Sameframe: sustainability assessment methodology framework. - Portal Embrapa

SAMEFRAME - SUSTAINABILITY ASSESSM ENT M ETHODOLOGY

FRAMEW ORK

G eraldo S la ch e lll R o d rig u e s '1, M a rk T. H row n}, H o w a r d T. O d u m 1

1 Hmbrapa Environment, CP 069, Jaguarlúna (HP), Drnsil. CEP 13/120-000

1 Department o f Environmenltd Engineering Sciences, Pax 116350, University oj Florida,

Gainesville, FL 32611-6350

A B S T R A C T

SAM eFram e is a cross-scnie sustainability assessm ent m ethodology framework directed at agricultural technology innovation performance evaluation. The system com prises a set o f integrated spreadsheets for accounting the em ergy balances from the agricultural and livestock production activities at three scales: I) the farm, 2) the region, and 3) the nation. Data needed to fulfil the requirements o f SAM eFram e at the macro scales (country through county) arc obtained from the national, regional, and agricultural censu ses, w hile micro-scale data are obtained directly from the farm records. Based on integrated em ergy accounting, several performance indices arc calculated at all three levels o f analysis and displayed num erically and graphically in the assessm ent spreadsheets. The spreadsheets are used to evaluate impacts o f changes in agricultural technology on em ergy indices o f sustainability. Data from a farm (or other niral activity) are entered into the “ farm -scale” spreadsheet and indices are automatically calculated. Comparisons can be made "before and after" technologicnl innovation, or between different technologies. The spreadsheet analysis m ethodology is demonstrated using data for the U SA , Florida, and average conditions for six crops grown in Florida. Spreadsheets may be downloaded from the follow ing URL: http://w w w .ees.uf1.edu/hom eup/brown/cep /. When updated with national and regional data from other regions, they can be used to evaluate agricultural technology innovation in other parts o f the world.

1. IN T R O D U C T IO N

It is a co m m o n p ractice to d e c id e on the d e v e lo p m e n t o f plan s, p ro je c ts, an d ev en te c h n o lo g y resea rch p ro g ram s a c c o rd in g to ec o n o m ic , te c h n ic a l, an d p o litic a l c rite ria . E n v iro n m en tal q u ality , su stain ab le n atu ral re so u rc e use, and so c io -c u ltu ra l im p a c ts se ld o m re ceiv e th e req u ired co n sid eratio n , an d w h e n in clu d ed , th e y are ofte.-i c o n s id e re d o n ly fro m an e co n o m ic p e rsp e c tiv e th at o ffers a p o o r b asis for d e v is in g a lte rn a tiv e , m o re a p p ro p ria te d e v e lo p m e n t op tio n s.

T h e in tro d u c tio n o f su sta in a b ility c rite ria into th e d e c isio n m a k in g p ro c e ss b rings a b o u t co m p lex co n cep tu al and p o lic y o rie n ta tio n p ro b le m s. It in tro d u c e s n o t o n ly q u estio n s co n c e rn in g th e d efin itio n o f su sta in a b le u se o f n atu ral re so u rc e s an d th e re g e n e ra tiv e c a p a c ity o f eco sy stem s, bu t also q u e s tio n s co n c e rn in g th e tra d e -o ffs b e tw e e n im p ro v e m e n t and gro w th o f eco n o m ic a c tiv ities, e n v iro n m e n ta l co n se rv a tio n , and th e fa ir s h a rin g o f w e a lth am o n g th e social groups involved.

I f su sta in a b ility is to b e u n d e rsto o d , in c o rp o ra te d in to d e c is io n m a k in g , and p lan n ed for, it m u st be q u a n tita tiv e ly ev alu ated . T h e “ S u sta in a b ility A sse s sm e n t M e th o d o lo g y F ra m e w o rk ” (S A M eF ram e) p resen ted in th is pap er o ffers a s y s te m ic a p p ro a c h b a s e d o n the energy flo w s asso ciated w ith all ch a n g e p ro cesses b ro u g h t ab o u t b y th e in tro d u c tio n o f r r ,w agricultural activ ities in a rural e sta b lish m e n t, e sp e c ia lly th o se a sso c ia te d w ith te c h n o lo g ic a l inno v atio n s.

T h e system co m p rises a te m p la te for th e g ath erin g , d o c u m e n ta tio n , and sy n th e sis o f in fo rm atio n on su stain ab le d ev elo p m en t.

