AFRICA

AFRICA ENVIRONMENT OUTLOOK Policy Analysis Guidelines for Integrated Environmental Assessment and Reporting AMCEN United Nations Environment Programme 1 Copyright © 2007, United Nations Environment Programme ISBN: XXXX UNEP Job No. XXXX Disclaimers The content and views expressed in this publication do not necessarily reflect the views or policies of the contributory organizations or the United Nations Environment Programme (UNEP) and neither do they imply any endorsement. The designations employed and the presentation of material in this publication do not imply the expression of any opinion whatsoever on the part of UNEP concerning the legal status of any country, territory or city or its authorities, or concerning the delimitation of its frontiers and boundaries. Mention of a commercial company or product in this publication does not imply the endorsement of UNEP. © Maps, photos and illustrations as specified. 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AFRICA ENVIRONMENT OUTLOOK Policy Analysis Guidelines for Integrated Environmental Assessment and Reporting AMCEN United Nations Environment Programme i CONTENTS Acknowledgements. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vi Acronyms and Abbreviations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii Foreword. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . viii Introduction – Why Policy Guidelines?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 POLICY ANALYSIS AND INTEGRATED ENVIRONMENTAL ASSESSMENT. . . . . . . . . . . . . . . . . 1 STRENGTHENING CAPACITY FOR POLICY-RELEVANT IEA. . . . . . . . . . . . . . . . . . . . . . . . . . . 2 USING THE GUIDELINES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 CHAPTER 1: UNDERSTANDING THE AEO APPROACH. . . . . . . . . . . . . . . . . . . . . . 6 THE DPSIR FRAMEWORK . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 A HUMAN-ENVIRONMENT FOCUS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Placing Opportunity at the Centre of Environmental Assessment. . . . . . . . . . . . . . . . . . . . . . 9 POLICY ANALYSIS IN IEA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 CHAPTER 2: UNPACKING CONCEPTS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 SUSTAINABLE DEVELOPMENT. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 HUMAN WELL-BEING. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 POLICY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 GOVERNANCE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 INSTITUTIONS AND ORGANIZATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 POLICY CONTEXT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 POLICY ANALYSIS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Data, Information and Communication. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 POLICY FORMULATION. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 POLICY ASSESSMENT: THE USE OF STRATEGIC ENVIRONMENTAL ASSESSMENT. . . . . . . . . 21 POLICY TOOLS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Incentives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Direct controls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 Empowering and enabling resource users. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26 Promoting education, information sharing and communication. . . . . . . . . . . . . . . . . . . . . . 27 Improving governance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 POLICY OUTCOMES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Behaviour changes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 Resource reallocation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 Resource and capital augmentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 ii POLICY FAILURE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 MARKET FAILURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31 ADMINISTRATIVE FAILURE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 POLICY CAPTURE. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 VULNERABILITY. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34 CHAPTER 3: IDENTIFYING AND REVIEWING POLICY ISSUES. . . . . . . . . . . . . . . . 38 UNDERSTAND THE SUSTAINABILITY–POLICY MAKING LINKS. . . . . . . . . . . . . . . . . . . . . . . . 38 Assessing Sustainability in AEO. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 UNDERSTAND THE MDG–NEPAD ENVIRONMENT ACTION PLAN LINKS . . . . . . . . . . . . . . . 44 Source: The poverty-environment nexus. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45 UNDERSTAND THE HIERARCHICAL LINKAGES OF POLICIES. . . . . . . . . . . . . . . . . . . . . . . . . 50 MAKE STRATEGIC CHOICES. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 Trade-environment-sustainable development links. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52 UNDERSTAND THE INSTITUTIONAL CAPACITY–POLICY IMPLEMENTATION LINKS . . . . . . . . . 53 CHAPTER 4: DISCERNING ISSUES FOR RESPONSE AND ACTION. . . . . . . . . . . . . 55 PEOPLE AND LIVELIHOODS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56 ENVIRONMENTAL CHANGE AND OPPORTUNITIES FOR DEVELOPMENT. . . . . . . . . . . . . . . 57 POLICY IMPACTS ON LIVELIHOODS AND DEVELOPMENT. . . . . . . . . . . . . . . . . . . . . . . . . . 58 EMERGING ISSUES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 THE OUTLOOK. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63 CHAPTER 5: STRENGTHENING POLICY IMPLEMENTATION . . . . . . . . . . . . . . . . . 65 DERIVING POLICY RECOMMENDATIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65 THE ACCEPTABILITY OF THE RECOMMENDED POLICY RESPONSES. . . . . . . . . . . . . . . . . . . 66 FROM RECOMMENDED POLICY RESPONSES TO CONCRETE ACTION . . . . . . . . . . . . . . . . 67 CHAPTER 6: LOOKING TO THE FUTURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 REFERENCES AND SUGGESTED READINGS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71 FIGURES TABLES MATRICES iii ACKNOWLEDGEMENTS UNEP wishes to acknowledge the many individuals and organizations that have contributed to these Guidelines, authors, reviewers, especially the AEO practitioners from the 12 AEIN countries, regional collaborating centres, and the production team. UNEP Coordination Team Charles Sebukeera Munyaradzi Chenje Sekou Toure Chris O. Ambala Janet Waiyaki Priscilla Rosana Lead Authors Joseph Opio-Odongo Gregory Woodsworth Contributing Lead Authors Jennifer Clare Mohamed-Katerere Charles Sebukeera Reviewers Peter Croal Edwin Mitchell László Pintér Laurent Rudasingwa Gemma Shepard Ahmed Abdel-Rehim Fatou Ndoye Crepin Momo Kama Clever Mafuta Elizabeth Kironde Gowa Rajendranath Mohabeer Justin Goungounga Moheeb Abdel-Sattar Ebrahim Tesfaye Woldeyes Roger Lewis Leh Satyanand Buskalawa Amadou Moctar Dieye Joel Arumadri Alimudoa Douglas Mulenga Nkolonganya Berhe Debalkew Kipkokei Sirma Arap Buiggutt Joseph Masinde Telly Eugene Muramira Benson Owuor Ochieng Frank Adeyemi Attere Editor Jennifer C. Mohamed-Katerere Cover design, graphics and layout Audrey Ringler, UNEP, DEWA iv ACRONYMS AND ABBREVIATIONS AEO Africa Environment Outlook AEIN Africa Environment Information Network AMCEN African Ministerial Conference on Environment AU African Union CBD Convention on Biological Diversity CCP Company-community partnerships CSR Corporate social responsibility DPSIR Drivers, Pressures, State, Impact, Response EAC East African Community ECOWAS Economic Community of West African States EIA Environmental Impact Assessment ESI Environmental Sustainability Index GEO Global Environment Outlook GMO Genetically Modified Organisms HDR Human Development Report IEA Integrated Environmental Assessment IISD International Institute for Sustainable Development IOC Indian Ocean Commission MDGs Millennium Development Goals MEAs Multilateral Environmental Agreements NEPAD New Partnership for Africa’s Development NEPAD-EAP New Partnership for Africa’s Development Environment Action Plan NEO National Environment Outlook NGOs Non-governmental Organizations PRSPs Poverty Reduction Strategy Papers PEN Poverty Environment Network PES Payment for Environmental Services RVF Rift Valley Fever SADC Southern African Development Community SEA Strategic Environmental Assessment UNDP United Nations Development Programme UNEP United Nations Environment Programme WEHAB Water, Energy, Health, Agriculture, Biodiversity WSSD World Summit on Sustainable Development v vi FOREWORD vii viii INTRODUCTION – WHY POLICY GUIDELINES? Today’s children, tomorrow’s future. Children along the banks of the Nile, Egypt Source: John Collinge “Integrated environmental assessment that provides comprehensive information on environmental state-and-trends, assesses the implications for human well-being and development, and includes an analysis of policy responses can be an invaluable tool in the policy development process and in developing implementation strategies.“ Africa Environment Outlook-2. Our Environment, Our Wealth (UNEP 2006a) POLICY ANALYSIS AND INTEGRATED ENVIRONMENTAL ASSESSMENT Africa’s rich natural resources offer many opportunities for building prosperity, but to turn this potential into reality Africa faces many challenges. Social and economic inequality, globalisation, inappropriate governance regimes, poverty and environmental change––especially land degradation and climate change––results in numerous development challenges and threatens the sustainability of environmental goods-and-services. To respond effectively to these challenges, Africa must confront the underlying causes of environmental change and continued low levels of development, and it must address the interlinkages between them. One critical consideration is the poverty-environment nexus. If decision making is to deliver development that is sustainable, it must increase the opportunities that countries and people have to live lives they value while securing future options. Such decision making requires sound, reliable and policy-relevant information. Integrated environmental assessment (IEA)––the process of assessing the complex and changing interrelationships between the human and natural environment and of producing and communicating holistic, futureorientated, policy-relevant understanding thereof––can support such decision making. The Africa Environment Outlook (AEO) assessment and reporting series, led by the United Nations Environment Programme (UNEP), offers such an opportunity (Box 0.1). Effective policy analysis is an essential part of the assessment (See Chapter 1). 1 Box 0.1:Integrated environmental assessment – a recognized decision making tool The use of integrated environmental assessment (IEA) in decision making is gaining ground in Africa. In December 1985, in Cairo, the African Ministerial Conference on Environment (AMCEN) was established as an Africa-wide forum to (UNEP 2002):  Articulate perspectives on Africa’s environment and ensure that these perspectives receive incremental attention in intergovernmental organizations and the global arena.  Provide leadership in new and emerging issues at regional and global levels.  Promote the harmonization of sub-regional and regional environmental concerns and approaches.  Advocate for adequate consideration of environmental issues at sub-regional and regional levels.  Translate global environmental concerns into practical, feasible and achievable programmes of action at national, sub-regional and regional levels.  Ensure that environmental concerns receive priority attention in national development processes. In July 2000 at its Eighth Session, AMCEN acknowledged the important role IEA can play in supporting it in achieving these goals when it decided that an Africa Environment Outlook (AEO) report should be prepared to provide a comprehensive scientific assessment of the environment, environmental management, and policies in Africa. The first AEO report was launched during the 9th session of AMCEN in July 2002. This session is a milestone in linking policy development and rigorous, integrated environmental assessment: at this session, AMCEN adopted the AEO reporting mechanism as a tool for:  Periodical assessment, taking stock of environmental change as well as policy performance and effectiveness.  Looking into the future and identifying policy options for consideration at the national, subregional and regional levels. Source: UNEP 2002 STRENGTHENING CAPACITY FOR POLICY-RELEVANT IEA Ensuring sufficient capacity in policy-relevant IEA is critical to achieving Africa’s environment and development goals. These Guidelines are part of a family of products and services designed to contribute to developing the skills base to undertake such assessments. The United Nations Environment Programme’s (UNEP) Division for Early Warning and Assessment (DEWA) supports these goals, its mission is: “To provide the world community with improved access to meaningful environmental data and information, and to help increase the capacity of governments to use environmental information for decision making and action planning for sustainable human development” (UNEP 2007a) 2 The Guidelines were developed (Box 0.2) in response to needs specifically articulated by those involved in the AEO assessment process (hereafter AEO practitioners): The primary purpose of the Guidelines is to assist AEO practitioners to adequately address the policy issues that are pertinent to the effective and sustainable use of Africa’s natural assets in a way that supports development and livelihoods. The secondary purpose of the Guidelines is to assist environmental and development agencies––at the national, sub-regional, and regional levels––more effectively integrate environment into policies and programmes across a range of sectors. In addition, the Guidelines are intended to be used in assessment process at the local, national and sub-regional levels. A strong regional capacity for integrated environmental assessment cannot be anchored on weak national capacities. Box 0.2: Developing the Guidelines Six main steps were followed in developing the Guidelines: First, substantive deliberations were held between the authors and the DEWA coordination team to define their nature and ambit. Second, a desk review was undertaken to identify the main issues and perspectives.  Third, four field missions––in Uganda, Mauritius, Zambia and Ghana–– were conducted in 2003 and 2004 to: Consult with stakeholders and refine the issues to be considered in the Guidelines. Review and assess policy-making processes in the selected countries to: o Better understand the environmental policy processes in terms of their evolution and orientation, policy construction, and the key actors involved. o Gauge the extent to which the policy processes were evidence-based and how the various policy actors accessed and used available environmental information. o Identify the opportunities for ensuring that the AEO reporting process impacts on policy making and policy implementation at the country level. o Identify the capacity development needs for more effective utilization of environment information in policy making and undertaking strategic environmental assessment (SEA).  Fourth, the draft Guidelines were produced and peer reviewed by policy and programme specialists in UNEP, United Nations Development Programme (UNDP), the African Institute for Environment Assessment, and the International Institute for Sustainable Development (IISD).  Fifth, the draft Guidelines was presented to AEO practitioners, from 12 Africa Environment Information Network (AEIN) pilot countries, at a validation workshop in July 2004 in Nairobi.  Sixth, the draft was revised taking into account the comments of both peers and practitioners. Source: UNEP 2002 USING THE GUIDELINES The Guidelines are designed to be used by AEO practitioners with considerable experience in environmental management issues, particularly within their own countries. In six chapters, the Guidelines support the AEO assessment and reporting process by building capacity for this policy analysis through: 1. Strengthening understanding of an opportunities- and people-focused approach to IEA in Africa and of the role of policy analysis in the assessment process (Chapter 1). 2. Establishing a shared vocabulary of key concepts, with some examples of how these are applied (Chapter 2). 3. Providing five rules of thumb for identifying and reviewing policy issues that underpin the use of natural capital for sustainable development, and specifically for improving livelihoods (Chapter 3). These rules focus on: a) Improving understanding of how the sustainability ethos influences approaches to policy making. b) Understanding the links between the AEO themes, the NEPAD Environment Action Plan (NEPAD-EAP), and the Millennium Development Goals (MDGs) and their significance for policy-relevant assessment. 3 c) Understanding the complex hierarchical links between policies––from local to global levels––and the implications of this for implementation, performance, and achieving desired outcomes. d) Making strategic choices through the use of tools that help identify hidden impacts of policies and assess the compatibility of different polices. e) Enhancing understanding of the institutional and capacity development issues that affect the implementation of the AEO policy recommendations. 4) Providing guidance on discerning policy responses and actions (Chapter 4). And, demonstrating the link between policy analysis and identifying appropriate policy responses and actions. This sets the basis for AEO practitioners to extract the main policy messages that underpin the policy recommendations and actions. 5) Strengthening the implementation of the AEO policy recommendations through designing assessment processes that enhance the acceptability and legitimacy of AEO outputs. In addition the Chapter considers how supporting actors at the national level can contribute to these ends (Chapter 5). 6) Looking to the future and considering how to further strengthen the guidelines and capacity for undertaking assessments (Chapter 6). Figure 0.1: Structure of the Guidelines LOOKING TO THE FUTURE (Chapter 6) STRENGTHENING POLICY IMPLEMENTATION (Chapter 5) DISCERNING ISSUES FOR RESPONSE & ACTION (Chapter 4) IDENTIFYING AND REVIEWING POLICY ISSUES (Chapter 3) UNPACKING CONCEPTS (Chapter 2) UNDERSTANDING THE AEO APPROACH (Chapter 1) The Guidelines are built on six interlinked chapters designed to develop capacity for policy analysis in IEA. In turn better IEA supports more legitimate and forward-looking policy recommendations that maximizes environmental opportunities for development and improved livelihoods. 4 Photo: Jennifer Mohamed-Katerere Complementary texts support the Guidelines The Guidelines are designed to be used in conjunction with the Handbook on Policy Analysis for Integrated Environmental Assessment and Reporting (hereafter the Handbook). This handbook provides practical guidance for the application of the Guidelines and a more comprehensive list of suggested readings. The background papers produced for these Guidelines; the AEO family of publications; and other policy literature also provide useful information and analytical guidance. The two background papers produced as part of the process of developing the Guidelines are a literature review on integrated policy analysis (Opio-Odongo 2004) and case studies on water and forest sector policies in Uganda and Kenya (Ochieng 2004; Muramira 2004). Lessons learnt from these case studies are expected to support the review of environmental policies in the other African countries. The two AEO reports produced thus far, Africa Environment Outlook: Past, present and future perspectives and Africa Environment Outlook 2: Our Environment, Our Wealth, provide many examples of the impact of specific policies. The AEO vulnerability case studies, Africa Environment Outlook: Human Vulnerability to Environmental Change, also offers valuable insights. Worktables and matrices are intended to facilitate deliberations in the AEO working groups, support the analytical process, and help users structure retrospective and proactive reviews of environmental and non-environmental policies that impact on sustainable development and livelihoods at the national, sub-regional, and regional levels. Summary sheets assist users discern policy-related issues and questions in the course of the assessment. They are to be used throughout the assessment process, and specifically in the chapters on people and livelihoods, environment state-and-trends and opportunities for development, emerging challenges, and the outlook. The information recorded in these summary sheets ultimately serves as a building block for the chapter on policy actions. This ensures that options-for-action identified in this final chapter follow logically from the assessments and analyses undertaken for the preceding chapters. Text boxes are used to provide supportive information, provide illustrative examples of how policy has been implemented and its impacts, and to demonstrate how certain concepts and tools are applied. Guidance is provided throughout the Guidelines to help users focus on pertinent policy questions and policy issues. Practical steps, to give effect to the guidance are elaborated on in the Handbook on Policy Analysis for Integrated Environmental Assessment and Reporting. The AEO Policy Analysis Working Group––composed of policy analysis experts––will play a supportive role in applying the Guidelines, undertaking policy analysis, and building policy analysis capacity. 5 6 1 CHAPTER UNDERSTANDING THE AEO APPROACH A poster depicting the Environment for Development theme of AEO-2 Source: UNEP In this Chapter:  UNEP’s Global Environment Outlook (GEO) assessment framework is described.  The Opportunities Framework––an opportunities and people-focused approach to integrated environmental assessment (IEA) for Africa––is explained.  