COMMISSION STAFF WORKING PAPER The Environmental Technology Verification (ETV) initiativeHelping Eco-Innovations to reach the Market
Date: 2011-12-15
Institutions: European Commission
Subjects: EU programme, clean technology, exhaustion of resources, innovation, international market, prevention of pollution, sustainable development

EUROPEAN COMMISSION 

Brussels, 15.12.2011 
SEC(2011) 1600 final 

COMMISSION STAFF WORKING PAPER 

The Environmental Technology Verification (ETV) initiative 
Helping Eco-Innovations to reach the Market 

Accompanying the document 

Communication from the Commission to the European Parliament, the Council, The 
European Economic and Social Committee and the Committee of the Regions 

Innovation for a sustainable Future - The Eco-innovation Action Plan (Eco-AP) 

{COM(2011) 899 final} 
{SEC(2011) 1598 final} 
{SEC(2011) 1599 final} 

EN 

   EN 

 
 
 
 
  
 
Disclaimer:  This  document  is  a  European  Commission  staff  working  document  and  is  for 
information only. It is not a statement of the Commission's current or future official position on 
the subject it addresses. 

EN 

   EN 

 
 
COMMISSION STAFF WORKING PAPER 

THE ENVIRONMENTAL TECHNOLOGY VERIFICATION (ETV) INITIATIVE 

HELPING ECO-INNOVATIONS TO REACH THE MARKET  

Europe  faces  a  range  of  environmental  challenges  that  will  impact  on  its  future 
prosperity.  These  include  resource  depletion,  increasing  water  scarcity,  air  pollution, 
climate  change  and  biodiversity  loss.  Europe  leads  on  innovation  and  innovative 
environmental 
increasing  EU 
technologies  can  provide  solutions  while  also 
competitiveness. Breaking into the market with innovations can be a significant problem, 
because  innovations  by  definition  cannot  show  a  successful  track-record.  Without 
credible information about innovative technologies, potential buyers are unsure whether 
or not to trust the claims made about their performance. 

Environmental  Technology  Verification  (ETV)  addresses  that  problem.  It  is  an  initiative 
that provides for third-party verification of the performance claims made by technology 
manufacturers in business-to-business relations. By issuing a Statement of Verification, 
which is the product of a successful ETV process, ETV provides credible information on 
the  new  technology.  Market  access  for  innovative  environmental  technologies  is 
significantly  enhanced  and  the  technological  risk  for  technology  purchasers  (whether 
private  or  public)  reduced.  The  information  contained  in  the  Statement  of  Verification 
summarises the actual performance of the verified technology as well as the results of 
the tests performed. With proof of performance credibly assured, along with information 
about the design of the tests, innovations can expect a larger market share. 

European Commission services, together with seven Member States1, intend to launch a 
pilot  ETV  programme  covering  three  technology  fields:  (1)  water  treatment  and 
monitoring, (2) energy technologies, (3) materials, waste and resources. The ETV pilot 
programme  is  to  be  implemented  by  Verification  Bodies  specifically  accredited  for  this 
purpose by national accreditation bodies in the Member States concerned.  Verification 
Bodies act, effectively, as a one-stop-shop for companies using ETV. 

Although  supported  by  some  EU-funded  'seed  money'  to  set  the  system  going,  the 
medium- to long-term expectation is for any eventual EU ETV scheme to be completely 
self-standing, with little or no Commission involvement. The Verification Bodies – which 
are at the heart of the ETV pilot initiative – will initially be supported by the EU budget, 
with an annual amount of €1 million progra mmed from 2011 to 2013. This funding will be 
used  to  set-up  the  structures  and  activities  necessary  to  implement  ETV;  and  as  a 
preliminary  market  support  action,  to  facilitate  the  ETV  access  for  Small  and  Medium-
sized Enterprises.  

In  parallel  to  the  ETV  pre-programme,  the  Commission  has  commissioned  a  study  to 
assess in detail the market potential of, and demand for, an EU ETV system. The study 
looks  at  the  market  potential  of  ETV  in  different  technology  areas  (not  only  the  three 
areas  where  the  pilot  programme  is  implemented)  and  in  various  EU  markets.  It 

1   As  of  October  2010,  participating  Member  States  are:  Belgium,  the  Czech  Republic,  Denmark, 

Finland, France, Poland and the United Kingdom. 

 
 
 
 
 
                                                 
examines  a  series  of  technology  applications where ETV could be expected to have a 
significant  added  value  and  estimates  the  potential  demand  for  ETV  as  well  as  the 
readiness of relevant actors to contribute financially.  

