Environmental sustainability has become important considering limited natural resources and an ever increasing consumption. Sustainability assessment is a complex procedure which is used to quantify and measure sustainability of a system. It needs to be performed in an organized and coherent manner to avoid unintended negative consequences. A systems-level, overarching, integrated model coupled with underlying process models would provide structure to sustainability assessment of coupled systems, thereby making the procedure more effective. The first objective of the study is to illustrate such a systems-level, overarching, framework using a simple, idealized, hypothetical model of a watershed as an example. The essential elements of underlying process models are utilized in building a simple, System Dynamics (SD) model, which is integrated at the overarching level. Orientors and indicators are used to assess sustainability. Two additional scenarios are modeled in order to improve system sustainability: technological advancement by implementing a rainwater use policy in the existing watershed model; and human behavior modification by coupling a social model with the existing watershed model. This demonstrates the effectiveness of the System Dynamics modeling approach in integration of multiple, varied systems. The second and ultimate objective of this study is to propose a generic framework for the overarching, systems-level model, providing a definite structure but allowing others to define their own model elements and relationships. This would enable more effective sustainability assessment of coupled complex systems. / Master of Science

Since about 2015 the social, environmental and economic risks and chances of the bioeconomy and economy in general are becoming increasingly the subject of applied sustainability assessments. Under a bioeconomy, a variety of industrial metabolisms, strategies and visions on substituting fossil resources by renewables and hereto associated societal transformations is formulated, characterized as regional bioeconomy if most foreground activities take place in a specific region. Based on the life cycle assessment (LCA) methodology, further social and economic LCA approaches were developed in previous research whereby life cycle sustainability assessment (LCSA) aims to combine or integrate the evaluation of social, environmental and economic effects. In this early stage of rudimentary and combinatory LCSA development, the research questions of this work are to develop a transdisciplinary framework for integrated LCSA for regional stakeholders to assess ecological, economic and social sustainability in one harmonized method, as well as to implement, apply and validate it by two regional case studies. Therefore, i) the understandings of sustainability and approaches of sustainability assessment in LCA are transdisciplinary reflected and developed, ii) a systemic framework of the important aspects of such assessments is structured by a series of stakeholder workshops, iii) the methods and indicators from existing LCA approaches as well as from bioeconomy monitoring systems are selected, identified and allocated to a sustainability concept of holistic and integrated LCSA (HILCSA), iv) databases for the life cycle inventory and methods for life cycle impact assessment are implemented in a software, as well as v) the model and method is applied and validated in two case studies on laminated veneer lumber production and production of biofuels in central Germany. Based on previous research, the dissertation provides a theoretically well based and practically applicable framework for integrated life cycle sustainability assessment, an applicable indicator set for regional (product & territorial) bioeconomy assessment, an integration of life cycle impact assessment methods as well as their comprehensive interpretation. Thereby, LCSA is able to identify the contribution of regional bioeconomy product systems to 14 out of 17 Sustainable Development Goals in terms of planetary boundaries, a sustainable economy and societal needs. The presented results on material and energetic use cases of biomass show that integrated assessments are able to deliver a broad and comprehensive analysis of impacts to identify synergies, trade-offs and hot spots of regional bioeconomy. Compared to existing LCA and LCSA methodologies, the added value of the HILCSA methodology is its integrated and holistic character, which [1] allows consistent and comparable data on social, ecological, and economic indicators, [2] identifies synergies and trade-offs between different aspects and SDGs, [3] traces down impacts to regions in the fore-and background systems, [4] as well as allocates and aggregates them to the SDGs to make complexity communicable. Additionally, HILCSA takes social sciences and political economy into account from beginning to interpretation and discussion of results, relating to social, environmental, and economic impacts not only to technologies but also to societal, economic, and political questions.:Part I Overarching Introduction 1 1. Introduction 2 2. State of the Art 3 2.1 Sustainability Concepts and Frameworks in the Context of BE and the Role of Stakeholder Participation 3 2.2 LCA and LCSA Approaches for BE Regions 5 2.3 Inter-, Transdisciplinarity