The role of policy analysis in IEA is considered. A clearly defined, agreed and shared analytical framework ensures that the assessment is coherent and sets the basis for multiple working groups to successfully contribute to the assessment process. THE DPSIR FRAMEWORK The Africa Environment Outlook (AEO) assessment and reporting process––part of GEO assessment and reporting series––provides regional insight into the state, trends and challenges of environment and development. It provides understanding of the major environment challenges facing Africa and offers policy options for consideration by Africa’s decision-makers. The AEO assessment methodology is based on the GEO Drivers–Pressure–State–Impact–Responses (DPSIR) framework (Figure 1.1). This analytical framework goes beyond a focus on ecosystems and covers the entire environment and its interaction with society, considering the key components of the complex and multidimensional, spatial, and temporal interactions between society and environment (UNEP 2007c). This framework is generic and flexible, and recognizes that a specific thematic and geographic focus may require a specific and customized framework. It is designed to be policyrelevant and easy to grasp and communicate, while at the same time being scientifically credible and able to support and compile highly complex information (UNEP 2007c). 7 Figure 1. 1: The DPSIR Framework Global Regional Local HUMAN SOCIETY DRIVERS (D): Material, Human and Social Capital Human development: UÊ i}À>«VÃ UÊ VVÊ«ÀViÃÃiÃÊVÃÕ«Ì]Ê Ê «À`ÕVÌ]Ê>ÀiÌÃÊ>`ÊÌÀ>ì® UÊ -ViÌvVÊ>`ÊÌiV}V>ÊÛ>Ì UÊ ÃÌÀLÕÌÊ«>ÌÌiÀÊ«ÀViÃÃiÃÊÌiÀÊ and intra-generational) UÊ ÕÌÕÀ>]ÊÃV>]Ê«ÌV>Ê>`Ê institutional (including Ê «À`ÕVÌÊ>`ÊÃiÀÛViÊÃiVÌÀÃ®Ê Ê «ÀViÃÃiÃ RESPONSES (R) to environmental challenges: À>Ê>`ÊvÀ>Ê>`>«Ì>ÌÊÌ]Ê >`ÊÌ}>ÌÊv]ÊiÛÀiÌ>ÊV>}iÊ VÕ`}ÊÀiÃÌÀ>Ì®ÊLÞÊ>ÌiÀ}ÊÕ>Ê >VÌÛÌÞÊ>`ÊìÛi«iÌÊ«>ÌÌiÀÃÊÜÌÊÊ >`ÊLiÌÜiiÊÌiÊ]Ê*Ê>`ÊÊLÝiÃÊÌÀÕ}Ê ÌiÀÊ>>\ÊÃViViÊ>`ÊÌiV}Þ]Ê«VÞ]Ê law and institutions. PRESSURES (P): Human interventions in the environment: UÊ >`ÊÕÃi UÊ ,iÃÕÀViÊiÝÌÀ>VÌ UÊ ÝÌiÀ>Ê«ÕÌÃÊviÀÌâiÀÃ]ÊViV>Ã]Ê irrigation) UÊ ÃÃÃÊ«ÕÌ>ÌÃÊ>`ÊÜ>ÃÌi® UÊ `vV>ÌÊ>`ÊÛiiÌÊvÊ organisms Natural processes: UÊ ->ÀÊÀ>`>Ì UÊ 6V>iÃ UÊ >ÀÌµÕ>iÃ TIME: 8 ENVIRONMENT STATE-AND-TRENDS (S) IMPACTS (I): Change in human well-being LÀ>`ÞÊìvi`Ê>ÃÊÕ>ÊvÀii`ÃÊvÊ VViÊ>`Ê>VÌÃ]ÊÌÊ>ViÛi]ÊÌiÀÊ>>\ UÊ-iVÕÀÌÞ UÊ>ÃVÊ>ÌiÀ>Êii`Ã UÊ`Êi>Ì UÊ`ÊÃV>ÊÀi>ÌÃ ÜVÊ>ÞÊÀiÃÕÌÊÊÕ>ÊìÛi«iÌÊ ÀÊ«ÛiÀÌÞ]ÊiµÕÌÞÊ>`ÊÕ>Ê ÛÕiÀ>LÌÞ Demographic, social (institutional) and material factors determining human well-being Environmental factors determining human well-being UÊ V}V>ÊÃiÀÛViÃÊÃÕVÊ>ÃÊ«ÀÛÃ}Ê Ê ÃiÀÛViÃÊVÃÕ«ÌÛiÊÕÃi®]ÊVÕÌÕÀ>Ê Ê ÃiÀÛViÃÊVÃÕ«ÌÛiÊÕÃi®]Ê Ê Ài}Õ>Ì}ÊÃiÀÛViÃÊ>`ÊÃÕ««ÀÌ}Ê Ê ÃiÀÛViÃÊ`ÀiVÌÊÕÃi® UÊ iVÃÞÃÌiÊ>ÌÕÀ>ÊÀiÃÕÀViÃÊiÊ Ê Þ`ÀV>ÀLÃ]ÊiÀ>ÃÊ>`Ê Ê ÀiiÜ>LiÊiiÀ}Þ UÊ -ÌÀiÃÃ]ÊÌiÀÊ>>Ê`Ãi>ÃiÃ]Ê«iÃÌÃ]Ê radiation and hazards Natural capital: atmosphere, land, water and biosphere Environmental impacts and change: UÊ >ÌiÊV>}iÊ>`Êì«iÌÊvÊÌi Ê ÃÌÀ>ÌÃ«iÀVÊâiÊ>ÞiÀ UÊ `ÛiÀÃÌÞÊV>}i UÊ *ÕÌ]Êì}À>`>ÌÊ>`ÉÀÊ Ê ì«iÌÊvÊ>À]ÊÜ>ÌiÀ]ÊiÀ>ÃÊ Ê >`Ê>`ÊVÕ`}ÊìÃiÀÌvV>Ì® 1987 200 7 - 2015 (short-term) 2050 (medium-term) (long-term) The DPSIR framework presents the complex interaction between the human and environment systems and provides understanding of how and why these are changing over time:  Drivers refer to the fundamental processes in society, which drive activities that have a direct impact on the environment. The characteristics and importance of each driver differs substantially from context to context.  Pressures can be distinguished from drivers in that they refer to specific factors or phenomenon which impact on the environment. These include human interventions that intentionally or unintentionally cause environmental change. Land use practice, often intentionally cause environmental change; in contrast pollution is most often an unintended by-product of industrial or agricultural activity. Pressures may act alone or in concert.  State-and-trends refer to the existing condition of environmental resource and how this is changing over time. A trend is a pattern of change over time with a certain tendency, trajectory or direction and does not include all environmental change. For example, an industrial accident that leads to water pollution will not be part of a trend unless such accidents are the norm or if there is a growing incidence of such accidents. The clearing of land for agriculture that contributes to biodiversity loss will constitute a trend where there is evidence that there is a general tendency to clear land for agriculture.  Impacts refer to resulting changes in human well-being, social and economic sectors, or environmental goods-and-services.  Responses refer to the full range of human actions to address specific issues, needs, opportunities and problems. Responses include policies, strategies, and interventions; these may be within legal, technical, institutional, economic, and behavioral domains. The scale of operational may vary spatially (individual, local, national, regional or global) and temporally. The arrows within the framework are used to denote the broad relationships between these different aspects. Source: UNEP 2007c, UNEP 2006 A HUMAN-ENVIRONMENT FOCUS The first cycle of the AEO assessment and reporting process (AEO-1) used the DPSIR framework for analysis. It focused on the 30 year period from 1972 to 2002. In reporting on the state of the environment, it analysed the historical trends and policies that have driven environmental change in Africa. It addresses the issue of environmental change through the lens of human vulnerability: identifying how human vulnerability has increased, projecting future trends in environment and vulnerability, and recommending policy actions which could lead the region to more positive outcomes (UNEP 2004). The report showed clearly that Africa’s environment––rural and urban–– has deteriorated in the period under review. Recognizing, the conclusions and recommendations of the AEO-1 report, the second cycle of the AEO process (AEO-2) focused on the opportunities Africa has to improve livelihoods and human well-being and set it on a path of sustainable development (Box 1.1). Achieving this future is not inevitable, African nations face stark choices which require focused and creative policy responses. By providing critical information about the state of the environment and forward-looking policy analysis, the AEO-2 assessment makes an invaluable contribution to effective decision making. Box 1.1: Africa Environment Outlook-2: Our Environment, Our Wealth The Africa Environment Outlook-2: Our Environment, Our Wealth, challenges the myth that Africa is poor. The report illustrates how Africa’s vast environmental resources, if sensitively, sustainably, and creatively managed, can be the basis for an African renaissance––a renaissance that meets and goes beyond the internationally agreed Millennium Development Goals (UNEP 2006b). The report highlights the opportunities presented by the natural resource base to support development and to realize the objectives of the African Union (AU) and the New Partnership for Africa’s Development (NEPAD). The report underscores the need for sustainable livelihoods, and the importance of environmental initiatives in supporting them. Emphasis is put on what should and can be done with existing (remaining) environmental assets, in the context of identified constraints (issues), rather than focusing on what has been already lost. 9 Box 1.1: Africa Environment Outlook-2: Our Environment, Our Wealth (continued) Specifically, AEO-2 Our Environment, Our Wealth draws attention to the need to:  Adopt an interlinkages approach to environment and development to ensure more effective delivery of environment and human well-being benefits. One option considered is fostering partnerships between the health, trade and infrastructural development sectors.  Maximize environmental and social benefits through interlinked environmental management. For example, improved land or water management may have positive spin-offs for biodiversity.  Increase institutional, human, and financial investment in sustainable use and management of the remaining natural capital including.  Add value to the available or existing natural assets.  Promote efficient utilization of available resources through better valuation, removing perverse incentives, and increasing investment in technology and capacity. At the same time, efforts to safeguard the remaining natural asset and secure future options must be maintained and intensified. The AEO-2 report is organized in 5 parts, examining:  Environment for Development (The Human Dimension)  Environmental state-and-trends (Atmosphere, Coastal and Marine Environments, Forests and Woodlands, Biodiversity, The Environment and Policy Web)  Emerging Challenges (Genetically Modified Crops, Invasive Alien Species, Chemicals, Conflict)  Outlook (The Future Today)  Policy Opportunities (Back to Our Common Future: A Renaissance for the Environment) Source: UNEP 2006a, UNEP 2006b Placing Opportunity at the Centre of Environmental Assessment Building on the DPSIR framework, AEO-2 adopted an Opportunities Framework (Figure 1.1) for analysis focusing the assessment on the available resource base and the opportunities this provides for sustainable development, improving human well-being, alleviating extreme poverty, reducing vulnerability, and enhancing environmental sustainability. The Opportunities Framework emphasizes hope over despair, resolution over regret, and strategic response over reaction. Echoing this approach, the report itself is aptly titled: Africa Environment Outlook 2: Our Environment, Our Wealth. The Opportunities Framework (Figure 1.2) addresses five related questions (UNEP 2006a): 1) What are the available resources at regional and sub-regional levels? 2) What is the value––opportunities and potential––of these resources ecologically, socially, and economically? 3) What are the demands and pressures (both human and natural) placed on the sustainable management of these resources? 4) What is the outlook if appropriate action is not taken now? 5) What policy actions have been adopted to enhance opportunities and what policy actions are needed to reduce the pressures and sustainably maximize the potential of available resources? 10 Figure 1.2 The Opportunities Framework Global, regional, national and local conditions STATE Options d rade Demands and pressures on the environment Deg OPPORTUNITIES POLICY ACTIONS d rade Deg CURRENT TRENDS Impacts on and new state of environment: Ecosystems, human and economic vulnerability Tanzania The Opportunities Framework shows that the available environmental opportunities for improving well-being and ensuring sustainable development are a product of environmental state-and- trends shaped by multiple drivers and pressures; the existing socio-economic conditions at global, regional, national, and local scales; and current policy actions. In turn opportunities also affect these four factors. The background map illustrates that the Opportunities Framework is applicable at regional, sub-regional, and national levels. Source: Munyaradzi Chenje Integrating an analysis of sustainable livelihoods (Figure 1.2) made the assessment alert to the multiple vulnerabilities and the impacts of institutions–– laws and policies––on livelihood strategies and especially on the ability of people to manage available assets to meet their needs. At the same time it allowed for thorough consideration of the interplay between economic, social and environmental dimensions of sustainable development––drawing upon local knowledge and modern science––while factoring in the influences of domestic and external policies. The assessment strategically coupled evidence-based (science-driven) environmental information with environmental policy recommendations, setting a firm foundation for effective policy responses. Importantly, the Sustainable Livelihoods Framework directs attention to the most likely challenges to be faced in developing sustainable environmental actions for national and human development and improving livelihoods. Figure 1.3 Sustainable Livelihoods Framework VULNERABILITY CONTEXT UÊ -" UÊ /, UÊ --" /9 H S N P F Influences & access TRANSFORMING STRUCTURES & PROCESSES STRUCTURES UÊ iÛiÃÊvÊ Ê }ÛiÀiÌ UÊ ÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊUÊÊ>ÜÃ *ÀÛ>Ìi Ê ÊÃiVÌÀ ÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊUÊÊ*ViÃ ÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊUÊÊ ÕÌÕÀi ÊÊÊÊÊÊÊÊÊUÊÊÃÌÌÕÌÃÊ Ê PROCESSES LIVELIHOOD STRATEGIES Ê À` iÀÊÌ Ê >V iÛi LIVELIHOOD ASSETS LIVELIHOOD OUTCOMES UÊ ÀiÊVi UÊ VÀi>Ãi`ÊÜiLi} UÊ ,i`ÕVi`ÊÛÕiÀ>LÌÞ UÊ «ÀÛi`Êv`ÊÃiVÕÀÌÞ UÊ ÀiÊÃÕÃÌ>>LiÊÕÃiÊvÊ Ê ,ÊL>Ãi 9\ÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊrÊÕ>Ê >«Ì>ÊÊÊÊÊÊÊÊÊÊÊÊÊÊ ÊrÊ >ÌÕÀ>Ê >«Ì>ÊÊÊÊÊÊÊÊÊÊÊÊÊÊÊrÊ>V>ÊÊ >«Ì>ÊÊÊÊÊÊÊÊÊÊÊÊÊÊ*ÊrÊ*ÞÃV>ÊÊ >«Ì>ÊÊÊÊÊÊÊÊÊÊÊÊÊÊ-ÊrÊ-V>ÊÊ >«Ì> 11 The sustainable livelihoods framework presents the main factors that affect ability of people to achieve desired livelihood outcomes and typical relationships between these. It includes the:  Vulnerability context in which (different groups of) people live, including the effects upon them of external trends (such as economic, technological, population growth), shocks (natural or manmade) and seasonality.  Access to assets (physical, human, financial, natural and social) that people have and their ability to put these to productive and social use.  Institutions, policies and organizations which shape livelihoods, choices and opportunities.  Diverse strategies that people adopt in pursuit of their goals. The arrows within the framework are used to denote a variety of different types of relationships, all of which are highly dynamic. None of the arrows imply direct causality, though all imply a certain level of influence. Source: DfID 1999 POLICY ANALYSIS IN IEA Policy making seeks to define a clear course of action selected from identified alternatives, as well as achieve identified goals and overall development objectives. Policy making is a complex, non-linear process although commonly 5 stages are identified. Throughout the policy-making process a complex set of factors including public, stakeholder, and state interests and values, funding, networks and alliances, and social and economic conditions affect the process (Figure 1.4). Credible and reliable information––including that produced through policy analysis––can help improve decision-making by reducing uncertainty, increasing understanding and clarity, bringing new perspectives on existing problems, and enhancing the quality of public debate and consultation. Integrated Environmental Assessment can assist the policy-maker by providing credible scientific information about environmental state-and-trends as well as evidence-based policy analysis. A variety of tools can be used in policy analysis. The stages of policy analysis and the choice of tool depends are discussed more fully in Chapter 2. Figure 1.4: The policy process SOCIALLY CONSTRUCTED REALITY Media POLITICAL & ECONOMIC Alliances, political and economic elites, globalization KNOWLEDGE Experts, stakeholders, governments NATIONAL & INTERNATIONAL OBLIGATIONS MEAs, law and policy, debt CAPACITY Institutional Technical Budgetary AGENDA SETTING POLICY FORMULATION POLICY ADOPTION POLICY IMPLEMENTATION Identifying key problems Identifying and analyzing policy options Making policy choice Formal adoption meeting legal and other obligations Outputs Impacts Outcomes POLICY IMPLEMENTATION Outputs Impacts Outcomes This figure shows that policy making is impacted on by the social, political, and economic context with multiple factors and actors shaping the policy-making stages including policy outcomes. The links between the different stages is neither direct nor crisp given the multiple interests at play. 12 Source: Jennifer Mohamed-Katerere based on Barkenbus 1998 2 CHAPTER UNPACKING CONCEPTS Shared understanding shapes future paths: farmers and researchers in Burkina Faso share experiences and discuss the challenges of achieving sustainable livelihoods in dryland forests. Source: Yemi Katerere In this Chapter:  Key concepts are defined.  Illustrations of how some concepts can be used in identifying policy issues and addressing policy questions at the various stages of the assessment process. A common vocabulary supports effective information development and communication across the different working groups during the Africa Environment Outlook (AEO) assessment and reporting process. SUSTAINABLE DEVELOPMENT Sustainable development refers to development which meets the needs of the present generation without compromising the ability of future generations to meet their own needs (WCED 1987). It entails the integration of economic, social, and environmental objectives, while conferring on society the obligation to uphold the intra-generational and inter-generational equity in pursuit of development needs (UNEP 2007c). Sustainable development is a guiding aspiration for the developing policy and designing strategies to meet desired outcomes. First articulated in modern environmental policy at the United Nations Conference on the Human Environment in 1972 it has evolved into a vision for many countries. And consequently, it is of increasing importance in policy making. Key landmarks in its development include: The World Conservation Strategy (1980) The World Commission on Environment and Development (1987) also known as the Brundtland Commission The United Nations Conference on Environment and Development (1992) The World Summit on Sustainable Development (2002) 13 Sustainable development focuses on improving human well-being and the overall quality of life for all, while ensuring that the environment––through which life is supported––is used in a sustainable way. In this sense, sustainable development is a forward-looking concept and its achievement demands taking action and developing appropriate policies and practices. Agenda 21––a globally agreed action-orientated strategy––identifies key areas for action to be addressed by policy-makers, if sustainable development is to become a reality. Progress on the Millennium Development goals (MDGs)––a globally agreed set of time-bound development objectives––provides a useful basis for monitoring and evaluating development outcomes (Box 2.1). Similarly, the goals of the Environmental Initiative of the New Partnership for Africa’s Development (NEPAD) and its Environment Action Plan (NEPAD-EAP) as well as the sustainable development challenges of the Small Islands Developing States need to inform the assessment of policy. These development targets need to be complement by the use of other globally agreed targets particular those in the environmental sector. This includes the Biodiversity 2010 targets (Box 2.2) as well as those adopted under different multi-lateral environmental agreements. Chapter 3 provides guidance on factoring sustainable development concerns in to the assessment. Box 2.1: The Millennium Development Goals Goal Goal Goal Goal Goal Goal Goal Goal 1: 2: 3: 4: 5: 6: 7: 8: Eradicate extreme poverty and hunger Achieve universal primary education Promote gender equality and empower women Reduce child mortality Improve maternal health Combat HIV/AIDS, malaria, and other diseases Ensure environmental sustainability Develop a global partnership for development Source: UN 2007 Box 2.2: The 2010 Biodiversity Goals Goal 1: Promote the conservation of the biological diversity of ecosystems, habitats and biomes Goal 2: Promote the conservation of species diversity Goal 3: Promote the conservation of genetic diversity Goal 4: Promote sustainable use and consumption Goal 5: Pressures from habitat loss, land-use change and degradation, and unsustainable water use reduced Goal 6: Control threats from invasive alien species Goal 7: Address challenges to biodiversity from climate change and pollution Goal 8: Maintain capacity of ecosystems to deliver goods and services and support livelihoods. Goal 9: Maintain socio-cultural diversity of indigenous and local communities Goal 10: Ensure the fair and equitable sharing of benefits arising out of the use of genetic resources. Goal 11: Parties have improved financial, human, scientific, technical and technological capacity to implement the Convention. Source: Secretariat of the Convention on Biological Diversity 2006 HUMAN WELL-BEING 14 Human well-being refers to the extent to which individuals have the ability to live the kinds of lives they have reason to value and the opportunities people have to achieve their aspirations (UNEP 2007c). Quality of life––how people actually live––is a good indicator of this ability. This includes, but is not limited to, adequate nourishment, good health, security, self -respect, and participating in community life. The MDGs aim to improve the quality of life of the poorest and most vulnerable people. The United Nations Development Programme’s (UNDP) Human Development Report (HDR) uses several indicators to assess human development. Many aspects of human well-being including health, security, good social relations, and access to material goods are closely related to environmental states, trends, and opportunities (see Figure 2.1). The link between the environment and human well-being is complex, non-linear and influenced by multiple factors including poverty, trade, technology, gender, social relations, governance, and the different aspects of vulnerability. Global interconnectedness––through a shared natural environment and globalization––means that achieving human well-being in one place may be affected by practices elsewhere (Jäger and others 2007). Figure 2.1: Linkages between ecosystem services and human well-being CONSTITUENTS OF WELL-BEING ECOSYSTEMS SERVICES Provisioning UÊ ` UÊ ÀiÃÊÜ>ÌiÀ UÊ 7`Ê>`ÊvLÀi UÊ Õi UÊ °Ê°Ê° Supporting