The roots of LCA in Switzerland - Continuous learning by doing LCA History The Roots of LCA in Switzerland LCA History: H o w It Came About The Roots of LCA in Switzerland - Continuous Learning by Doing Paul Fink Corresponding address: Prof. Dr. Paul Fink, Tutilostr. 7b, CH-9011 St. Gallen, Switzerland (former Director of the EMPA St. Gallen, Senior Professor for Technology (emeritus) of the University of St. Gallen/HSG) 1 Scientists and Economists Get Interested in Environmental Impacts In the sixties, EMPA (Eidgen6ssische Materialpri.ifungs- und -forschungsanstalt, D i i b e n d o r f and St. Gallen) had its first c o n f r o n t a t i o n s with e n v i r o n m e n t a l p r o b l e m s . The water- pollution by detergents, the emissions in the air by the traf- fic and the packaging litter were the first things to be con- sidered. The economists at HSG (University of St. Gallen- G r a d u a t e School of Business, Economics, Law and Social Sciences) w e r e - also m o t i v a t e d by the p u b l i c a t i o n o f the Club of Rome - interested in the depletion of raw materi- als and integrated the factor natural resources in their eco- nomic system-model. EMPA as a research and testing institute had to develop methods of control and evaluation. The b i o d e g r a d a b i l i t y of detergents and control of car exhausts were the first en- vironmental tests implemented. The energy discussions on nuclear and alternative energies (energy scenario Switzer- land) and the energy crisis subsequently b r o u g h t new actu- ality to the environmental p r o b l e m s . Direct impulses for LCA o r ecobalances (as was said at this time) were p r o - vided by the scarcity of oil d u r i n g the energy crisis a n d se- vere criticism against the p a c k a g i n g industry. It was said that m a n y products were o v e r p a c k e d and t h a t the prefer- ence of disposals was responsible for the mountains of waste and the missing capacities for landfill. The ecological challenge had a m o r e technical and scien- tific effect on EMPA and an economic and social a s p e c t on the HSG. The consequence was t h a t an integrated holistic view of the e n v i r o n m e n t a l s i t u a t i o n and its e v a l u a t i o n ac- cording to a sustainable d e v e l o p m e n t was needed. It was also evident t h a t technical or end of pipe s o l u t i o n s regu- lated by directives had to be c o m p l e t e d by m e a s u r e m e n t s at the sources. Also for this postulate, LCA seemed to become helpful. 2 Two Fundamental Research Projects As r e p o r t e d above, e n v i r o n m e n t a l p r o b l e m s were no longer quite new. In 1977, t w o different research p r o j e c t s were then started at EMPA. These t w o basic studies for L C A d e v e l o p m e n t had different goals and were therefore even allowed to go different ways and to put the main stresses differently. 1. The BUS-study (Bundesamt fiir Umweltschutz) " O k o - bilanzen von Packstoffen" was initiated by the govern- ment and had to establish a d a t a bank for the most im- p o r t a n t p a c k a g i n g materials: aluminium, glass, plastics, p a p e r and c a r d b o a r d , tin plate. This study ended in 1984 with the r e p o r t SRU No. 24 (Schriftenreihe Umwelt- schutz des BUS). 2. The y o g h u r t - s t u d y was initiated by the industry (dairy, packaging, distributers) and had to c o m p a r e different types of y o g h u r t p a c k a g i n g systems in relation to tech- nical p e r f o r m a n c e , costs and c o n s u m e r ' s acceptance as the e n v i r o n m e n t a l impacts. The goals of this study re- quired a m u l t i d i s c i p l i n a r y research, so H S G / F A H (For- schungsstelle fi~r A b s a t z und H a n d e l , the m a r k e t i n g spe- cialists) and EMPA (natural science and technology) were entrusted. A r e p o r t on this topic was published in 1979. The p r o b l e m s to be treated at this time were n o t quite new for EMPA, but the k n o w l e d g e was based more on informa- tive contacts t h a n on o u r own research work. EMPA re- p o r t e d on the e n v i r o n m e n t a l p r o b l e m s with packagings and on possibilities o r m o r e r e c o m m e n d a t i o n s on h o w to m a n - age them. The R e p o r t o f the Club o f Rome, the p u b l i c a t i o n o f R. MOI,LER-WE.','K "Die 6kologische Buchhaltung (ecologic b o o k k e e p i n g ) " , a study of the Swiss a l u m i n u m foil m a n u - facturers on energy a n d p a c k a g i n g , and the energy-ethic p o s t u l a t e of DANlEL SPRENG were k n o w n and therefore played some influence on the s t a r t and p r o c e d u r e of these two re- search works. 