and Political Economy for Holistic Sustainability Assessment 7 2.4 Research Gaps to be addressed 8 3. Research Objectives 9 4. Methods 10 4.1 Stakeholder Expectations of the BE in Germany and Relevance of SDGs for Sustainability Assessments 10 4.2 Theoretical and Conceptual Considerations on BE, Sustainability and its Assessment for a Holistic and Integrated Framework for LCSA (HILCSA) 11 4.3 Criteria and Aspects for Implementation and Operationalization of HILCSA for BE Regions 11 4.4 Lessons Learned from Application and Validation of HILCSA in Case Studies and Results on Risks and Chances of a BE Transformation 13 5. Results 14 5.1 Stakeholder Participation in BE Monitoring and Assessment 14 5.1.1 Relevances, Interests and Perceptions 14 5.1.2 Narratives and Visions 17 5.2 Theoretical and Conceptual Implications from a Transdisciplinary Perspective on Sustainability Frameworks and Assessments 19 5.2.1 The Three Pillar Approach and additive LCSA 19 5.2.2 Introduction of Societal Relations to Nature in Sustainability Assessment and LCA 21 5.2.3 Societal-Ecological Transformation and the role of LCSA 21 5.3 Operationalization and Implementation of Holistic and Integrated LCSA (HILCSA) for BE Regions 23 5.3.1 Sustainability Concept and LCA Framework for HILCSA 23 5.3.2 Initial LCI and LCIA for HILCSA 25 5.4 Application and Validation of HILCSA in Case Studies and Results on Risks and Chances of a BE Transformation 31 5.4.1 Application of Holistic and Integrated LCSA: First Case Study on LVL Production in Central Germany 31 5.4.1.1 Goal and Scope 31 5.4.1.2 Life Cycle Inventory 33 5.4.1.3 Life Cycle Impact Assessment 34 5.4.1.4 Interpretation 35 5.4.2 Application of Holistic and Integrated LCSA: Second Case Study on prospective biomass to liquid production in Germany 36 5.4.2.1 Goal and Scope 36 5.4.2.2 Life Cycle Inventory 38 5.4.2.3 Life Cycle Impact Assessment 39 5.4.2.4 Interpretation 41 6. Conclusion and Outlook 43 6.1 Stakeholder Expectations and Participation 43 6.2 Theoretical Concepts for Sustainability and Methodological Frameworks 44 6.3 Operationalization and implementation of Holistic and Integrated LCSA 45 6.4 Lessons Learned from Case Studies: Identifying Risks and Chances of Regional BE by Applying & Validating HILCSA 47 6.4.1 Risks and Chances of Regional BE in Case of LVL and BtL and Validation of HILCSA 47 6.4.2 Lessons Learned and Future HILCSA Methodology Development 48 6.5 Concluding Remarks on Political (Bio-)Economy and Transformation 52 References 54 List of Acronyms 66 List of Tables 66 List of Figures 66 Part II Publications 68

Sustainable development is described by the World Commission on Environment and Development as ―development that meets the needs of present without compromising the ability of future generations to meet their own needs‖. Sustainability assessments are an integrative process and framework for effective integration of social, economic and ecological considerations in significant decision-making processes. Sustainability is incorporated into South African legislation such as the Constitution of the Republic of South Africa (1996), the National Environmental Management Act (Act 107 of 1998), as well as Environmental Impact Assessment (EIA) Regulations. Despite the existence of such legislation, the challenge lies in the effective implementation of the EIA process, which has been identified as a useful tool in striving towards achieving sustainable development. This research uses Gibson‘s eight sustainability principles and Gaudreau and Gibson‘s sub-criteria to develop a case specific set of sustainability criteria for coal fired power stations in South Africa. The energy generation sector is a major source of social and environmental impacts. Coal power stations contribute to environmental degradation such as reduced air, water and land quality. This industrial process impacts on the environment and therefore needs to strive towards sustainable development by considering these criteria during the EIA process. The set of case specific sustainability criteria for power stations was then used to evaluate the EIA developed for Medupi Power Station in South Africa in order to assess, the extent to which sustainability was considered in the EIA process. The key finding is that sustainability is incorporated into South African legislation hence no change in legislation is required. Despite the existence of legislation, the challenge lies in the fact that is it not always effectively implemented. The EIA process is seen as a tool that can effectively deliver sustainability outcomes. However this process is not effectively utilised. In order for the EIA to consider sustainability the focus needs to be on the following criteria: Intragenerational Equity; Precaution and Adaptation for Resilience; as well as Immediate and Long term Integration, as these were recognised as weaknesses after the evaluation process. The recommendation is also to develop a set of case specific sustainability criteria for other large industries that have significant environmental impacts. / MSc (Environmental Management), North-West University, Potchefstroom Campus, 2015