2. E N V IR O N M E N T A L A C C O U N T IN G W IT H S A M E F R A M E

A g ro -ec o sy ste m s u se en v iro n m en tal en erg ies d irectly and in d ire c tly fro m b oth re n e w a b le energy flow s and from sto ra g e s o f m a te ria ls and en erg ies that resu lted from p ast b io sp h e re production. A c c o u n tin g for all in p u ts to a g ro -e co sy stem s, ren e w a b le , slo w ren ew ab le, and no n -ren e w ab le alike, is im p e ra tiv e i f su stain ab ility is to be u n d e rsto o d in an e n v iro n m e n ta l context, f a n n in g sy ste m s and forest e x tractio n in v o lv e both m o n ied and n o il-m o n ied flow s o f m aterials and energy, th e to tals o f w hich d e te rm in e su sta in a b ility ( B r o w n [l] , R o d rig u es el a i m )

-U sing m eth o d s o f e n v iro n m e n ta l a c c o u n tin g (O d u m [3 ,4 ,5 ]), the flow s o f b oth m o n ied and n o n -m o n ie d m aterials and en erg y w ith in a g ro -p ro d u c tio n sy stem s can b e ev alu ated . T h e use o f m aterials, en ergy, labor, and m a c h in e ry as w ell as en v iro n m en tal se rv ic e s as both an in p u t and a sin k for b y -p ro d u cts are ev a lu a te d in their ap p ro p riate u n its such as to n s, c u b ic m eters, h u m an -h o u rs, jo u le s, etc. and in teg rated into a co m m o n b asis u sin g te c h n iq u e s o f e m erg y analysis. U sing this c o m m o n e m e rg y u nit, costs, im pacts, and c h a n g e s in natural cap ital can be su m m ed to ev alu ate to tal en v iro n m e n ta l su stain ab ility (U lg iati el a l.[6]).

S A M e F ram e is a c ro ss -s c a le s u sta in a b ility assessm en t m eth o d o lo g y fra m e w o rk d ire c te d at agricultural te c h n o lo g y in n o v a tio n p erfo rm a n c e ev alu atio n . T h e sy stem co m p rise s a set o f integrated sp read sh eets (M S Excel® p latfo rm ) for acco u n tin g th e e m e rg y b alan ces from th e ag ricu ltu ral and liv esto ck p ro d u c tio n a c tiv itie s at the farm level, th e re g io n a l in se rtio n o f th e farm at the co u n ty o r S ta te le v e l, and th e sy stem ic ev alu atio n o f th e c o u n try and natio n al ag ricu ltu re (F ig u re 1).

F igure 1. System diagram o f the energy flow s and transform ations at various scales, considered for the assessm ent o f sustainability o f rural activities with SA M eFram e

D ata needed to fulfil the re q u ire m e n ts o f S A M e F ra m e at th e m acro sc a le s (co u n try th ro u g h co unty) are o b ta in e d from th e n atio n al, re g io n a l, an d a g ric u ltu ra l c e n s u se s , w h ile m ic ro -sc a le d a ta are o b tain ed d ire c tly from the farm reco rd s.

B ased on th is in teg rated e m c rg y a c c o u n tin g , a se rie s o f p e rfo rm a n c e in d ices is o b tain ed for all scales and e x p ressed in n u m e ric and g ra p h ic fo rm a t in th e sp re a d sh e e ts, facilita tin g a c irc u m sta n tia te d a sse ssm e n t o f su sta in a b ility . E ach sc a le c o n sid e re d in th e a sse ssm e n t is d escrib ed in a g eneral d ia g ra m c o n s tru c te d w ith e n e rg y sy s te m s la n g u a g e , and so m e d ia g ra m s are used to e x p ress su m m a ry resu lts o f th e a sse ssm e n t. A sse ssin g th e co n trib u tio n s o f an a g ricu ltu ral te c h n o lo g y in n o v a tio n o r a ru ral a c tiv ity w ith S A M e F ra m e in v o lv e s fillin g ou t all required d ata o n in p u t u se and p ro d u c tio n (m a rk e d cells in th e sp re a d s h e e ts - d o w n lo a d a v ailab le from h ttn ://w w w .c n v e m ;.u fl.e d u /lio m e p p /b ro w n /sv se c o /). A ll a p p ro p ria te data from o n e scale sp re a d sh e e t are au to m a tic a lly tra n sp o rte d to th e n ex t sc ale, c o n v e rg in g to c o m p o se th e “ farm re su lts” sp read sh eet. T h e re su ltin g e m e rg y flow s are c o m p o se d into a se ries o f in d ices co n c e rn in g th e su sta in a b ility o f th e sy ste m s (F ig u re 2), that can be co m b in ed and co m p ared to ad d re ss issu es o f c o n cern to p u b lic p o licy .