3 The BUS-Study on Packaging Materials The Eidgen6ssische K o m m i s s i o n fiir A b f a l l w i r t s c h a f t (Fed- eral C o m m i s s i o n for refuse and w a s t e disposal) needed m o r e details c o n c e r n i n g the c o n t r i b u t i o n o f packages to the waste p r o b l e m , the d e p l e t i o n o f resources a n d the pollution. The BUS was p r o j e c t - l e a d e r and assisted by a w o r k i n g g r o u p which discussed and d i r e c t e d the study, p e r f o r m e d at E M P A by WERNER THAt.MANN and VERENA HUMBEL. The goal was Int. J. LCA 2 (3) 131 - 134 (1997) �9 ecomed publishers, D-86899 Landsberg, Germany 131 The Roots of LCA in Switzerland LCA History to get by the g o v e r n m e n t and industry approved data re- lated to the environmental influences o f the main packag- ing materials. EMPA had to review and check all available d o c u m e n t s and information related to the need of energy and raw materials, the emissions to water, air and soil in connection with the production o f the packaging materials aluminum, glass, plastics, paper, c a r d b o a r d and tin plate. Also proposals for an evaluation and weighting of the dif- ferent environmental impacts were required. The goal was reference i n f o r m a t i o n a b o u t the most used packaging ma- terials f r o m a c o m m o n viewpoint which should allow us to attain compatible values suitable for comparisons. The data are given for 1 kg o f finished foils or sheets. Such data are specific for materials and not for packaging. As a guideline for the m e t h o d o l o g y and as an important source o f data, BUS gave the REPA-study (Resource and Environmental Profile Analysis) o f the Midwest Research Institute, Kansas City. For that reason, the reports are in- fluenced by the situation in the US. Further information was received from the Swiss manufacturers of aluminum, glass and c a r d b o a r d and from the German plastic and tin- plate producers. All unit-processes beginning with the extraction o f raw materials a n d ending with the production of the packaging materials were recorded exactly as far as allowed the infor- mation o f the industry and in the literature. The input and o u t p u t o f each step was recorded and registered as energy and material flows. It was tiresome work to get compara- ble and c o m p a t i b l e values for all materials. The proposals for the aggregation and the interpretation o f the collected data was a remarkable and courageous step versus impact assessment. They were based on ecological directives on pollution and the scarcity-thesis of MOLL~.'R- WENK'S ecological bookkeeping. The goal to give only one eco-index for each packaging material was too ambitious. N o consensus could be f o u n d for eco-weighting factors con- tributed to the different kind of impacts. The data banks therefore p r o v i d e d the following parameters for each pack- aging material: �9 Total energy-equivalent expressed in a virtual thermal p r i m a r y energy �9 sum p a r a m e t e r s for the environmental impacts to the c o m p a r t m e n t s water and air, using the legal limits for calculating the so-called critical volumes spoiled by the relevant emissions and summing up all emissions �9 the total v o l u m e o f waste for landfill. The publication o f this data bank by BUS was a milestone in the LCA-history. There n o w exists a set of official eco- data o f the m a i n packaging materials a n d also directives o n h o w to evaluate the total impacts on air, water and soil (landfill resources). The critical volumes suggest a real pol- luted v o l u m e while t o d a y ' s impact assessments speak o f impact potentials. In the introduction to the data base, the authors accentu- ated the complexity relative to the use o f ecobalances, so that only experts in packaging should use it. Unfortunately, it came just at the beginning of the application of the pack- aging data to some troubles and controversies. A practical example should explain the use of the data and demonstrate the possibility of ranking packages in a com- parison test. Five different packages for I liter milk were compared: �9 A bag made of a plastic tube, polyethylene (7 g) �9 a light plastic bottle, polyethylene (20 g) �9 a Brik-pak paper laminated with polyethylene (25 g) �9 a glass bottle, returnable, 20 and 40 cycles (400 g) �9 a plastic bottle, polyethylene (48 g). Using the eco-data of the relevant packaging material and the measured weights of the containers, the closures and the etiquettes, the energy-equivalents, the critical volumes o f water and air, and the waste volumes were calculated. The conclusion of this tcst seemed very simple: the five con- tainers could be classified in three groups: 1. The smallest influence on the environnlcnt showed the returnable glass bottles and the plastic bag. 2. The highest eco-impacts were found for the Brik-pak and the plastic bottle. 