Despite strong suggestions of the added value of an ETV scheme coming from the wide 
consultation  and  involvement  of  stakeholders  so  far,  no  commitment  to  an  EU  ETV 
scheme is implied at this stage. Results from the ETV pilot programme and the market 
assessment  study  will  need  to  be  analysed  before  the  Commission  can  consider  the 
way  forward  and  make  proposals,  if  appropriate,  on  environmental  technology 
verification in the EU. 

1.  WHAT IS ENVIRONMENTAL TECHNOLOGY VERIFICATION (ETV)? 

The aim of ETV is to provide reliable information on the performance of new eco-
technologies,  to  make  market  penetration  and  market  awareness  of  the  product 
easier.    Purchasers  and  investors  should  be  credibly  informed  about  the 
performance  of  the  innovation.    ETV  would  reduce  the  risk  that  potentially  very 
useful  environmental  innovations,  which  offer  significant  benefits  in  terms  of  EU 
environmental performance, will otherwise never reach the market. 

Environmental  technologies  cover  many  areas.  They  include  technologies  to 
prevent  or  deal  with  pollution,  to  enable  energy  and  resources  to  be  used  more 
efficiently,  to  provide  more  environmentally-friendly  goods  and  services.  The 
performance of these technologies is understood as the results obtained in relation 
to their objective – e.g. the rate at which a new water treatment technology purifies 
water.  Their  impact  on  the  environment  and  health  –  for  example,  the  lower 
emission  of  pollutants  from  a  new  production  process  –  would  also  be  assessed 
under ETV. 

ETV  would  verify,  through  qualified  third-parties  and  transparent  procedures,  that 
performance claims are based on complete, fair and reliable test data. This would 
benefit all parties: 

•  The  technology  developer  can  show  reliable  data  proving  the  value  of  the 

innovative technology, 

•  Technology  buyers  and  investors  have  reliable  information  on  which  to  base 

their purchasing decisions and to better manage technological risk, 

•  Other stakeholders, public policy-makers or regulators have clear indications 

of the performance achievable by new technologies. 

The ETV process would not entail repeating the tests already carried out: test data 
of  good  quality  may  be  taken  into  account  and  help  save  time  and  cost.  Key 
aspects under ETV are that performance parameters are completely and correctly 
defined  and  that  test  data  are  reliably  established.  For  example,  the  Verification 
Body would ensure that operational conditions are clear, that no important impact 
has  been  missed,  that  parameters  are  verifiable  and  that  the  tests  are  performed 
under good quality systems. 

The  added  value  of  ETV  lies  in  the  quality,  credibility  and  comparability  of  the 
'Statement  of  Verification',  which  is  the  result  of  a  successful  verification  process. 
The complete verification report and the 'Statement of Verification' are intended for 
use in business-to-business relations. This is not a product certificate in the sense 
that  there  is  no  control  that  a  series  of  products  conform  to  given  specifications. 

2 

 
ETV is not a label either: each Statement is specific to one technology; there are no 
pre-defined labelling criteria. 

ETV  Statements  of  Verification  would  be  registered  and  published  on  a  public 
website, allowing stakeholders to check references relating to ETV verifications and 
to access a reliable source of comparable data on environmental technologies. The 
publication  of  the  complete  verification  reports  would  be  encouraged,  but  the 
decision whether or not to publish would be left to technology manufacturers (e.g. 
to protect intellectual property).  

Verifying the performance of a technology under ETV is just one step in a process 
leading  from  research  and  development  to  market  penetration  and  diffusion.  It  is 
therefore essential that ETV is undertaken at the right moment in this process. 

To be ready for ETV, the technology should be ready for the market, i.e. once all 
major developments affecting the performance have been concluded. When there 
is a demonstration project or test campaign planned, verification under ETV would 
normally add only a marginal cost in exchange for a significant benefit in terms of 
added credibility. 

ETV  is  particularly  advisable  where  there  is  no  technical  standard  or  certification 
system available to prove the performance of the technology concerned, or where 
the innovative features are not adequately reflected by the existing standards. 

2.  WHY AN EU ETV PILOT PROGRAMME? 

ETV  programmes  have  been  implemented  for  one  and  half  decades  in  North 
America  (US  and  Canada)  and  for  half  a  decade  in  East  Asia  (Japan,  Korea,  the 
Philippines).  In  Europe,  several  research  and  pilot  projects  have  been  funded  by 
the  EU  Framework-Programme  for  Research  and  Technological  Development,  by 
the Nordic Innovation Council and by several Member States (Denmark, Germany, 
the  Netherlands)2.  The EU pilot programme builds on these different programmes 
and projects. 

