are represented in this quadrant. These tech-
nologies are available on the global market but local policies are inconsistent and
do not support the technology. This could be due to funding constraints in govern-
ment, uncertainty around the technology or non-alignment of various government
departments. The biofuels industry in South Africa is a good example of a mature
technology that was initially in this segment, mainly due to concerns around the im-
pacts of biofuel production on food security. Due to regulatory uncertainty many
plans to build biofuel facilities, such as the Rainbow Nation Renewable Fuels soya
project at Coega, were put on hold. In September 2013, the DoE provided more
certainty around biofuels by stipulating that biofuel must comprise at least 5% of
diesel and 2% to 10% of gasoline starting October 1, 2015. As a result, the Coega
project has been brought back online and there has been a noticeable increase
in the planning and development of biodiesel and bioethanol factories (Business
Report, 2013; Payne 2013), illustrating a shift of biofuels to Quadrant 1.
Quadrant 3 (Clear policies, new technologies): This quadrant represents technol-
ogies that are still in the RD&D phase, but have received support from the public
sector in terms of investment in these technologies. Whilst technologies in this sector
have technology push factors such as public R&D, they lack market supply pull
factors and private investment. The costs of implementing these technologies are
too high and some have not sufficiently proven themselves in the market. Electric
vehicles are an example of this technology in South Africa, where the government
has indicated the need to promote the use of electric vehicles over the long term
(NPC, 2012).
Quadrant 4 (Unclear policies, new technologies): This quadrant represents technol-
ogies that are still in the RD&D phase but lack government investment and policies
to promote development in these technologies. There are high uncertainties and
levels of risk in this segment and there is a need for substantial private investment,
as well as government support to help promote these technologies.
Government and business need to work together to identify key green technologies
that need to be pushed to Quadrant 1. Once these technologies are identified, a
combination of various factors, such as increased R&D, skills development, access
to finance and driving behaviour change to increase consumer demand, are
needed to move technologies to Quadrant 1 in the future.
To ensure green technology diffusion it is important to influence the entire
sociotechnical system. Business has many important roles in doing this, however,
business alone cannot deliver at the speed and scale of change required. For
business to drive green technology innovation and diffusion successfully, business
needs an enabling environment. Business needs to be encouraged to increase
R&D in green technologies, and public policies, incentives, guidelines and targets
linked to clear principles of sustained economic success are necessary to support
green technology growth. A programme that is similar to the REIPPP initiative can
be adopted to drive technological diffusion in other green technology sectors
such as the water sector. Essentially, in order to grow green technologies in a
country, both government and business have important roles to play. Table 7.3

161
highlights potential commitments to which business and government could ascribe
to promote growth in green technologies.
Collaboration across companies, customers and the financial community is
essential. Company collaboration is important to minimise supply chain risks,
reduce the level of resources required and increase levels of innovation. Financial
institutions play a dual role in the transition towards a green economy, through
both investing in sustainable projects and integrating environmental, social and
governance indicators into the decision-making criteria for lending, investment
and insurance (UNEP, 2012). Finally, business needs to drive societal behavioural
change to increase consumer demand for green technologies, by making them
more attractive than traditional technologies.
Table 7.3: Commitments from business and government that would promote
green technology growth in South Africa
Companies’ Commitments Government Commitments
Work with government to identify areas of
green policy and regulation which can be
clarified simplified while still being effective
and (HM Government, 2011)
Develop a framework which simplifies
policies and regulations around green
technology development to promote
easy uptake(HM Government, 2011)
Increase green technology R&D and
commercialisation
Provide a stable commitment to policies,
incentives, as well as infrastructure that
supports the commercialisation of green
technologies
Corporate and investment banks should
work with the public sector to leverage
public sector funding and develop new,
innovative finance mechanisms (KPMG,
2012; NBI, 2013a)
Leverage public funding to stimulate
private sector investments (Accenture and
Barclays, 2011)
Identify and develop skills necessary
for green technology growth within the
company and through partnerships (HM
Government, 2011; NBI, 2013a; Park, 2005)
Work with industry to identify and
provide the right skills needed for green
technology growth (HM Government,
2011; Park, 2005)
Work with research organisations,
academia and government to align R&D
in green technologies with business needs
Establish private-public partnerships to
drive green technology R&D. Assist with
translating existing innovations into a useful
language for business to adopt
Promote green technology adoption with
consumers and drive behavioural change
Provide nation-wide support to encourage
societal behavioural change to promote
green technology use
Investigate and identify green technology
transfer opportunities appropriate for the
South African market
Provide an institutional framework and
infrastructure to ensure technology
transfer incorporates localisation (Ockwell
et al., 2008)
Adopt knowledge sharing and open
innovation approaches to facilitate ease
of technology transfer (Gopakumar, 2013;
KPMG, 2012; Ockwell et al., 2008)
Drive a review of the intellectual property
rights to more open innovation and
technology sharing across industries and
geographies (Gopakumar, 2013; KPMG,
2012; Ockwell et al., 2008)

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Companies’ Commitments Government Commitments
Engage supply chains, SMEs and
other business partners to consider
environmental risks, increase innovation
and profitability through a broader diverse
understanding of issues (Luken and
Rompey, 2007)
Help small businesses to innovate and
increase business understanding of
environmental value and impacts. Provide
support for business collaborations
A potentially beneficial development
is the recent announcement of the
establishment of the Ministry for Small
Business Development on 25 May
2014 (The Presidency, 2014). The new
Ministry is to encourage small business
development and to provide a platform
for entrepreneurs to contribute to job
creation, and economic growth and
development (SAnews, 2014).

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8 SOCIAL AND BEHAVIOURAL
ASPECTS OF IMPLEMENTING GREEN
TECHNOLOGIES
8.1 Introduction
Many market innovators and designers will be familiar with the experience that not every
successfully engineered innovation is successful in the marketplace. There is no reason
to expect that green technologies should be any different. Despite the development
of numerous sustainable technological innovations, a number of authors have warned
about the slow adoption of these technologies by states and individuals (Hekkert
et al., 2008; Hensley et al., 2009; Kassie et al., 2009). Innovative technologies often fail
because they neglect to take into account the role of the user in the adoption process
(Douthwaite et al., 2001).
There are many factors that determine the success or failure of a specific technology,
with the most common reason often being attributed (sometimes incorrectly) to cost
(Lenhart et al., 2003). While cost is an important component, Green (2001) suggests that
the adoption and use of technology is less about cost and the technical qualities of
the technology, and more about being socially bound; being determined by access
to education and training, the perceived application within a society and by individual
ability.
There are also many reasons why people fail to adopt a technology or discontinue its
use. First, people need to know about the technology. This is largely about marketing and
ensuring that the potential user population is aware of the technology. Second, people
might know about the technology but see little value in making a change. Change is
associated with costs, including sourcing costs (e.g. getting access to technology often
has costs associated with finding suppliers); monetary costs (of buying and installing new
technology); lost opportunity costs (it takes time to learn to use a new technology); and
risk-taking (not all new technologies perform as advertised). Again, this is primarily about
marketing to ensure that appropriate and accurate information about the benefits (and
problems) reach the potential user population to help them make informed decisions.
Third, people may access the technology but then discontinue use. This could be
due, inter alia, to problems of non-intuitive design, training, operational support (e.g. a
hydrogen car needs a hydrogen fuel support system), or maintenance, amongst other
reasons. Finally, people could access a technology but not use it properly (e.g. use a
sustainable technology in a non-sustainable way).

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This chapter focuses on how people adopt and accept green technologies (i.e.
the first three reasons). How people use green technologies and whether they use
them in a way that supports sustainable behaviour falls beyond the scope of this
report but is another important area to consider.
The first part of this chapter briefly outlines the main theories of technology adoption;
viz. Innovation Diffusion Theory, the Technology Acceptance Model (and some
of the extensions to this model), the Unified Theory of Acceptance and Use of
Technology, and finally, Persuasive Design. The main focus of this first part is to
emphasise the primary technology and personal variables that have been linked
to the successful adoption of technology. The next section covers some of the
empirical research that has applied these theories to understanding the adoption
of green technologies. The final section summarises the primary variables that need
to be considered when looking at consumers’ adoption of green technologies.
8.2 Models of Technology Adoption
The following models and factors are described in full in Appendix 5 and outlined
briefly here.
1. Innovation Diffusion Theory: The theory relies on the evolution of the
mind-set of a person after initial contact with new technology through to
implementation and confirmation of the new technology. A significant
assumption is that the adoption of the new technology relies solely on the
features or qualities of the technology, and no other external factors.
2. Technology Acceptance Models: Technology Acceptance models also
rely on the features of the new technology for successful adoption but the
basis of the model comprises two attitudinal components: the perception
of the usefulness and the perception of the relative ease of use of the
technology. Re-evaluation of the model introduced the influence of socio-
economic factors including societal values, accessibility and exposure to
the technology.
3. Unified Theory of Acceptance and Use of Technology (UTAUT): This theory
comprises four determinants that predict behaviour of intent which in
turn predict actual behaviour. However gender, age, experience and
voluntariness moderate the behavioural intention.
4. Affective and Persuasive Design: These models are based on the motivation
of technology design. Affective design of new technology matches the
needs of the user. Persuasive technology design attempts to influence
behavioural change irrespective of the needs of the user.
5. Other personal and psychological influences: Various other researchers
have proposed important components to consider as determinants of
technology adoption. For example, adoption of new technology was
shown to be related to the purpose for which the technology was used.
8.3 Previous Technology Adoption Research addressing Green
Technologies
The empirical research that has examined the adoption of green technologies is
surprisingly limited, although does cover a range of products including vehicles,
electricity, organic food, and IT. Janssen and Jager (2002) applied an extended

167
version of the Innovation Diffusion Theory to try and understand why consumers
would adopt green products (in general). Using simulation modelling, they were
able to show that the social status of the green product and the social deliberation
of the costs and benefits of the product with significant others were important
determinants in the diffusion of these products. More specifically, Tanner and Kast
(2003) looked at purchasing decision-making of ‘green food’ (i.e. domestically
grown, organically grown, seasonal, not wrapped, and fair trade). They found that
time expended and frequency of shop visits were the largest barriers for consumers
and surprisingly, perceived costs and attitudes towards the environment were not
significantly related to consumer decision-making.
Most research has been in the area of the adoption characteristics of alternative
fuel vehicles, including electric vehicles and hybrid vehicles. In early work, Byrne and
Polonsky (2001) looked at the factors influencing the adoption of alternative fuel
vehicles. They concluded that the biggest impediments to the adoption of these
types of vehicles were: a poor regulatory framework (i.e. a regulatory framework that
did not categorically limit fuel emissions or provide safety standards for volatile fuels);
a lack of supporting infrastructure (e.g. alternate fuel cell outlets); and technology
characteristics (including price, but also perceived safety and performance).
Coad et al. (2009), in trying to understand when users would purchase electric
cars, found that important determinants were intrinsic rewards for middle-income
households, women, and older people (e.g. information about the functioning of
these vehicles, information about the relative benefits of fuel consumption, etc.)
and extrinsic rewards for wealthier households (e.g. the introduction of incentives).
Moons et al. (2009) found that aspects such as perceived complexity, relative
advantage, compatibility, social norms, and perceived behavioural control were
all important determinants in the adoption of these cars. In addition, they found
that past experiences and emotional reactions to these cars were also important
determinants. Hong et al. (2013), in trying to understand the adoption of hybrid
vehicles in Malaysia, found that perceived behavioural control, relative advantage,
and compatibility were the best predictors of adoption intentions. Ozaki and
Sevastyanova (2011) found that the important determinants of purchase decisions
were financial benefits (i.e. fuel savings and rebate incentives) and social norms
established by influential peers (including celebrities). Jeon et al. (2012) looked
specifically at the different social influences in the adoption of hybrid vehicles. They
found that altruism and image were the most important social influences in China
and South Korea. In a study looking at how drivers of electric vehicles overcame
the perceived barrier of the range preferences (i.e. how far they would like the
vehicle to travel before re-charging) for these vehicles, Franke et al. (2012) found
that personal factors such as personality traits and coping skills were important. They
suggested that the perceived barriers could be addressed through information
provision, training and interface design. They also found that with experience in
driving electric vehicles, range preferences became less of a barrier. Most recently,
Diels et al. (2013) looking at green vehicles, found that only experts preferred
novelty factors and that non-experts preferred design characteristics that were
more typical of previous designs. This suggests that designs which stray too far from
the public norms would struggle to gain traction amongst the majority of potential
consumers.
Another set of studies has looked at the adoption of green electricity services.
Arkesteijn and Oerlemans (2005) found that ease of switching, knowledge of the