Product (Ylold, Y) = R + N + F % Rcnewnblo = R / (R + N + F)

N onrenewable to R enewable Ratio = (N + F ) / R EM ERGY Yield Ratio = Y / F

EM ERGY Investm ent Ratio = F / (R + N) Environm ental Loading Ratio = (F + N) / R

Figure 2. S om e o f the em ergy indices com posed into S A M eFram e for the assessm ent o f sustainability o f rural activities (after B row n et al., 2000).

2 .1 . C ou n try lev el a ssessm en t

T h e em erg y ev a lu a tio n o f the co u n try e s ta b lish e s th e la rg e -sc a le re so u rc e b ase and e co n o m ic se ttin g for all p ro d u c tiv e activ ities d e v e lo p e d in th e sm a lle r sc ales, and m u st be the first ste p in the su sta in a b ility assessm en t. A su m m a ry d ia g ra m o f the m a in e n e rg y pathw ays o f the U S A c o n stru cted w ith S A M e F ram e is p re se n te d in F ig u re 3. T h e o v e ra ll energy u se and em erg y ev a lu a tio n o f the co u n try are co m b in e d w ith the m a rk e t v a lu e s o f im ports, e x p o rts, and m o n ey flow s to d e fin e the e m e rg y /m o n e y ra tio for th e n a tio n a l econom y. T h is em erg y /m o n ey ratio in flu e n ces all p ro d u c tio n a c tiv itie s w ith in th e c o u n try , as well as the ex ch an g e s o f g o o d s and se rv ices b etw een c o u n tries.

Solar Emergy / Money =

1.18E25 s e j / y r

9.94E 12 $ / yr

= 1.19E 12 sej / $

Figure 3. Summary results o f the overall energy use and em ergy/m oney ratio o f the USA (atler Odum, 1996).

E ssential in d icatio n o f th e su s ta in a b ility o f a co u n try is g iv e n b y th e sh a re o f e m e rg y (hat is o b ta in e d from th e e n v iro n m en t, o r fro m n o n re n e w a b le so u rc e s and sto rag es. T h e e m erg y s ig n a tu re co n stru cted w ith S A M c F ra m e for the U SA is sh o w n in F ig u re 4.

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2.2 . N a tio n a l agricu ltu re level a sse s sm e n t

T h e gen eral e m erg y an aly sis o f (he c o u n try o ffe rs (he b asis for a sse ssin g (lie N ational A g ric u ltu re and L ivestock P ro d u c tio n S y ste m , w h ic h sets th e e c o n o m ic and (lie re so u rces e n v iro n m e n t for (lie insertion o f th è farm . T h is la rg e sc a le stru c tu rin g o f rural p ro d u c tiv e a c tiv itie s d eterm in es how the local p ro d u c tio n o f (he farm can m atch th e e m e rg y in v estm en ts c h a ra c te ristic o f (he w h o le c o u n try , an d b e lte r rely o n sp ecial local c o n d itio n s to im p ro v e su sta in a b ility . T h e su m m ary e m e rg y H ow s c o m p a rin g n atu ral so u rc e s an d p u rch ase d in p u ts o f the U S N ational A g ricu ltu re and L ivestock P ro d u c tio n S y stem is sh o w n in F ig u re 5.

Y 2 ( S o la r E M E IIG Y o f L iv e sto c k ) = 1 .4 8 E 2 4

Y 3 (T o ta l S o la r E M E R G Y o f th e S y s t e m , = 4 .4 2 E 2 4 w ith o u t d o u b le c o u n tin g )

Figure 5. Sum m ary em ergy flows o f the US national ag ricu ltu re and livestock production system s (after U lgiali ct al., 1993).

2 .3 . C ro p s In n ation al a g ricu ltu r e sp r e a d sh e e t

T h e ten m o st im p o rtan t p ro d u c ts in th e N a tio n a l A g ric u ltu re and L iv e sto c k P ro d u c tio n S y stem arc an aly zed in this sp re a d sh e e t an d th e su m m a ry resu lts, e m e rg y sig n a tu re o f p ro d u c tio n and em erg y ralio s, as w ell as tra n s fo rm ity v a lu e s are sh o w n in d e d ic a te d tab les and d iag ram s. A ll these la rg e -sc a le a s se s sm e n ts se t th e b asis for c o m p a riso n w ith th e local pro d u ctio n at th e farm level (e v a lu a te d in s p e c ific sp re a d sh e e ts). E ach sp re a d sh e e t d isp la y s co m p lete tables w ith e m erg y ra tio s and d ia g ra m s to fa c ilita te such c o m p a riso n s.