The EU pilot programme would enable a large-scale experiment of ETV in near-real 
conditions.  The  main  elements  of  a  voluntary  EU  ETV  scheme  are  to  be  tested 
through the pilot programme, although the pilot programme would not be on the full 
scale,  either  geographically  and  regarding  the  technological  scope,  that  would  be 
expected  under  the  definitive  scheme.  The  aspects  of  the  pilot  programme  which 
will be evaluated in particular are the following: 

•  Practicality  and  robustness  of  procedures:  accreditation  of  Verification 
Bodies,  co-ordination  through  technical  working  groups,  solution  of  disputes 
between proposers and operators; 

•  Value  added  of  the  pilot  programme:  response  to  the  potential  demand  for 
ETV,  value  added  for  technology  developers  and  users,  response  to  policy 
objectives; 

•  Cost-benefit of the pilot programme, accessibility for SMEs: capacity of the 
pilot  programme  to  become  self-sustainable,  capacity  of  interested  SMEs  to 
meet the costs or to find appropriate support to use ETV. 

2 See Annex I for more details. 

3 

 
                                                 
Verification  Bodies  will  be  requested  to  collect  the  basic  information  necessary  to 
enable the evaluation of the pilot programme, as part of the funding agreements to 
be concluded with the Commission.  

Indirect benefits may also be expected from ETV in the medium- to long-term, such 
as  the  facilitation  of  international  technology  exchanges  through  the  international 
recognition of ETV verifications and the progressive emerging of an eco-innovation 
market  place,  promoting  competition  based  on  performance  and  facilitating  the 
greening of public procurement. 

3.  SCOPE OF THE PILOT PROGRAMME 

3.1. 

Initial scope  

The  ETV  pilot  programme 
that 
demonstrate  a  potential  for  innovation  and  are  of  benefit  to  the  environment.  The 
scope of the technology areas to be covered by the ETV pilot programme is initially 
limited to the following three areas: 

to  all  market-ready 

technologies 

is  open 

(1)  Water treatment and monitoring (monitoring of water quality, treatment of 

drinking water and of waste water) 

(2) 

(3) 

Materials,  waste  and  resources  (separation  and  sorting  of  solid  waste, 
recycling  of  materials,  end-of-life  products  and  chemicals,  products  from 
biomass) 

Energy  technologies  (renewable  sources  of  energy,  energy  from  waste, 
energy efficiency technologies)  

3.2. 

Scope for further development 

The  scope  may  be  extended  to  cover  further  technology  areas  in  the  future, 
depending  on  demand,  availability  of  testing  organisations  and  protocols,  and 
administrative  capacity  of  the  pilot  programme  itself.  In  addition  to  the  three 
technology  areas  above,  the  following  areas  are  to  be  considered  for  possible 
inclusion.  For  that  reason,  they  are  included  within  the  scope  of  the  market 
assessment study run in parallel to the ETV pilot programme. 

(4) 

(5) 

(6) 

(7) 

Soil  and  groundwater  monitoring  and  remediation  (monitoring  of  soil 
pollution, of groundwater, remediation in-situ, depollution of sediments and 
sludge) 

Clean  production  and  processes  (savings  in  material  resources,  energy 
efficiency  in  industry  and  buildings,  prevention  and  reduction  of  industrial 
pollution and waste)  

Environmental  technologies  in  agriculture  (abatement  of  air  and  water 
pollution,  including  odours,  re-use  or  recycling  of  nutrients  and  organic 
waste, reduction of pesticide use) 

Air  pollution  monitoring  and  abatement  (air  emissions  monitoring, 
abatement of pollution carried out within stationary installations) 

If successful, the ETV approach could also be applied to other technological fields, 
within or beyond the field of environmental technologies, possibly integrating other 
aspects  than  environment,  for  example  in  the  health  and  social  fields.  As  long  as 
these aspects can be quantified and verified through testing, they could be verified 

4 

 
 
following  the  same  approach.  This  would  lead  to  new  types  of  technical 
information,  alongside  technical  standards  and  labelling,  for  the  benefit  of 
technology developers, purchasers and policy-makers.  Better-informed choices will 
be  more  cost-beneficial.  Any  wider  application  of  ETV  would  however  need  to  be 
specifically assessed. 

4.  ETV PROCEDURE FOR INDIVIDUAL VERIFICATIONS 

Environmental  technologies  submitted  to  the  ETV  pilot  programme  for  verification 
would  undergo  the  following  process,  which  is  performed  by  a  Verification  Body 
accredited  for  this  purpose  and  competent  for  specific  groups  of  technologies. 
When further tests are needed – e.g. when the Verification Body finds that the test 
data  in  support  of  the  claims  are  not  sufficiently  robust  –  a  testing  body  is 
designated by the technology manufacturer to carry out further tests.  