Sustainable development is described by the World Commission on Environment and Development as ―development that meets the needs of present without compromising the ability of future generations to meet their own needs‖. Sustainability assessments are an integrative process and framework for effective integration of social, economic and ecological considerations in significant decision-making processes. Sustainability is incorporated into South African legislation such as the Constitution of the Republic of South Africa (1996), the National Environmental Management Act (Act 107 of 1998), as well as Environmental Impact Assessment (EIA) Regulations. Despite the existence of such legislation, the challenge lies in the effective implementation of the EIA process, which has been identified as a useful tool in striving towards achieving sustainable development. This research uses Gibson‘s eight sustainability principles and Gaudreau and Gibson‘s sub-criteria to develop a case specific set of sustainability criteria for coal fired power stations in South Africa. The energy generation sector is a major source of social and environmental impacts. Coal power stations contribute to environmental degradation such as reduced air, water and land quality. This industrial process impacts on the environment and therefore needs to strive towards sustainable development by considering these criteria during the EIA process. The set of case specific sustainability criteria for power stations was then used to evaluate the EIA developed for Medupi Power Station in South Africa in order to assess, the extent to which sustainability was considered in the EIA process. The key finding is that sustainability is incorporated into South African legislation hence no change in legislation is required. Despite the existence of legislation, the challenge lies in the fact that is it not always effectively implemented. The EIA process is seen as a tool that can effectively deliver sustainability outcomes. However this process is not effectively utilised. In order for the EIA to consider sustainability the focus needs to be on the following criteria: Intragenerational Equity; Precaution and Adaptation for Resilience; as well as Immediate and Long term Integration, as these were recognised as weaknesses after the evaluation process. The recommendation is also to develop a set of case specific sustainability criteria for other large industries that have significant environmental impacts. / MSc (Environmental Management), North-West University, Potchefstroom Campus, 2015

This research assesses the impacts of developing shale gas in the UK, with the focus of determining whether or not it is possible to develop it sustainably and how it could affect the electricity and gas mix. There is much uncertainty on the impacts of developing shale gas in the UK, as the country is currently in the early stages of exploration drilling and the majority of studies which have been carried out to analyse the effects of shale gas development have been US specific. To address these questions, the environmental, economic and social sustainability have been assessed and the results integrated to evaluate the overall sustainability. The impacts of shale gas electricity have been assessed so that it can be compared with other electricity generation technologies (coal, nuclear, renewables etc.), to ascertain its impacts on the UK electricity mix. Life cycle assessment is used to evaluate the environmental sustainability of shale gas electricity (and other options), while life cycle costing and social sustainability assessment have been used to evaluate the economic and social sustainability. Multi-criteria decision analysis has been used to combine the results of three to evaluate the overall sustainability. The incorporation of shale gas into the UK electricity mix is modelled in two future scenarios for the year 2030. The scenarios compare different levels of shale gas penetration: low and high. The results show that shale gas will have little effect on improving the environmental sustainability and energy security of the UK’s electricity mix, but could help ease energy prices. In comparison with other options, shale gas is not a sustainable option, as it has higher environmental impacts than the non-fossil fuels and conventional gas and liquefied natural gas: 460 g CO2-Eq. is emitted from the shale gas electricity life cycle, while conventional gas emits 420 g CO2-Eq. and wind 12 g CO2-Eq. The power plant and drilling fluid are the main impact hot spots in the life cycle, while hydraulic fracturing contributes a small amount (5%). In addition to this, there are a number of social barriers which need to be addressed, notably: traffic volume and congestion could increase by up to 31%, public support is low and wastewater produced from hydraulic fracturing could put strain on wastewater treatment facilities. However, the results indicate that shale gas is economically viable, as the cost of electricity is cheaper than solar photovoltaic, biomass and hydroelectricity (9.59 p/kWh vs 16.90, 11.90 and 14.40 p/kWh, respectively). The results of this thesis show that there is a trade-off in the impacts, but because of its poor environmental and social ratings shale gas is not the best option for UK electricity. The results also identify areas for improvement which should be targeted, as well as policy recommendations for best practice and regulation if shale gas were to be developed in the UK.