UÊ ÕÌÀiÌÊVÞV} UÊ -ÊvÀ>Ì UÊ *À>ÀÞÊÊ*À`ÕVÌ UÊ °Ê°Ê° Regulating UÊ >ÌiÊÀi}Õ>Ì UÊ `ÊÀi}Õ>Ì UÊ Ãi>ÃiÊÀi}Õ>Ì UÊ 7>ÌiÀÊ*ÕÀvV>Ì UÊ °Ê°Ê° Cultural UÊ iÃÌiÌV UÊ -«ÀÌÕ> UÊ `ÕV>Ì> UÊ ,iVÀi>Ì> UÊ °Ê°Ê° Security UÊ *iÀÃ>ÊÃ>viÌÞ UÊ -iVÕÀiÊÀiÃÕÀViÊ>VViÃÃ UÊ -iVÕÀÌÞÊvÀÊ`Ã>ÃÌiÀÃ Basic material for good life UÊ ìµÕ>ÌiÊÛi`Ã UÊ -ÕvvViÌÊÕÌÀÌÕÃÊv` UÊ -iÌiÀ UÊ VViÃÃÊÌÊ}`Ã Health UÊ -ÌÀi}Ì UÊ ii}ÊÜi UÊ VViÃÃÊÌÊVi>Ê>ÀÊ>`ÊÜ>ÌiÀ Freedom of choice and action "««ÀÌÕÌÞÊÌÊLi >LiÊÌÊ>ViÛi Ü>ÌÊ>Ê`Û`Õ> Û>ÕiÃÊ`}Ê>`ÊLi} Good social relations UÊ -V>ÊViÃ UÊÕÌÕ>Ê,iÃ«iVÌ UÊLÌÞÊÌÊi«ÊÌiÀÃ LIFE ON EARTH - BIODIVERSITY ARROW’S COLOUR *ÌiÌ>ÊvÀÊi`>ÌÊLÞÊ ÃViVVÊv>VÌÀÃ ARROW’S WIDTH ÌiÃÌÞÊvÊ>}iÃÊLiÌÜiiÊiVÃÞÃÌiÊ ÃiÀÛViÃÊ>`ÊÕ>ÊÜiLi} Low Weak Medium Medium High Strong This Figure depicts the strength of linkages between categories of ecosystem services and components of human well-being that are commonly encountered, and includes indications of the extent to which it is possible for socio-economic factors to mediate the linkage. (For example, if it is possible to purchase a substitute for a degraded ecosystem service, then there is a high potential for mediation.) The strength of the linkages and the potential for mediation differ in different ecosystems and regions. In addition to the influence of ecosystem services on human well-being depicted here, other factors—including other environmental factors as well as economic, social, technological, and cultural factors—influence human well-being, and ecosystems are in turn affected by changes in human well-being. Source: Millennium Ecosystem Assessment 2005 15 POLICY Policy––in its widest sense––is used to denote any form of established societal intervention or response to existing and emerging challenges. Most commonly, policy is understood as decisions taken by those with the legal mandate to do so and these decisions are expressed in formal or official documents and executed by the relevant arms of government (Keeley and Scoones, 2003). Such public policies are often supported by strategies or other implementation tools such as laws. Policies, however, are not always formally enunciated and can also be inferred from established or longstanding practices. This may include actions, inactions, or a web of inter-related decisions. For example, public management of the environment and natural resources may indicate what established policy in specific areas is: – if public officials routinely apply a precautionary approach this could be consider as policy. Policy includes not only statements of intent such as a water policy or forest policy, but also other forms of intervention such as economic instruments, subsidies, and institutional or legal reform including for example, decentralization. Policy can thus be seen as a tool for the exercise of governance. GOVERNANCE Governance refers to the manner in which society exercises control over resources, including natural resources. It denotes the mechanisms through which control over resources is defined and access is regulated. Governance is exercised through institutions (laws and policies), property rights systems, and other forms of social organization. Multiple and diverse groups––other than just the state––are involved in governance, these include the market, civil society groups, and local organizations. In many African countries, natural resource governance takes place through a complex institutional and organizational web including the state, traditional or customary authorities, the market, and sometimes also civil society organizations. Governance should be distinguished from management, which refers to the day-to-day tasks undertaken in maintaining or distributing resources, including natural resources. INSTITUTIONS AND ORGANIZATIONS The terms institutions and organizations should be distinguished (North 1990) Institutions refer to regularized patterns of interaction through which society organizes itself. This includes the rules, practices, and conventions that structure human interaction. The term is wide and encompassing and can include law, social relationships, property rights and tenure systems, norms, beliefs, customs, and codes of conduct, as well as multilateral environmental agreements (MEAs), other international conventions, and financing mechanisms. Institutions can be formal (explicit, written, and having the sanction of the state) or informal (unwritten, implied, tacit, and mutually agreed or accepted). Formal institutions include law, MEAs, by-laws, and memorandum of understanding. Informal institutions include unwritten rules, codes of conduct, and value systems. 16 Organizations refer to bodies––made up of individuals––with a specified common objective. Organizations could be political organizations (such as political parties, governments, and ministries), economic organizations (such as federations of industry), or social organizations (such as non-governmental organizations (NGOs), self-help groups, religious organizations, and trusts). Box 2.3: NEPAD as an institution––NEPAD as an organization When NEPAD is referred to as an organization, reference is made to it as a body with a certain membership, structure, and a set of objectives. This includes for example the objectives set-out in its Environment Action Plan. When it is referred to as an institution, reference is made to the rules and regulations surrounding its membership––how they relate to each other and their rights and obligations––as well as its practices of decision making. This would include, for example, the rules setout in the African Peer Review Mechanism (APRM). The APRM is a mutually agreed instrument voluntarily acceded to by the Member States of the African Union (AU) as an African self-monitoring mechanism. POLICY CONTEXT The policy context refers to the circumstances that prompt and mould policy formulation and pronouncement. The policy context varies across and within spatial (local, national, sub-regional, regions) dimensions, with for example countries having different motivations for agreeing to common policies. The policy context also varies over time. The policy context includes a wide variety of social, political, and economic circumstances. For example, it may include the extent of public participation or the nature of the science-policy interface. The policy context is often fluid because of the dynamism of the domestic and global economic and environmental situations. The policy context is urgent or reactive when the policy-maker is prompted to take policy actions outside the normal or routine policy-making process, as would be the case when an environmental emergency occurs. In contrast, the policy context is routine when the policy is made as a matter of course following established procedures. Such procedures may include, for example, stipulated consultation processes with stakeholders. The policy context can also be considered to fall in the grey-zone when the situation prompting policy making is neither urgent nor routine. Grey contexts are usually associated with high-profile policies. Guidance 1 Assess the national and regional policy context to discern: (a)The impact of policy context on the nature of policy. (b)Slippages that occur in the effort to ensure that policy-making is evidence based. (c)Policy implementation challenges and undesirable policy outcomes. POLICY ANALYSIS Policy analysis has both a narrow and broad definition. Narrowly defined, it is the “process of applying a defined set of procedures and tools, largely drawn from economics and related disciplines, to public policy problems” (Woolf 1999). Broadly defined, it is a “client-oriented advice relevant to public decision and informed by values” (Weimer and Vining 1999). 17 Policy analysis is intended to provide supportive and relevant information to stakeholders in the policy-making process. It answers five basic questions: What is the nature of the problem(s)? The answer to this helps define and characterize the policy problem (s). What present and past policies have been established to address the problem(s), and what are their impacts? The answer to this reveals the policy outcomes. How valuable are those outcomes in solving the problem(s) at hand? The answer to which establishes policy performance. What policy alternatives are available to address the problem(s), and what are their likely future outcomes? The answers to which reflects on policy futures. What are the preferred alternative courses of actions for solving the problem(s) at hand? The answer to this pertains to policy response and policy actions. Table 2.1 shows how policy analysis can support decision makers in the different policy-making stages. Table 2.1: Policy analysis procedure and its contribution to policy making Procedure Purpose and information developed Policy-making stage Problem structuring or identification (definition) Problem analysis. Agenda setting Provides policy-relevant information and knowledge on causes and hidden assumptions. Maps possible objectives. Synthesizes the range of views. Designs new policy options. Forecasting (prediction) Credible analysis of policy alternatives including of doing nothing. Provides policy-relevant comparative information and knowledge on probable future states resulting from adopting given policy alternatives. This may include:  examining and evaluating plausible, potential, and normatively valued alternative futures;  predicting consequences of existing and proposed policies;  specifying probable future constraints on the achievement of objectives; and  assessing the political feasibility of different options. 18 Policy formulation (development) Recommendation (prescription) Provides policy-relevant information and knowledge on the benefits and costs of alternative policy options. Policy adoption Estimates levels of risk and uncertainty. Identifies externalities. Specifies criteria for making choices. Assigns administrative responsibility for implementing policies. Monitoring (description) Provides policy-relevant knowledge about the consequences of previously adopted policies to help guide implementation including:  assessing the extent of compliance;  identifying unintended consequences of existing policies and programmes;  identifying implementation obstacles and constraints; and  establishing where responsibility for previous departures from polices lies. Policy implementation Evaluation (evaluation) Provides policy-relevant knowledge about the relationship between expected and actual policy performance (outputs, impacts, outcomes). Policy assessment Draws conclusions about the extent to which problems have been alleviated. Clarifies––and critiques––the values driving policy. Provides information for the adjustment or reformulation of policies. Establishes a basis for restructuring problems. Source: Adapted from R. Stephen Daniels (undated), Introduction to the Public Policy process. Seminar in Public Policy Analysis. Department of Public Policy and Administration, California State University, Bakersfield. For policy analysis to make a contribution to the decision-making process it must be relevant and timely. The opportunity to influence policy depends heavily on timing in the flow of events. To encourage uptake by policy-makers, technical analysis should be organized and communicated in a simple, clear, honest, fair and transparently manner that illustrates policy relevance. Data, Information and Communication Good data and information is essential for effective policy analysis. For the AEO assessment, policy analysts should pay particular attention to the quality and quantity of data, available analytical capacity within the sub-region, and the need to carefully balance considerations of hard-science with those of soft-science and the stakeholder interests. Figure 2.2 depicts the various ways in which the policy analyst could strategically engage in policy communication. How assessment findings are communicated influences the extent to which they are taken up by stakeholders. The channels and style of communication should be appropriate for a given audience. The assessment should have a high impact communication strategy that conveys the essential messages simply, clearly, and powerfully. 19 Figure 2.2: The process of policy communication KNOWLEDGE Policy analysis Policy problems Policy futures Policy actions Policy outcomes Policy performance Materials development POLICY ANALYST Policy memorandum Policy issue papers Executive summaries Appendices News releases STAKEHOLDER Agenda setting Policy formulation Policy adoption Policy implementation Policy assessment DOCUMENTS PRESENTATIONS Knowledge utilization Conversations Conferences Meetings Briefings Hearings Interactive communication This figure shows the central role policy analysts play in developing relevant and strategic information for effective policy communication through policy analysis, materials development, interactive communication, and knowledge utilization. The outputs of these activities or actions are represented in the rectangles. Source: Daniels (undated) Relevant and appropriate analytical tools should be used to analyse policy issues and questions, drawing on relevant expertise within the sub-region. Successful and policy-relevant assessment requires analytical processes that: appreciate and understand the context; address the needs of potential users; treat assessment as a communication process; and connect global, regional, and local level issues. Guidance 2 (a)Understand the policy context. Connect global, regional, and local level issues. (b)Assess the needs of potential users. (c)Treat the assessment as a communication process. 20 POLICY FORMULATION Policy formulation––also called policy development––is the pre-decision phase in which alternatives are identified and analysed. Policy formulation includes analytical and political dimensions: The analytical dimension is about conceiving and clearly articulating effective policy alternatives that are based on credible analysis. The political dimension is about endorsing and authorizing one or more of recommended policy actions in accordance with laid-down procedures as well as defined goals and objectives. Effective policy formulation is achieved when the policy proposal is valid, efficient, and generally acceptable for addressing the identified problem(s). The acceptability of a policy proposal rests on endorsement and sanctioning of the proposed course of action by the decision-makers in particular and the stakeholders in general. Achieving political endorsement across a sub-region or the region as a whole can be challenging, especially when resources are shared by countries with different ideological inclinations, priorities, or development strategies. This is particularly the case with strategic resources such as water, forests and petroleum. Comparing successful and less successful policy formulation processes can provide useful information that can guide the development of future policy processes. In the report some of these experiences can be highlighted in text boxes. Guidance 3 Establish the extent to which perceptions of the relevance (salience), scientific plausibility (credibility), and fairness (legitimacy) of the information used in the previous assessments impacted on the extent to which recommendations were implemented. Document cases where the AEO process has begun to influence the quality of environmental policy-making and of the production of national and sub-regional environmental assessments. POLICY ASSESSMENT: THE USE OF STRATEGIC ENVIRONMENTAL ASSESSMENT Strategic Environmental Assessment (SEA) is an assessment tool for analysing policies and programmes and providing strategic direction. As a strategic assessment tool it is qualitatively different from other forms of impact assessment, such as Environmental Impact Assessment (EIA) (Nobel 2000, Table 2.2, Figure 2.3). In an SEA basic long-term objectives are determined, a course of action is developed, and the allocation of resources necessary to achieve defined goals is agreed (Koontz, O’Donnell, and Weihrich 1976, and R. Therivel, E. Wilson, S. Thompson, D. Heaney and D. Oritchard (1992). Further, a clear set of principles and objectives are used to shape the visions and development intentions, which in turn are presented in a set of alternatives, policies, plans, or programmes. In contrast, an EIA is an analytical process or procedure that systematically examines the possible environmental consequences of the implementation of a given activity (project, programme or policies) (UNEP 2007c). The aim of an EIA is to ensure that the environmental implications of potential decisions related to a given activity are taken into account before the decisions are made (UNEP 2007c). 21 Table 2.2: Defining characteristics of EIA and SEA Environmental Impact Assessment Strategic Environmental Assessment Represents an end and therefore brings closure to an issue or undertaking Leads to a strategy for action and therefore is a means to an end Goals and objectives are predetermined – it therefore predicts the potential outcomes of an already pre-determined option Set in context of broader vision, goals and objectives – it therefore examines strategies to accomplish particular goals and objectives Asks “what are the impacts of our option?” Asks “what is the preferred option?” Forecasts in the sense that it predicts and assesses the likely outcomes of a specific undertaking Back-casts, then forecasts in the sense that it determines a range of options based on a vision, and then forecasts the likely outcomes of each option Reactive Proactive Project specific Not project-specific Narrow focus and highly detailed Broad focus and low level of detail Source: Noble 2000 Using a SEA can contribute to improved decision-making for environmental protection and sustainable development by: Providing broad environmental vision. Incorporating sustainability principles into policy-making process thus ensuring the integration of environmental concerns in development. Enabling the tiering (taking in ascending levels) of environmental sustainability and ensuring an integrated approach to policy, planning and programming. Considering the effects of proposed strategic actions (policy, programme and plan); Supporting the anticipation of impacts that may occur at project level, thereby helping to strengthen the attendant EIA. Identifying the best practicable environmental option. Providing a better context than environmental impact assessment (EIA) for assessing cumulative effects and providing early warning of cumulative effects and large-scale changes. Providing the context for screening lower level environmental decisions, for example those made through EIA. In addition to improving decision making, SEA has several other important benefits. It also provides a mechanism and supports for systematic review of decisions. The clearer and more rigorous definition of the environmental issues and targets supports effective monitoring and evaluation. This can result in the refinement of the strategic concepts in policy, planning and programming. By ensuring transparency and participation, SEA potentially garners greater public support, than other assessment methodologies, for the preferred options or strategies. A number of techniques can be used in SEA; these include scenarios and simulations, forecasting, input-output models, land suitability analysis, geographical information systems, systems modelling, multi-criteria analysis, goal achievement matrices, planning balance sheets, cost-minimization techniques, and sensitivity analysis. 