3. The light plastic bottle had a position between the two extremes. The surprising fact o f this restllt was that at this time more than 90% o f the milk distributed in Switzerland in 1 liter containers was packed in Brik-pak or similar containers. The media reported this sensational piece o f news: The Swiss milk distribution was a flop! The producers and users of these discriminated packages protested and pointed to other studies made for Sweden and Germany which came to quite different conclusions. W h o had nonvaluable data? But it was not only the quality o f data, the reasons were in the system-boundaries and the sources for data as well. The BUS values were only material specific while the others tested the whole packaging and distribution system. LCA for milk packages done later on explained and confirmed this. The logistic differences are very remarkable between a multiway system with glass containers and a o n e w a y disposable plas- tic container. The BUS data were strictly relevant only for the Swiss market. Thus, the data for glass is based on a highly ecologic-minded production technique. O n the other side, the paper data was compared with data from Sweden o r G e r m a n y in an upper range. The publication of this BUS data bank had a remarkable response. The ecobalancers were h a p p y to have officially approved values. The record of a m a x i m u m o f details de- scribing the different steps in the related technical proc- esses in the EMPA reports for each packaging material guar- anteed the needed transparency. The proposed method to 132 Int. J. LCA 2 (3) 1997 LCA History The Roots of LCA in Switzerland evaluate the environmental impacts as sum parameters was estimated by all who are used to calculate in the manner of an engineer or a bookkeeper. In some way, this philosophy was further developed and refined by AHBE, BRAUNSCHWEIG and Mt3LLER-WENK in the SRU report Nr. 132 "Methodik fiir Okobilanzen auf der Basis 6kologischer Optimierung (Method for ecobalances on the basis of ecologic optimiza- tion)" edited by BUWAL (Bundesamt ftir Umwelt, Wald und Landschaft, formerly BUS). This report proposes the calcu- lation of ecopoints, but not everybody agreed with the sum parameters of the critical volumes of water and air and there- fore neglected to practice this data bank. 4 The Yoghurt Study Toni, an important Swiss dairy, was convinced that glass will be the packing material of the future thanks to its g o o d ecological properties. Toni therefore propagated y o g h u r t in the glass instead in the polystyrene cup c o m m o n l y used. This marketing idea was sustained by the Swiss glass manu- facturers. The glass industry developed successful eco-strat- egies and could convince the consumers that glass containers are the best packaging material for sustainable development. The other yoghurt producers and distributors found the polystyrene cups with an aluminum cover to be an optimal type of container for the distribution of yoghurt. There- fore, they decided to clear up this controversy by a neutral expertise c o m p a r i n g the Combiglas (container o f b r o w n glass which could be reused, and voluntarily returncd with no deposit) against the disposable polystyrene cup. Representatives of dairies, the glass and plastic industry and the distributors entrusted EMPA and the FAH-institute (Forschungsstelle Absatz und Handel) of the University o f St. Gallen with an economic, technical and ecological study on the consequences of a change from the polystyrene cup to the glass container Combiglas. In the period of this study, the energy crisis had brought the plastic market at risk. For this reason, alternatives to polystyrene were also tested: a cup of polypropylene and one of paper. The given goals made this study packaging and distribu- tion oriented. The total costs of a change including the en- vironmental consequences of the need for new installations and the acceptance by the consumers were discussed. The goal and scope of the LCA, needed for the ecological part of the study, were influenced by the economic consequences and by the technical performance of the evaluated packag- ing variants. Here, EMPA was confronted with quite another situation than it was for the BUS data bank. The basic data for the materials, the packaging and