Many higher education institutions (HEIs) have started to incorporate sustainable development (SD) into their system. A variety of sustainability assessment tools (SATs) have been developed to support HEIs to systematically measure, audit, benchmark, and communicate SD efforts. In recent years, stakeholders have increasingly asked HEIs to demonstrate their impacts on SD. These impacts are the direct and indirect effects an HEI has outside of its organizational boundaries on society, the natural environment, and the economy. This study analyzes to what extent SATs are capable of measuring the impacts that HEIs have on SD. A mixed-method approach, using descriptive statistics and an inductive content analysis, was used to examine 1134 indicators for sustainability assessment derived from 19 SATs explicitly designed for application by HEIs. The findings reveal that SATs largely neglect the impacts HEIs have outside their organizational boundaries. SATs primarily use proxy indicators based on internally available data to assess impacts and thus tend to focus on themes concerning the natural environment and the contribution to the local economy. Updating existing SATs and developing new ones may enable HEIs to fully realize their potential to contribute to SD.

Necessity to sustain resources has risen in recent years with significant number of people affected by lack of access to essential resources. Framing policies that support environmental sustainability is necessary for addressing the issue. Effective policies necessitate access to a framework which assesses and keeps track of sustainability. Conventional frameworks that support such policy-making involve ranking of countries based on a weighted sum of several environmental performance metrics. However, the selection and weighing of metrics is often biased. This study proposes a new framework to assess environmental sustainability of countries via leveraging unsupervised learning. Specifically, this framework harnesses a clustering technique and tracks progressions in terms of shifts within clusters over time. It is observed that using the proposed framework, countries can identify specific ways to improve their progress towards environmental sustainability.