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energy sources, attitudes towards the environment, and willingness to pay were
all important determinants of intention to adopt green energy. Ozaki (2011) found
that important determinants were social norms (i.e. the influence of significant
others), perceived ease of use/adoption, and the provision of information about
the innovation. Ozaki (2011) also found that even consumers who were sympathetic
towards environmental issues did not necessarily intend to adopt green innovations.
Unlike Ozaki (2011), in other work on the adoption of green electricity, Gerpott and
Mahmudova (2010) found that a consumer’s attitude towards the environment
was an important determinant of adoption, together with the influence of close
social contacts, although they found there were differences among high power
users and moderate power users.
Lilley (2009) looked at the qualities of green technologies that would encourage
their adoption. She found that important qualities were persuasive qualities
(following Fogg’s suggestions), perceived behavioural control, and social norms.
In theoretical work, Midden et al. (2007) considered four roles linking persuasive
technology with sustainable behaviour: 1) intermediary role (i.e. getting people
to use sustainable technology); 2) amplifier role (i.e. technology amplifies the
attainment of sustainability goals but also amplifies the use of resources); 3)
determinant role (i.e. technology shapes behaviour by its presence/absence
or affordances/constraints); and 4) promoter role (i.e. technology specifically
influences behavioural choices). Thatcher’s (2012) theoretical work was concerned
with understanding products (i.e. technology) from an intermediary role perspective
by using affective properties to influence decisions to purchase and initially engage
with sustainable technologies. However, as Lilley (2009) discovered, the level of
persuasive intervention that technology users are willing to accept in changing
their sustainable behaviour is highly context and individually dependent.
Molla and Abareshi (2011) approached green technology adoption from a
different perspective. They looked at motivational theory to suggest that eco-
efficiency and eco-effectiveness motives are the best predictors of the adoption
of green information technologies. It is important to note that Molla and Abareshi
(2011) were looking at the motivation of entire organisations to adopt green
information technologies, not individuals. Decision-making in this context might be
by committee considering the benefits for the organisation and groups of people
in the organisation, and not individual benefits.
In determining which factors are of primary influence in people’s adoption of green
technologies, it is necessary to consider adoption as a process taking place over a
period of time, with significant interactions required between the adopter and the
target technology. The important variables are summarised in Table 8.1. The logi-
cal starting point is therefore the two aspects of awareness: (1) awareness that a
technology exists, and (2) awareness that the specific technology may have some
positive impact on socio-economic or environmental upliftment for the individual
or the individual’s community. At this point it is vital that there is sufficient com-
munication by government, consumer groups, and green technology innovation
companies so that people are aware of the existence of the technology, as well
as the potential benefits of that technology. It is important to consider communica-
tion networks other than traditional media such as the power of early adoption by

169
significant people (e.g. celebrities, politicians, business leaders, etc.), user-friendly
websites, education at schools, and online social networking.
Next, one needs to pay close attention to the socio-economic environment in
order to establish a social environment conducive to technological adoption.
Technology adoption can only be considered if people actually have access to
the target technology. Government can assist at this point by providing incentives
such as subsidies, tax relief, and eco-labelling. Similarly, government can assist
by instituting barriers to non-adoption such as taxes (e.g. carbon emissions tax
for vehicles), government-regulated minimum costs, and raising disposal costs.
Following Musa (2006), government also has a role to play in ensuring the right type
of socio-political environment (i.e. increased employment, poverty reduction, etc.)
as technology has the potential to support a positive spiral towards improvements
in the socio-political environment.
The next point which one needs to consider is when the consumer actually first
encountersthetechnology.Thisisinfluencedlargelybytheattitudesoftheconsumer
which would, in turn, have been influenced by the previous two points. Attitudes
refer to feelings and perceptions that one holds towards technology in general
(i.e. a general disposition towards the value of technology in society in general
and in one’s life specifically). Drawing from the UTAUT, the ‘attitudes’ towards the
specific technology would consist of perceived performance expectancy and
perceived effort expectancy. Perceived trialability of the technology, as proposed
within Innovation Diffusion Theory (Rogers, 2003), is also an important attitudinal
component. These are largely qualities that must be ‘built in’ to the technology
through a process known as User-centred Design. It is also important not to discount
the contribution of persuasive and affective factors. It is evident from previous
research that multiple personal factors impact on whether a person adopts a
particular technology or not. It is therefore likely that there will be no single ‘one-fits-
all’ solution. Past experience, personal preferences, personal needs, personality,
social circumstances, etc. all play a role in whether a particular technology is
adopted. It is therefore necessary to have diversity within green technologies to
cater for this diversity in human needs and preferences.
Social pressures refer to the influences that significant others exert in order to
encourage or discourage the use (misuse or disuse) of the target technology.
Significant others include peers, managers, society leaders, opinion leaders,
and pressure groups. The influence of the media, advertising, and other social
networking processes should also not be discounted as important social pressures,
depending on the social context of the technology. The influence of social pressures
acts in two ways. First, social pressures act by providing an environment that either
encourages or discourages the use of the technology (i.e. if you see your favourite
personality using the technology there is a strong social incentive to also want to
use that technology). Second, if the technology is used then social pressures act
by determining how the technology is used (i.e. whether only certain functionality
is adopted or whether experimentation with new functionality is tolerated). Past
exposure and past experience with the target technology and with related
technology are also important determinants at this point.

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Personal impediments and facilitators refer primarily to demographic aspects of the
individual which play a role in determining whether or not that individual is able to use
the target technology or not. Situational facilitators and impediments are aspects
of the particular social context and refer specifically to technological infrastructure
and technical support. The socio-structural facilitators and impediments refer
to legal, economic, and socio-political aspects that either impede or facilitate
technology adoption. Obviously, government has a role to play in ensuring that
the right supportive legal framework is in place to support the adoption of a green
technology. For example, providing subsidies for solar geysers is insufficient unless
government also provides incentives and training for those people installing and
maintaining those geysers.
Table 8.1: Summary of important characteristics to consider
Perceived technology-related variables
Perceived performance expectancy (TAM/UTAUT)
Perceived effort expectancy (TAM/UTAUT)
Past exposure and experience (TAM2/UTAUT)
Perceived trialability (IDT)
Perceived reliability of the technology (Musa, 2006)
Perceived technical support (Musa, 2006)
Individual/psychological variables
Biographical factors (age/gender/culture/language ability)
Personality (Franke et al., 2012)
Perceived user needs (Khalid, 2006)
Persuasive technology (Fogg, 2003)
Perceived behavioural control (Mathieson et al., 2001)
Intrinsic motivation (Porter and Donthu, 2006)
Social/community variables
Social pressures from significant others
Legal framework including punishments and incentives for compliance
Financial incentives (relative cost, rebates, discounts, etc.)
Socio-political context (social pressure context)
Finally, while beyond the scope of this report, it is important to note that intention
to use an innovation/technology is logically separated from actual use. Intention
might occur as an actual behavioural action (i.e. usage), but also happens as
vicarious learning (i.e. watching others use the technology) or purely as a cognitive
exercise (i.e. “trialling in the mind”). One also needs to consider the usage of the
technology, its continued use, and whether it is used appropriately. Usage is not a
simple dichotomy (i.e. use or non-use) but also incorporates aspects such as the
quantity of the usage, the extent of the usage, and the quality of the usage (e.g.
does it actually bring about the social upliftment effects). These aspects will have
an important impact on whether a person will continue to use the technology but
also a significant impact on whether sustainability objectives are achieved.

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9 TOWARDS AN EVALUATION
FRAMEWORK FOR THE
IMPLEMENTATION OF GREEN
TECHNOLOGIES IN SOUTH AFRICA
9.1 Introduction
This chapter aims to develop a framework to evaluate the implementation of green
technologies in South Africa. Trends in green technology uptake are useful to inform
government policy and assess policy implementation, as well as to monitor funding
and the allocation of resources. Keeping track of progress in green technology
uptake also assists with assessing the progress made towards fulfilling national
imperatives, all of which are central to future planning. Various frameworks and
approaches were considered, including the Drivers, Pressure, State and Response
framework. Key considerations in selecting an appropriate framework were that
the field of green technologies is broad, encompassing many sectors, and is also a
newly emerging field. Indicators are beginning to be developed for some sectors,
but not all. It was therefore concluded that it was preferable to commence at
a higher and broader evaluation level, establishing principles and criteria, which
would allow specific indicators that would measure change to be developed later.
The evaluation framework presented in this chapter is a Principles, Criteria &
Indicators (PC&Is) framework adapted from the forestry sector. This particular
framework is well established and utilised in sustainable forest management
(SFM), both locally and abroad. The value of the PC&Is framework is that it defines
particular economic, ecological and social goals related to a process or objective,
and assists in measuring the extent to which these goals are achieved (Lewis et al.,
2002). In the context of green technology uptake in South Africa, it is important to
identify the broad goals (i.e. the principles), and the management objectives (i.e.
the criteria) that need to be put in place to realise these goals. Indicators then act
as useful tools to evaluate the extent to which the criteria are achieved, and how
this changes over time.
This chapter begins by introducing the evaluation framework, including defining
key terms, and explaining how the framework could be useful in monitoring the
implementation of green technologies.

174
9.2 Developing an Evaluation Framework: Principles, Criteria & Indicators
Developing PC&I frameworks for SFM first occurred through the Forest Principles
and Chapter 11 of Agenda 21, which were adopted at the 1992 UN Conference on
Environment and Development. Identifying a set of criteria and indicators to guide
and evaluate the sustainable management of forests is stipulated in the Forest
Principles. As a consequence of this, a number of initiatives have been established
across the globe to develop appropriate forestry PC&Is for varying contexts. Some
of these initiatives include the UNEP/Food and Agriculture Organisation Expert
Meeting on Criteria and Indicators for Sustainable Management in Dry-zone Africa,
as well as the Helsinki and Montreal Processes. These initiatives aim to develop
a common framework that different countries can use to manage their forests
sustainably, thereby fulfilling the commitments made at the 1992 Rio Conference.
The resulting sets of PC&Is, although developed in different contexts, generally share
a hierarchical structure organised around three components namely: principles,
criteria and indicators (Mendoza and Prabhub, 2000) (See Box 9.1).
Box 9.1: Definitions of key terms
Principles
A principle is defined as a: “fundamental law or rule, serving as a basis for reasoning
and action” (Lammerts van Bueren and Blom 1997 in Spilsbury, 2005, p.11); a broad
goal statement.
Criteria
Criteria are defined as: “management objectives that are set in order to achieve
the broad goals set out in the principles” (Lewis et al., 2002, pp.2 – 3, emphasis
added).
Indicators
Indicators are defined as: “the tools [or parameters] for measuring whether the
management objectives set in the criteria are being achieved” (Lewis et al., 2002,
pp.2 – 3, emphasis added).
In South Africa, PC&I frameworks have similarly been adopted and adapted in the
forestry sector. Interestingly, important pieces of legislation, such as the National
Forest Act (Act 84 of 1998) and the National Environmental Management Act
(Act 107 of 1998), guide and define the use of PC&Is in SFM in the country. This
legislative commitment to employing PC&Is within the sector is unique to the South
African context (Lewis et al., 2002). In response to this legislation, the Committee on
Sustainable Forest Management, and the former Department of Water Affairs and
Forestry (DWAF), have designed a set of PCI&S to manage the country’s forests.
Through this process, national policy and international obligations were taken into
account, and extensive public participation and stakeholder consultation was
undertaken. The draft set of PCI&S were piloted and tested between 2003 and 2004,
following which the Committee on Sustainable Forest Management recommended
a set of criteria and indicators to monitor and improve the management of state-
owned forests and plantations (DAFF, nd).