2.4. C o u n ty level sp re a d sh eet

T h e e m e rg y ev alu atio n o f the co m ity (as in se rte d w ith in th e la rg e r sc a le o f the co u n try an d natio n al a g ricu ltu re) e sta b lish e s the local re so u rc e b a se an d e c o n o m ic se ttin g for the p ro d u c tiv e activities d ev elo p ed at the in d iv id u a l farm scale. T h e o v erall en erg y u se and em erg y ev alu atio n o f th e co u n ty are c o m b in e d w ith th e m a rk e t v a lu e s o f im p o rts, e x p o rts, an d

m oney flow s to define the em ergy/m oney ratio for the local econom y. This e m e r g y /im n e y ratio influences all production activities within the county, as w ell as the exchanges ■ >ls and services betw een the county and the national econom y. Essential indication ui the sustainability o f a county Is given by the share o f em ergy that is obtained from the environm ent, or from nonrenewable sources and storages. In the presently available construction o f SAM eFrnme, the county level Is represented by the Stale o f Florida, w hich em ergy signature is show n in Figure 6.

Ç 3000 25 0 0 < r / / / /

y / / / / / / / / /

- ^ * * / v > / / 4 * ' / J

< /

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Figure 6. Em ergy signature o f environm ent and econom y o f Florida.

2.5. F arm resu lts sp re a d sh eet

T h e sp e c ific o b jectiv e o f S A M e F ram c is th e a sse ssm e n t o f the co n trib u tio n b ro u g h t a b o u t by an y given te ch n o lo g ical innovation o r ru ral p ro d u c tiv e activ ity to the su sta in a b ility o f the farm . T h e p ro ced u re in v o lv es the c ro ss -sc a le em e rg y ev alu atio n o f th e farm , as a ffe c te d by the tech n o lo g ical in n o v atio n o r p ro d u c tiv e a c tiv ity , an d its e ffe cts on the in se rtio n o f th e farm into th e local m ark et and the national e co n o m y . T h e co n trib u tio n o f an y given te c h n o lo g ic a l in n o v atio n o r rural p ro d u ctiv e a ctiv ity to th e s u sta in a b ility o f the farm d e p e n d s o n h o w it in flu e n ces the local e m erg y a llo catio n and th e m a tc h in g o f so u rces relativ e to th e la rg e r sc ale em erg y in v estm en ts c h a ra c te rist'c o f the c o u n ty (a t th e local level) and th e w h o le c o u n try . T e c h n o lo g ical in n o v atio n s and p ro d u c tiv e a c tiv itie s th at take ad v a n ta g e o f local em e rg y so u rces and sto rag es, o r favor fee d b a c k H ows th a t im p ro v e em erg y use e ffic ie n c y , w ill in crease th e overall su sta in a b ility o f th e farm . T h e final assessm en t o f a te c h n o lo g ic a l in n o v atio n o r a p ro d u c tiv e activ ity is o b ta in e d b y c o m p a rin g th e e m e rg y ra tio s and su sta in a b ility in d ices o f the farm , b e fo re an d a fte r tech n o lo g y a d o p tio n o r a c tiv ity in tro d u c tio n , as w ell as how th ese c h a n g e s in flu e n c e th e farm p e rfo rm a n c e re la tiv e to the larger sc ales p resen ted in th e resp e c tiv e c o u n try and co u n ty sp read sh eets.

2.6. F arm crop s and liv esto ck s p r e a d s h e e t

T h e m o st im p o rtan t cro p s and liv esto ck p ro d u c e d in the farm arc an aly zed in th ese tw o S A M e F ra m e sp read sh eets, and the resu lts are linked to co m p o se the “ farm re su lts ” spread sh eet. A ll th e su m m ary resu lts, e m e rg y sig n a tu re o f each p ro d u c tio n p ro c e ss, e m e rg y ratio s, as w ell as tran sfo rrn ity v alu es are sh o w n in d ed icated tables and d ia g ra m s in th ese farm crops and liv esto ck spreadsheets.

3. R E S U L T S

T h e co m p o sitio n o f S A M e P rn m e fo r th e U S A , the n atio n al a g ric u ltu re an d se le c te d ag ricu ltu ral p ro d u ctio n sy stem s (c o rn , s o y b e a n , w h eat, su g a rca n e, co tto n , o ra n g e s, an d cattle), the S tate o f Florida, and th e m ain F lo rid ia n ag ricu ltu ral sy stem s (th e sa m e sc lc c lc d for the n atio n al ag ricu ltu re) rep re se n tin g o typical- farm , re su lted in a p rin te d re p o rt w ith o v e r se v e n ty p ages. T h e report o ffers a c o m p le te e m e rg y d a ta b a se o f the eco n o m y and re so u rc e s u se from the form to the national level, c o n trib u tin g to w a rd s the assessm en t o f s u s ta in a b ility o f the a g ricu ltu ral p ro d u ctio n sy stem s.