22 Figure 2.3: Application of SEA and EIA Assessment Tools Perceived Need: demand for increase in electricity supply in developing region Vision of Regional Development Plan: Sound environmental and economic growth Goals/Objectives Provide energy sources to meet anticipated increase in electricity demand in an economically feasible and environmentally acceptable manner Targets - Development must start in 6 months - Development complete in 2 years within budgetary limits as outlined in the regional plan - X megawatts required from the project 2. Least negative options Options are evaluated in terms of stated goals, objectives and targets, and assessed against certain criteria that must be met Phase II: Acceptable alternatives identified and evaluated A. Hydro: Mini developments or one large development D. Increased efficiency (existing thermal) - sustainability criteria - acceptable levels of environmental change 3. Desirable options Indicators are selected to determine whether each option satisfies the specified criteria. Phase III: Acceptable alternatives identified and evaluated A. Hydro: mini development D. Increased efficiency (existing thermal) X. Combination of A and D Phase IV: most desirable alternative A. Hydro – mini development EIA of strategic decision: alternative locations and technical design; likely impacts (detailed); mitigation measures for unavoidable negative outcomes; proceed with project or not; monitoring scheme NON-STRATEGIC Phase I: Basic alternative means identified and evaluated A. Hydro B. Wind Power C. Nuclear D. Increased efficiency of existing source (thermal) E. Try to reduce demand STRATEGIC 1. Proposed options The Figure shows that SEA and EIA play complementary roles in the assessment process. Given the strategic nature of SEA it is an appropriate tool for establishing the most desirable development option to meet desired goals or objectives. However once this choice is made, the strategic decision should be subject to an EIA to help design appropriate projects. Source: Noble 2000 23 If SEA is to yield good results, then it requires rigorous policy analysis and inclusive policy processes. In addition it needs to be an integral part of the policy-making process. Successful SEA includes: Examining and assessing––rather than simply justifying––the policy in question. Identifying and rigorously evaluating the different options. Applying simple––but strategic––assessment methods such as sustainability assessment. Involving the public and ensuring that the views of the stakeholders are considered. Effectively communicating with the stakeholders to maximize support for the SEA process and outcomes. Guidance 4 Identify countries within the sub-region that have applied SEA to the development of polices, plans and programmes. Draw upon the documented experiences of these applications to distil emerging lessons and good practices, particularly where SEA has been applied to environmental mainstreaming. Consider developing a policy analysis case study on SEA. POLICY TOOLS Policy tools are instruments used to ensure the successful implementation of policy. They are designed to evoke desired changes––including in the behaviour of natural resource-users, consumers, industrialists, and traders––to ensure successful policy implementation. The choice of tool will vary from context to context. Often, the use of one tool will be insufficient to induce behaviour change and a combination of tools may be necessary to achieve the desired outcome. Policy tools can reflect policy-makers’ ‘world views’ on development. For example, marketdriven societies may emphasize market-based tools. The choice of tool depends on the question being asked. Table 2.3 identifies some categories of tools used in policy analysis and the purposes that they serve. Some well-known categories of policy tools are discussed below. Within each of these broad categories specific tools are used. For example process analysis may include, among others, stakeholder analysis and problem tree analysis. The choice of tools may be the result of social and political negotiation. Some factors in determining appropriate governance tools are discussed in Box 2.2. Table 2.3: Some policy analysis tool categories 24 Tool category Purpose Process Analysis Understanding the dynamics of policy making Evaluation or impact analysis Determining the consequences of policy application Outcome analysis Assessing the extent to which the expected outcomes have been achieved and determining the types of unanticipated outcomes. Monitoring or implementation analysis Determining how the policy is performing in staying the course towards the expected outcomes Box 2.2: Selecting effective governance tools  Identifying and selecting appropriate tools for effective and responsive governance systems can be challenging. The following should inform the selection:  It is important to avoiding the ‘one-size-fits-all’ approach: - New laws and policies only contribute to improved governance when appropriate management systems for implementing them are developed. This may involve creatively coupling modern resource management regimes with traditional management systems. - Understanding experience in Africa, and elsewhere, is critical for determining appropriate governance systems. Lessons from water governance programmes in Asia and SouthEast Asia, for example, indicate that while in some situations centralized management regimes work best, in others success is best achieved through decentralized management regimes (Hirsch and others undated). Such lessons deserve careful consideration given the urgent need for adequate water governance in Africa.  The specifics of the African context need to be taken into account. For example, region-wide governance needs to taken into account the fact that Africa has over 50 international river basins, shared by two or more countries (UNEP 2006a)  Understanding the complex interlinkages between governance and environmental change is essential if governance systems are to contribute to achieving desired outcomes. For example, many existing land-tenure regimes compel more and more poor people to base their livelihoods on already fragile ecosystems, consequently exacerbating degradation and human vulnerability. When the government opts not to address such structural causes of land degradation and instead blames the victim (in this case the land dependent poor) then a moral failure can be said to have occurred. Source: UNEP 2006a; Hirsch and others undated Incentives Incentives are behaviour-moulding policy tools, which serve as either ‘carrots’, such as subsidies, or ‘sticks’, such as taxes. Incentives are applied to evoke compliance with policies. Although different types of incentives can produce the same desired outcomes, the distributional effects of those outcomes can be different. For example, a tax on pollution and a subsidy to reduce pollution may result in the same final pollution level, but in the first instance (tax) the cost is borne by the polluter and in the second case (subsidy) by the public sector. This is illustrated using the hypothetical example in Box 2.3. Box 2.3: Using incentives to achieve desired outcomes In the table below the pollution damage from burning coal and the value of energy associated with it are measured in US dollars. Using a monetary measure helps quantify the impact of domestic heating with coal on human and environmental health. If the policy intent is to promote the most socially and environmentally efficient use of coal as well as achieve the highest social surplus, then policies which encourage the use of the 6kg package are most beneficial. The benefit achieved is the value of the energy produced less the pollution damage divided by the number of kilogrammes /package. When consumers are not environmentally conscious they are likely to opt for the 10 kilogramme (kg) packages of coal, as it has the lowest financial cost/kilogramme to them. The use of incentives can help adjust consumer behaviour. 25 Use of coal and Illustrating application of incentives as a policy tool Quantity of coal (kg) Value of energy (US$) Cost of coal (US$ per kg) Tax to compensate for pollution damage (US$/kg of coal) Pollution Damage (US$) Social surplus (US$) 1 15 15 10 10 05 2 30 15 20 10 05 6 66 11 30 05 06 10 100 10 50 05 05 Source:Adapted from UNDP (2002). Draft Virtual Development Academy (VDA) Training Module on Environment. Energy and Environment Group, UNDP, New York. If the government desires to encourage the consumption of the 6 kg package of coal it must set a kilogramme tax that matches the average damage from pollution. That tax is US$5/kg for 10kg of coal, US$5/kg for 6 kg, US$10/kg for 2 kg, and US$10 for 1 kg (see column 5). The rationale is to force consumers to pay for the cost of pollution that their consumption produces. If the consumers do comply with the use of the 6 kg package, the tax revenue to government is US$30 per consumer. The same outcome can also be achieved through a subsidy. In this case the government has to subsidize producers by paying them enough to make it worth their while not to provide the 10 kg package of coal. This, of course, is only possible if no other costs are incurred by producers in providing the preferred package. What the producer receives is, therefore, the value of the product. Inevitably, government has to transfer US$34 to subsidize each producer––that is the difference in the value of energy between the 10 kg package and the 6 kg one––to motivate the supply of the 6 kg package of coal instead of the 10 kg one. The distributional effects of the tax and subsidy options are, of course, different: In the producer subsidy, coal miners gain and the government loses tax revenue. In the tax case, the government gains revenue but consumers are hurt. Source: Adapted from UNDP 2002 Direct controls Direct controls are legally enforceable measures that impose an obligation on individuals and organizations to undertake certain activities in order to achieve defined policy objectives. Typically, such measures are provided for in laws, regulations, and standards and include a penalty for failing to comply. Examples include: Obligatory target levels, such as those provided for in pollution legislation. Specified activities, such as the obligation to purify industrial effluent prior to its discharge into public waters. 26 Empowering and enabling resource users Policy tools that empower resource users may encourage behaviour that contributes to meeting environmental and development goals. For example: When natural resource use options are increased there may be a corresponding increase in the value attributed to conservation. In these circumstances users may invest more in securing and protecting natural resources. More secure property rights may enable the emergence of a market and help promote trade. This potentially contributes to increased local earnings from natural assets. For example, the emerging payment for environmental services (PES) market could diversify local opportunities and increase conservation efforts. Promoting education, information sharing and communication This cluster of tools is intended to evoke behaviour change by increasing understanding that contributes to a change in values. The underlying assumption is that undesirable behaviour is the result of a lack of information and understanding. If this assumption is correct then providing information about the consequences of specific actions may contribute to behaviour change. Education programmes can increase appreciation for––and thus the value attributed to––the environment and natural resources. In turn this may encourage more environmentally-friendly behaviour. Farmers, for example, may be encouraged to modify their waste management practices if they know that these practices are likely to result in contamination of the lake, especially where this contamination is likely to impact on their own activities such as recreation, fishing and water extraction. Similarly, they may change soil conservation or pest management practices if extension programmes promote more efficient and inexpensive alternatives. Naming-and-shaming––the disclosure of information about activities of groups, companies, or individuals that create environment risks––can be an effective strategy for inducing behavioural change. Negative publicity comes with costs, for example damaging public image and reducing demand for their products or services their products and thus most actors will opt to change their behaviour rather than face ongoing costs. Naming-and-shaming can include publishing a list or establishing a website with the names of firms that generate the most pollution. Improving governance There is a growing body of evidence––from local to international levels––that suggests that poor governance is often at the root of environmental problems. The inability of a government to enforce existing laws and policies, for example, may effectively allow the more powerful to degrade the environment with impunity. In the worse case scenario, powerful groups with vested interests may deliberately pervert democratic and legislative processes. For example, they might prevent the institutionalization of the widely accepted principles of participatory democracy, efficiency, transparency, accountability, and the rule of law into resource governance and management. This can reduce the ability of governments to respond efficiently and effectively to problems that affect the poor and the environment. Unless countervailing power emerges and is applied to counteract such negative vested interests, desired policy outcomes may be sabotaged––for example through ‘policy capture.’ In this context, empowerment tools may be useful in ensuring greater inclusiveness and equity in policy making. Tools for improving governance include empowerment measures, such as measures for increasing civil society participation. This can result in better outcomes for local people (Jäger and others 2007) as well as more responsive public policy (Box 2.4). 27 Box 2.4:Empowered civil society organizations are good advocates for positive environmental action Active civil society groups can help encourage greater government responsiveness to environmental issues. Increasingly in Africa, through well-conducted lobbying and advocacy, civil society actors are compelling governments to become more responsive to environmental concerns. A wellknown example is the advocacy role played by the Green Belt Movement in Kenya in making the Kenyan Government more responsive to the problems of deforestation. The Green Belt Movement––founded by Nobel Peace Prize laureate Professor Wangari Maathai––has planned an important role in advocacy and action, for example creating over 600 community networks which care for over 6000 tree nurseries (Green Belt Movement 2006). Creditable environmental information––including that provided through integrated environmental assessment––supports successful advocacy. For example in the United States of America, Rachel Carson’s seminal publication, the Silent Spring, helped trigger the remarkably sudden rise of the environmental movement, which resulted in the formation of the USA Environmental Protection Agency (EPA) and the rapid enactment of laws that became the foundation for national efforts to clean our air and water (Michael 2003). Source: Green Belt Movement 2006, Michael 2003 Guidance 5 (a)Assess the extent to which civil society engagement in policy-making processes is contributing to improved environmental governance and hence better management of the natural assets. (b)Identify the challenges that face civil society organizations (CSO) in the sub-region in playing this role. (c)Use best practice examples to identify opportunities. (d)Suggest ways of dealing with the challenges. Guidance 6 (a)Identify the variety of policy tools used in the sub-regions and the attendant consequences ––positive and negative––for livelihoods and the management of the natural resources. (b)Analyse experiences in specific natural resource management areas, such as forests and freshwater, to discern the extent to which Africa’s desires for collective self-reliance, good governance, and sustainable development are being translated into environmental policy and legal frameworks. POLICY OUTCOMES In general a policy outcome refers to the anticipated, long-term, and sustained change that a given policy is expected to have. However policies may also have unintended––positive or negative–– outcomes. 28 An outcome refers to a change in individual or institutional behaviour or practice, and includes changes in social, environmental and environmental sectors. It can be distinguished from an impact. An impact refers to an effect that is experienced as a result of a given practice. Some examples of intended or desired outcomes are discussed below. Behaviour changes Policy may help modify a range––institutional and individual––of behaviours including, for example, changes in production and consumption patterns. Other desired behaviour changes could relate to reducing risky behaviour such as the use of protective wear by farmers or farm workers when applying insecticides. Behaviour changes may be the result of single or multiple policies and actions. For example, although the adoption of environmentally-friendly technologies, such as soil conservation methods, may be an outcome that can be ascribed to a specific policy, often it is related to the emergence of a generally favourable macro-economic policy environment. Resource reallocation Resource reallocation entails changes in how natural, financial, and other resources are distributed. This may include, for example, changes in income distribution patterns as a result of increasing social equity or the legal reform in the allocation of land or other resources. Diverting water from low-value to high-value crops with similar demands for water in situations, especially where communities or countries are experiencing scarcity of irrigation water, is a good example of a reallocation outcome. Changing the proportion of water allocated to competing end uses such as agriculture, industry, and ecological services may be required to more effectively meet social and environmental needs where there is water scarcity. Another example of resource reallocation is economically motivated land-use change. In some African countries, land has been reallocated from coffee to banana production or from cotton to sesame production given changing profitability related to new macro-economic situations (see for example Blake, McKay, and Morrissey 2002). Resource and capital augmentation Resource and capital augmentation refers to the expansion of economic opportunities arising from policy measures. For example when environmental policies intended to reduce pollution also contribute to improved environmental quality and hence enhance natural capital. Similarly, a policy supporting increased expenditure in the public-sector extension service may enable public health workers promote educational measures to improve water-use efficiency and water quality, both of which also enhance human wellbeing and capacity to be productive in the economy. Figure 2.1 provides some illustrative examples of potential environmental impacts associated with certain economic policies. 29 Figure 2.4: Economic policy and potential environmental impacts - GOVERNMENT EXPENDITURE Publicly-funded agencies can protect biologically unique areas. Public infrastructure (roads, dams) may encourage land uses that degrade fragile areas. TAXES & SUBSIDIES Instruments in one sector may impact on practice in another: UÊ ViÊÌ>ÝÊLÀi>ÃÊ>ÞÊi>`ÊÌÊÃ«iVÕ>ÌÊÊ>`Ê>`Ê conversion of natural resources. UÊ ¼*ÕÌiÀÊ«>ÞÃ½ÊÌ>ÝiÃÊ>`ÊÕÃiÀÊviiÃÊV>ÊÀi`ÕViÊÜ>ÃÌiÊ>`Ê pollution. MACRO MONETARY Ties credit analogues to subsidies. Ài`ÌÊÀ>Ì}Ê>`ÊÌiÀiÃÌÊÀ>ÌiÊiÃÊ>ÞÊÀi`ÕViÊì>`ÊLÕÌÊV>Ê also discourage conservation investment. EXCHANGE RATE Devaluation increases prices of imported inputs (such as pesticides, }}}ÊiµÕ«iÌ®]ÊÜiÊVÀi>Ã}Ê«ÀvÌ>LÌÞÊvÊiÝ«ÀÌÃÊÃÕVÊ>ÃÊ VÀ«ÃÊ>`ÊÌLiÀ®°Ê/iÊ>ÌÕÀiÊvÊÌiÊÀiÃÕÀViÃÊ>`Ê«À`ÕVÌÊÕÃi`ÊÜÊ effect environmental impactsa.. /, /" TRADE />ÝiÃÊ«Ãi`ÊÊ«ÀÌÃÊ>`ÊiÝ«ÀÌÃÊ>`Ê>ÀiÌÊµÕÌ>ÃÊ>Þ\ UÊ >ÛiÊÃ>ÀÊivviVÌÃÊÌÊìÛ>Õ>ÌÊLÕÌÊÊÃiiVÌi`ÊV`ÌiÃÊ only; and UÊ >ÌiÀÊÀi>ÌÛiÊÀiÌÕÀÃÊÌÊiÛÀiÌ>ÞÊìÃÌÀÕVÌÛiÊÛiÀÃÕÃÊ benign products CAPITAL CONTROLS When used to prop-up over-valued currency, it has similar effects to ÌiÊÀiÛ>Õ>ÌÊvÊiÝV>}iÊÀ>Ìi° *, Ê " /,"- May stimulate or retard environmentally damaging production. This depends on the nature of resource and products affected. /8Ê-1-- Usually indirect impact via changes in demand, but may alter choices of inputs and outputs: UÊ ViÌÛiÊÃÕLÃìÃÊvÀÊÛiÃÌVÊ«À`ÕVÌÊ>ÞÊ«ÀÌiÊ deforestation. UÊ iÀÌâiÀÊÃÕLÃìÃÊ>ÞÊÀiÌ>À`ÊÌiÊÊ>««À«À>ÌiÊ«VÞÊÀiÃ«ÃiÃÊ or may increase negative health effects of agro-chemical run-off MACRO Source: Bishop and others 1991 30 Guidance 7 Identify the main policy outcomes pursued in a sub-region for selected natural resources and the extent to which they have been realized. Where the outcomes have not been realized, use available policy benchmarks and monitoring indicators, if any, to determine the types of outcomes and the reasons for these. POLICY FAILURE Policy failure occurs when desired policy outcomes are not achieved or when a policy has unintended negative consequences. Policy failures occur under a range of circumstances, including when: A policy––including economic (regulatory instruments, fiscal measures, exchange rates, monetary, pricing policies, income policies) and environmental policies–– distorts the private cost of environmental resource use, effectively making it rational to misuse or damage this social heritage (Opschoor, de Savornin Lohman, and Vos 1994). Examples include: - Policies in non-environmental sectors which take insufficient account of ecological or environmental considerations. - Environmental and natural resource policies that inadequately address the social and ecological repercussions of economic activity within, for example, a forest or a wetland. Public policies required to correct for market failure either over- or under-correct (Barbier, Bishop, Aylward, and Burgess 1992). A moral failure occurs when the obligation holder––such as the government––fails to protect those who become vulnerable to the negative consequences of its policy actions or inactions (See Box 2.2). Guidance 8 Select specific sub-regional policies––such as those adopted by the Southern African Development Community (SADC),the Economic Community of West African states (ECOWAS), or the Economic Community of Central African states (ECCAS) –– and examine their performance to identify and analyse cases of policy failure. Specify the types of resources and population groups most adversely affected and the nature of lost opportunities, if any. MARKET FAILURE Market failure occurs when the market––as an institution––fails to allocate resources in the best interest of society. From a sustainable development perspective the impact on this generation and on future generations needs to be considered. Markets failure may be said to occur when market outcomes do not fully reflect environmental values. Two forms of market failure are evident: First, the failure of emerging markets to address the environmental effects of economic activities. Second, the failure of the existing markets to operate efficiently. This may have internal and external dimensions. When the failure is linked to the nature of the goods exchanged, the structure of supply, the dynamics of the market and lack of information, it is described as internal market failure. When failure is linked to externalities, it is described as external market failure. 