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The value of PC&Is is that they define particular economic, ecological and social
goals related to a process or objective, and they assist in measuring the extent
to which these goals are achieved (Lewis et al., 2002). With respect to green
technology implementation, this particular framework is valuable because it
calls for a clear articulation of the principles (or ‘broad goal statements’) of
green technology implementation in the country, as well as a set of criteria (or
‘management objectives’), which need to be prioritised in order to ensure that
these goals are achieved. The set of indicators, in turn, provides a means by which
it is possible to monitor and evaluate the fulfilment of the criteria.
The following sections outline the proposed set of PC&Is, which have been
developed by drawing from a range of national policy documents and reports
outlined in Chapter 3, as well as through a review of local and international literature
on related indicators, the green economy and green technologies.
9.2.1 Principles of Green Technology Implementation in South Africa
There are clear advantages, economically, socially and ecologically of adopting
a green growth path. There is increasing recognition, both locally and abroad, that
we are facing a global ecological crisis. Natural resources are being depleted at
an unsustainable rate, and the threats posed by climate change are significant.
Unless a shift takes place in terms of how natural resources are managed and how
the economy develops, South Africa faces a precarious future. Given the intrinsic
link between economic growth and ecological integrity, a green growth path is
positioned as the best alternative to decouple growth from ecological risk and
degradation. Green technologies and innovation have a particularly important
role to play in this transition. Not only can increased implementation of green
technologies help reduce waste and pollution, but green technologies can also
help improve living conditions, boost economic growth and create employment
opportunities. In the South African context, it is vital that economic growth and
new employment opportunities benefit the poor and marginalised in society. The
South African government recognises the benefits of greening the economy and
increasing the uptake of green technologies in ensuring sustainable development
(UNEP, 2013).
Table 9.1 identifies six principles, reflecting the broad goals of green technology
implementation in the South African context.
Table 9.1: Principles of green technology implementation in South Africa
Principles Rationale
1. Boost economic growth • Greening the economy offers opportunities to boost
growth that is sustainable, inclusive and localised (The
Presidency, 2009; EDD, 2011b; Maia et al., 2011; NPC,
2011)
• Green technologies have the potential to create
new business opportunities, attract investment, and
improve productivity, efficiency and economic
competitiveness, as well as open up markets for green
products and services

176
2. Create employment
opportunities
• Green economic growth and the associated uptake
of green technologies can create much needed
economic opportunities (OECD, 2011b; UNEP, 2013).
The South African government, in partnership with
labour, business and community organisations, aims
to create at least 300 000 green jobs by 2020 (EDD,
2011a)
3. Facilitate the sustainable
use of natural resources
• Green technologies can facilitate the sustainable
use of natural resources through improving efficiency
of production processes, aiding the restoration and
rehabilitation of natural habitats and systems, and
through encouraging greater recycling and reuse
4. Reduce waste and
pollution
• Green technologies are able to offer solutions that
can help reduce waste and pollution, as well as
encourage greater recycling and reuse
5. Reduce dependency
on non-renewable
resources
• Green technologies can help reduce dependency on
limited non-renewable resources through increasing
productivity and efficiency, and by providing greener,
more sustainable alternatives
6. Address inequality and
historical imbalances
• Green technologies can contribute to economic
transformation by providing decent and sustainable
employment opportunities to marginalised groups
(The Presidency, 2009; EDD, 2011b; DEAT, nd)
• Green technologies can be used to ensure safe
and healthy living environments, as well as to
improve service delivery to meet basic needs.
This will help ensure progress towards promoting
social justice, eradicating poverty, addressing rural
underdevelopment, and improving the quality of life
of all citizens
These goals embody economic, ecological and social issues that are important in
South Africa, but which are also relevant globally. In order to achieve these goals,
it is essential to outline a set of criteria, or management objectives. The criteria
developed for this PC&Is framework are presented below.
9.2.2 Green Technology Criteria
Adherence to a set of management objectives or criteria will help ensure that
green technologies realise their potential in terms of boosting economic growth,
creating employment, improving environmental efficiency, and addressing social
inequality. Table 9.2 outlines the five broad criteria proposed for green technology
uptake and impact in South Africa.

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Table 9.2: Green technology principles and their associated criteria
Principles Criteria
1. Boost economic growth 1. Increase financial investment in
R&D to improve opportunities for the
development and dissemination of
green technologies
Investments should be drawn from a
range of funding sectors, including
government and the private sector
2. Develop the necessary skills and
capacity to foster innovation and
provide the knowledge base and
skills to facilitate uptake of green
technologies
Investment in education, skills
development and training is critical
Given that the transition to a green
economy may result in job losses as the
nature of employment changes, it is
also necessary to reskill the labour force
in preparation for the changes
3. Create a business environment that is
conducive to the uptake/diffusion of
green technologies
This may require overcoming
institutional barriers (e.g. lack of
state support); financial barriers
(e.g. insufficient investment); socio-
economic barriers (e.g. inadequate
skills); and legal barriers (e.g.
complicated IP processes)
2. Create employment opportunities Meeting criteria 1, 2 and 3 will assist in
increasing employment opportunities
by growing the green economy
3. Facilitate the sustainable use of natural
resources
4. Ensure that the development and
deployment of green technologies
contribute to ecological sustainability
This can be achieved by making
production and consumption
processes more efficient so that green
technologies use fewer resources and
hence assist in better managing waste
and pollution
Technologies that reduce dependence
on non-renewable resources can also
be encouraged

178
4. Reduce waste and pollution Meeting criterion 4 will help ensure
that waste and pollution are reduced
by growing the green economy
and supporting the development of
efficient, sustainable technologies
5. Reduce dependency on
non-renewable resources
Meeting criterion 4 will help ensure
that dependency on non-renewable
resources is reduced by growing the
green economy and supporting the
development of efficient, sustainable
technologies
6. Address inequality and historical
imbalances
5. Ensure that new green job opportunities
are ‘decent’ and target previously
disadvantaged and marginalised
groups
This can be achieved by monitoring
practices and procedures (e.g.
ensuring that emerging green
enterprises adhere to BBBEE regulations)
In order for jobs to be considered
decent, workers need to be provided
with “adequate wages, safe working
conditions, job security, reasonable
career prospects and worker rights”
(DEAT, nd)
6. Ensure that green technologies are
utilised to improve quality of life and
basic service delivery
Together, the principles and criteria presented above provide a comprehensive
picture of the goals of green technology uptake in South Africa and how these goals
can be achieved. The outstanding task is the identification of a set of indicators.
9.2.3 Developing a Set of Indicators to evaluate Green Technology
Implementation
Developing a set of indicators to measure the implementation of green technologies
is a complex and challenging task that is beyond the brief of this study. However, by
outlining a proposed PC&Is framework based on lessons learned from the forestry
sector, a foundation has been established to develop a set of robust indicators
applicable to the South African context in the future. The criteria identified above
lend themselves to the development of both input and output indicators. Whether it
is possible to develop a generic set of indicators that would apply across all sectors
or whether it would be preferable to develop sector-based indicators remains
unanswered. A follow-up, consultative process should be pursued to develop a
comprehensive set of indicators suited to green technology implementation.

179
A PC&I framework is valuable because it is rooted in a commitment to sustainable
development, it is holistic, and it allows for the definition of particular economic,
ecological and social goals related to a greater uptake of green technologies, as
well as assisting in measuring the extent to which these goals are achieved. The
indicators, although still to be developed, provide a means by which it is possible
to monitor and evaluate the fulfilment of the criteria.

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10 CONCLUSIONS AND
RECOMMENDATIONS
10.1 Summary of Findings
The key questions of this study were highlighted in Box 1.1 in Chapter 1. The extent
to which these key questions have been addressed in this report and the major
findings are summarised as follows:
Key Question 1: What are the green technologies currently available and in use in
South Africa and how does South Africa compare globally in terms of the uptake of
green technologies?
Chapter 5 provides an overview of the state of green technologies in energy,
water, waste and sanitation in South Africa, as well as green technologies in sectors
such as industry, mining, agriculture, ICT, health, transport and buildings. There was
a strong emphasis on green technologies in the energy sector, as transformation
in this sector is central to decoupling economic growth from negative ecological
impacts and excessive resource use, and shifting to a low-carbon growth path.
Particular focus areas included energy efficient technologies, renewable energy
technologies, as well as technologies aimed at reducing the environmental
impacts of coal. South Africa has been very slow to introduce renewable energy
technologies, but the recent improved progress in this regard was noted. Given
South Africa’s high dependency on coal, clean coal technologies must continue to
receive attention. Energy efficient technologies received relatively early attention
and major investments have been made in both the public and private sectors.
In sectors other than energy, there has been limited progress in implementing
green technologies as described in detail in Chapter 5, with the general conclusion
that South Africa’s record in terms of the uptake of green technologies is below
average. This is borne out by global ranking data. According to the Cleantech
Group and WWF Global Cleantech Innovation Index 2014, South Africa is ranked
29 out of 40 countries (Cleantech Group and WWF, 2014) and is below the
ranking of other BRICS countries (e.g. Brazil (25th
), India (21st
) and China (19th
)).
South Africa has below average scores for all Cleantech Innovation Index factors.
However, supportive government policies produce slightly better scores in terms of
cleantech-specific drivers. The top ten leading countries in terms of creativity and
innovation in green technology and those that have stimulating environments for
companies in the industry, either through public policy or private funding are Israel,

182
Finland, United States, Sweden, Denmark, the UK, Canada, Switzerland, Germany
and Ireland. South Africa is one of the most carbon-intensive economies globally,
and national government has committed strongly to transitioning to a green
economy and being a clean technology leader. However, like many developing
countries, South Africa has been slow to develop and adopt green technologies
despite much enabling legislation as noted in Chapter 3. The implicit assumption
embedded in these policy documents is that the systems, such as financial,
infrastructural, resources and skills, required to be a technology leader are in place
and work efficiently in all respects, however, in many instances this is not the case.
Key Question 2: What are the political, economic, sociological, technological, legal
& environmental (PESTLE) factors that influence and impact on the implementation
of green technologies in the South African context?
There are many barriers that inhibit innovation and stand in the way of more
effective implementation of green technologies. Those highlighted in the report
(Chapter 6) include: institutional challenges, pertaining to the lack of a coherent
policy framework; government bureaucracy, referring to complex and lengthy
government processes, and a lack of political will, that are delaying and even
preventing green investment and the implementation of green projects; skills
shortages; IPR barriers; South Africa’s poor track record in adopting foreign
technologies; financial barriers, particularly funding during the ‘valley of death’
stage to ensure commercialisation and scale up of technologies; and finally, a lack
of market information and an understanding of how to address human behaviour,
which is addressed separately in Chapter 8.
Key Question 3: In which sectors/areas are there gaps in the availability and/or
implementation of technologies and potential for future growth?
While the scope of green technologies covers a wide range of sustainable
technologies in various sectors (See Chapter 1), the largest proportion of clean
technology is made up of energy-related technologies, with renewable energy
comprising 77% of total cleantech venture capital investment in 2010 (Cleantech
Group and WWF, 2012). According to the Clean Economy, Living Planet report
(WWF and Berger, 2012), the global clean energy technology market has grown
31% per annum between 2008 and 2010. The largest contributor to this sector is
wind, with a 30% market share, followed by solar with 24% (the fastest growing
sector) and biomass with the third largest market share of 20% (Cleantech Group
and WWF, 2012).
Recently, South Africa has shown good progress in terms of the implementation of
renewable energy technologies and has a solid record in terms of energy efficiency
technologies. However, there is potential for growth across all other sectors if South
Africa is to improve its ranking on the global scale in terms of cleantech.
Key Question 4: How best can new technologies be identified for transfer to South
Africa and how should this be done to ensure that skills transfer is included?
The first part of this question relates to how best to prioritise opportunities that
present themselves. In Chapter 2, various ways to prioritise green technologies
were examined. Based on GHG emissions, the energy sector is clearly the prime