Contact phase 

Proposer contacts a Verification Body, 
exchange of information; eligibility 
check 

Proposal phase 

Proposer provides all relevant information, 
including available test results and an 
initial performance claim 

Specific protocol preparation phase 

Verification Body reviews claim, 
defines verification parameters, 
assesses available data and decides 
whether further tests are needed 

Assessment  and Verification phase 

Final review of data 
Drafting and review of verification 
report by Verification Body 

Publication phase 

Statement of Verification registered 
and published on the ETV webpage 

When further tests are needed 

Testing phase 

Elaboration of test plan; 
Implementation of tests by test bodies 
and analytical laboratories. Test report 

The organisation of the ETV pilot programme is further detailed in Annex II. 

5 

 
 
 
5.  ETV POSITION AMONG OTHER EU POLICIES 

The  Environmental  Technology  Verification  initiative  was  prepared  under  the 
Environmental  Technologies  Action  Plan3  (ETAP)  and  fulfils  a  commitment 
taken under the Action Plan on Sustainable Consumption and Production and 
Sustainable Industrial Policy (SCP-SIP)4. The latter sought to promote initiatives 
aimed at increasing the uptake of resource-efficient and eco-innovative production. 

The  ETV  initiative  is  fully  in  line  with  the  approach  of  the  EU  2020  strategy  for 
smart, sustainable and inclusive growth, in particular with the objectives of  

•  Developing an EU economy based on knowledge and innovation, 

•  Promoting a more resource efficient, greener and more competitive economy. 

The  ETV 
implementation of) several voluntary schemes and legislation at EU level: 

initiative  also  complements  (and  may 

facilitate  or  support 

the 

–  ETV  is  concerned  with  industrial  products  and  processes  and  should  provide 
information  for  use  in  business-to-business  relations;  this  is  complementary  to 
eco-labels,  which  relate  to  consumer  products  and  aim  to  identify  greener 
products based on agreed criteria; 

–  ETV  is  not  about  defining  minimum  requirements,  but  about  ensuring  the 
credibility  of  performance  claims  put  forward  by  a  producer,  going  beyond 
minimum requirements where they exist; in particular, the Eco-Design Directive 
on  Energy-using  Products  and  the  Energy  Labelling  Directive  define 
mandatory  criteria  on  the  design  of  products  and  on  the  information  to  be 
provided  by  the  producer;  ETV  will  not  overlap  with  the  information  collected 
under these Directives;  

–  Statements  of  Verification  issued  under  ETV    are  specific  to  the  verified 
technologies;  they  might  however  be  used  to  facilitate  the  definition  and 
verification  of  participants'  commitments  under  environmental  management 
systems such as the EU Eco-Management and Audit Scheme (EMAS), which 
have by nature a larger scope than ETV; 

–  The EU Industrial Emissions Directive (IED, former IPPC) relates to permitting 
procedures  under  which  Member  States  define  the  obligations  of  some 
production  plants  in  terms  of  emission  limits.  The  Best  Available  Techniques 
defined  in  this  context  refer  largely  to  technologies  already  in  use,  for  which  a 
track  record  on  environmental  performance  already  exists.  By  addressing 
innovative  technologies  arriving  on  the  market,  ETV  is  complementary  to  this 
process  and  could  add  value,  as  verified  technologies  could  more  easily  be 
taken into account.  

3  Communication  from  the  Commission  to  the  Council  and  the  European  Parliament  on  'Stimulating 
Technologies  for  Sustainable  Development:  An  Environmental  Technologies  Action  Plan  for  the 
European Union', COM(2004) 38 final, 28.1.2004 

4  Communication  from  the  Commission  to  the  European  Parliament,  the  Council,  the  European 
Economic and Social Committee and the Committee of the Regions on the Sustainable Consumption 
and Production and Sustainable Industrial Policy Action Plan, COM(2008) 397/3, 16.7.2008 

6 

 
                                                 
6.  COST OF VERIFICATION AND THE FUNDING OF THE ETV PILOT PROGRAMME 

6.1.  Cost of verification 

The  costs  of  verification  under  ETV  can  vary  considerably  depending  on  the 
technology  concerned  and  the  quality  of  existing  data.  The  DANETV  verification 
centre  has  been  active  in  5  technology  areas  since  2009  and  uses  procedures 
close to the EU pre-programme. Based on 21 verifications finalised in 2009-2010, 
the  average  cost  for  the  testing  and  verification  of  technologies  was  €53,000 5,  of 
which €28,000 was attributable to the verification procedures  per se. 