31 Several factors may contribute to market failure; these include open-access resource exploitation, public environment goods, externalities, incomplete information, poorly developed markets, and imperfect competition. (Barbier and others 1992). The concept of market failure can be used either as a normative or as a diagnostic tool. As a normative tool it provides explanation of why the need for government intervention arises. When applied as a diagnostic tool, it is used to determine the precise scope and nature of the proposed intervention. A cautious approach to using it should be adopted as market failure diagnostics can lead to generalizations that are not necessarily supported by facts (Zerbe and McCurdy 1999). In applying it as diagnostic tool, there must be clear identification of the type of the problem giving rise to the market failure and of potential non-market failures, such as bureaucratic malfunctions that are likely to occur if public corrective measures are adopted (Zerbe and McCurdy 2000). Guidance 9 Assess how market liberalization policies and implementation systems are performing, focusing on their impacts on environmental goods-and-services as well as on human well-being. Consider comparing the success of different approaches through case studies as this can: Yield valuable lessons on the merits and challenges of market liberalization for natural resources management (see for example Abaza. and Jha 2002). Help determine when and where policy intervention to achieve environmental and development objectives are necessary. ADMINISTRATIVE FAILURE Administrative failure occurs when the organizational and institutional structure of government contribute or lead to the inadequate or poor implementation of policy. The ability of public officials to implement policy may be affected by diverse factors at multiple levels of government. These factors include the availability of funds, human resources, skills in particular areas, and appropriate knowledge and information. Institutional factors––including how government officials relate to each other and with the public––also impact on delivery. Other institutional factors resulting in administrative failure include: Interlinked and dynamic approaches are difficult to implement due to an overly rigid organization structure. Examples include entrenched sectorial division of responsibility and poor integration between agencies and departments. Policy objectives can not be realized due to insufficient instruments or mandates. Policy implementation is hampered by a lack of instruments or powers. Diverse environmental strategies and plans are poorly harmonized. Guidance 10 Assess the performance of sub-regional organizations –– such as the East African Community (EAC), SADC, ECCAS and ECOWAS –– in promoting sustainable development: (a)Establish the extent to which administrative failures have impaired the implementation of subregional environmental policies, especially the prospects for seizing emerging opportunities to use natural assets to promote trade and development. (b)Discern the extent to which structural and managerial arrangements have helped or impaired the accomplishment of the sustainable development vision. 32 (c)Identify lessons to support these organizations provide more effective support to AMCEN in promoting development that is sustainable. POLICY CAPTURE Policy capture occurs when intended policy outcomes are compromised by dominant interests groups. Power, governance and institutional systems, and rights are all important factors shaping the ability of groups to undermine delivery of desired policy outcomes. Poverty, gender, education, access to financial and other resources, and location shape the power that individuals and groups have. Policy capture can take at least three forms: First, the resources intended for particular groups or regions may be intercepted and appropriated by powerful or other well-placed actors (Johnson and Start 2001). Second, policies and rights may be structured in ways that contradict the interests of the environment, the poor, and the most vulnerable in society (Johnson and Start 2001). Third, powerful external interests that are likely to lose from the implementation of the policy can endeavour to make the policy ineffectual. Policy capture often results in an entrenchment of existing relations and rights. Box 2.5 provides an example of policy capture. The risk of a policy capture should be considered at policy design phase as well as in designing the policy implementation strategy and action plan. Successful policy requires successful implementation, but this can be undermined by policy capture. Understanding the potential for policy capture and proposing strategic actions to avert capture can make an effect whether or not a policy delivers. Box 2.5: Policy Capture – subverting forest tenure reforms Guidance 11 Focus on specific national or sub-regional policies that make policy capture possible. Identify circumstances where deliberate policy capture has occurred. Analyse the processes, capture tactics and consequences for livelihoods and environmental sustainability 33 VULNERABILITY Vulnerability may be defined as the degree to which a system, subsystem, or system component–– such as the human-environment system, a community, or family––is likely to experience harm due to exposure to hazards, either a perturbation or stress (Turner and others 2003). Vulnerability is an intrinsic characteristic of a system that is always present, including during times between hazardous events. Determining vulnerability means asking what would happen if certain event(s) impacted particular systems or subsystems at risk (e.g. a community) (Thywissen 2006). The extent of vulnerability is revealed during exposure to a hazard. The extent of vulnerability is combination of three factors ((Jäger and others 2007; Taylor and others 2003; Figure 2.5): 1. Exposure to hazards by a system at risk. 2. Sensitivity of the system to impacts from exposure. 3. Resilience ––including coping and adaptive capacity–– of the affected system. Figure 2.5: Vulnerability is a product of exposure, sensitivity and resilience Exposure Sensitivity Components Human Conditions e.g. individuals, households classes, firms, states, flora/fauna ecosystems social/human capital & endowments (e.g. population, entitlements, institutions, economic structures) Characteristics e.g. frequency, magnitude, duration Resilience Coping response Impact/response (e.g. extent programmes, policy, autonomous options) (e.g. loss of life, economic production, soil, ecosystem services) Environmental Conditions natural capital/biophysical endowments (e.g. soils, water, climate, minerals, ecosystem structure & function) Adjustment & adaptation/response (e.g. new programmes, policy, & autonomous options) The figure shows the details of the exposure, sensitivity, and resilience components of the vulnerability framework. Source: Taylor and others 2003 The extent of exposure is affected by the nature of the hazard, its magnitude, and population patterns (Figure 2.5). Hazards include events such as drought, floods, hurricanes as well as changes in the severity and magnitude of such events. Socio-economic factors such as conflict, extreme price fluctuations, and economic collapse may also place stress on a given system (Jäger and others 2007). The nature and extent of exposure is affected not only by the magnitude of the event but also by the population patterns. 34 The sensitivity of the system to impacts from exposure is influenced by many factors including proximity, poverty, and environmental conditions. Entitlements, diversity in coping capacity, and resilience are important factors to determine the system’s degree of sensitivity to perturbations or stressors (Taylor and others 2003, Figure 2.5). Entitlements refer to legal and customary rights to exercise command resources such as food and other necessities of life. Resilience refers to the ability of a system or subsystem to bounce back to a reference state after disturbance and its capacity to maintain certain structures and functions despite disturbance. This depends on factors such as education, insurance, access to resources and the ability or inability to cope or adapt (Jäger and others 2007). Copying capacity is the degree to which adjustments in practices, processes or structures can moderate or offset the potential for damage or take advantage of opportunities (UNEP 2007c). Adaptive capacity refers to the ability of a system, region, or community to adapt to the effects or impacts of a particular set of changes (UNEP 2007c). If policy is to be forward-looking––and not only reactive––then it is important to identify who is at risk and why. Vulnerability analysis is a valuable tool to show the unequal distribution of risks for specific groups; among the most vulnerable are poor people, women, children, refugees and other displaced peoples (Jäger and others 2007). Vulnerability analysis must be grounded in understanding of the stress or hazard, and therefore necessarily relies on scientific analysis of environmental states-and-trends as well as on analysis of the social context including economic, technology, health, conflict, and other circumstances. Vulnerability analysis also needs to take account of the complex, dynamic, and multi-dimensional nature of the overall context in which vulnerability is experienced. At any given point in time a given system (such as a community) is subject to more than one stress. Additionally, factors shaping vulnerability differ across spatial and temporal frames and include local realities, social and economic trends, shocks, and seasonal changes. In researching and analysing human vulnerability to economic and social change an eight-step methodology can be used (Polsky and others 2003). Figure 2.6 illustrates this methodology. Figure 2.6: Eight-step methodology for vulnerability analysis 1 3 5 7 Select people and places carefully Hypothesize who is vulnerable to what Find indicaators for the components of vulnerability Project future vulnerability UÊ VÃiÊÃV>i UÊ ÃiiVÌÊÃÌ>iìÀÃ UÊ ìÌvÞÊ«i«i UÊ ìÌvÞÊ`ÀÛiÀÃ UÊ UÊ UÊ UÊ UÊ iÝ«ÃÕÀiÊ`V>ÌÀÃ UÊ ÃiÃÌÛÌÞÊ`V>ÌÀÃ UÊ >`>«ÌÛiÊV>«>VÌÞÊ `V>ÌÀÃ UÊ VÃiÊÃVi>ÀÃ UÊ ÀÕÊì 2 4 6 8 Get to know places over time Develop a causal model of vulnerability Weight and combine the indicators Communicate vulnerability creatively ìÃVÀLiÊv>VÌÀÃ ìÃVÀLiÊ«>ÌÜ>ÞÃ iÝ>iÊ>`>«Ì>Ì vÀ>âiÊÌÊì UÊ VLiÊÀ}ÀÕÃÞ UÊ Ài«ÀiÃiÌÊÀiÃÕÌÃ UÊ Û>`>ÌiÊÀiÃÕÌÃ ÀiÛiÜÊÌiÀ>ÌÕÀi VÌ>VÌÊÀiÃi>ÀViÀÃ Ã«i`ÊÌiÊÊvi` iiÝ«ÀiÊi>ÀLÞÊ>Ài>Ã steps prior to modeling UÊ UÊ UÊ UÊ UÊ LiÊÀ}ÀÕÃÊ>LÕÌÊ ÕViÀÌ>ÌÞ UÊ ÌÀÕÃÌÊÃÌ>iìÀÃ UÊ ÕÃiÊÕÌ«iÊi`> steps tha involve modeling This figure shows details of the exposure, sensitivity, and resilience components of the vulnerbility framework.These eight analytical steps should be performed sequentially. However in practice, research and assessment will often be characterized by overlaps and iterations. The spiral above the steps depicts fluidity in and unpredictable nature of the research and assessment process. Source: Polsky and others 2003 35 Because the aspects of vulnerability are affected by policies, vulnerability can also be considered as an unintended policy outcome. The enhancement of adaptive capacity represents a practical means of coping with changes and uncertainties, and therefore in reducing vulnerabilities and promoting sustainable development (UNEP 2007c). For example, a well-implemented disaster prevention and management policy can contribute to increasing coping capacity and overall resilience. At the subregional level, the impact of institutional innovations such as the Indian Ocean Commission (IOC) on vulnerability and enhanced adaptive capacity can be evaluated. Given the vulnerability of local populations to environmental hazards such as floods, cyclones and drought vulnerability analysis can play an important role in understanding the impacts of environmental change, as well as developing meaningful responses (See, for example, UNEP 2004). Hazards may be the result of natural phenomenon as a result of natural or human factors, for example climate change and the style of development management adopted (See Box 2.6). Box 2.6 Climate change and Vulnerability in Africa: Effective response; Adaptation and mitigation Guidance 12 Assess the impact of the policy environment on vulnerability, in particular the extent to which policies minimize or exacerbate vulnerability. Use specific cases to highlight circumstance where: (a)The policy void contributed to increased vulnerability and/or foreclosed capacity development for effective response. (b)Good policies enabled the strengthening of coping and adaptive capacity, and resilience. 36 3 CHAPTER IDENTIFYING AND REVIEWING POLICY ISSUES People, opportunities, or the environment? Lake Malawi––shared by Malawi, Mozambique, and Tanzania––is home to over 600 fish species and supports many livelihoods, from fisheries to tourism. A fisher prepares his nets. Source: Vidar Kristiansen In this Chapter, five broad guides to assess policy are provided:  The concept of sustainability is explored and methods for assessing the sustainability of policy and programmes are discussed.  The links between achieving the MDG targets, the objectives of NEPAD-EAP, and environmental sustainability are demonstrated.  The interaction between policies at different spatial levels and their impact on opportunities is identified.  Tools for making strategic choices are discussed.  The centrality of human capacity in policy implementation is considered. UNDERSTAND THE SUSTAINABILITY–POLICY MAKING LINKS The concept of sustainability is closely related to that of sustainable development (Chapter 2). Sustainablity refers to a characteristic or state, in which the needs of the present and local population can be met without compromising the ability of future generations or populations in other locations to meet their needs (UNEP 2007c). Sustainability is not a fixed endpoint that can be defined, but a characteristic of dynamic systems that maintain themselves over time (Esty, Levy, Srebotjnjak, and de Sherbinin 2005). Determining whether existing paths of development are sustainable is important for evaluating policies and for making choices for the future, including setting priorities and undertaking policy revision. Approaches to sustainability vary across regions and across countries, but are critically important as they inform and shape decision making and thus environmental and human opportunities. 37 Two models of sustainability––weak sustainability and strong sustainability––are widely used to illustrate when policy and practice are sustainable (Figure 3.1a and b). Both these models recognize that relationships between society, environment, and economy are important in assessing sustainability, but perspectives on what the balance between these aspects should be differs. The most common graphic depiction of the sustainable development concept depicts weak sustainability (Figure 3a). Its point of intersection––also known as triple bottom line–– represents the rare situation of harmonious relationships among the three dimensions of sustainable development. This model treats economics, society, and environment as three distinct, separate, and often competing areas. In contrast, strong sustainability approaches treat these elements as nested in each other: economy is just one activity of human society and the sustainability of society is based on a well-functioning environment (Figure 3.1a). These different approaches to sustainability have important implications for decision making and in particular whether an integrated approach to development is pursued or if decision making is based on a hierarchy of priorities (Parliamentary Commission for the Environment 2002) Figure 3.1: Sustainability Economy Environment Society a) Weak sustainability: The economy, society, and the environment are competing sectors and activities in one sector require tradeoffs with the overlapping sectors. The point of intersection represents harmonious interaction between the three dimensions of sustainable development. Economy Environment Society b) Strong sustainability. This model recognizes that the economy only exists in the context of a society, and that there are other important aspects of society that do not involve economic activity. And, both society and the economy are totally constrained by the Earth’s natural systems. The economy may expand or contract, and society’s expectations and values may change over time, but to function in a sustainable human activities must not exceed the capacity of the biosphere. 38 Source: Parliamentary Commission for the Environment 2002 In the weak sustainability model, where two dimensions interface, some trade-offs occur (Parliamentary Commission for the Environment 2002): The environment-economy interface is indicative of the environment’s provision of natural resources, ecosystem services, and other benefits to the economy. It also represents the pressure that economic activities exert on habitats and natural resources, which may result in adverse effects on environmental quality and ecosystem services, or on access to and availability of those resources. The environment-society interface is indicative of the environment’s provision of life-supporting resources and ecosystem and other amenities that are valued by people. It also represents society’s consumption of the products and services provided by environmental resources, and the generation of wastes that are disposed in the environment. The economy-society interface is indicative of how economic conditions determine employment opportunities, living standards, and income distribution. It, among other things, reflects how social conditions influence the quantity and quality of the labour force including skills, knowledge and creativity, and the choices and opportunities available to individuals and groups. Weak sustainability is underpinned by the assumption that environmental and social problems can be solved if the economy is sound. Outcomes of this approach are shaped by a focus on aggregate capital rather than the maintenance of capital in each sector. Maintaining natural capital may not be seen as a priority: “….although natural capital is being depleted, it is being replaced with even more valuable human-made capital and the remaining natural capital is increasing over time in terms of its ability to maintain or enhance human welfare” (Barbier, Burgess and Folke 1994). Development policies and strategies inspired by this understanding of sustainability follow the economic logic of the Environmental Kuznets Curve, which, simply put, proposes that the initial environmental costs of economic growth is reversed later by environmental investments that are enabled by the vibrancy of the economy and greater environmental concern. The validity of this perspective is increasingly contested (see, for example, Schubert and Dietz 2001, Salem and Umana 2003). Figure 3.2 provides one interpretation of the Environmental Kuznets Curve. Figure 3.2 Environmental Kuznet Curves Turning Point Income Environmental Improvement Deterioration Environmental Decay Per Capita Income At low levels of per capita income––such as found in non-industrialized and agrarian economies ––environmental impacts are low (at least for those pollutants associated with industrial activity). As development and industrialization progress, environmental damage increases due to greater use of natural resources, more emission of pollutants, the operation of less efficient and relatively dirty technologies. Priority is given to increasing material output, and there is disregard for the environmental consequences of growth. As economic growth advances life human expectancies increase and environmental quality (cleaner water, improved air quality, and sustained habitats) become more valuable as people make choices about how to spend their incomes. In the postindustrial stage, cleaner technologies and a shift to information and service-based activities combine with a growing ability and willingness to enhance environmental quality. Source: Yandle, Bhattarai, and Vijayaraghavan 39 A consequence of this approach is that economy objectives usually override social objectives in policy making. Environmental and gender considerations are often marginalized in development policy and planning that is informed by such perspectives of sustainability. At best, proposed growth-based poverty reduction strategies and programmes are subjected to Environmental Impact Assessment (EIA) to appease environmental and gender interest groups or other minority groups. In contrast, strong sustainability is characterised by the interdependence of the economy, society and environment (Figure 3.1b). This model illustrates the point that economic activities are driven by societal needs whose satisfaction is dependent on the biophysical system. This form of sustainability treats the economy as one part of human society. A development strategy inspired by a strong sustainability ethos recognizes that natural systems impose constraints on human and economic activities intended to meet livelihood needs. Such an imposition is necessary because (Barbier and others 1994): Some minimum level of biodiversity is essential for ecosystem functioning, maintaining resilience, and preserving the economic opportunities available to future generations. Not all forms of natural capital can be substituted by economic assets. There is uncertainty about threshold effects. Not all damage may be reversible. The potential scale of social costs associated with loss of certain environmental assets is not known. Additionally, a strong sustainability approach recognises that activities in one sector impact on activities in other sectors (Salem, Chenje, and Mohamed-Katerere 2006). Consequently, achieving sustainable development requires a strategic approach, which is long-term in perspective and that integrates environment in to decision making, through among other measures adopting an interlinkages approach (OECD and UNDP 2002, Salem and others 2006). Assessing Sustainability in AEO Assessing sustainability requires integrated or interlinked sets of indicators, or aggregations