183
sector for intervention and implementation of green technologies. A stakeholder-
driven technology needs assessment focusing only on technologies that had not
yet reached full commercialisation and where technology transfer was required,
prioritised solar power and waste management under mitigation responses and
the provision of water supply and sanitation under the adaptation responses (DST,
2007b). A third approach was that based on the McKinsey cost curve which takes
into account cost and potential to reduce GHGs. The conclusion was that energy
efficiency, the introduction of renewable energy, CCS and biofuels, offered the
greatest opportunities. The technology readiness level (TRL) added a new dimension
and showed that of the renewable energy technologies, such as wind and solar,
wind was more mature with a TRL of 9. Solar thermal has a TRL of 6 – 8 and solar PV
is some way behind with a value of 3 – 4. First generation biofuels also have a TRL
of 9, with second generation biofuels scoring 5. Based on job creation potential,
the natural resource management sector emerged as the most favourable point
of intervention, followed by energy generation, although it was noted that energy
generation created the most manufacturing jobs at 23 000.
The issue of technology transfer was addressed in Chapter 7 and the role of the
private sector in green technology transfer highlighted. The transfer of technologies
can be achieved through transfer from multi-national parent companies to
subsidiaries; through joint ventures between local and international companies;
through trade; and finally through direct transfer as firms engage in the trade of
knowledge through licensing agreements. There are potentially many benefits
of technology transfer as it can minimise costs and allow for leapfrogging, but it
is essential that the process to diffuse technologies includes the transfer of skills
and capacity development in addition to the transfer of hardware. Government
policies have an important role to play in supporting the development of these
skills and capacities (See recommendation 4 below) and in creating markets
for technologies that are seen as priorities for South African firms to acquire and
develop.
Key Question 5: Are there opportunities for new innovative green technologies that
can be implemented sustainably?
Within each of the sectors addressed in Chapter 5, new innovative technologies
were identified where appropriate. Five emerging technologies for the energy
sector were highlighted as potential game changers for the energy sector, viz.
grid-scale storage; digital-power conversion; compressorless air conditioning and
electrochromic windows; clean coal, specifically CCS; biofuels and electrofuels
(McKinsey & Co., 2012).
Key Question 6: Is there a set of indicators that can be used to measure successful
Developing a set of indicators to measure the implementation of green technologies
is a complex and challenging task. The approach adopted in this study was to
establish a foundation based on the PC&Is framework, from which a set of robust
input and output indicators can be developed through a consultative process.
Six principles, reflecting the broad goals of green technology implementation in
the South African context were identified as: boosting economic growth; creating
employment opportunities; facilitating the sustainable use of natural resources;

184
reducing waste and pollution; reducing dependency on non-renewable resources;
and addressing inequality and historical imbalances. In order to ensure that
these goals are achieved, a set of criteria or management principles is identified.
They are: increasing financial investment in R&D to improve opportunities for the
development and dissemination of green technologies; developing the necessary
skills and capacity to foster innovation and provide the knowledge base and
skills to facilitate uptake of green technologies; creating a business environment
that is conducive to the uptake/diffusion of green technologies; ensuring that the
development and deployment of green technologies contributes to ecological
sustainability; ensuring that new green job opportunities are ‘decent’ and target
previously disadvantaged and marginalised groups; and ensuring that green
technologies are utilised to improve quality of life and basic service delivery. The
set of indicators, which is to be developed in a subsequent follow-up study will
provide a means by which it is possible to monitor and evaluate the fulfilment of the
criteria.
Key Question 7: What is needed to promote and increase the use and development
of local green technologies in South Africa?
The barriers that stand in the way of uptake and development of green
technologies were highlighted in Chapter 6. Overcoming these barriers requires
interventions that support green transition. Various categories of instruments that
could assist in the development and implementation of green technologies were
considered. These included: regulatory instruments, with South Africa having an
abundance of relevant policies and an enabling policy environment; economic
instruments, with South Africa having a range of financial instruments such as
environmental taxes, incentives and subsidies to support the growth of green
enterprises; research and education instruments, which were recognised as critical
to successful implementation of green technologies but acknowledging that there
is a skills development lag; cooperation instruments, such as interventions that
support technology transfer and voluntary agreements, with the former not having
demonstrated great success to date in South Africa (e.g. CDM) and the latter
having had some measure of success; and finally, information instruments, aimed
at plugging the information gaps and of which many recent successful examples
were given.
In addition, perspectives from the business sector were considered. Relevant factors
were costs, enhancement of reputation with stakeholders, as well as regulatory
and other voluntary pressures. The importance of public-private partnerships in
driving green technology uptake was emphasised.
Key Question 8: What recommendations are there for policies that would assist in
promoting efficient and sustainable green technologies in South Africa?
South Africa is regarded as having a favourable policy environment when it comes
to green technologies. A chronological account of relevant national policies was
given in Chapter 3. There are a large number of overarching and sector-based
policies that refer either directly or indirectly to green technologies. The challenge
was rather one of policy certainty and policy alignment and this will be taken
up as one of the key recommendations. It was also noted that while favourable
policies are a necessary driver for success in green technology development and

185
implementation, they are not a sufficient condition. Green technology programmes
require a balanced mix of technical, financial and legal professional service
providers, innovative funding and interdepartmental leadership, and project
championship to be successful. The need for this balance is very relevant for the
South African situation, where there tends to be an over-emphasis on creating a
favourable policy environment, with some neglect of other important factors.
10.2 Recommendations
Based on the key findings above, a consolidated set of recommendations aimed
at promoting the implementation and development of green technologies in South
Africa is provided.
1. Policy Certainty and Policy Coherence
Effective government policy, including both policy certainty and policy coher-
ence, is a critical enabling factor for the successful implementation of green tech-
nologies. Lack of clarity in policy direction or shifts in government thinking can in-
hibit progress. An example is the shift in planned implementation date of future
nuclear build from that contained in the IRP 2010 to the latest date provided in the
IRP Update published in 2013 (DoE, 2013b); the implementation of further nuclear
energy is delayed until 2025 or even 2035, based primarily on reduced demand for
electricity. Given the enormous investments required in the nuclear energy indus-
try, both in terms of infrastructure and human capital, policy shifts even in the form
of delayed implementation pose risks for the nuclear industry.
Policy coherence is equally important. South Africa has a plethora of pertinent
policies applicable to green technologies, particularly in the energy sector, and
indeed one may argue that South Africa is policy-saturated. Clear targets and
alignment in policies between different government departments are imperative.
Lack of policy co-ordination between government departments or between
departments and agencies hinders implementation. Again, an example from the
energy sector relating to the recent confusion over REFIT and REBID initiatives is
relevant. In some sectors, for example the waste sector, the lack of enabling policy
has been highlighted as a barrier.
While policy certainty and policy coherence are critical elements of successful
policies, it is important to ensure that there are mechanisms in place for a regular,
systematic and transparent review of the effectiveness of policies. This is an oft
neglected aspect that is incorporated into this policy-linked recommendation, in
view of the critical role of policy as an enabler for green technology uptake in
South Africa.
Recommendation:
Ensure that policies play an enabling role by: setting clear targets and including
mechanisms to assist in meeting those targets; instilling certainty in the market;
and, ensuring that there is policy co-ordination between different government
departments. Make provision for a regular review of the effectiveness of green
technologies policies to allow for learning to be incorporated.

186
2. Implementer and Developer Roles
South Africa’s role in green technologies should be as both implementer and
developer. With regard to the former, technology transfer can greatly facilitate
access to and diffusion of green technologies. It is important that the green
technologies acquired through technology transfer link to the local context and align
with South Africa’s development needs and green growth strategy. It has been noted
in the report that technology transfer is more than just the transfer of hardware; it should
also include knowledge transfer and innovation capacity. Local manufacturing of
imported technologies should be encouraged. South Africa, unlike China and India,
has been relatively unsuccessful in terms of attracting foreign direct investment, except
for the motor vehicle industry. However, foreign direct investment alone does not
lead automatically to the development of technological capabilities. An important
lesson from China and India is that emerging economies also need to invest in these
capabilities through R&D and skills development in the tertiary education sector and
the broader national system of innovation. Skills are needed at various levels. At the
entry level, skills are needed to operate and maintain technologies effectively. In
addition, skills are needed to improve and adapt technologies for local needs, and
most importantly, to develop innovation capabilities.
Whiletheimplementerroleiscritical,thedeveloperroleshouldbetheultimategoal,but
it should be pursued strategically. Priorities need to be set and niche areas identified.
Successful exploitation of the niche target areas could create growth potential for
export into Africa.
Recommendation:
Prioritise niche areas for local development of green technologies based on existing
innovation capacity and encourage transfer of green technologies that have a
good socio-technical fit with the local context. It makes sense to prioritise and
maximise synergies with current industrial and other capabilities in South Africa, but
there is also a need to think about and develop capabilities in new niche areas.
3. Creation of an ‘Entrepreneurial State’
There have been many references to barriers to green technology implementation
that have their root in government bureaucracy; such as lengthy and cumbersome
application processes, the lack of skills to process applications, and involvement of
multiple agencies. There is a need for government to unlock the barriers and provide
an enabling environment for innovation to flourish. An interesting argument is that
presented by Mazzucato (2013) in her book The Entrepreneurial State, in which she
argues that the role of government should go beyond that of an enabler, but should
actively shape the market. She cites numerous examples of innovations that can be
traced back to sound investments in R&D and education. There are some unique
elements of green technologies that distinguish them from other technologies and
therefore may necessitate special consideration. For example, benefits derived from
green technologies are a public good and are not market driven. Furthermore, green
technologies are often at the early technology development stage and may require
further testing in new environmental, social and economic circumstances, leading to
higher costs. Hence they may require greater policy intervention to facilitate transfer
and uptake (African Development Report, 2012b).