logistic processes, and the dis- posal were taken from the literature or were provided by the industry. They were not so detailed by far as in the BUS study. At the beginning, the industry was also very reserved in providing p r o d u c t i o n information. However, we suc- ceeded in getting much more information by discussing the literature data with them, so that we could correct older values in the literature, thus mostly reducing them. Great discrepancies existed in the literature which were explained by different points of view and the lack of transparency. It was necessary to prove this by plausibility considerations. It was also important to make the literature data compat- ible and realistic. It is to say that these plausibility tests were based on the view and the thinking o f a chemical-en- gineer. The LCA items were discussed with the representatives of industry and trade. This intensive contact with the project group was very positive for planning and establishing the LCA. The environmental part of the study recorded the energy demand summed up over all steps in form o f thermal pri- mary energy in MJ. The emissions were only discussed quali- tatively. Since most emissions are linked to the energy in- put, a q u a n t i t a t i v e r e c o r d i n g o f emissions, e.g. in the criterion o f critical volumes, seemed to be more misleading than a purely qualitative record. Also the depletion of re- sources was discussed. O f cot, rse, tile energy consumption became the most significant feature in this procedure. Taking a retrospective look into this initial 1.CA-activity, it is evident that the need to debate ecological consequences of different distribution-systems showed many of the LCA p~oblems for which we are searching solutions or a way to manage them. The importance o f a holistic approach was evident. Only the discussion o f the whole distribution system could give a real picture of the expenditure and the benefit. The hn'mu- lation of the goals, that means the problems to be solved, is extremely decisive for the system boundaries, the data set to be recorded and the evaluation criteria. The packaging performance is influenced by the product, the production pro- cesses, the distribution and the consumption and must be in order before an ecological evaluation can be performed. Only this gives a realistic answer to the interesting questions. The yoghurt study had to consider different subsystems: �9 The packaging materials and the design (form) and weight o f the container used �9 the problem "returnable versus disposable" �9 the expenditures for packaging, storing and distributing �9 the possibilities of waste management. The interlink of the subsystems and the target o f a com- plete record of all material and energy flows from the cra- dle to the grave lead to a high complexity which can only be reduced by adapting the system b o u n d a r i e s and the number of inputs and outputs to be registered. If such an adaptation to the goals is omitted, the task c a n n o t be ful- filled in a realistic time and at an acceptable price. Thus, a decision was made to record the following items in the yo- ghurt study: Int. J. LCA 2 (3) 1997 133 The Roots of LCA in Switzerland LCA History �9 The energy c o n s u m p t i o n , including the feedstock energy, is related to a virtual thermic primary energy. Based on t h e r m o d y n a m i c arguments, this expenditure was taken as the m o s t i m p o r t a n t (energy-ethic postulate o f D. SPRENG: all h u m a n activities for a given benefit should be linked with a minimal energy flow). At the period o f this study, the Swiss energy scene was intensively discussed and an energy concept was elaborated. Thus, the view- point o f the value o f the different kinds o f energy was also integrated. �9 Pollution was only discussed qualitatively. The data dis- posable were incomplete. The emissions in the air were very closely linked to the energy forms used and the cho- sen energy scenario. The sum-parameters of the BUS- study, the critical volumes, were judged to be too prob- lematic. T h e renunciation of a quantitative record was also given reason by the fact that pollution is widely regu- lated by law. �9 The availability o f the different raw materials was also discussed. The existing differences between the resources were found to be not so decisive so that one or another material should be substituted. The depletion of oil for the p r o d u c t i o n o f plastics therefore lays in an acceptable range. The evaluation and interpretation o f the results received considered that the calculated energy demands showed a remarkable