Feedback  from  public  consultations  and  stakeholder  workshops  indicated  that 
these  costs  may  be  an  obstacle  to  participation,  particularly  in  the  case  of  small 
and  medium-sized  technology  companies.  In  order  to  facilitate  their  access,  the 
fixed costs of the pilot programme are to be indirectly supported by the EU budget, 
the  aim  being  to  limit  the  average  total  contribution  by  participating  Small  and 
Medium-size  Enterprises  to  no  more  than  around  €20 000.  This  issue  of  SME 
participation  will  be  looked  at  when  the  results  of  the  pilot  programme  are 
evaluated. 

Companies  can  reduce  verification  costs  by  integrating  ETV  early  in  their 
technology  development  process.  Technology  manufacturers  typically  have  a  full-
scale  demonstration  or  prototype  roll-out  undertaken  before  the  marketing  of  new 
technologies.  By  organising  at  the  same  time  the  third-party  testing  of  the 
technologies, they can collect test data in advance of the ETV procedure. To fulfil 
the  quality  requirements  of  ETV,  a  complete  verification  procedure  under  ETV 
could be discussed at this stage with a Verification Body. Any additional cost due to 
the  ETV  requirements  on  data and data quality are then likely to be minimal, and 
the  cost  of  additional  verification  tests  during  the  ETV  process  might  then  be 
avoided. 

6.2. 

Funding of the ETV pilot programme 

The costs related to the co-ordination of the pre-programme (meetings of the ETV 
Steering  Group  and  technical  groups,  studies  and  external  expertise,  general 
information  on  the  pre-programme)  are  to  be  covered  by  the  EU  budget 
(administrative  budget  and  operational  expenditure  under  LIFE+)  following  usual 
annual budget procedures.  

In addition, to facilitate the launch of the ETV pilot programme, a call for proposals 
will be launched in 2011 under the EU Competitiveness and Innovation Programme 
(CIP)  with  a  budget  of  €1  million 6.  Amounts  of  €1  million  are  also  programmed 
under CIP for ETV in 2012 and 2013, subject to the approval procedure of annual 
work  programmes  for  these  years.  The  2011  call  should  be  open  to  Verification 
Bodies  already  accredited  under  ETV  and  it  should  select  proposals  for  new 
activities enabling Verification Bodies to:  

(cid:190)  Participate actively in the setting-up of the ETV pre-programme by implementing 
ETV procedures within their technical area, including by participating in relevant 
technical groups; 

5 Costs for testing and verification ranged between €22,000 and €94,000. 

6   2011 Work Programme for CIP – Entrepreneurship and Innovation sub-Programme – adopted on 18 

January 2011 by Commission Decision C(2011) 91. 

7 

 
                                                 
(cid:190)  Facilitate  access  to  verification  procedures  under  ETV  for  Small  and  Medium-
sized  Enterprises  by  providing  specific  technical  assistance  during  ETV 
processes. 

In  addition,  Verification  Bodies  are  asked  to  set  up  and  maintain  a  Quality 
Management  System,  ensuring  a  high  level  of  quality  and  reliability  for  ETV 
procedures  and  products,  and  to  report  on  the  implementation  of  ETV,  providing 
indicators  that  will  help  the  evaluation  of  the  ETV  pilot  programme.  Only  the  extra 
costs  necessary  to  implement  verifications  under  the  ETV  pilot  programme  can  be 
eligible  for  support  in  the  context  of  this  call.  Furthermore,  grants  cannot  be  the 
source of profits for verification bodies for the duration of the grant agreement. 

After evaluation of the responses to the call for proposals, Partnership Framework 
Agreements should be concluded with successful applicants for a duration of three 
years, with grant agreements being concluded on an annual basis in order for the 
Commission  to  retain  the  option  of  tailoring  the  level  of  grants  to  the  actual 
conditions  of  implementation.  The  level  of  grants  will  take  into  account  the 
technology  scope  covered  by  Verification  Bodies,  the  estimated  number  of 
technologies  to  be  verified  and  the  number  of  SMEs  to  benefit  from  their 
assistance. 

By  off-setting  partially  the  'fixed  costs'  of  the  system,  it  is  expected  that  the  grant 
agreements  with  Verification  Bodies  will  indirectly  reduce  the  final  cost  for 
technology developers. 

6.3. 

Possibilities of direct support 

Several of the participating Member States have funds available for the promotion 
of  innovation,  having  recognised  the  importance  of  supporting  technologies  that 
can help generate employment and economic growth.  