of indicators into indices, that can represent the complexity of sustainability (OECD and UNDP 2002). Simple sustainability tests can be conducted to determine where countries––judged by the quality of their policies––are located on the weak-strong sustainability continuum. Matrix 1 offers one method for assessing sustainability. Matrix 3.1: Sustainability test of policy, plan or programme ECONOMIC CRITERIA A Policy Policy Policy Policy Policy Policy B C SOCIAL CRITERIA D E F ENVIRONMENTAL CRITERIA G H I 1 2 3 4 5 6 Source:Adapted from National Development Planning Authority/Environmental Protection Agency (2004) Handbook Development Plan Sustainability Appraisal. Accra; NPDC/EPA 40 Within each sub-region, sets of criteria and indicators for the three dimensions of sustainability need to be developed. Criteria define essential elements against which sustainability is assessed and indicators provide a measure to monitor status and changes (Simula 2003). Possible criteria could include: maintaining ecosystem integrity, reducing poverty, enhancing quality of life, and improving social and cultural assets. The rating for each criterion under the three dimensions can be on a scale from 0–5, where: 0 stands for “irrelevant” 1 stands for “works strongly against the aim of sustainability” 2 stands for “works against the aim of sustainability” 3 stands for “being neutral” 4 stands for “supports the aim of sustainability” 5 stands for “strongly supports the aim of sustainability.” A method for the relative weighting of criteria should be agreed. Simple averages can be used to provide an impression of how the country or sub-region is performing in terms of sustainability. See for example the use of simple averages for assessing the extent to which Poverty Reduction Strategy Papers (PRSPs) integrate environment (Bojö and Reddy 2002). If and when the data situation and the analytical capacity warrant, more rigorous assessment of sustainability based on a sustainability index can be undertaken. An example of such an index is the Environmental Sustainability Index (Box 3.1). Models for quantifying trade-offs exist and can be usefully applied if the expertise and facilities exist in the country or the sub-region (See, for example, Antle and others 1993). Box 3.1: The Environmental Sustainability Index The Environmental Sustainability Index (ESI) emphasizes a broad, policy-oriented approach to measuring sustainability. It benchmarks the ability of nations to protect the environment over several decades. The ESI measures sustainability by integrating 76 data sets––tracking natural resource endowments, past and present pollution levels, environmental management efforts, and a society’s capacity to improve its environmental performance––into 21 equally-weighted indicators of environmental sustainability. These indicators permit comparison across the following five fundamental components of sustainability: Environmental Systems; Environmental Stresses; Human Vulnerability to Environmental Stresses; Societal Capacity to Respond to Environmental Challenges; and Global Stewardship. The ESI finds that although economical success contributes to the potential for environmental success it does not guarantee it. The ESI analysis suggests that developing and developed countries face distinct environmental challenges. Developed countries face challenges related to pollution, while developing countries face challenges related to poverty and low levels of capacity. Good governance––including the rigour of regulation and the extent of international policy cooperation––correlates strongly with environmental success. 41 Higher ESI scores suggest better environmental stewardship Source: Esty and others 2005 Guidance 13 Establish the forms of sustainability that underpin the pursuit of sustainable development in a country or sub-region. Determine the effectiveness of existing inter-sectorial collaboration especially mechanisms designed to promote coherence between sector policies. Highlight, if possible, the manner in which trade-offs between economic, social and environmental considerations have been dealt with these. UNDERSTAND THE MDG–NEPAD ENVIRONMENT ACTION PLAN LINKS For the AEO to effectively assess existing policy and to provide relevant information for developing more effective policy, the assessment needs to be based on an understanding of Africa’s priorities and goals. Foremost among these goals are the Millennium Development Goals (MDGs) and those of the New Partnership for Africa’s Development (NEPAD) Environment Initiative, as capture in its Environment Action Plan (NEPAD-EAP). The World Summit on Sustainable Development (WSSD) focused global attention––and commitment ––on strengthening opportunities for achieving the MDGs. The Johannesburg Plan of Implementation (JPOI) adopted at WSSD calls on governments to exercise social and environmental responsibility in promoting productive activities aimed at economic growth and poverty reduction. Also at the WSSD, the United Nations identified five priority areas––Water, Energy, Health, Agricultural and Biodiversity (WEHAB)––in which progress is possible with the resources and technologies available today (UN 2002). There is also a high degree of complementarity between these priority areas and the programme areas of the NEPAD-EAP. 42 Recognizing the importance of the MDGs for Africa, NEPAD decided that its partnerships should be linked to the MDGs and other development goals and targets (NEPAD 2001). Table 6 illustrates some of the linkages between the NEPAD-EAP programme areas and the MDGs, focusing specifically on the MDG 7 targets. It also shows how these are related to the AEO themes. Figure 3.3: AEO Themes-NEPAD Environment Action Plan- MDG 7 link H LAND U M Combating land degradation, drought and desertification ATMOSPHERE A Combating climate change in Africa N By 2020 to have achieved a significant improvement in the lives of at least 100 million slum dwellers T programmes and reverse the loss COASTAL & MARINE ENVIRONMENTS M E BIODIVERSITY T S policies and Prevention, control and management of invasive alien species L N into country FRESHWATER T E development Conserving Africa’s wetlands E FORESTS & WOODLANDS principles of sustainable ENERGY S Integrate the Conservation, sustainable use and management of freshwater, coastal and marine resources Cross-border collaboration and natural resource management of environmental Halve by 2025 the proportion of people without sustainable access to safe drinking water resources Source: The poverty-environment nexus The relationship between poverty and environment is complex, non-linear, and evident at multiple scales. There is a now an extensive body of literature that addresses the povertyenvironment nexus (see for example DfID and others 2002, publications from the multi-partner Poverty Environment Network (PEN), and UNEP-UNDP Poverty Environment Initiative). Adopting and implementing policies and programmes that acknowledge these complex interlinkages between poverty and the environment is an effective way to enhance opportunities for using available resources more effectively so that they contribute to improving human well-being and achieving development that is sustainable (Salem and others 2006). Table 3.1 identifies some such linkages between the environment and the MDGs. 43 Table 3.1: Some environment-MDG links MDG 1. Eradicate extreme poverty and hunger 2. Achieve universal primary education 3. Promote gender equality and empower women 4. Reduce child mortality 5. Improve maternal health 6. Combat major diseases 7. Ensure environmental sustainability Examples of Links to the Environment Livelihood strategies and food security of the poor often depend directly on healthy ecosystems and the diversity of goods and ecological services they provide. Time spent collecting water and fuelwood by children, especially girls, can reduce time at school. Poor women are especially exposed to indoor air pollution and the burden of collecting water and fuelwood, and have unequal access to land and other natural resources. Water-related diseases such as diarrhoea and cholera kill an estimated 3 million people a year in developing countries, the majority of which are children under the age of five. Indoor air pollution and carrying heavy loads of water and fuelwood adversely affect maternal health. Up to one-fifth of the total burden of diseases in developing may be associated with environmental risk factors–and preventive environmental health measures are as important, and at times, more cost-effective that health treatments. Current trends in environmental degradation must be reversed to sustain the health and productivity of the world’s ecosystem Source: DfID and others 2002 Those linkages can be further elaborated on by identifying nation and sub-regional policy issues and strategic actions to enhance both environmental and human health. For example, because water is becoming increasingly scarce, water security is fundamental to achieving the MDGs and attaining the water-related goals of the NEPAD Environment initiative. There are economic, social, and ecological challenges associated with water management. A triad of challenges need to be addressed: Maximize the social and economic benefits from available water resources while ensuring that basic human needs are met and the environment is protected. Ensure equity in access to safe water while reducing the vulnerability of poor people to health hazards associated with water pollution. Ensure the sustainable use and the protection of the natural resource base––in terms of quantity and quality–– so that it can meet the needs of future generations. Table considers the links between the MDGs and water on the one hand and between energy and the MDGs, on the other. It identifies how improved energy and water resources can contribute to the achievement of each of the MDGs. 44 Table 3.2: Links between the MDGs and water and energy Access to water and sanitation Goal Energy Poor water resource management, unsafe drinking water, and poor sanitation are key factors in food insecurity, poor growth, disease, malnutrition and poverty. Eradicate extreme poverty and hunger Energy inputs such as electricity and fuels are essential to generate jobs, industrial activities, transportation, commerce, microenterprises and agriculture outputs. Irrigated agriculture provides a large proportion of the world’s food and irrigation comprises over 70% of overall water use. Teachers are unwilling to live in areas without adequate water and sanitation. Diarrhoeal diseases and parasites reduce attendance and attention at school. Most staple foods must be processed, conserved, and cooked, thus requiring heat from various fuels. Achieve universal primary education Increasing women’s role in decision making to match their responsibilities and a more equitable division of labour are known to help improve water supply, sanitation and hygiene. After dusk study requires lighting. Many children, especially girls, do not attend primary schools in order to carry wood for domestic use. Girls often stay away from school unless there are females-only toilets. Time spent collecting water takes precedence over school attendance and this burden falls largely on girls. Women bear the brunt of poor health and the security risks from lack of private sanitation or washing facilities, and the burden of carrying water. To attract teachers to rural areas electricity is needed for homes and schools. Promote gender equality and empower women Diarrhoea causes 2 million deaths/ year mostly among children Reduce child mortality A healthy pregnancy and hygienic labour practices reduce the risk of maternal illness. Hand washing is simple, yet effective. Improve maternal health Lack of access to modern fuels and electricity contributes to gender inequality. Women are responsible for most household cooking and water-boiling activities. This takes time away from other productive activities as well as from educational and social participation. Access to modern fuels eases women’s domestic burden and allows them to pursue educational, economic and other opportunities. Diseases caused by unboiled water, and respiratory illness caused by the effects of indoor air pollution from traditional fuels and stoves, directly contribute to infant and child disease and mortality. Women are disproportionately affected by indoor air pollution and water- and food-borne illnesses. Lack of electricity in health clinics, illumination for night-time deliveries, and the daily drudgery and physical burden of fuel collection and transport all contribute to poor maternal health conditions, especially in rural areas. 45 Of the global burden of disease, 23% is a result of poor environmental health, 75% of which is attributable to diarrhoea. Combat HIV/ AIDS, malaria and other diseases HIV treatment is more effective where clean water and food are available. HIV-infected mothers require clean water to make formula milk. Water management reduces opportunities for malaria mosquito breeding sites. Clean water and hygiene are important in reducing a range of parasites including trachoma and guinea worm. Good water resource management is a key factor in ensuring environmental sustainability. But, water resources are under stress. Public, private and civil society partnerships can help deliver water and sanitation to the poor. Electricity for communication such as radio and television can spread important public health information to combat deadly diseases. Health care facilities, doctors and nurses, all require electricity and the services that it provides (illumination, refrigeration, sterilization, etc) to deliver effective health services. Ensure environmental sustainability Develop a global partnership for development Energy production, distribution and consumption has many adverse effects on the local, regional and global environment including indoor, local and regional air pollution, local particulates, land degradation, acidification of land and water, and climate change. Cleaner energy systems are needed to address all of these effects and to contribute to environmental sustainability. The World Summit for Sustainable Development called for partnerships between public entities, development agencies, civil society and the private sector to support sustainable development, including the delivery of affordable, reliable and environmentally sustainable energy services. Source: DfID 2004, UN-Energy 2005 Policy actions that benefit poor people and the environment can help meet the goals of the MDGs and the NEPAD Environment Initiative. Table 3.3 identifies some strategic actions that can help meet environment and development goals. This, and other similar analyses, can be used in the assessment process to identify policy issues to be considered at the national and sub-regional level. 46 Table 3.3: Strategic Actions to benefit the environment and the poor Improve Governance Build the assets of poor people Improve the quality of growth Integrate povertyenvironment issues into national development frameworks Strengthen decentralization for environmental management Strengthen resource rights Integrate povertyenvironment issues into economic policy reforms Increase the use of environmental valuation Empower civil society, in particular poor and marginalized groups Address gender dimensions of povertyenvironment issues Enhance capacity to manage the environment Expand access to environmentally sound and locally appropriate technology Reduce environmental vulnerability Encourage appropriate private sector involvement Implement pro-poor environmental fiscal reforms Strengthen anti-corruption efforts to protect the environment and poor people Reform international and industrial country policies Improve international and industrial country trade policies Make foreign direct investments more pro-poor and proenvironment Improve Multilateral Environmental Agreements-poverty reduction links Encourage sustainable consumption and production Improve effectiveness of development cooperation and debt relief Reduce environmentrelated conflicts Improve povertyenvironment monitoring and assessment Source: Based on DfID and others 2002 Guidance 14 Assess–– in the light of environment-MDG link ––the extent to which: (a)Knowledge and understanding of the poverty-environment linkages has informed policies and strategies on income and food security, sustainable energy, and other sustainable development issues in a sub-region. (b)Knowledge and understanding of the gender-environmental linkages has influenced policies on sustainable energy and water development in a sub-region. (c)Knowledge and understanding of environment-health linkages has influenced interventions related to irrigated agriculture and the reclamation of wetlands. 47 Guidance 14a Assess the extent to which the policies in the sub-region contribute to meeting the MDG targets. Options include: (a)Assessing the contribution of energy policies to: enhanced economic empowerment, especially of women, and helped to reduce the dependence on fuelwood as the major sources of energy for the poor; and influenced the accessibility of energy by the poor (b)Assessing the performance of programmes on the use of shared water resources, especially the conflict resolution practices. Provide highlights of emerging water governance innovations in dealing with such conflicts. (c)Establishing and assessing The manner in which existing water policies have encouraged effective water management, giving particular attention to how the application of user-fees, in the wake of liberalization, has influenced the efficiency of water-use and accessibility of clean water and sanitation to the poor – both rural and urban. How the decentralization policy has influenced the delivery of water services to the poor and the expansion of piped water in rural areas. The extent to which basing water governance on integrated river basin management has impacted on both water management and the achievement of set development outcomes UNDERSTAND THE HIERARCHICAL LINKAGES OF POLICIES Policies exist at multiple scales––from global to local levels. And, at all these levels, policies shape environmental opportunities for improving livelihoods. While national policy and legislative frameworks prescribe the ambit of livelihoods, regional and global policies influence national and local opportunities. Policies at one level may require activities, including the creation of new policy, at lower levels. For example, the effective implementation of multi-lateral environmental agreements (MEAs) and other agreements may require that they be translated into national policies and laws. Global trade policies impact on the benefits that accrue to local producers from trade. Policies are not always compatible. There can be conflicts between policies from different sectors or within the same sector. Harmonizing legal approaches and developing policy coherence––at different levels and across levels––is critical to achieving effective management (Mohamed-Katerere 2003). Conflicts between, as well as the incompatibility of, policies may serve as pressures on the environment. Therefore it is important that the assessment addresses the complexities of the policy web. 48 Guidance 15 Examine––taking into account the nested nature of national, regional and global policies ––Africa’s prospects for seizing market opportunities and instituting policy actions that yield beneficial outcomes for the environment and livelihoods. Focus on the three United Nations Conference on Environment and Development (UNCED) conventions––on biodiversity, climate change, and desertification––and establish: (a)the extent to which they have been translated into sub-regional and national polices and laws; and (b)some of the deficiencies or gaps that should be filled if African countries are to effectively implement the UNCED conventions and seize emerging opportunities to use environmental assets for trade and development. MAKE STRATEGIC CHOICES The AEO assessment seeks to identify policy actions that are needed to reduce the pressures on the environment and sustainably maximize the potential of available resources. Making effective and strategic choices depends on sound information. Strategic Environment Assessment (SEA) is one tool that can be used to make strategic choices (Chapter 2). One of the strengths of SEA is that it can assist in the identification of hidden impacts of policies, plans and programmes. It can also be used to assess the compatibility of different policies that impact on the environment and livelihoods. Ghana and Tanzania are among the lead countries in Africa applying SEA to the greening of poverty reduction strategies (Box 3.3). Box 3.3: Using SEA for development planning In Ghana, the National Planning Development Commission has successfully used the SEA framework to: Assess the extent to which environment has been incorporated in the analysis of policies contained in the Ghana Poverty Reduction Strategy. Examine the environmental opportunities and risks of different policies. Identify and strengthen priority policy actions that benefit poor people and the environment. Increase understanding of the spatial dimensions of polices at international, national, regional and district levels. Analyse the effectiveness of policies––focusing on the ease of implementation, time scale, and costs––and the extent to which they have benefited the environment and poor people. Source: National Planning Development Commission /Environment Protection Agency 2004 Establishing whether policies are compatible is an essential step in making policy recommendations. Matrices can be effectively used in the AEO assessment process to evaluate policy compatibility as well as the environmental opportunities and risks presented by various policies. Additionally they can be used to identify policy areas that require adjustment. Matrix 3.2 can be used to gauge the extent of compatibility or conflict between policies that interact with each other. It can be used to review the interactions between policies that have potential impacts on livelihoods and the environment. It may identify and elaborate on instances where: Two policies are mutually supportive of each other (+) Two policies have the potential for conflict with each other (-) No significant interaction, positive or negative exists (0) 49 Matrix 3.2: Assessing policy compatibility Policy 1 Policy Policy Policy Policy Policy Policy Policy 2 Policy 3 Policy 4 Policy 5 Policy 6 1 2 3 4 5 6 Source: Adapted from National Development Planning Authority/Environmental Protection Agency (2004) Handbook Development Plan Sustainability Appraisal. Accra: NPDC/EPA Matrix 3 can be used to review environmental opportunities and risks associated with various policies. In using this Matrix, environmental stakeholders in Ghana––acting in the interest of precaution and pragmatism––decided to adopt the highest opportunity or risk score rather than the average for each policy theme. Matrix 3.3: Assessment of policies for risks and environmental opportunities Criterion 3 Criterion 2 Criterion 1 Policy area Policy theme Criterion 3 Criterion 2 Criterion 1 Policy area Policy theme Criterion 3 Criterion 2 Criterion 1 Policy area Policy theme Criterion 3 Criterion 2 Criterion 1 Policy area Policy theme Criterion 3 Criterion 2 Policy Area Policy theme Criterion 1 POLICY Opportunity Risk POLICY 1 Summary score for opportunity Summary score for risks New policy or policy reform Opportunity Risk POLICY 2 Summary score for opportunity Summary score for risks New policy or policy reform Source:Adapted from National Development Planning Commission (2004) SEA of the GPRS, Vol. 3: Accra; National Development Planning Commission and the Environment Protection Agency 50 For each policy a set of criteria specifying the nature of the opportunities and risks should be identified. A rating scale from 0-3 can be used to evaluate the level of risk and opportunity, with: 0 reflecting no opportunity or no risk 1 reflecting slight opportunity or slight risk 2 reflecting substantial opportunity or substantial risk 3 reflecting great opportunity or great risk Trade-environment-sustainable development links The AEO process should review the extent to which trade and investment have impacted on sustainable development in the sub-region. The principles developed by the United Nations Development Programme’s (UNDP) Global Roundtable on Trade and Investment for Sustainable Development, held in Abuja in 2002 can provide a useful basis for assessing and evaluate trade and investment. The agreed eight principles (UNDP 2002) are: 1.Trade and investment policy must be a means towards sustainable development. 