T h e rep o rt sh o w s that the S tate o f F lo rid a p ro v id e s im portant re so u rc e H ow s to (lie c o u n try , esp ecially as m in ed p h o sp h a tes. T h e e m e rg y sig n a tu re o f the S tate o f F lo rid a, h o w ev er, sh o w s th e d e p e n d e n c e on im ported fuels an d se rv ic e s , w h ich co n stitu te m o st o f th e in p u ts for the S tate eco n o m y . In g en eral, th e (ra n sfo rm itie s o f a g ricu ltu ral p ro d u c tio n in F lo rid a are c o n sid e ra b ly la rg e r than th o se c h a ra c te ristic o f the national a g ric u ltu re , w h ic h in d ic a te s c o m p a ra tiv e ly less su sta in a b le p ro d u c lio n sy s te m s at (he sta te level.

4 . C O N C L U S IO N

C o n tra stin g w ith ec o n o m ic b e n e fit-c o st a n a ly se s n o rm ally c arrie d out to a sse ss the p erfo rm a n c e o f ag ricu ltu ral a c tiv itie s and te c h n o lo g y co n trib u tio n to w ard su s ta in a b ility o f farm sy ste m s, w hich are h ig h ly in flu e n c e d b y tra n sito ry asp ects o f th e m a rk e t and d o no t ac c o u n t for en v iro n m en tal issu es in g e n e ra l, th e in teg rated

emergy

a sse ssm e n t m a d e p o ss ib le b y S A M e F ra m e e x p licitly c o n sid ers th e c ro s s -s c a le m atc h in g o f en v iro n m e n ta l an d p u rc h a se d input uses. A cco rd in g ly , th e resu lts o b ta in e d w ith S A M e F ra m e p o in t oul th at soil an d w a te r c o n serv a tio n p ractices are cru cial for s u s ta in a b ility , and that th ese p ra c tic e s sh o u ld be g re a tly stim u lated . H ow ever, reso u rces for su c h a re d iffic u lt to c o m e by, b e c a u se th e e m c rg y /m o n e y ratio ch ara c te ristic o f rural are a s im p o se s th a t b o th th e farm s and th e n a tio n a l a g ric u ltu re , fu n ctio n as net pro v id ers o f larg e a m o u n ts o f w e a lth to th e u rban m ark ets.

A ck n o w le d g e m e n ts

T h is stu d y w as d e v e lo p e d d u rin g a sa b b a tic a l sta y o f th e first a u th o r at th e C e n te r fo r E n v iro n m en tal P olicy, D ep artm en t o f E n v iro n m e n ta l E n g in e erin g S c ie n c e s, U n iv e rsity o f F lo rid a, G ain esv ille , at the a u sp ic e s o f th e B ra z ilia n A g ricu ltu ral R e search A g e n c y (E m b ra p a ) and F u n d ação d e A m p aro à P e sq u is a d o E sta d o d c São P aulo (F A P E S P ). W e o w e o u r th a n k s to Isis R o d rig u es for h er help in g a th e rin g m o st o f (he data for c o m p le tin g the a s se s se m e n t sp read sh eets, and to all the folks at th e C e n te r for E n v iro n m en tal P o licy for th eir su p p o rt an d fruitful d isc u ssio n s.

R eferen ces

[!] Brown MT. Environmental accounting: em ergy perspectives on sustainability. In: Puignau JP, editor. Valonición Económica cn el U so dc Ins Recursos Nalurales y del M edio Am biente. M o n tev id eo 11CA/PROCISUR, D ialogo 1998; 51:47-70.

|2 ] Rodrigues GS, Brown MT, M iller W, Ruz E, R iquelm e ft. Natural resource valuation, environm ental impact assessm ent, and sustainability: the role o f the N lA R s in the Southern Cone. In: Puignau JP, editor. Valoración Económica cn el U so de los Recursos Naturalcs y el M edio Am biente. M ontevideo: IICA/PROC1SUR, D ialogo 1998;51: 113 - 116.

[3] Odum HT. Self-organization, transfom iity, and information. Science 1988; 2 4 2 : 1 132-1139.

[4] Odum I IT. The eM ergy o f natural capital. In: Jansson A , Hammer M, Folke C, Costanza R, editors. Investing in Natural Capitol: The E cological E conom ics Approach to Sustainability. W ashington DC: Island P iess 1994. p. 200-214.