187
Recommendation:
Government should consider itself as more than an enabler of green technologies
but should actively shape the market through sound investments in R&D,education
& training, and through the implementation of market incentives.
4. Skills Transfer and Innovation Capacity
Human capital development is an essential component of successful implementa-
tion and development of green technologies. It is far broader than just up-skilling or
retooling a workforce or ensuring that technology transfer explicitly includes trans-
fer of skills and skills development. It requires a strategy that recognises that a robust
NSI is a prerequisite for effective implementation of green technologies. One of the
foremost reasons for South Africa’s failure to take full advantage of CDM opportu-
nities, particularly when compared with other BRICS countries, can be attributed to
shortcomings of the NSI. Investment in the NSI is pivotal to effective green technol-
ogy uptake.
Recommendation:
Government should focus on strengthening the NSI, ensuring interconnectedness
between role players and skills development at tertiary level.
5. Focus on the Market
Since the success of a green technology is predicated on widespread diffusion
through society, it is important to take the end-user into consideration. End-users will
only utilise green technologies that add some perceived value to their lives. Over
and above financial benefits to the user, perceived value can be achieved either
by user-centred design (where the design qualities of the green technology are
matched with the needs of the end-user; i.e. perceived usefulness, perceived ease
of use, social pressure, etc.) or through persuasive design (where the design qualities
of the green technology actively encourage adoption or a change towards
sustainable behaviour). Understanding the market and how human behaviour
influences uptake of green technologies is critical to success. A communication
strategy to promote uptake of green technologies is an essential consideration. It
must be borne in mind that green technologies are a public good and may require
a specially tailored strategy to encourage uptake. Furthermore, a critical success
factor of green technology implementation in both Germany and South Korea was
a focus on the export market. In the case of South Africa, there are opportunities
to develop and disseminate green technologies for use in the Southern African
Development Community (SADC) region and Africa as a whole and should be
actively encouraged.
Recommendation:
Ensure that market demand is not neglected in favour of a focus on the supply-side
of green technologies. There is a need for a targeted communication strategy to
promote uptake of green technologies by the public and a need to plan for the
export market, particularly within Africa.

188
6. Alignment with South Africa’s Development Needs
Successful implementation and uptake of green technologies require alignment
with South Africa’s green growth strategy and development needs, particularly
those enunciated in the NDP. Job creation, poverty alleviation and overcoming
equity imbalances are critical factors that should inform investment strategies and
areas of focus. They are key factors underpinning the monitoring and evaluation
(M&E) framework developed in this study and serve to give direction and focus
to decision-making when faced with an overwhelming number of opportunities
relating to green technology implementation. Technology transfer can greatly
facilitate access to green technologies but it is not about developing a shopping
list of green technologies that can be imported. Alignment is critical.
Notwithstanding the points made in the previous paragraph, the NDP should not
be limiting. In other words, private sector investment or consumer-driven investment
should be allowed to flourish. Similarly, investments in green technologies that
present opportunities for export to SADC countries or the rest of Africa, should be
encouraged.
Recommendation:
South Africa’s development needs, particularly job creation, poverty alleviation
and the need to overcome equity imbalances, should inform and direct but not
prescribe green technology investment strategies.
7. Development of Indicators
The foundation for the development of a set of indicators based on the PC&Is frame-
work has been laid. Goals or principles, as well as management criteria, have been
identified, and it is important that they constitute the M&E framework and that they
are used to evaluate and prioritise green technology investment decisions. A consul-
tative process to develop the M&E framework further and identify a set of appropri-
ate indicators to measure green technology uptake is recommended.
Recommendation:
Initiate a follow-up study to identify a set of indicators for the M&E framework for
green technology uptake in South Africa.
8. Green Technology Hubs
Special provision should be made for the establishment of green technology hubs
in urban municipalities or metropolitan areas. Municipalities could consider the
creation of such hubs that could be considered for tax incentives; that could form
close links with a tertiary institution; and importantly, would provide a safe zone for
innovation and entrepreneurship to flourish.
Recommendation:
Municipalities should consider the establishment of green technology hubs to foster
development of green technologies.

189
9. Systematic Evaluations of Failed or Discontinued Projects
Many green technologies are at an early development stage and may be high-
risk ventures. Failures should not be feared but should be embraced as learning
experiences. In this respect there should be transparent and systematic evaluations
of failed or discontinued projects (e.g. Joule electric vehicle) with full disclosure
of the lessons learned. Only when there is a mind shift from one of secrecy and
embarrassment to one of openness and willingness to learn from failures, can
meaningful progress be made.
Recommendation
There should be systematic reviews of projects, particularly failed or discontinued
projects, so that learning can be enhanced.

191
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Appendix 1: Biographies of Panel Members
Eugene Cloete (Chair)
Professor Eugene Cloete is Vice-Rector: Research and Innovation and the former Dean
of the Faculty of Natural Science, Stellenbosch University, South Africa. Prior to this, he
was Head of the Department of Microbiology & Plant Pathology at the University of Pre-
toria until 2008 and was the Chairperson of the School of Biological Sciences. He is also
the chairman of the International Water Association (IWA) South African National Com-
mittee and immediate past Vice-president of IWA International. Currently he is leading
a New Partnership for Africa’s Development (NEPAD) water initiative involving a number
of South African and Southern African Development Community universities. In 2005, he
was appointed as the Chairman of the IWA Strategic Council for three years. Cloete
is the inventor of nine patents of which four are international. In 2005, he received a
Technology and Human Resources for Industry Programme Excellence award for one of
these patents pertaining to Biofilm monitoring as a technology benefiting a small, medi-
um and micro enterprise during 2004. His own research has led to 120 publications and
four books. His contributions have been acknowledged by numerous significant awards
from a variety of different organisations. He holds a Masters degree from the University of
the Free State and a doctoral degree from the University of Pretoria.
Chris Buckley
Professor Chris Buckley is a Chemical Engineer and heads the Pollution Research Group
at the University of KwaZulu-Natal, Durban, South Africa. He has undertaken contract
research into urban and industrial water management with the group since 1970. The
primary funding is from the South African Water Research Commission, eThekwini Munic-
ipality (Durban), Eskom (power utility), Sasol (petrochemicals) and Umgeni Water (bulk
water). By providing scientific support to the water and sanitation division of eThekwini
Municipality, the research is grounded in the realities of service delivery to the unserved.
Buckley coordinates the research and development for Borda (German NGO) which
provides basic needs services to poor people in Asia and Africa. The group has partici-
pated in a number of European Union research projects and with a range of internation-
al universities.
Linda Godfrey
Dr Linda Godfrey is a Principal Scientist with the Council for Scientific and Industrial Re-
search’s (CSIR) operating unit Natural Resources and the Environment. Her research inter-
ests include the role of waste information as policy and behaviour-change instrument; the
role of the waste sector in transitioning South Africa to a green economy; the economic,
governance, social, behavioural and innovation aspects of integrated waste manage-
ment. Godfrey has provided strategic input into a number of waste and green economy

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initiatives for the EU, DST, DEAT; Development Bank of South Africa; Institute of Waste
Management and several local universities. She is currently working with DST to establish
a strategic ten-year Waste Research and Development, and Innovation Roadmap for
South Africa. She acted as co-editor of the recently drafted Joint European and African
Research and Innovation Agenda on Waste Management (Waste as a Resource: Recy-
cling & Recovery of Raw Materials, 2014-2020). She holds a doctoral degree in Engineer-
ing from the University of KwaZulu-Natal and is registered with the South African Council
for Natural Scientific Professions as a Natural Scientist. Godfrey has published extensively
in the field of waste management and provides review to both local and international
scientific publications on the topic.
Diane Hildebrandt
Professor Diane Hildebrandt is the Co-director for the research unit Material and Process
Synthesis at Unisa. She has authored two books, over 100 scientific papers, including an
invited paper in Science, and has supervised over 80 postgraduate students. In 2009,
she was the Winner of the Distinguished Woman Scientist Award of DST and was also
Winner of the Continental African Union Scientific Awards for the category Basic Science,
Technology and Innovation. She was awarded the ASSAf Science-for-Society Gold Medal
in 2010. Her research area is the design of energy efficient processes and equipment,
with the view to reducing carbon dioxide emissions from chemical processes. Some of
these ideas have successfully been implemented in the Golden Nest Fischer-Tropsch pilot
plant in Baoji, China and the LincFischer-Tropsch plant in Chinchilla in Australia.
Makhapa Makhafola
Dr Makhapa Makhafola is General Manager: Research & Development at Mintek.
Makhafola, an analytical chemist who trained at the University of Manchester, England
and the University of Pretoria was Director: Quality Promotion and Assurance at the
University of KwaZulu-Natal. He held a similar position at the University of Venda for Science
and Technology, where he also lectured. As part of his postdoctoral studies, he was
responsible for developing a technique called mono-disperse dried macro-particulate
injector as a sample introduction for inductively coupled plasma mass spectrometry an
instrument used for metal analysis from samples originating from various industries, such as
mining and food. Apart from quality management, his strategic management interests
include change and people management, policy development and analysis, strategic
planning, and survey and evaluation research techniques.
Anastassios Pouris
Professor Anastassios Pouris obtained his Masters degrees in Management Engineering
from the Aristotelian University of Thessaloniki, Greece and Applied Economics from
the University of Surrey, England. He received his doctoral degree from the University of
Cape Town in energy policy-related issues. He received his executive education at the JF
Kennedy School of Government of Harvard University, USA and the International Institute
of Management Development, Switzerland. Pouris’ research focus is the management
and evaluation of science, energy economics and performance; technology and
innovation systems and the transfer and adoption of best practice in the South African
reality. He has undertaken research for UNESCO, NEPAD, WIPO, NRF and a number of
government departments in the country.

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He is member of ASSAf and of the Research, Innovation Strategy Group of Higher
Education South Africa. Pouris has testified in a number of Parliamentary committees. He
has published extensively.
Emile van Zyl
Professor Emile van Zyl is the Senior Chair of Energy Research in Biofuels and other
alternative clean fuels at Stellenbosch University and he is also a Professor at the
Department of Microbiology. Van Zyl’s laboratory is well established in the microbiology
and biochemistry of plant degrading enzymes and he has gained international
recognition as research leader in the development of recombinant yeast for biofuel
production from total plant biomass. In his capacity as Chair, he is steering a large
research programme at Stellenbosch University towards the development of advanced
second generation technologies for the conversion of total plant biomass to biofuels.
Van Zyl’s group has published more than 108 papers and has more than 20 international
patents on xylose and cellulose fermentation. They have also conducted research for
Mascoma Corporation in New Hampshire, USA, listed for three years in a row amongst
the top 20 biofuel companies on the Biofuels Digest 2008 – 2010 listing.
Jim Watson
Professor Jim Watson is Research Director of the UK Energy Research Centre and
a Professor of Energy Policy at the University of Sussex. He was Director of the Sussex
Energy Group at Sussex from December 2008 to January 2013. He has a first degree
in engineering from the Imperial College London and a doctoral degree in science
and technology policy from Sussex. He has 20 years’ research experience on climate
change, energy and innovation policy. His recent outputs include a co-edited book: New
Challenges in Energy Security: The UK in a Multipolar World (Palgrave, 2013). He frequently
advises UK government departments and other organisations. He was an advisor to the
government office for science for a foresight project on energy (2007 – 2008), and has
been a Specialist Adviser with the House of Commons Committees on Environment, Food
and Rural Affairs (2006 – 2009) and Energy and Climate Change (2010 – 2011). He has
extensive international experience, including ten years of working on energy scenarios
and energy innovation policies in China and India. In 2008, he spent three months as a
Visiting Scholar at the Kennedy School of Government, Harvard University. He a council
member of the British Institute for Energy Economics, and was Chair in 2011. He is also a
member of the Department of Energy and Climate Change and the Department for
Environment, Food, and Rural Affairs’ social science expert panel.