<p>In the U.S., bioenergy accounts for about 50% of the total renewable energy that is generated. Every stage in the life cycle of using bioenergy (e.g., growing biomass, harvesting biomass, transporting biomass, and converting to fuels or materials) has consequences in terms of the three dimensions of sustainability: economy, environment, and society. An integrated sustainability model (ISM) using system dynamics is developed for a bioenergy system to understand how changes in a bioenergy system influence environmental measures, economic development, and social impacts.<br></p><p><br></p><p>Biomass may be used as a source of energy in a variety of ways. The U.S. corn ethanol system forest residue system for electricity generation, and cellulosic ethanol system have been investigated. Predictions, such as greenhouse gas (GHG) savings, soil carbon sequestration, monetary gain, employment, and social cost of carbon are made for a given temporal scale. For the corn ethanol system, the annual tax revenue created by the ethanol industry can offer a significant benefit to society. For the forest residue system for electricity generation, different policy scenarios varying the bioenergy share of the total electricity generation were identified and examined via the ISM. The results of the scenario analysis indicate that an increase in the bioenergy contribution toward meeting the total electricity demand will stimulate the bioenergy market for electricity generation. For the cellulosic ethanol system, the compliance of cellulosic ethanol can be achieved under the advanced bioconversion technologies and the expansion of energy crops. However, nitrate leaching and biodiversity change should be considered when expanding energy crops on marginal land, pasture, and cropland. Moreover, three bioenergy systems reduce GHG emissions significantly, relative to fossil fuel sources that are displaced, and create economic benefits (e.g., GDP and employment). Additionally, a spatial agent-based modeling is developed to understand farmers’ behaviors of energy crop adoption and the viability of cellulosic biofuel commercialization.<br></p>

Environmental releases of chemical compounds from Pharmaceuticals and Personal Care Products (PPCPs) are receiving growing attention in the scientific community. Most research suggests that the main pathway for these substances to reach the environment is via Wastewater Treatment Plants (WWTPs) due to the effluents from households, industry and hospitals, which can contain substantial amounts of these compounds. Many of these contaminants are poorly treated in conventional WWTPs and are often discharged into the environment with the effluent and sludge, posing ecotoxicological risks to the wildlife and humans. Therefore, it is necessary to limit their release into the environment by controlling their discharge from WWTPs. This can be achieved by adopting advanced wastewater treatment techniques, currently not used as there are no legislative limits on PPCP compounds. However, as the scientific evidence is growing on their adverse impacts, it is only a matter of time before their advanced treatment becomes compulsory. To help guide future developments and inform policy in this area, this work considered a range of advanced treatment techniques with the aim of identifying the most sustainable options. Adopting a life cycle approach and considering all three dimensions of sustainability (economic, environmental and social), nine technologies were assessed on sustainability: four for WWTP effluent and five for sludge treatment. The advanced wastewater treatment methods considered are: (i) granular activated carbon, (ii) nanofiltration, (iii) solar photo-Fenton, and (iv) ozonation. The sludge treatment techniques comprise: (i) anaerobic digestion of sludge for agricultural application; (ii) sludge composting, also for agricultural application; (iii) incineration; (iv) pyrolysis; and (v) wet air oxidation. They were assessed on sustainability using over 28 indicators, some of which were also used to evaluate the implication of different treatment techniques for the energy-water-food (EWF) nexus. Multi-Criteria Decision Analysis (MCDA) was applied to aggregate the sustainability indicators into an overall sustainability index for each alternative and identify the most sustainable option(s). The results suggest that, among the four techniques considered for advanced effluent treatment, nanofiltration and granular activated carbon have the lowest life cycle environmental impacts. Although not preferable at all operating ranges, they have the lowest burdens and are, overall, most sustainable. The latter also has the lowest impact on the EWF nexus at mean operating parameter, and is the preferred option as the treated effluent can be used for potable water due lower concerns over the presence of PPCPs. However, the results also suggest that, from the ecotoxicological point of view, there is little benefit in using any of the advanced wastewater treatment techniques assessed. This is due to the life cycle ecotoxicological impacts from the treatment itself being similar or even higher than for the effluent released into the environment untreated. For sludge treatments, anaerobic digestion and pyrolysis are environmentally and economically preferable techniques. The former is the best with respect to the EWF nexus due to the recovery of energy and agricultural fertilizers. In relation to social aspects, wet air oxidation is amongst the most desirable for high resource recovery, together with the two former techniques. The heavy metals content in the sludge applied on agricultural soils is a major concern for freshwater ecotoxicity potential, posing risks orders of magnitude higher than PPCP compounds.