2.Equity is at the core of the trade, investment and sustainable development relationship. 3.Developing countries must be provided market access and fair terms of trade. 4.Policy coherence is essential. 5.Space for innovative sustainable development policy must be safeguarded. 6.Innovation must be promoted. 7.An enabling environment must be fostered. 8.Empowerment and inclusiveness are essential. Three integrated assessments, undertaken by UNEP, of trade liberalization and trade-related policies in Nigeria (crop sector), Senegal (fisheries), and Tanzania (forestry) provide insights and useful comparative experiences that can support the assessment (UNEP 2002b, UNEP 2002c, UNEP 2002d). The UNEP assessments examine the product, technology, scale, structural, and regulatory impacts of trade policy reforms on the environment (Abaza and Jha 2002). The relationship between WTO and environment needs to be taken into account in analyzing and assessing policies. There is a wide-range of perspectives on how trade and environment relate to each other and the implications of this for sustainability (see UNEP and IISD 2005). In general perspectives focus on either trade, or environment, or development although there are increasing numbers of holistic approaches (UNEP and IISD 2005). Guidance 16 Assess –– in each sub-region–– the extent to which decentralization of environmental management has empowered resource users and improved environmental management. Assess –– in each sub-region–– progress in mainstreaming environment in national policies, plans, and programmes. Options include: (a)Ascertaining the difficulties encountered and the successes achieved in using the valuation of the natural capital as a strategy for improving the integration of environment into planning and budgeting. (b)Assessing the impact of integrated conservation and development approaches on conservation in protected areas and on the livelihood benefits derived. (c)The effect of SEA on: “Greening” poverty reduction strategies; and How trade and investment liberalization are implemented and whether this minimizes environmental risks. Review and synthesize ––in appropriate sub-regions–– emerging lessons and good practices from trade liberalization policies. 51 UNDERSTAND THE INSTITUTIONAL CAPACITY – POLICY IMPLEMENTATION LINKS Africa faces serious challenges in implementing existing policy. For example, the ineffectiveness of policies related to human vulnerability and environmental change is an ongoing challenge (UNEP 2002). Many of these constraints are related to insufficient institutional capacity. Constraints to effective implementation identified in AEO-1 include (UNEP 2002): The absence of adequate implementation plans. Weak implementation capacity. Conflicts between agencies with related environmental mandates. Failure to build synergies between various sector policies and between such policies and the MEAs. Identifying and understanding implementation constraints can set the basis for more strategic policy recommendations. Guidance 17 Establish the extent to which: (a)Appropriate implementation plans have been used in the application of policies. (b)Relevant legal instruments have been enacted to facilitate policy implementation. (c)Approaches to implementing national environmental policies are anchored on the UNCED Conventions and if synergies have been identified to optimise the limited human resource capacity.; and (d)Upstream-downstream synergies are proactively supported to enhance policy design and implementation. 52 4 CHAPTER D ISCERNING ISSUES FOR RESPONSE AND ACTION Sustainable livelihoods have many dimensions. Boys and their cattle in a dryland forest, southern Ethiopia. Source: Yemi Katerere In this Chapter:  The link between environmental state-and-trends information and identifying opportunities is explored.  The challenges of translating opportunities into policies that can be effectively implemented are considered.  The impacts of policies on opportunities to enhance livelihoods and promote development are discussed.  The identification of emerging issues and developing appropriate policy responses is considered.  Outlook The Opportunities Framework used in the AEO-2 assessment focuses on identifying the opportunities available from existing resources for promoting development, improving human well-being, and enhancing livelihoods (see Chapter 1). In applying the opportunities framework, the assessment should answer the following questions: What are the available resources at regional and sub-regional levels? What is the value––opportunities and potential––of these resources ecologically, socially, and economically? What are the demands and pressures (both human and natural) placed on the sustainable management of these resources? What is the outlook if appropriate action is not taken now? What policy actions have been adopted to enhance opportunities and what policy actions are needed to reduce the pressures and sustainably maximize the potential of available resources? 53 How will vulnerability be affected by the failure to seize the opportunities and effectively curb ongoing environmental degradation? If the opportunities are seized, how will the local population benefit from accrued revenues? PEOPLE AND LIVELIHOODS There is an intricate link between livelihoods, the integrity of the ecosystems and general environmental quality. Just as changes in environmental conditions and impact on people’s livelihoods, socioeconomic changes aimed at improving people’s livelihoods impact on the environment. The policy implications of these changes deserve careful attention with the view of ensuring that appropriate responses are instituted. Guidance 18 Identify and assess how environmental and non-environmental policies at the national and subregional levels have impacted on livelihoods, including emerging lessons and best practices. Identify whether local knowledge and technology, especially that of indigenous people, has been safeguarded and strategically used to promote sound environmental management programmes. And where this is the case, if local livelihoods have also been adequately protected and secured. Assess how increasing globalization and the links between national and supra-national environmental policy making impacts on livelihoods in the various sub-regions. Identify areas of complementarity as well as conflicts between national and multilateral norms and policies. ENVIRONMENTAL CHANGE AND OPPORTUNITIES FOR DEVELOPMENT One important task for the assessment is to clearly define and determine the scope of the available environmental opportunities for trade and development. In transforming these opportunities into tangible trade and development policies governments are likely to experience both domestic and external challenges. The domestic challenges include the absence of a conducive policy environment and insufficient institutional or technical capacity for seizing the opportunity. Externally driven challenges can include trade polices and subsidy regimes in developed countries which foreclose the penetration of their markets by developing countries. The assessment needs to analyse these challenges so that it is able to specify the policy and institutional reforms and capacity development needed to seize these opportunities. In making policy recommendations, AEO needs to take account of the challenges and constraints national governments will face––domestic and external. Recommendations should not only specify the requisite policy but identify the institutional reforms and capacity development needed for Africa to effectively seize the available opportunities. The assessment must also discern the extent to which existing polices impact on the conservation and sustainable use of resources and the risks that degradation pose to the prospects of transforming the opportunities into trade and development benefits. This includes establishing and assessing: Ongoing pressures on available natural assets. The extent to which anthropogenic activities are altering the state of the environment. The implications of such environment change for seizing the identified opportunities. 54 Guidance 19 Identify emerging opportunities in using environmental assets for trade and development. Highlight some of the policy and institutional challenges –– at the global, regional and national levels ––that must be addresses if Africa is to effectively seize the available opportunities. Guidance 19a Assess decentralization and privatization policies in Africa. Highlight individual and joint impacts as well as conflicts with other sector policies. POLICY IMPACTS ON LIVELIHOODS AND DEVELOPMENT Policies––both environmental and non-environmental––impact on the environmental opportunities for development and enhancing livelihoods. Table 4.1 provides a framework for assessing and reporting on the nature of policy impacts at the national and sub-regional levels. This data needs to be supplemented with full descriptions as well as careful analysis of impacts. The impact categories may be determined by AEO focal areas or themes. 55 Table 4.1: Establishing impacts of policies SOME CATEGORIES OF POSSIBLE IMPACTS + VULNERABILTY ENVIRONMENT SECTORIAL MACRO-ECONOMIC Fiscal Monetary International - + - + Coastal and Marine Environments Atmosphere Land Settlement Indigenous Technical knowledge POLICIES - + - + - State Expenditure Tax/ Subsidy Monetary Exchange Rate Trade Capital Controls Other Price controls Tax/Subsidy Investment Industrial Housing Transport Water (e.g. pricing) Energy (e.g. tariffs) Agriculture (e.g. price controls) Land-use and tenure Waste management Disaster management Policy impacts are not experienced uniformly across the population and understanding the different impacts of existing policy is critical for revising and developing new policies. Prior to recommending policies it is important to assess the potential impacts of proposed policies on different stakeholders. Table 4.2 provides a framework for assessing these impacts. While Box 4.1 considers how new approaches to company-community partnerships impact on livelihood opportunities. Table 4.3 can be used to support such an analysis; it can also be modified to assess CCPs dealing in other natural resource sectors, such as wildlife. 56 Table 4.2: Stakeholder Analysis – who losers, who wins? Consumers Indigenous People Industrialists Farmers Elderly Women Youth POSSIBLE STAKEHOLDER CATEGORIES Positive impacts Negative impact POLICY 1 2 3 4 5 1 2 3 4 5 Stakeholders reaping benefits DESCRIPTION OF BENEFITS (QUANTITATIVE AND QUALITATIVE) 57 Box 4.1: Assessing impacts of company-community partnerships on people and the environment Africa is witnessing growing interest in the application of the concept of corporate social responsibility (CSR) to natural resource use and related productive areas. These CSR initiatives seek to demonstrate corporate commitment to operating in a socially and environmentally responsible manner, and include company-community partnerships (CCPs). The implementation of CSR initiatives has been facilitated by creative legal and policy reform in the forest and wildlife sectors. In Kenya, South Africa, Zimbabwe, Botswana and Namibia, for example, tourism development that supports local benefits is shaping wildlife management. In the forest sector, Ghana, Cameroon and South Africa are leading in the application of the CCPs. The use of CCPs––to increase opportunities for improved natural resource management and enhancing livelihoods––should be carefully assessed (see Table 4.3). This will increase understanding of:  The importance of favourable policy environments in creating new opportunities;  Who has benefited; and  Incidences of policy capture or policy failure that are undermining the performance of the partnerships and expose communities to livelihood and environmental insecurity. In Africa, CCPs in the forestry and wildlife sectors have had mixed results in creating livelihood opportunities and in harnessing community participation and commitment in the sustainable use and management of the natural resources. A review of CCP in the forest sector in 23 countries– –including South Africa, Guinea, Ghana and Zimbabwe––revealed that the partnerships have not resulted in equitable, efficient, and sustainable systems that return benefits to the company, the community and forests on a long-term basis (Mayers and Vermeulen 2002). The Namibian CCP experience with tourism development in conservancies––privately-held wildlife management areas––has also had mixed results. Although in some cases, communities have experienced improvements in income; in others they have suffered labour and human rights abuses by the partner company (Roe, Greig-Gran, and Schalken 2001). Sources: Mayers and Vermeulen 2002; Roe and others 2001 58 sharing and policy lessons from LESSONS LEARNT Policy lessons Target group Type Target group Type Enabling policy Implementing country FOREST COMPANY COMMUNITY PARTNERSHIP 1 PRODUCT CONTEXT IMPLEMENTATION OUTCOMES Positive Negative forestry Operational lessons Table 4.3: Assessing benefit partnerships High-quality timber Industrial pulp wood Commodity wood Certified wood Non-timber forest product Forest product processing Environmental services Guidance 20 Establish the nature of the impacts of selected trade and trade-related policies on livelihoods and development. Assess and evaluate trade and trade-related policies, focusing on whether or not expected outcomes have been achieved. Identify and analyse unexpected outcomes and their effects on environmental sustainability and livelihoods Guidance 20a Review at least one natural resource-based CCP/CSR in each of the sub-regions: (a)indicate the major policy and institutional reforms that facilitated the CCP/CSR initiative; (b)illustrate how the forms of CCP/CSR agreements and management arrangements influenced performance, benefit sharing and sustainability; (c)discern policy and operational lessons to guide future CCP/CSR application 59 EMERGING ISSUES Environmental and macro-economic change produces new issues and rekindles old ones in new forms. These emerging issues are likely to impact on the environment and livelihoods. Extreme weather events are a case in point. Such events, for example, have health and economic consequences. The emergence of the Rift Valley Fever (RVF) in the Horn of Africa, for example, was linked to the anomalous weather in the 1990s (Centre for Health and the Global Environment 1999). Some extreme weather events can cause considerable damage to the environment and livelihoods especially where decades of environmental degradation have weakened the natural resilience and buffering capacities of ecosystems. That indeed was the experience with Hurricane Mitch in Central America (Girot 2002). The health and environmental risks associated with the use of genetically modified organisms (GMOs) to bolster food security in Africa is another emerging issue of interest (see UNEP 2006a). Yet another emerging environment-health issue is the resurgence of Malaria and its occurrence in areas that have historically been free from Malaria. Environment and conflict is an ongoing environmental challenge that is likely to persist into the shortand medium-term. Given its profound impact on livelihoods and opportunities it is of considerable importance; significantly the environment is also potentially a pathway to peace (Conca and Dabelko 2002). For this reason it considered in depth in the AEO-2 report (See Huggins, Chenje, MohamedKaterere, with Attere 2006). Box 4.3 provides some further information on the opportunities environment offers for peace and cooperation. Box 4.2: Environmental opportunities for peace and cooperation There is growing recognition that “investment in environmental conservation––more sustainable and equitable management and use of natural resources––offsets funds spent on peacekeeping and humanitarian relief by attacking the roots of conflict and violence, rather than waiting to address their consequences” Richard Mathew, Mark Halle and Jason Switzer (2002). Poor environmental management in the face of resource scarcity, resource abundance, and inequity in access and distribution of benefits can destabilize societies and contribute to high levels of insecurity that may engender violence and conflict (Huggins and others 2006). Four opportunities are worth considering: “Better resource management practices might contribute to peace and stability, conditions that are, in turn, essential for development and social justice” (Matthew, Halle, and Switzer 2002).  “Planned conservation of biodiversity can and should continue during times of conflict and particularly in post-conflict reconstruction” (Matthew and others 2002) “Conservation practices may provide a basis bringing parties who have been or are engaged in conflict together to begin the process of peace-building around common environmental concerns” (Matthew and others 2002). Ensuring sound environmental governance regimes that institutionalize strong monitoring and control systems in countries with tradable environmental assets as well as adequate international safeguards against illicit trade deals can help prevent the use of environmental assets to generate revenue for financing conflicts (Smiles 2002, DFID 2003). Where conservation practices are linked to improving and promoting sustainable livelihoods, they may contribute directly to reducing conflict (UNEP 2007c). In addition good conservation practices can help reduce the vulnerability of communities to hazards including those generated by conflict (Matthews and others 2002). Source: Matthew and others 2002, Smiles 2002, UNEP 2007c 60 It is essential that AEO––AMCEN’s advocacy and monitoring tool–– keeps abreast of these and other emerging issues. The assessment must produce accurate, credible and reliable information and policy positions which can support AMCEN in its lobbying, advocacy and negotiations. Table 4.4 provides a general framework for that assessment. Advocate for new policy or policy reform Further policy analysis Further data and information collection Raise awareness Livelihoods Appropriate response Environment Target Impact Nature Character and level of importance Some possible emerging issues Table 4.4: Working towards policy responses to emerging issues Conflict and environment Human vulnerability to extreme environmental events and natural disasters Vulnerability of Small Island Developing States Genetically Modified 0rganisms Changing demography Non-timber forest products Emergence of new and re-emergence of old diseases Trade and environment Effects of nonenvironmental agreements on environmental issues Trans-boundary resource use, especially water HIV and AIDS Table 14 can be used to derive appropriate policy responses to emerging issues. It is important that the character of the emerging issue and the level of decision making at which it must be dealt with are appropriately defined. Similarly, the main areas of impact, livelihoods or the environment should be identified. Knowing who the most vulnerable groups to the helps target the response most effectively. Proposed responses need to take account of the regional, sub-regional and national context and in particular levels of capacity. 