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Appendix 2: Biographies of Reviewers
John Marriott
JohnMarriottjoinedtheWorldgas-to-liquids(GTL)AdvisoryBoardinJanuary2004,following
his retirement as Managing Director of Sasol Technologies Limited of South Africa. Marriott
graduated with a degree in Chemical Engineering from the University of Cape Town in
1963. After graduation, he was employed by Sasol Limited in various technical positions.
Notably he was responsible for the process design of the Gas Production units of the Sasol
Two Plant during the design phases of this project from 1975 to 1979. During the Sasol Three
project, which was implemented between 1979 and 1983, he was Manager of Process
Design. As Manager of the Process Department of Sasol Secunda from 1979 to 1982 he
was responsible for technical service during the commissioning of the two giant projects.
In 1982, he was in charge of process design activities for Sasol in Rosebank and was
appointed as General Manager of Sasol Limited in 1993. The overall process concept of
the Mossgas fuels from natural gas, as well as the detailed process design of the licensed
Sasol units were developed under his leadership. Subsequently, he was responsible for
Corporate Research and Development and for technology, chemical engineering
designs and for the development of new projects for the Sasol Group. During the late
1990s, he was responsible for the team updating Sasol’s Fischer-Tropsch technology and
positioning Sasol for a leadership role in the global gas-to-liquids business. He served as
President of the South African Institute of Chemical Engineers during 1990 and 1991. He
was Chairman of the National Science & Technology Forum in 2003.
Gustaf Olsson
Professor Gustaf Olsson is Professor in Industrial Automation and Professor Emeritus at Lund
University, Sweden since 2006. He has devoted his research to control and automation in
water systems, electrical power and process industries. From 2006 to 2008, he was part-time
Professor in Electrical Power Systems at Chalmers University of Technology, Sweden. Every
year since 2006 he has been Visiting Professor at the Technical University of Malaysia and at
Tsinghua University in Beijing, China. He is an Honorary Visiting Professor at the Exeter University
in the UK. Olsson has served in various positions within the International Water Association
(IWA). Between 2005 and 2010 he was the editor-in-chief of the journals Water Science and
Technology, and Water Science and Technology/Water Supply. From 2007 to 2010, he was
a member of the IWA Board of Directors. He has mentored 23 PhDs and several hundred
MSc students. He has received the Lund University pedagogical award for “distinguished
achievements in the education”. Lund University engineering students voted him ‘teacher of
the year’. In 2010, he received the IWA Publication Award. He has spent extended periods as
a Guest Professor and Visiting Researcher at universities and companies in the USA, Australia,
Japan, Malaysia, and China and has been invited as a guest lecturer to 19 countries outside
Sweden. He has authored eight books – some of them published in English, Russian, German
and Chinese – and more than 140 scientific publications.

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Appendix 3: International Case Studies in Detail
1. Germany as a Case Study of Green Growth
Germany is the third largest economy in the OECD, and is considered by many as
an international example in the transition towards a green growth model (OECD,
2012b). A key dimension to the transformation of the economy is the provision
of sustainable long-term solutions to pressing international challenges, such as
climate change, environmental degradation and resource scarcity, through the
promotion of environmental technologies and increased resource efficiency (BMU,
2012). Furthermore, the promotion of green technologies is seen as a gateway for
economic growth and employment creation (Iwulska, 2012). The commitment to
green growth is reflected in German environmental policies and the increasingly
challenging targets for emissions that have been introduced by the German
government since the late 1980s.
The transformation of the energy sector is centrally important in Germany’s green
growth strategy. This is driven by the need for climate change mitigation and
increased energy security (Schreurs, 2012). A second underlying reason for this
transformation is the need to modernise the economy and counteract the decline
of traditional sources of economic growth, such as the coal industry. Due to high
levels of pollution, widespread environmental concerns and high extraction costs,
the coal industry has experienced a decline, which led to job losses and economic
stagnation in certain rural areas. This decline is also due to the discontinuation
of public subsidies following an intervention by the European Commission. In this
context, a transition towards a new economic model is crucial in order to address
‘de-growth’ in the traditional economic sectors (Laird and Steffes, 2009).
The loss of public confidence in the nuclear industry has also been a driving force
behind the development of renewable energy sources (Jacobsson and Lauber,
2006). While government support for nuclear power has fluctuated over the last two
decades, public opposition rose rapidly following the 2011 Fukushima accident,
resulting in a decision for a complete nuclear phase-out by 2022. The main concerns
were related to plant safety and nuclear waste storage and transport. It is clear
that the planned nuclear phase-out might cause a capacity risk. To address this,
alternative energy sources, as well as increased storage, need to be developed
and introduced to the supply mix (Schreurs, 2012).
Finally, a relatively unique aspect of the wide diffusion of green technologies in Ger-
many and the opposition to nuclear power is the influence of the national green
movement and the rise of green politics. Since the early 1970s, environmental
awareness has been prevalent among the German public and is now considered
mainstream (Engels et al., 2013). As a precursor to the environmental movement,

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citizens’ initiatives groups were formed in the late 1960s to address local environ-
mental problems. The groups were also seen as an exercise in participatory de-
mocracy and a response to frustration over limited representation in the Bundestag
(Klimke and Scharloth, 2008).
Increasedgovernmentsupportfornuclearpowerfollowingthe1973oilcrisisprovided
a focal point for citizens’ groups, which grew in popularity and were eventually
organised under the umbrella of the Federal Alliance of Citizens’ Initiatives for
Environmental Protection. The strong anti-nuclear movement partly stemmed from
the student movement of the late 1960s, as it combined environmental concerns
with political protests against large corporations and the federal government
(Goodbody, 2002). The movement later broadened its agenda to include
disarmament, feminist issues and overall social equality, leading to the creation
of a distinct counter-culture amongst the German public (Dryzek et al., 2003). Its
increased popularity culminated in the formation of the Green Party in 1980, which
entered the Bundestag in 1983. It is worth noting that parliamentary participation
brought significant conflict among Party factions, since it was seen as undermining
the principle of direct participatory democracy. The more pragmatic wing of
the Party (the Realos) prevailed in the early 1990s, resulting in the formation of a
comparatively moderate party agenda. The success of the Green-SPD coalition in
the 1998 elections signalled the first time the Party would have direct influence over
environmental and energy policy (Dryzek et al., 2003).
1.1 Six Green Technology ‘Lead Markets’
As noted above, a key driver for the shift towards a climate-friendly economy is
Germany’s aim to become a market leader in environmental technology exports.
In the wake of the global financial crisis, the Federal Ministry for the Environment,
NatureConservationandNuclearSafety(BMU)andtheFederalMinistryofEducation
and Research launched the Environmental Technologies Masterplan that outlines
ways in which policy can assist green technology exports. The focus is on water
efficiency, natural resources and climate change mitigation. The directions given
in the masterplan address the areas of R&D funding, training for skills development,
the dissemination of new technologies and support towards green innovation small
and medium enterprises (SMEs) (BMBF, 2008).
To assist market development for environmental technologies the following six
‘lead markets’ have been identified by the German Environment Ministry, the BMU
(BMU, 2012):
1. Power generation & storage: The decarbonisation of energy generation is a
major aspect of the German green growth vision. Key market development
areas include the development and further expansion of renewable energy
technologies and the use of energy storage technologies, which could be
a prerequisite for a larger share of renewables in the energy mix.
2. Energy efficiency: Increasing energy productivity is considered crucial for
Germany to achieve its ambitious climate targets. Four potential market
areas for energy efficient technologies have been identified – industrial
energy efficient production processes and cross-application technologies,
energy efficient buildings and energy efficient appliances for personal use.
3. Material efficiency: The German government acknowledges that future
economic growth should be decoupled from resource consumption.

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Resource and material efficiency are the main issues targeted by
environmental technologies, i.e. efficiency in raw materials extraction and
processing.
4. Sustainable mobility: The transport sector in Germany is responsible for
a third of the national energy consumption and approximately a fifth
of carbon emissions and is therefore seen as one of the main sectors
that need to be transformed. Green technologies in this area target
increased personal transport efficiency, alternative fuels, alternative drive
technologies, traffic management and transport infrastructure.
5. Waste management and recycling: The Closed Substance Cycle Act
passed by the Bundestag, the national parliament of Germany, in 2011 rules
that by 2020, 65% of urban waste and 70% of construction waste will be
recycled. The waste full-cycle concept of converting all waste to reusable
resources is reflected in waste management technologies that address
waste collection, transportation, separation and recycling.
6. Sustainable water management: The treatment of drinking water and the
disposal of waste water are seen as key challenges for Germany, partly due
to the high energy requirement associated with these processes. Priority
technologies in this area cover the complete water cycle, from water
production and treatment to efficient use and waste water disposal.
1.2 Policy Instruments for Green Growth
A combination of market-based incentives and regulatory policy instruments has
been introduced in order to enable the transition towards a greener economy in
Germany. Policies have been regularly re-evaluated in order for adjustments to be
implemented (OECD, 2012b).
Ecological tax reform was launched in 1999 and revised in 2003. Under the
reform, taxation on high electricity consumption was introduced and excise
duties on fossil fuels were increased. Resulting revenue was used to reduce social
security contributions. It has been estimated that the taxation mechanism led to
GHG emissions reduction, increased employment and had a positive effect on
technological innovation (Knigge and Gorlach, 2005). On the other hand, it has
been argued that the effectiveness of the reform is restricted by a number of issues,
such as the high number of tax exemptions and lack of adjustment of tax rates for
inflation (OECD, 2012b).
Sector-specific policies have also been implemented, perhaps most notably in
the energy sector (See Box A.1). Investment in renewable generation has been
encouraged through the feed-in tariff (FIT) scheme, which was introduced in the
early 1990s and readjusted in the 2000s. FITs were introduced to provide long-
term certainty for investors and as a result, variations of the scheme have been
implemented in a number of countries worldwide. FITs guarantee the price for
renewable electricity generation at a declining rate over a 20-year period. Priority
access to the electricity market for renewable producers was also introduced at
the same time.

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The interaction between the EU and national climate policies has also been a source
of criticism, particularly in relation to the EU Emissions Trading Scheme (ETS). The
OECD reports that the cost-effectiveness of the ETS can be weakened by national
policy instruments, resulting in a lack of incentives for emissions reduction (OECD,
2012b). In that context, close coordination between national and EU policies is
imperative (Frondel et al., 2010).
1.3 The Impacts of Green Growth Policy
The effects of the German climate policies and environmental technology export
strategies have started to become evident in a number of indicators.
It was reported that in 2010, the renewable energy sector was responsible for
the creation of 370 000 jobs (Janicke, 2012). According to the BMU, a rise of
approximately 70% in green technology-related positions is expected between
2012 and 2025, with green employment reaching 2.4 million in 2025 (BMU, 2012).
Nevertheless, it is not easy to assess the net impacts of Germany’s policies that also
take into account the loss of employment in declining industries (OECD, 2012b).
In terms of economic growth, analysis by the BMU forecasts that environmental
technologies will constitute 15% of the national GDP by 2025, compared to 11% in
2012 (BMU, 2012).
Germany also seems to be on the right path to achieve its ambitious long-term
GHG reduction targets. At the end of 2010, GHG emissions were reported to be 23%
below 1990 levels, far surpassing national emissions reductions targets (Schreurs,
2012).
The BMU also projected an encouraging outlook regarding Germany’s position in
the international green technology market. It was calculated that in 2012, Germany
made up 15% of the world market in green technologies. Nonetheless, the threat
from emerging markets, such as China, was also acknowledged(BMU, 2012).