Direct  support  to  technology  manufacturers,  in  particular  SMEs,  for  verifications 
under  ETV  could  therefore  be  sought  through  larger  funding  programmes,  at  EU 
and Member State level: 

–  Verification  under  ETV  could  be  included  as  part  of  the  final  stage  in  projects 
supported by research funding aimed at developing environmental technologies to 
the point where they are ready for the market; 

–  Under EU programmes such as LIFE+ and CIP  eco-innovation, ETV procedures 
could  be 
industrial 
investments, industry-research partnerships or prototypes; 

larger  projects 

for  example, 

integrated 

including, 

into 

–  A number of SME-support schemes in Member States include support to product 
certification, authorisation procedures or marketing of new products and services. A 
study  commissioned  by  the  Commission  in  2009  concluded  that  many  of  these 
schemes could cover support to individual verifications under ETV with little or no 
modification to their policies. 

In  the  selection  process  of  projects  integrating  ETV  activities,  under  EU 
programmes, particular attention will be given to the risk of double-funding. 

Where  Member  States  wish  to  compensate  manufacturers  for  part  of  the 
verification costs with subsidies which may constitute state aid within the meaning 
of  Article  107(1)  of  the  EC  Treaty,  they  are  reminded  of  the  obligation  to  comply 
with  State  aid  rules.  In  particular  the  provisions  of  the  General  Block  Exemption 
Regulation (GBER) or of the de minimis rule may be applicable for such aid. 

8 

 
7.  CONCLUSION 

By  enhancing  the  quality  and  reliability  of  information  on  the  performance  of  new 
environmental  technologies  arriving  on  the  market,  ETV  should  increasingly 
contribute  to  the  deployment  of  eco-efficient  innovation,  generating  further 
investment  in  environment-related  technologies  and  industries  within  the  EU  and 
enhancing  competitive  advantage.  Together  with  the  other  policy  measures 
planned  in  the  context  of  eco-innovation,  this  should  ultimately  improve  the  cost-
effectiveness of environment protection measures and generate more jobs. 

ETV  programmes  have  been  in  place  in  the  US  and  Canada  for  more  than  a 
decade  and  are  expanding  elsewhere,  e.g.  in  Asia.  The  Commission  services 
participate  in  an  informal  International  Working  Group  (IWG-ETV)  aimed  at 
preparing  the  ground  for  the  harmonisation  and  mutual  recognition  of  ETV 
programmes  globally7.  The  feasibility  of  an  ISO  or  ISO-CEN  standard  on  ETV  is 
being explored by the IWG-ETV. The experience gathered under the EU ETV pilot 
programme should further influence any harmonised approach on ETV. 

The  results  of  the  ETV  pilot  programme  will  be  evaluated  by  the  Commission 
services after two to three years of actual operations. On the basis of this evaluation 
and the study on the market potential of ETV, the Commission will draw conclusions 
on the potential of ETV in Europe and on the best way to mobilise it.  

7 The Statement of Intent setting up the International Working Group on ETV, its objectives and modes of 
operation,  was  approved  by  the  Commission  by  written  procedure  PE/2008/2354  on  23  May  2008. 
The members of the IWG are currently the Canadian, EU, Philippine and US programmes. 

9 

 
                                                 
 ANNEX I 

PREPARATORY ACTIONS 

The  ETV  initiative  is  based  on  several  studies,  pilot  projects  and  research  which 
explored  the  problems  encountered  by  new  eco-technologies,  as  a  preliminary  to 
refining  the  concept  of  environmental  technology  verification.  Verification  protocols  in 
specific  technology  fields  served  to  test  ETV  in  real  cases.  In  total,  some  35 
technologies have been verified during this initial phase of the ETV initiative. The scene 
is now set to further validate and implement the concept of ETV in a wider context under 
fully realistic conditions, as a stepping-stone towards a potential EU-wide scheme. 

Supporting projects and studies 

the  Commission's  Joint  Research  Centre 

for  Prospective 
In  2007, 
Technological  Studies  ('IPTS')  published  a  report  analysing  various aspects of existing 
ETV systems outside the EU – notably the USA and Canada. The report also looked at 
the feasibility of establishing ETV in Europe and it provided a basis for the preparation of 
a Commission ETV initiative. In 2008, another IPTS report on the costs of ETV systems, 
and  a  separate  study  looking  at  EU  Member  States'  funding  schemes  for  technology 
verification  in  the  context  of  development  of  Small  and  Medium-Sized  Enterprises, 
provided input on costing and funding aspects of ETV. 

Institute 

Between  2004  and  2009, four EU-funded research projects8 developed generic testing 
protocols  for  specific  technology  areas:  water  treatment,  soil  and  ground-water 
protection  and  rehabilitation,  air  emissions  abatement  technologies,  clean  production 
and environmental monitoring.  