This research project set out to develop and apply a framework for assessing how energy systems may be structured to help society progress towards sustainability. The general intent was to outline a way to decide upon the things that matter in order to make better decisions that will lead to positive near- and long-term outcomes. There are various ways of reaching the goal described above, and the path chosen in this dissertation centred on Gibson’s (2006) sustainability assessment framework, an approach to integrated sustainability-based decision-making. In order to contribute to extending and specifying Gibson’s approach to sustainability assessment for energy undertakings, this project developed a theoretical framework grounded in various forms of complexity and energy. The journey described in the dissertation begins with an exploration of the complexity of science, the subject of Chapter 2. We live in a world characterized by inherent uncertainty, multiple worldviews, conflicting values, power dynamics and a whole host of other challenges to science and decision-making. Many of the environmental and human challenges we currently face have arisen in part because we do not sufficiently respect the limits to knowledge and the personal biases we all bring to the table. Chapter 2 develops a framework for knowledge generation and decision-making situated within its social context, and operationalizes this framework through the process of criteria specification. Drawing from multiple sources of data – particularly documentary analysis, semi-structured interviews and observation – the criteria specification cycle provided the means of and determining and deciding upon the things that matter in a given case and context. The complexity of science is only half the story emerging from the complex systems literature. From a different perspective, it is evident that we live in a world of complex dynamics and interconnections, and it is important to ensure that whatever energy paths we set out on recognize these dynamics. Fortunately, there is a wide range of literature relating to the characteristics of complex systems in general, as well as their energy and material flows in societies. These literatures are explored in Chapter 3 to develop an understanding of and guidelines for managing complex systems to the extent possible and appropriate. Building on the theory developed in Chapters 2 and 3, the discussion in Chapter 4 began to develop an understanding of energy systems and energy decision-making and was structured around three general questions: (1) what is the energy problem? (2) what are the characteristics of an appropriate and constructive relationship with energy? and (3) how can the necessary and desired sociotechnical systems changes be achieved. These questions were largely addressed through an exploration of the soft energy path and transition management and led to two sets of guidelines designed to address energy systems structure and change. The theoretical framework developed over Chapters 2-4 was consolidated into a proposed set of sustainability criteria for energy undertakings. The sustainability criteria set represents the principal theoretical contribution of the dissertation to the academy and the broader assessment community, and outlines a suite of generally desirable system attributes and actions for achieving progress towards sustainability, as opposed to an acceptability threshold. The proposed sustainability criteria are primarily intended for application regarding energy undertakings at a wide variety of scales, but are much more broadly relevant. In a manner that is more iterative than can be described in this abstract, the sustainability assessment framework described in this dissertation was applied in, and enriched through, four distinct case studies that assessed (1) the 2006 Ontario Integrated Power Systems Plan proposed by the Ontario Power Authority. The Integrated Power Systems Plan was originally framed as a coal versus nuclear problem, as opposed to a critical appraisal of power systems planning; and in doing so it underplayed potential for conservation, demand management, increased renewable energy, and social change; (2) a small-scale biodiesel operation in Barbados. The plant owner collected used cooking oil from restaurants, roadside stands, and individual homes, and converted it into biodiesel using a first-generation processing technology known as transesterification. (3) a sugarcane-ethanol plant in the Tietê-Jacaré Watershed of São Paulo, Brazil. The sugarcane ethanol mill harvests approximately 21,000 hectares of sugarcane crops from seven municipalities and produces hydrated ethanol for domestic markets, and sugar for domestic and international markets; and (4) the agricultural and energy systems in Senegal. Senegal suffers from significant deforestation and soil fertility decline coupled with demographic change. The many interconnections between the energy and agricultural systems require an integrated assessment of both. Each individual case study stands alone in providing novel insights emerging from application of the framework in the particular case and context. At the more general level, five important insights emerged from the case studies, including: (1) the benefits of, and need for, maintaining a flexible unit of analysis so as to improve problem structuring; (2) the importance of grounding an assessment within its context; (3) the benefits of seeking integration and positive indirect effects; (4), the need to plan for and develop energy bridges towards feasible and desirable energy futures; and (5), the need for caution in the face of thresholds and uncertainty. The individual and general insights from the case studies were incorporated into the most recent version of the sustainability assessment framework described in this dissertation. The framework is suitable for application, with specification for particular case and context, to all types of energy systems at all scales.