deviation-range (about 2 0 % were admitted). That was the reason w h y ranges instead of strong numeric values were c o m p a r e d . In addition, sensitivity tests were made in respect o f changing the design, reduction of weight and return, and reuse quotes o f the glass containers. The two tests mentioned last s h o w e d a distinct effect. Glass or plastic, returnables o r disposables? The answer to these questions: both packaging systems lay in the same range in relation t o the technical performance and the envi- ronmental risks. A further severe finding was that even sci- entifically elaborated facts c a n n o t assure an open-minded discussion. The presentation o f the results o f the y o g h u r t study to the press and the consumers could not convince them that polystyrene cups are as g o o d for the environ- ment as glass containers. The glass was unanimously pre- ferred by the participants o f the information meeting. This confirms that a successful marketing for a product leads to bias and that c o m p l e x systems discussed and explained from different view points are hardly o r only in a misleading w a y understood by the b r o a d mass o f the population. The pub- lic reacts only t o eye-catching and simple messages, and such reactions are m o s t l y very general and rashly. 5 A S i t u a t i o n T y p i c a l o f S w i t z e r l a n d The development o f L C A m e t h o d s in Switzerland m a y be classified typical for the Swiss mentality. Swiss people are on one side said t o be extremely exact or even pedantic and seem to bear all details in mind. Clear regulations and rules on h o w to do the w o r k are striven for. It is the job of an engineer or bookkeeper to quantify all things as far as pos- sible and to use a formula for calculating the risk. This mentality was the philosophy o f the BUS data bank and the proposed sum parameters o f critical volumes and energy equivalents. AHBE, BRAUNSCHWEIG and MOLLFR-WENK per- fected this trend by the creation o f the eco-points. On the other side, the extremely democratic thinking and respecting of minorities forces the Swiss to take all differ- ent views and possibilities into consideration, a situation which often leads to compromises or pluralistic solutions. Such a kind of LCA work which is not only related to the potential environmental effects, but also strives for a tech- nical, economic and social feasibility was the yoghurt study, initiated by industry and trade and carried out by the EMPA and HSG/FAH. This w a y to solve the problem is no more an ecobalance in the stricter sense, but rather a quality management including performance, economy and ecology. A result o f this thinking was the propagation of the opti- mal packaging model. The strong critics against packaging were a motivation to give a paper on "Packaging in a gen- eral view" at a meeting o f the Swiss Packaging Institute in May 1982. Compliments, but also rebuke made in relation to the packaging, were discussed. As a contrast to this black and white visualisation, a more differentiating and system- atic evaluation method for packaging systems was devel- oped. This Optimal Packaging Model was characterized by three dices " p e r f o r m a n c e " , "expenditure" and "proving by use" The dice was taken as a symbol to express that every thing has more than only one side to look at. LCA was therefore one aspect of "expenditure" aside from the costs or the infrastructure. The ecostrategy became one element o f the quality management. Both o f these two typical Swiss extremes of LCA method- ology received a remarkable international response. The Swiss data bank for packaging materials and the sum pa- rameters linked to them were used widely, but of course also criticised. For practical balancing work, these official data provided a trusting base. The integration o f LCA in the quality management, and the statement that LCA is an important and helpful, but n o t the only valuable element for realizing a sustainable development, b r o u g h t contacts and participations in inter- national expert groups. For the further development o f LCA-methodology, the re- ported duality had two effects. It complicated the efforts for a b r o a d consensus in L C A - m e t h o d o l o g y and thereby hindered a too detailed standardisation o f ecobalances in a short time. O n the other side, the possibilities and limits of LCA were seen clearly as well. The risk o f being blinkered in one's w o r k was banned. Thus, the roots o f a scientific research can also influence the shape o f the tree and its fruits as result of the research. 134 lnt. J. LCA 2 (3) 1997