In addition, the pilot project TRITECH – funded under the LIFE9 instrument in 2006-2009 
–  tested  an  operational  procedure  for  technology  verification  in  real  conditions  for  15 
cases in three technology areas: water, soil and energy. 

One  further  research  project  was  selected  under  the  7th  Framework  Programme  and 
began  in  2009.  It  supports  the  ETV  initiative  by  facilitating  the  integration  of  earlier 
research  project  results  into  the  ETV  pilot  programme.  The  specific  aim  is  to  promote 
international  harmonisation  and  mutual  recognition  between  various  countries'  ETV 
systems. 

Some  EU  Member  States  also  implemented  pilot  projects  on  ETV:  the  project  of  the 
Nordic  Innovation  Council  on  Water  Technology  Verification  Centres  (NOWATECH)10, 
the  DanETV  center  on  5  different  technology  areas11  and  the  VERA  project  on 
Verification  of  environmental  technologies  for  agricultural  production12.  Some  private 

8    Under the 6th Framework-Programme for Research and Technological Development (FP6). The results 
of all ETV related projects are accessible through the common website: http://www.eu-etv-strategy.eu/ 

9   L'Instrument  Financier  pour  l'Environnement  –  the  environmental  funding  facility  managed  by  DG 

Environment. 

10 See http://www.nordicinnovation.net/ 

11 See http://www.etv-denmark.com/danetv/ 

12 See http://www.ecoinnovation.dk/English/Topics/Verification_of_ecoefficient_agro_technologies/ 

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initiatives also inspired ETV, such as the programmes of instruments evaluation run by 
associations of industrial users13. 

Public consultations 

Two internet-based consultations (between November 2007 and March 2008), attracting 
470  responses  in  total14,  and  several  expert  workshops  also  contributed  to  the 
preparation  of  the  ETV  initiative.  The  main  lessons  drawn  from  the  consultations  were 
the following: 

•  Clear  need  for  ETV:  83%  of  respondents  to  the  general  consultation  and  64%  of 
respondents  to  the  EBTP  consultation  considered  that  there  was  a  'clear'  or 
'important'  need  to  promote  and  organise  third-party  verification  of  technology 
performance.  The  first  objective  of  the  system  should  be  to  'help  technology 
purchasers  (public  or  private)  base  their  purchase  decision  on  reliable  information' 
(31% of respondents); 

•  There is overall support for having a scheme organised by EU institutions (51% 
of  respondents),  based  on  performance  claims,  on  a  voluntary  basis  and  using  test 
data  provided  by  technology  developers,  with  additional  tests  if  needed  (71%  of 
respondents considered this 'appropriate' or 'very appropriate'); 

•  The  technology  areas  envisaged  in  the  consultations  for  the  beginning  of  the 
scheme  (monitoring  techniques,  water,  energy,  air  and  clean  technologies)  were 
considered appropriate by 67% of respondents to the general consultation; 

•  Among the key characteristics of the scheme, two were considered very important 
by  stakeholders:  credibility  and  scientific  soundness  (78%  of  respondents),  and  the 
recognition of verification results in Europe (64%); 

•  Stakeholders  were  more  hesitant  about  costing  issues:  51%  of  respondents 
considered  that  the  estimates  given  in  the  consultation  paper  (€20,000)  could 
probably not be met by SMEs without external support, while 42% of respondents to 
the  general  consultation  and  20%  of  respondents  to  the  EBTP  consultation 
considered  that  they  could  be  met,  if  justified  by  the  added  value  offered  by  the 
scheme. 

13 See http://www.exera.com/, http://www.evaluation-international.com/ and http://www.wib.nl/ 

14   The  first  public  consultation,  using  the  Interactive  Policy-Making  tool,  attracted  139  responses.  The 
second  one  used  the  European  Business  Test  Panel  (EBTP),  which  is  a  tool  allowing  the  European 
Commission  to  obtain  direct  feedback  from  businesses  on  Commission  legislative  proposals  or 
initiatives likely to have an impact on businesses. The EBTP is composed of around 3 600 companies 
of  different  sizes  and  sectors  located  in  all  EU  Member  States.  The  EBTP  consultation  on  ETV 
attracted 371 replies, of which 331 complete responses. 

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ANNEX II 

ORGANISATION OF THE PILOT PROGRAMME 

The ETV 'General Verification Protocol' 

Verification Bodies, testing bodies and analytical laboratories follow the provisions 
laid out in the ETV General Verification Protocol ('GVP'), which is in fact a set of 
general instructions for the verification of individual technologies. This includes the 
qualification  of  organisations  implementing  ETV  procedures  and  the  requirements 
regarding the quality of test data acceptable under ETV. The GVP ensures that the 
procedures followed and the outcomes from the pilot programme are of adequate 
quality and are both credible and reliable.  