225
Box A-1: The Energiewende and the transition towards renewable energy
Germany’s support for renewable energy, and a wider Energiewende (energy
transition), is the focus of much international discussion. Germany’s initial interest
in non-fossil energy sources can be traced back to the 1970s oil crisis. Energy R&D
expenditure was increased to reduce dependence on oil and to strengthen energy
security. Between 1974 and 1983, energy R&D spending rose more than ten-fold,
targeting renewable energy, nuclear and coal (Laird and Stefes, 2009).Whilst most
of this spending was directed to coal and nuclear technologies, renewable energy
was also supported – including several wind and solar power demonstration projects
(Jacobsson and Lauber, 2006). Political support for renewable energy technologies
also gained momentum over the same period. For example, the first renewable
energy trade associations were formed (Laird and Stefes, 2009).
Explicit support for renewables was strengthened during the 1980s for two main
reasons. The 1986 Chernobyl nuclear accident led to deep concerns about nuclear
safety and resulted in significantly reduced support for the industry among the
German public. At the same time, there was increasing pressure to discontinue public
subsidies for the German coal industry due to associated environmental pollution.
The incremental tightening of Germany’s environmental targets over the last two
decades is also linked to the increasing popularity of the German Green Party. The
‘Red-Green Coalition’ that entered government in 1998 is considered a significant
milestone in Germany’s green growth transition (Iwulska, 2012; Schreurs, 2012).
More recently, Germany’s 2010 ‘Energy Concept’ policy included an increasingly
pivotal role for renewable energy, energy efficiency, energy R&D and the devel-
opment of new grid infrastructure. The most controversial aspect of these reforms
was the reinstated support for nuclear power through lifetime extensions of existing
plants of between eight to 14 years. Following the 2011 Fukushima nuclear accident,
strong public opposition led to the immediate shut down of eight plants and a plan
to phase out the country’s remaining nine plants by 2022 (Schreurs, 2012).
Germany’s level of ambition has increased further recently. The targeted share of
renewable electricity generation has been increased to 35% – 40% by 2020, 50% by
2030, 65% by 2040 and 80% by 2050. A 60% target for primary energy by 2050 has
also been established. In terms of energy efficiency, a target for a 20% reduction
in primary energy use by 2020 compared to 2008 levels was introduced, increasing
to a 50% reduction by 2050. A carbon emissions reduction target of 80% by 2050
compared to a 1990 baseline was also established (Schreurs, 2012).
Support for renewable energy has led to rapid deployment growth. The share of
renewable electricity generation grew from 5% of electricity in 1998 to well over 20%
today (Janicke, 2012). However, there have been criticisms of the policy, particularly
since the nuclear phase-out was implemented. These criticisms include the financial
impact of FITs on consumer electricity prices and the risk of technological lock-in
(Frondel et al., 2010; OECD, 2012b). They have also focused on the recent increase
in coal-fired generation, fuelled by cheap coal, to compensate for the reduction in
nuclear power output. This led to increased German carbon emissions in 2012 and
2013. It remains to be seen whether this is a temporary phenomenon.

226
2. South Korea as a Case Study of Green Growth
South Korea has experienced significant economic development in the past
decades. Rapid industrialisation led to a steep increase in carbon emissions and
a heavy dependence on fossil fuel imports, while urbanisation put pressure on the
natural environment.
South Korea was established in 1948 and was originally an agrarian society.
In fact, in 1960 it was considered to be one of the least industrially developed
societies worldwide (Kim et al., 2011). However, over the last three decades rapid
industrialisation has taken place, leading to a well-developed export-focused
economy, a rise in living standards and a significant increase in energy consumption
and associated GHG emissions.
Over the period 1980 to 1990, the average GDP annual growth rate was 10%,
dropping to 6.1% between 1990 and 2003 and then further declining to 4.8%
until 2007. Despite a general upward trend, GDP growth rates have significantly
decelerated since the global economic recession, dropping for the first time below
4% (Zelenovskaya, 2012). Even so, it is noteworthy that a relative reduction in growth
rates as economies mature is not uncommon. Spence (2012) states that consistent
growth rates above 7% are unlikely in developed countries.
South Korea’s economic growth is largely based on energy-intensive industries
(steel, cement, petrochemicals, automobiles, etc.). Energy demand trends show
that in the last two decades the industrial sector has accounted for more than
half of the final energy use (Kim et al., 2011). The residential sector was also a main
driver behind the rise in energy consumption and emissions due to the rise in living
standards linked to economic growth (Jones and Yoo, 2011).
As a result of industrialisation and economic development, a steep increase in
energy consumption and GHG emissions has occurred. The trend in GDP growth
is reflected in GHG emissions; between 1990 and 2005, Korea’s GHG emissions
presented the highest rate of increase among OECD countries and almost doubled
in total (Jones and Yoo, 2011). Indeed, in 2008, Korea was reported to be the 10th
largest primary energy consumer and the tenth largest emitter of CO2
worldwide
(Zelenovskaya, 2010). GHG emission trends are shown in Figure A.1.

227
Figure A.1: South Korean GHG emissions, excluding land-use change & forestry.
Data from the CAIT 2.0 beta tool, World Resources Institute
While the carbon intensity of South Korea’s economy has declined since the mid-
1990s, it is still high compared to other OECD countries. According to the IEA, in
2004, South Korea’s carbon emissions per unit of GDP were 15% higher than the
IEA average and approximately 23% higher than the IEA Pacific average (IEA,
2006). In terms of energy supply, South Korea’s supply mix is largely fossil fuel-
based, with renewable and nuclear power accounting for under a fifth of the mix
(Zelenovskaya, 2012). This has led to a heavy dependence on fossil fuel imports. In
2007, Korea’s energy imports were calculated at approximately 97%, rendering the
country particularly sensitive to international price fluctuations (Kim et al., 2011).
2.1 South Korea’s Green Growth Strategy
To respond to the environmental pressures associated with industrialisation and to
revitalise the economy in the wake of the global financial crisis, a turn towards
green growth was announced by then President Lee Myung-bak in 2008 (PCGG,
nd). The announcement was followed by the launch of a stimulus package labelled
as a “Green New Deal” equal to approximately 38.1 billion USD, i.e. approximately
4% of the country’s GDP, to be allocated between 2009 and 2012. The main sectors
covered in the stimulus package were new and renewable energy technologies,
energy efficiency in the built environment, green infrastructure (e.g. railways),
green transport (e.g. low-carbon vehicles) and water and waste management,
signifying a shift towards a low-carbon economy (Zelenovskaya, 2012). In total, 36
projects were assigned in the Green New Deal with a focus on water and waste
management and railroad transport, which respectively accounted for 33% and
28% of total funds. A sectoral breakdown of budget allocation can be found in
Table A.1.

228
Table A.1: Green New Deal sectoral breakdown
Sector Expenditure
(trillion won)
Expenditure
(%)
Water & waste management 13 33%
Railroad transport 11 28%
Energy efficient buildings 10 25%
Low-carbon vehicles 3 8%
Renewable energy 3 8%
Total 40
Source: Jones and Yoo (2011)
Due to the level of dependence on fossil fuel imports and the carbon-intensity
of the economy, it has been argued that the promotion of green growth is a
suitable strategy for South Korea (Mathews, 2012). Kang et al. (2012) also report
that heavy dependency on resources and fossil fuel imports in combination with
reduced economic growth rates were behind the country’s economic model shift.
A significant aspect of that was the change in the international export market due
to rising competition by emerging economies such as China and India (Kang et al.,
2012). Moreover, green growth was presented by the South Korean government
as a way to regenerate the economy and create employment in the green
technology and renewable energy sectors (PCGG, 2009).
Signalling the government’s commitment to a low-carbon economy was the
announcement of an ambitious target of 30% reduction in carbon emissions by 2020
compared to ‘business as usual’. This figure translates into a 4% reduction from 2005
levels (Jones and Yoo, 2011). “Negotiated agreements with specific companies
the industry, power generation and agricultural sectors were implemented by the
government under the Target Management System. There is a plan to replace
the Target Management System with an emissions trading scheme, though
implementation has been delayed.”
Strong central leadership is considered to be a critical aspect to the success of
Korea’s green growth strategy. A top-down approach was followed, with the
Presidential Commission on Green Growth (PCGG) being established as an inter-
ministerial body in 2009 to coordinate and monitor the implementation of the green
growth strategy. The PCGG involves delegates from all the main governmental
departments that are associated with the transition, i.e. the Ministry of Environment,
the Ministry of Knowledge Economy, the Ministry of Land, Transport and Maritime
Affairs and the Ministry of Food, Agriculture, Forestry and Fisheries (Kang and Kim,
2012). The National Strategy for Green Growth was issued by the PCGG in 2009,
with a time horizon that extends to 2050.
The National Strategy defines three broad objectives and ten policy directions,
each designed to support the application of one of the objectives (PCGG, 2009).
While the environmental component is strong, it is essentially an economic strategy,
designed to promote technological innovation, support the commercialisation
of key green technologies and lead to economic growth and employment
generation.

229
Implementation will be via a return to 5-Year Plans. These plans were first
introduced in South Korea in 1962 and were considered pivotal during the country’s
industrialisation period. They were later deemed ineffective and were therefore
abandoned in the mid-1990s (PCGG, 2009; Mathews, 2012). The first 5-Year Plan for
Green Growth covered the period from 2009 to 2013. According to the 5-Year Plan,
public annual investment in green growth was projected to be approximately 2%
of the GDP (Zelenovskaya, 2012).
Total investment over the 5-year period was planned to be 107 trillion KRW (~ $86
billion). More than half of that was assigned to the construction sector, related to
policy directions (PCGG, 2009). In total, 600 projects were included, absorbing the
earlier Green New Deal. Emphasis was placed on the upgrade and expansion of
the national rail transport system and water and waste management. Indicatively,
the Four Rivers Restoration Project, one of the key water management projects,
accounted for approximately 14% of the 5-Year Plan budget. In contrast R&D was
allocated only 12% of the total expenditure (Jones and Yoo, 2011).
Criticism has been expressed on the focus of the strategy on the construction
sector and in particular the Four Rivers Restoration Project, a large-scale water
conservation project. Environmental groups and members of the academic
community under the Professors’ Organisation for Movement against Grand
Korean Canal have expressed concern that the intended restoration project will
in fact have a harmful effect on the local ecosystem and may lead to habitat loss.
The effectiveness of the engineering approach followed in the project and the
reported cost assumptions have also been challenged (Normile, 2010).
2.2 The Development and Deployment of Green Technologies
The development of green technologies is a major theme in South Korea’s green
growth strategy. Commercialisation is an important aspect of that goal, as Korea
aims to increase its share of the international green technology market to 10% by
2020, compared to 2% in 2009 (PCGG, 2009).
Following a formal consultation process and based on potential contribution to
economic growth, environmental impact and strategic importance, a list of 27
technologies, which are expected to be prioritised in the country’s R&D strategy,
have been included in South Korea’s green growth plan (Table A.2). While a
number of the 27 core technologies are directly related to climate change
mitigation, energy and the environment, others are broader in scope and can be
considered ‘green’ in the context of a general shift towards a more sustainable
growth paradigm (Kang and Kim, 2012).

230
Table A.2: Core green technologies (UNEP, 2010a)
Sector Core Green Technologies Timing
Climate
Change
1. Monitoring and modelling for climate change Long term
2. Climate change assessment and adaptation Long term
Energy Source
Technology
3. Silicon-based solar cells Short term
4. Non-silicon based solar cells Long term
5. Bio-energy Long term
6. Light water reactors Short term
7. Next-generation fast reactors Long term
8. Nuclear fusion energy Long term
9. Hydrogen energy R&D Long term
10. High-efficiency fuel cells Long term
Technologies
to Improve
Efficiency
11. Plant growth-promoting technology Long term
12. Integrated gasification combined cycle Long term
13. Green cars Medium term
14. Intelligent infrastructure for transport and
logistics
Long term
15. Green city and urban renaissance Long term
16. Green buildings Long term
17. Green process technology Medium term
18. High-efficiency light-emitting diodes/green IT Short term
19. IT-combined electric machines Long term
20. Secondary batteries Medium term
End-of-pipe
Technology
21. CO2
capture, storage and processing Long term
22. Non-CO2
processing Medium term
23. Assessment of water quality and management Medium term
24. Alternative water resources Medium term
25. Waste recycling Medium term
26. R&D in monitoring and processing for hazardous
substances
Long term
R&D in Virtual
Reality
27. Virtual reality Medium term

The attraction of private R&D investment and the greening of existing industries
are considered key parameters for the success of the Green Growth Strategy.
While the government’s fiscal commitment initially focused on construction and
green infrastructure projects, with R&D making up 12% of total expenditure, it was
expected that financial support for R&D would increase as the economy recovered
(PCGG, 2009). This has succeeded to an extent. While increased investment in green
technologies was observed following the launch of the green growth strategy, it
did not reach the anticipated level (Zelenovskaya, 2012).