61 Guidance 21 Identify and analyse the main issues emerging from the changing macro-economic and environmental situations in Africa and globally: (a) Establish how the inter-play between domestic and global policies has contributed to either the emergence of a new issue or the re-emergence of an old one. (b) Establish the importance of the issues for Africa and their likely impacts on environment and development. (c) Determine how the data or information system and the analytical capacity for anticipating emerging issues can be enhanced to support a more proactive policy response. Guidance 21a Examine and analyse––based on the conceptual understanding of environment-security link–– the governance-related policy and institutional issues at the national, sub-regional, regional and global levels that: (a) Enhance domestic availability of environmental assets ––such as gold and timber –– to fomenters of conflict. (b) Enable fomenters of conflict to easily –– and almost with impunity –– negotiate trade in these commodities in international markets THE OUTLOOK A number of African countries were supported by the UNDP-funded Africa Features project to elaborate their National Visions. In countries such as Uganda, the National Vision (Harmonious Nation, Prosperous People and Beautiful Country) has partly influenced the formulation of the Poverty Eradication Action Plan, which government believes is its sustainable development strategy – hence ongoing efforts to ensure that it is sufficiently “greened.” Uganda’s Poverty Eradication Action Plan serves as the framework for pursuing the MDGs. Other African countries have the National Strategy for Sustainable Development in addition to the National Vision and the Poverty Reduction Strategy.” Countries that elaborated national visions had to select one from a number of scenarios for consideration. In producing the chapter on outlook, it is essential that the AEO assessment focuses on one or two countries within the sub-region that have elaborated national vision to examine the extent to which scenario development and visioning contributed to better strategies for dealing with the challenges of sustainable development. 62 Guidance 22 In developing the outlook, the AEO assessment within each sub-region can examine:  How the scenario on which a given national vision was based has so far influenced the thrust and contents of the environmental and non-environment polices in the country.  Where sector scenarios were development, the alignment between sector scenarios (e.g. energy, health and biodiversity) and the one on which the national vision is anchored and the consequence of that the alignment, or lack of it, has had for the thrust and content of sector polices.  The alignment between the scenario on which the national vision of the selected country was anchored, the preferred AEO-1 scenario and how that alignment has influenced the response by the country to the AEO-1 policy responses and actions.  The scenarios developed in Africa 2025 against those in AEO-1 with the view to selecting those to propose in AEO-2, bearing in mind the regional and global forces that influences the future of Africa. 63 64 5 CHAPTER STRENGTHENING POLICY IMPLEMENTATION Strong stakeholder contributes to greater policy acceptance. Women farmers discuss the use of genetically modified crops at a “Citizen’s Jury” held in Mali in February 2006. Source: Michel Pimbert In this Chapter:  The link between the assessment process and the uptake of policy recommendations is considered.  Tools for effectively communicating policy findings are discussed.  The link between national capacity and the implementation of AEO policy recommendations is explored. Three issues need to be addressed if policy implementation is to be strengthened:  First, the manner in which the policy recommendations are derived affects stakeholder perceptions and ownership as well as implementation.  Second, safeguards must be taken to ensure the acceptability of the recommended policy responses.  Third, a strategy for translating the proposed policy responses into concrete actions at the sub-regional and national levels should be considered. DERIVING POLICY RECOMMENDATIONS Policy recommendations should flow logically from the assessment and ideally should be reviewed and validated by the AMCEN members and other key stakeholders. Guidance 23 can enable the AEO practitioners achieve this. 65 Guidance 23 Maintain summary sheets on policy issues emerging from the assessment in the thematic, emerging issues, and outlook chapters and use these as a basis for making recommendations for policy responses. Adopt specific criteria for selecting a limited number of policy actions for implementation. These criteria may include urgency of problem and the relevance to MDGs and the NEPAD agenda. T H E A C C E P T A B I L I T Y O F T H E R E C O M M E N D E D P OL I C Y R E S P O N S E S The acceptability of the AEO recommendations can be measured by the extent to which they have been adopted and implemented by the AMCEN member countries. Acceptability can be enhanced by ensuring scientific credibility––data analysis must be sufficiently rigorous within the limits of available information––and effective communication. Reporting and presentation needs to be accessible and easily understandable without over-simplification. Text boxes can be used to illustrate lessons learnt and good practices that emerge from the policy analysis. Several tools help enhance communication with stakeholders. Trend analysis that depicts how the environmental situation has so far evolved and is likely to become can capture the attention and interest of stakeholders. Environmental changes can be captured be effectively illustrated through time series data as shown in Figure 5.1. Figure 5.1 In 1998, Lake Victoria suffered a major water hyacinth invasion. As a result of committed action by 2000 the water hyacinth had been reduced to about 500 hectares. In December 2005, when the right image was taken, the lake appeared to be clear. In November and December 2006, however, the image shows the plants were re-emerging. The water is brown due to agricultural run-off and nutrient-rich sediment. Source:Nasa Earth Observatory 2007 http://earthobservatory.nasa.gov/Newsroom/NewImages/images.php3?img_id=17560 66 Captivating scenarios that depict the costs and benefits of responding in one way or the other, including a “no change” option, is useful, especially if linked to specific case studies from a country or number of countries within the sub-region. Resource valuation studies that demonstrate the links between environment, poverty, and growth can be an effective way to demonstrate to policy-makers why those links matter. See for example Emerton and others 2001. Poverty mapping can be an important visual tool for effectively communicating complex information and relationships (See Chapter 4). Case studies––both country-specific and comparative evaluative studies––can be used to reinforcing policy messages and lessons (See, for example, Ribot 2002). In instances where policy reforms are proposed, it is essential that the proposals are anchored solidly on country experiences. Compounding factors make attributing environmental and livelihood impacts to a particular policy problematic. Studies using econometric or quasi-experimental models to assess the impact of like policies elsewhere can be used to make more realistic statements on the likely outcome or impact of the proposed policy or policy reform. Guidance 24 Conduct AEO users’ survey to solicit opinions on the merit and usefulness of the recommendations in the previous issue of the AEO. Build upon the methodology already applied by GEO. FROM RECOMMENDED POLICY RESPONSES TO CONCRETE ACTION The recommendations in AEO should provide some supporting information to facilitate implementation of pertinent policy responses. Previous AEO reports have identified not only the recommended action but also implementation actors, the time frame for action, and the desired result. In subsequent assessments identified actions may also have possible targets and monitoring indicators. This will assist in implementation of the recommendations and in aligning them more closely to the Millennium Development Goals’ (MDGs) targets and the objectives of the New Partnership for Africa’s Develop (NEPAD) Environment Action Plan (NEPAD-EAP). Stakeholder involvement in the assessment process can strength the policyrelevance of recommendations and ensure the support of possible implementation actors. 67 Table 5.1: Implementation status of recommendations in AEO-1 AEO-1 POLICY ACTIONS WITH IMMEDIATE AND MEDIUM-TERM TIME FRAME immediate and medium-term policy ACTIONS TAKEN BY NATIONAL ACTORS Action Agency Time Source Lessons frame of learnt support so far 1. Enhancing capacity to climate change 2. Promotion of environmental education 3. Focus on policy failure 4. Compliance and enforcement 5. Greening of development strategies 6. Promoting greater involvement of NGOs in environmental management 7. Improving environmental information systems 8. Mobilization of domestic financial resources for environmental management Guidance 25 Develop analytical and communication strategies to communicate recommended policy actions SUPPORTING ACTORS AT THE NATIONAL LEVEL Effective policy implementation requires effective action at the national level. African countries, and sub-regions, are at different stages in promoting the integration of environment and development. There is also considerable variation in the institutional arrangements for promoting environmental protection and management. Further, there are also differences in the space for civil society and private sector engagement and participation in policy making. These differences must be taken into account in recommending policy actions and improving capacity for their implementation. Some possible actions include: Strengthening data and information systems to support better situational analysis; Strengthening capacity for policy analysis, policy dialogue, and advocacy especially in countries and sub-regions with good data and information systems; Strengthening the technical skills needed to use the available information to get the policy issue on to the political agenda and the budget frameworks of AMCEN member countries and other relevant intergovernmental organizations. 68 Weak Budget negotiations Strong Weak Advocacy Strong Weak Policy dialogue Strong Weak Strong Low Policy analysis QUALITY OF DATA OR INFORMATION SYSTEM High Multi-sector MAIN AGENCY RESPONSIBLE FOR ENVIRONMENT Sector COUNTRY CAPACITY Table 5.2: Reviewing information, institutional and analytical capacity 1 2 3 4 … Table 5.2 can be used to review the institutional capacity and information system for integrated environment assessment (IEA) within a given sub-region. In the case of analytical capacity, where the review suggests that strong policy analysis capacity already exists, it is useful to further specify whether it is across the board or mainly within a particular discipline. Similarly, if the review suggests that the quality of the data and information systems is high, it is useful to feature the elements used to reach that judgement. Guidance 26 Assess the available skills in the sub-region capacity for environmental policy analysis and determine priority capacity building needs to sustain the AEO process. Conclude the review by specifying the necessary capacity strengthening needs to improve policy analysis and policy implementation at the national and sub-regional levels. 69 70 6 CHAPTER LOOKING TO THE FUTURE Looking to the Future. Forest workers clearing fireguards to protect standing plantation forests, Zimbabwe Source: Yemi Katerere “Our biggest challenge this century is to take an idea that seems abstract—sustainable development—and turn it into a reality for all the world’s peoples.” Kofi Annan, 7th Secretary General of the United Nations, 1997-2006 These Guidelines––developed for Africa Environment Outlook (AEO) practitioners–– are an important capacity building product, providing guidance on strengthening policy analysis in the various stages of the assessment and in the report itself. The Guidelines focus on policy issues that are pertinent to enabling Africa use its natural assets effectively in promoting sustainable development and enhancing livelihoods. In addition, given the growing interest, in Africa, in integrating environment planning with development, this too is an important focus. The Guidelines enhance capacity to analyse policies and understand their impact on both the environment and people. And consequently, set a firm basis for improved policy recommendations. The strength and relevance of the policy recommendations and actions from the AEO assessment will largely depend on how well the policy analysis is dealt with throughout the process. The AEO practitioners must bring their wealth of experience in environmental management to bear on the assessment process. The guidelines are expected to enable practitioners identify knowledge gaps, which can be addressed in subsequent assessments or through commissioned policy analysis case studies. One challenge is to continue to strengthen the assessment process and meaningful policy analysis. Capacity building needs to be ongoing. The guidelines are expected to enable practitioners identify knowledge gaps, which can be addressed in subsequent assessments or through commissioned policy analysis case studies. Continually improving the Guidelines is of critical importance. The Guidelines should be seen as work in progress that should be subjected to rigorous revision based on experiences gained from its 71 application. A wide range of policy actors, including policy-makers in AMCEN member countries, should be consulted and involved in further developing these guidelines. This should include policymakers within and outside the environment ministry. Further, sub-regional organizations, such as the Southern African Development Community (SADC) and the Economic Community of West African States (ECOWAS), as well as the relevant arms of the African Union should also be consulted. This would help identify sub-regional and regional priority issues. Involvement of academic and professional policy analysis organizations would also be beneficial. “More than ever before in human history, we share a common destiny. 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Autralian Water Research Facility (AusAID) and Australian Mekong Resource Centre, University of Sydney. http://www.mekong.es.usyd.edu.au/projects/wg_volume_1.pdf Hayes, W. (2002). Defining policy formulation. http://www.geocities.com/prowork/pp/formulate/define.html. Keeley, J. and Scoones, I. (2003). Understanding Environmental Policy Processes: Cases from Africa. Earthscan, London Koontz, H., O’Donnell, C., and Weihrich, H. (1976). Management, 7th edition. McGraw-Hill, New York Mayers, J. and Vermeulen, S. (2002). Company-Community Forestry Partnerships. From raw deal to mutual gains. Instruments for sustainable private sector forestry series. International Institute for Environment and Development, London http://www. poptel.org.uk/iied/docs/flu/psf_cmpny_prtnrship.pdf Matthew, R., Halle, M. and Switzer, J. (2002) (Eds). Conserving the Peace: Resources, Livelihoods and Security. 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Creating Our Future. Sustainable Development for New Zealand. Parliamentary Commissioner for the Environment, Government of New Zealand, Wellington. http://www.pce.govt.nz/reports/allreports/1_877274_03_8.shtml Polsky, C., Schröter, D., Patt, A., Gaffin, S., Martello, M.L., Neff, R., Pulsipher, A., and Selin, H. (2003). Assessing Vulnerabilities to the Effects of Global Change: An Eight-Step Approach. Research and Assessment Systems for Sustainability Program Discussion Paper 2003-05. Environment and Natural Resources Program, Belfer Center for Science and International Affairs, Kennedy School of Government, Harvard University, Cambridge, Massachusetts http://www.start.org/Program/advanced_institute3_web/p3_documents_folder/Polsky_etal.pdf Ribot, J.C. (2002). Democratic Decentralization of Natural Resources: Institutionalizing Popular Participation. World Resources Institute, Washington, D.C. Richard Matthew, Mark Halle and Jason Switzer (2002) Conserving the Peace: Resources, Livelihoods and Security. IISD, IUCN, CSSSP Roe, D., Greig-Gran, M. and Schalken, W. (2001). Getting the Lion’s Share from Tourism. Private Sector Community Partnerships in Namibia. Poverty, Inequality and Environment Series No. 1. International Institute for Environment and Development, London and Namibia Association of CBNRM Support Organization (NACOBTA ) Windhoek Salem, O., Chenje, M., and Mohamed-Katerere, J.C. (2006) Interlinkages: The Environment and Policy Web. In Africa Environment Outlook 2: Our Environment, Our Wealth . United Nations Environment Programme, Nairobi http://www.unep.org/dewa/africa/docs/en/aeo-2/chapters/aeo-2_ch08_INTERLINKAGES_THE_ENVIRONMENT_ AND.pdf Secretariat of the Convention on Biological Diversity (2006) Global Biodiversity Outlook 2. Secretariat of the Convention on Biological, Montreal http://www.cbd.int/doc/gbo2/cbd-gbo2-en.pdf Salem, J. and Umana, A. (2003) Environment-Poverty Nexus. Development Policy Journal 3: 53-70. http://www.undp.org/dpa/publications/DPJ3Final1.pdf Schubert, R. and Dietz, S. (2001). Environmental Kuznets Curve, Biodiversity and Sustainability. Discussion Paper on Development Policy No. 40. Centre for Development Research, Bonn fhttp://www.zef.de/fileadmin/webfiles/downloads/zef_dp/ZEF-DP-40.pdf Simula, M. (2003). Criteria and Indicators for Sustainable Forest Management: Overview of Progress and Issues. In Report of the International Conference on the Contribution of Criteria and Indicators for Sustainable Forest Management: The Way Forward – Volume 2. 3 - 7 February 2003, Guatemala City, Guatemala. Food and Agricultural Organization of the United Nations, Rome http://www.fao.org/docrep/005/j0077e/j0077e00.htm Smiles, I. (2002). Diamonds, Timber and West African Wars. Securing Sustainable Development: Trade, Aid and Security. 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Integrated Assessment of Trade and Trade-Related Policies: A Country Case Study on the Export crop Sector in Nigeria. United Nations Environment Programme, Geneva http://www.unep.ch/etu/publications/CSII_Nigeria.pdf UNEP (2002c). Integrated Assessment of Trade and Trade-Related Policies: A Country Case Study on the Fisheries Sector in Senegal. United Nations Environment Programme, Geneva http://www.unep.ch/etu/publications/CSII_Senegal.pdf UNEP (2002d) Integrated Assessment of Trade and Trade-Related Policies: A Country Case Study on the Forestry Sector in Tanzania. United Nations Environment Programme, Geneva http://www.unep.ch/etu/publications/CSII_Tanzania.pdf UNEP (2004). Africa Environment Outlook. Case Studies. Human Vulnerability to Environmental Change. United Nations Environment Programme, Nairobi UNEP (2006a). Africa Environment Outlook. Our Environment, Our Wealth. 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The United Nations Environment Programme/ Division of Technology, Industry and Economics/ Economics and Trade Branch, Geneva and the International Institute for Sustainable Development, Winnipeg http://www.iisd.org/pdf/2005/envirotrade_handbook_2005.pdf Weimer, D. L., & Vining, A. R. (1999). Policy analysis: concepts and practice. 2nd Edition. Prentice Hall, Englewood Cliffs, N.J. WCED (1987). Our Common Future. World Commission on Environment an Development. Oxford University Press, Oxford Wolf, A (1999) Building Advice: The craft of the Policy Professional. Working Paper 7. State Service Commission, Wellington. http://www.ssc.govt.nz/upload/downloadable_files/working_paper_7.pdf Yandle, B., Bhattarai, M., and Vijayaraghavan, M. (2004).Environmental Kuznets Curves: A Review of Findings, Methods, and Policy Implications. Research Study 02-1 UPDATE. Property and Environment Research Centre, Montana http://www.perc.org/pdf/rs02_1a.pdf Zerbe, R. and McCurdy, H. (1999). The Failure of Market Failure. In Journal of Policy Analysis and Management 18 (4): 558-578. 76 Zerbe, R. and McCurdy, H.O. (2000). The end of market failure. In Regulation 23 (2): 10-14. 77 www.unep.org United Nations Environment Programme P.O. Box 30552, Nairobi 00100, Kenya Tel: (+254) 20 7621234 Fax: (+254) 20 7623927 E-mail: uneppub@unep.org Web: www.unep.org The goal of the Africa Environment Information Network (AEIN) implementation strategy is to test the assumption that some data exists in some form, somewhere in the region to support integrated environmental assessment and reporting (IEA) at the national, sub-regional and regional levels. It is also used to implement various pilot activities with respect to networking, establishment of mechanisms for harmonizing data and information, development of core data sets, prototype products and information services, and appropriate tools and methodologies to support the AEIN activities. The publication has been produced as part of implementing AEIN to strengthen the accessibility of environmental information. 78 DEWA Director United Nations Environment Programme Division of Early Warning and Assessment P O Box 30552, Nairobi 00100, Kenya Tel: (+254) 20 7623491 Fax: (+254) 20 7624309 Email: africa.coordinator@unep.org Web: http://www.unep.org/dewa/africa/

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