The  GVP  used  under  the  ETV  pilot  programme  has  been  elaborated  by  experts 
and  stakeholders  in  the  framework  of  the  EU  research  project  AdvanceETV  and 
reviewed  by  the  EU  Member  States  participating  in  the  pilot  programme, 
represented in an ETV Steering Group.  

The  GVP  should  be  the  main  technical  reference  for  the  implementation  of  ETV 
procedures and co-ordination at the European level. Where appropriate, it refers to 
relevant  existing  standards.  It  is  used  by  the  existing  national  accreditation 
bodies,  in  addition  to  the  standard  for  inspection  bodies  ISO/IEC  17020,  for  the 
accreditation  of  Verification  Bodies  under  the  co-ordination  of  the  over-arching 
body,  European  co-operation  for  Accreditation.  The  organisation  of  accreditation 
under  ETV  follows  the  same  patterns  as  the  "New  Legal  Framework"  for  the 
certification of products in the internal market15. 

The  GVP  includes  provisions  on  the  quality  management  systems  that  all 
organisations involved in verification under ETV should have in place, thus further 
ensuring  the  robustness  of  ETV  procedures.  In  addition,  analytical  laboratory16 
should be accredited against the standard for laboratories ISO 17025. 

Provisions on specific verification protocols refer to key environmental factors, to be 
identified  in  a  life-cycle  perspective  and  taken  into  account  when  defining  the 
verification  parameters.  This  ensures  that  crucial  environmental  aspects  are  not 
missed  in  individual  procedures  (for  example  energy  aspects  when  verifying  a 
water treatment technology). 

15   See  Decision  768/2008/EC  of  the  European  Parliament  and  of  the  Council  of  9  July  2008  on  a 
common  framework  for  the  marketing  of  products  and  Regulation  (EC)  765/2008  setting  out  the 
requirements  for  accreditation  and  market  surveillance  relating  to  the  marketing  of  products.  In 
particular,  the  requirements  of  the  ETV  General  Verification  Protocol  on  the  qualifications  of 
Verification Bodies build on the requirements relating to notified bodies under Decision 768/2008/EC, 
Article R17. 

16   Analytical laboratories are distinguished from other test bodies when they implement analytical work, 
for example to measure chemical compounds in water or air samples, because such activities follows 
highly standardised and quality-controlled procedures, independent from the products or processes at 
the  origin  of  the  analysed  samples,  whereas  technology  tests  are  by  nature  dependent  on  the 
technologies tested. 

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The characteristics of the ETV pilot programme – both its organisation and quality 
requirements – have been designed to ensure a satisfactory balance between: 
•  credibility, quality and robustness of ETV procedures,  
•  flexibility, with maximum choice left to the proposer, notably as to the choice of 
test body, bearing in mind variation in test costs and the possibility of selecting a 
test body located close to the proposer, for practical and/or linguistic reasons. 

Technical groups 

Verification bodies are represented in technical groups, which are co-ordinated at 
EU level and are responsible for harmonising the specific procedures followed for 
each  technology  area,  ensuring  coherence  and  comparability  of  results  within  the 
ETV system overall. The technical groups issue guidance to Verification Bodies for 
this purpose. They have a role in refining the technology scope of ETV within their 
technology  area  (i.e.  the  range  of  actual  technologies  to  be  covered).  Technical 
groups  will  need  to  take  account  of  the  opinion  of  technology  users  and  other 
stakeholders with regard to ETV procedures, and they can give an opinion in case 
of conflict between a Verification Body and a proposer. 

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ANNEX III 

INDICATIVE IMPLEMENTATION CALENDAR 

Starting from the release of this Staff Working Paper, the following steps are planned for 
the implementation of the ETV initiative: 

• 

• 

• 

• 

In  the  first  month:  diffusion  of  technical  documents  underpinning  the  ETV  pilot 
programme  (General  Verification  Protocol),  beginning  of  accreditation  of 
Verification Bodies under ETV; 

In  the  second  or  third  month:  publication  of  a  call  for  proposals  for  Verification 
Bodies,  under  the  Competitiveness  and  Innovation  Programme,  to  support  the 
launch of the ETV pre-programme; 

In the first six months: setting-up of thematic technical groups; 

In  the  first  year:  conclusion  of  Framework  Partnership  Agreements  with 
Verification Bodies, ETV pre-programme becoming operational; 

•  After  2  to  3  years  of  operations:  evaluation  of  the  results  of  the  ETV  pre-
programme and decision on the way forward, preparation of related proposals if 
appropriate, including ex-ante impact assessment. 

14