231
Tax incentives and other policies were implemented to attract private investment in
green technologies and industries. A green certification scheme was introduced in
2010, coordinated by the Korea Institute for Advancement of Technology11
. Funds
that focus 60% of their investment in certified firms and projects were granted tax
exemptions. Furthermore, there was an increase in government lending for green
projects of 150% between 2009 and 2013, as well as the launch of a green equity
fund (Jones and Yoo, 2011).
To support carbon emissions reduction, the South Korean government is also
implementing a carbon ETS. The introduction of an ETS is facilitated by the
Framework Act on Low-carbon Green Growth, which dictates carbon reporting
by all the major energy-intensive industries (UNEP, 2010a). The detailed legislative
framework for the scheme was approved by the Korean National Assembly in 2012,
with the scheme expected to take effect in 2015 (Mathews, 2012). It is notable
that South Korea already has the experience of implementing a cap-and-trade
scheme covering NOx, SOx and total suspended particles, established in 2008,
which would facilitate the introduction of the ETS (Jones and Yoo, 2011).
The National Strategy explicitly targets the increase of renewable energy in South
Korea’s energy mix. A renewable portfolio standard was introduced in 2012 to help
meet this target, and to replace the earlier FIT scheme that had been in place
since 2002. The renewable portfolio standard specifies a mandatory percentage of
renewable energy generation for energy service companies. It is anticipated that
the required share will reach 10% by 2022 (Kang and Kim, 2012).

11
The Green Certification system certifies technologies, projects and firms that are in alignment with the Korean Green Growth
vision based on a range of criteria. Firms are considered ‘green’ when more than 30% of their sales are associated with certified
technologies (Jones and Yoo, 2011).

232
Appendix 4: R&D Priorities for PV Systems
• Advanced PV cell and module characterisation and performance verification:
PV technologies have been consistently developed over the past few decades,
with advances in the standard crystalline and thin film technologies. PV module
qualification techniques are well established with several accredited facilities
worldwide. With the expected large-scale deployment of PV in South Africa there
is a need for the development of a local facility that is able to perform advanced
PV cell and module characterisation.
• Building integrated photovoltaics: The successful implementation and operation
of energy efficient building integrated PV housing, hinges on the appropriate
design of the passive solar features, the PV system and integration thereof, and the
domestic SWH.
• Development of concentrator photovoltaic (CPV) technology for deployment in
South Africa, and elsewhere: Concentrator photovoltaic (CPV) systems have the
potential to reduce the cost of PV electricity, thereby attaining grid-parity well
before conventional flat plate PV. The solar resource in South Africa, with extensive
areas with high irradiance makes the deployment of CPV attractive, particularly if
CPV modules can be manufactured locally.
• Basic investigation of new PV technologies: There are several materials systems that
are currently being investigated with the aim of developing new, high-efficiency
devices (third-generation devices). These devices make use of the properties of
the different materials or low-dimensional structures to enhance photon absorption
and/or photo-generated current, thus resulting in higher efficiencies.
• Electrical storage: Another technical barrier is that of electrical storage, which is
central to addressing the peak demand profile of the country. R&D initiatives are
attempting to address the life cycle cost aspects of a variety of battery options
(NiMh, Lithium, NaS/NaNiCl, Lead-acid, Zinc-bromine, V-redox-flow), and the next
five years should be used to identify the potential role of the South African R&D
community in this space; at both the basic and applied levels.

233
Appendix 5: Models of Technology Adoption
1. Innovation Diffusion Theory
According to the Innovation Diffusion Theory, a person moves from first knowing
about a particular innovation (knowledge stage), to forming an attitude about
that innovation (persuasion stage), to making a decision whether or not to use
a particular innovation (decision stage), to using an innovation (implementation
stage), to finally deciding whether to continue using an innovation (confirmation
stage) (Rogers, 2003).
The primary engagement of a consumer with a technology in the decision process
is at the persuasion stage. There are five innovation attributes/predictors at the
persuasion stage: relative advantage, compatibility, complexity, trialability and
observability. Relative advantage describes how useful a potential user feels the
innovation is in relation to other available innovations. Compatibility considers how
well the innovation matches the perceived needs of the user. Complexity refers to
how difficult an innovation is to use (or to learn to use). Observability is the extent to
which the innovation is visible amongst peers and social groups. Finally, trialability
refers to the effort or risk involved in experimenting with prototypes or early versions
of an innovation and the ability to recover from errors.
2. Technology Acceptance Models
One of the most widespread and empirically tested models of technology
acceptance is the Technology Acceptance Model (TAM) (Davis, 1989). The
TAM is loosely based on Ajzen and Fishbein’s (1980) psychological theory of
reasoned action, although it replaces many of the attitudinal components in this
theory with only two technology-related attitudes, perceived usefulness of the
technology and perceived ease of use of the technology. Davis (1989) argued
that high positive ratings of these two attitudes would lead first to intentions to use
a particular technology and then, if the intention levels were high, directly to the
actual use (behaviour) of that technology. The TAM has been tested successfully
on a wide variety of technologies including general information systems, computer
applications, email, telemedicine technology, the World Wide Web, and mobile
phone applications, amongst others. In the original conceptualisation of the TAM,
Davis (1989) used a ‘catch all’ factor called external variables to incorporate
unexplained influences on the relationships. Typical external variables used in
previous studies included past experience with the technology, gender, age, and
previous education (e.g. Morris and Venkatesh, 2000; Venkatesh and Morris, 2000).
Despite the TAM being one of the most widely used and replicated instruments for
predicting technology use, the model has been critiqued as being too simplistic

234
(e.g. Gefen and Straub, 1997; Legris et al., 2003). Venkatesh and Davis (2000)
extended the original TAM to TAM2 by elaborating on the external variables in order
to include social influences (i.e. social norms, voluntariness, and image), perceived
instrumental factors (i.e. perceived relevance and perceived output quality), and
the user’s past experience.
One primary critique of both the TAMs and Innovation Diffusion Theory is that
they assume that the adoption of innovations/technology is based entirely
on the features or qualities of the technology; what Green (2001) refers to as
“technological determinism”. Green (2001) proposed that the social circumstances
(i.e. the economic and political environment, and the existing social and
physical infrastructure) also have a significant impact on determining technology
development and use.
Musa’s (2006) extension of the TAM2 addressed this problem by introducing
the concepts of values, accessibility, and exposure to target technology. Musa
(2006) built on Mathieson et al.’s (2001) perceived user resources model, which is
based on the extent to which an individual believes that they have the personal
and organisational resources to use the technology. Mathieson et al. (2001)
conceptualised this in terms of four elements: user attributes such as expertise,
training, educational level, and time available to learn the technology; support
from others, such as technical support and help-desk support; system attributes
such as accessibility and cost; and control-related beliefs including perceived
behavioural control. Musa (2006) added three further constructs (Figure A.2):
perceived positive-impact factors, perceived negative-impact factors, and the
individual’s perception of the socio-economic environment.
Figure A.2: Musa’s extension of the Technology Acceptance Model
(Musa, 2006; p. 217)

235
The perception of the socio-economic environment is influenced by both positive
and negative factors. Positive factors include economic activity, good health
systems, good governance, transport infrastructure, employment, and good
education systems. Negative factors include unemployment, poverty, corruption,
bribery, and minimal access to basic resources (i.e. water, food, electricity,
education, and housing). According to Musa (2006), the adoption of technology
is facilitated by positive factors and inhibited by negative factors. This suggestion
places a significant burden on the state and the political environment to create a
supportive environment for technology adoption. Musa’s model suggests a two-way
interaction between the socio-economic environment and access to technology,
implying that the lack of access to technology would drive the negative-impact
factors, while access to technology would result in the opposite outcome.
3. Unified Theory of Acceptance and Use of Technology (UTAUT)
Venkatesh et al. (2003) combined various models to produce the Unified Theory of
AcceptanceandUseofTechnology(UTAUT).TheUTAUTcomprisesfourdeterminants
(i.e. performance expectancy, effort expectancy, social influence, and facilitating
conditions) that predict intentional behaviour, which in turn predicts actual
behaviour. In addition, the model hypothesises that there are four moderating
factors (i.e. gender, age, experience, and voluntariness) that influence the strength
of the relationships between the determinants and behavioural intention.
4. Affective and Persuasive Design
Another branch of technology adoption has also considered the emotional or
aesthetic appeal of the innovation/technology. This is an area of study broadly
referred to as “affective design”. These theories emphasise the relationships
between the end user and the qualities of the technology. In order to understand
how “affect” operates in consumer decision-making, Khalid (2006) developed a
model, in which the first step is the matching of consumers’ perceived needs with
the characteristics of the product. Perceived needs might include aspects such
as cost-reduction, learnability, usability, entertainment, attractiveness, and status
improvement. The second step is the trial adoption of the product (“in-shop”)
where the product is evaluated against their needs. The final step is the adoption
(or rejection) of the product. Khalid’s model looks expressly at understanding
something about what the user needs and then designing the technology to match
that need. Affective design suggests that technologies that match user needs will
garner more positive attitudes and therefore will be more likely to be adopted.
In related work, persuasive design considers technologies that are specifically
designedtogetuserstomakeconstructivechangestotheirbehaviours,motivations,
and attitudes (Fogg, 2003). What is different about persuasive design is that the
technological design aims to influence behaviour change in the user irrespective of
the user’s perceived needs (i.e. the technology is designed in a way that persuades
us to behave in a particular way). For this reason, Fogg (2003) warns that persuasive
design should be tempered by ethical responsibilities to ensure that the influence
is not abused. In later work, Fogg (2009) proposed the Fogg Behavioural Model
that suggests that persuaded behaviour is achieved through matching motivation,
abilities and triggers. From a motivation perspective, Fogg (2009) argued that there
were three primary motivators: sensation (pleasure/pain), anticipation (hope/fear),

236
and social cohesion (acceptance/rejection). Technology is more persuasive in
situations where one (or a combination) of these motivators is high. Ability refers to
the capacity to carry out the intended target behaviour. Fogg (2003) argued that
simplicity (of interaction with the technology) is central to persuasion and identified
six elements: time, money, physical effort, mental effort, social deviance, and
non-routine behaviour. In many ways these qualities are very similar to the UTAUT’s
effort expectancy and social influence. Finally, Fogg (2003) identified three types
of triggers: facilitators (makes a behaviour easier), sparks (motivates a behaviour),
and signals (indicates or reminds a person of the behaviour).
5. Other Personal and Psychological Influences
In addition to the major theoretical models discussed above, various other
researchers have proposed important components to consider as determinants
of technology adoption. For example, Porter and Donthu (2006) found that usage
behaviours were related to the purposes for which people used the technology.
In other words, if people have an incentive to use the technology they were
likely to overlook the perceived barriers. Venkatesh (1999) extended the UTAUT
by treating intrinsic motivation as an external variable preceding perceived ease
of use and perceived usefulness. Venkatesh (1999) found that user acceptance
of technology was higher amongst the group that was intrinsically motivated to
use the technology. Working within a Theory of Planned Behaviour framework,
Venkatesh and Brown (2001) found that technology adoption was higher for those
driven by social, hedonic, and utilitarian outcomes.

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