USE OF THE LOGICAL MODEL TO ELABORATE A COMMON
SYSTEM OF INDICATORS OF COMPLIANCE AND
ENFORCEMENT OF THE EFFECTIVE ENVIRONMENTAL
LAWS WITHIN THE FRAMEWORK OF THE DR-CAFTA
Herrera Ocampo, Fabio. fabio.herrera@inec.go.cr Instituto Nacional de Estadística y Censos_CR
ABSTRACT
The free trade agreement between the United States, Central America and Dominican Republic
(DR-CAFTA), promoted to establish multilateral environmental agreements and a common system
of performance indicators and implementation of effective environmental regulation in the
signatory countries as a way to consider environmental aspects in the context of international trade
and improve the surrender of accounts for compliance and enforcement of environmental programs
monitored by a central authority budget legalesy organs of civil society groups and
environmentalists.
Tools, strategies, best practices, on designing, implementing, and evaluating the effective
application environmental compliance and enforcement programs of the International Network for
Environmental Compliance and Enforcement (INECE) were adapted to local conditions to raise
compliance and enforcement of environmental laws, strengthening the capacity of public officials.
In addition, some techniques of methodological approach ZOPP of the German cooperation, as well
as the Integrated Approach and Logical Framework of the European Commission of Cooperation
(CEC) were used to establish indicators of environmental performance in public policies and
programs of two sensible environmental subjects in Costa Rica and Central America: waste waters
and solids residues
The methodology allowed identifying real, important and high priority obstacles in the actions to be
taken by the government to secure compliance with legal requirements and correct or avoid
situations that endanger public health or the environment.
In order to have a uniform methodological approach for the attainment of the objectives was taken
as a starting point methodology of INECE and ZOOP logical framework for indicators of causes
and effects as appropriate. In this work was obtained a total of 55 indicators for the theme of
Wastewater and about 72 indicators for the theme of Solid Waste.
The stages of the methodology were:
1. Selection of topics that have a poor implementation, compliance and enforcement of
environmental laws.
2. Identify and analyze all legal issues related to these priorities.
3. Through technical analysis of problems ZOPP methodological approach and the integrated
approach and the Logical Framework of the CEC, was evaluated and analyzed each of the articles
of the law to devise a diagram of the type "problem tree" to establish relations of cause and effect
related to the main specific problem.
4. Design of appropriate indicators to measure aspects of these causes and effects identified.
5. Writing a document with the exact procedure (step by step) of the methodology to develop each
indicator.
6. Wanted available data to build time series.
Key words:
Environmental Performance Indicators - Environmental Compliance - Enforcement Programs–Logical Framework - Legislative Authority - Citizen Enforcement - ZOOP – INECE - DR_CAFTA
1 INTRODUCTION
Unlike traditional social and economic statistical series with more than half a century old, the
systematic development of environmental statistics and indicators series (EA) are relatively of
recent origin and have gained momentum and international significance only after the Summit Rio
and the Convention United Nations Framework on Climate Change (1992).
More recently, within the subject matter of the EA and in the context of an expanding global
economy and the consequent opening up of markets, has raised the need to monitor the impacts on
the environment caused by increased international trade and the performance of countries to abide
by and comply with environmental legislation as a way to contain the possible damage caused by
new economic activities or strengthening existing ones with the economic development.
The Free Trade Agreement between the United States, Central America and Dominican Republic
(known as DR-CAFTA for its acronym in English) was signed by the presidents of all countries
involved since 2004. Some of the National Congress ratified it almost immediately, however, other
countries such as Costa Rica was an intense public debate that lasted for five years its ratification
due to concerns of citizens on the social, economic and especially that may cause environmental
implementation.
However, Chapter 17 of DR-CAFTA established a number of obligations for the signatory countries
aimed at strengthening high levels of environmental protection through mechanisms to ensure
implementation (enforcement) and compliance (compliance) of the existing environmental
legislation each country as well as improving them. So that each party must ensure that all judicial,
quasi-judicial and administrative procedures under the Act shall be used to sanction or remedy
violations of environmental regulations.
Developed countries, especially in North America and Europe have shown great commitment to the
implementation of its laws to protect the environment, while they have developed and
institutionalized sets of indicators to monitor their environmental performance. These indicators are
known as Environmental Compliance and Enforcement (ECE).
However it has not been the same with many other commercial treaty partner countries, which have
been lax with the implementation and enforcement of environmental laws, especially in the third
world because of economic constraints and chronic structural institutional weaknesses.
But, How can the poor countries of DR-CAFTA advance support to improve and monitor
compliance with environmental laws if only some of them take their first steps in the
institutionalization of national environmental information systems even with better indicators
developed by the same agencies global cooperation? Such is the case of environmental indicators of
BADEIMA / CEPAL and ILAC / UNEP.
Independent international organizations like the International Network for Environmental
Compliance and Enforcement (INECE) supported by other multilateral institutions such as the
OECD, the World Bank and UNEP, have developed methodologies and set parameters for
designing indicators to measure the performance of programs application using indicators of
implementation and enforcement.
Most developed countries have adopted so-called indicators "output", such as number of inspections
and enforcement actions. Others are qualitative assessments of program performance and impacts.
They have also included assistance and incentives, measuring the environmental performance of the
activities and progress on the goals and environmental problems as a result of the application.
Recently some countries have initiated programs that also use indicators of outcome that can
measure the results in terms of responses to inspections, compliance rates and current impact
reflected in measurable changes in environmental quality.
But the empirical evidence in Central American countries has shown that it must adjust and modify
the methodologies used in other latitudes to local conditions to ensure that the development of sets
of environmental performance indicators reflect the reality of institutional and legal development in
each country.
2
METHODOLOGY AND MODEL
The methodology is based on selective use of some steps of the method ZOPP ("Ziel Orientierte
Projekt Planung" or Oriented Project Planning Objectives) to the International Network for
Environmental Compliance and Enforcement (INECE) techniques. The product of the analysis and
work as a whole is a logical framework for the design of indicators ECE. Tools, strategies, best
practices, on designing, implementing, and evaluating the effective application environmental
compliance and enforcement programs of ZOOP and INECE were adapted to local conditions to
raise compliance and enforcement of environmental laws, and strengthening the capacity of public
officials.
These techniques of methodological approach ZOPP, as well as the Integrated Approach and
Logical Framework of the European Commission of Cooperation (CEC) were used to establish
indicators of environmental performance in public policies and programs of two sensible
environmental subjects in Costa Rica and Central America: Waste waters and Solids Residues
Proposal to facilitate the design of indicators for application and compliance (steps):
1. Partial adaptation of the methodology for “project assessment by objectives”, as a tool to
facilitate the selection of the indicators for application and compliance.
2. Assessment of the situation to be analyzed.
3. Development of the problem tree (main problem, causes and effects).
4. Development of objetivos tree.
5. From the problem tree, choose indicators associated to each cause and effect and classify them
according to the logics proposed by INECE (contributions, products, intermediate result, and
final result.
As part of these processes were carried out in 13 workshops with officials from the Ministry of
Health, the Water Department of the Ministry of Environment, Energy and Telecommunications,
ombudsmen of the Municipality of San José, the Institute of Municipal Promotion and Advice,
among others, to develop indicators to monitor compliance and enforcement of environmental
regulations in the above topics. In order to have a uniform methodological approach for the
attainment of the objectives was taken as a starting point methodology of INECE and ZOOP logical
framework for indicators of causes and effects as appropriate with a uniform methodological
approach for the attainment of the objectives was taken as the basis of two strategic areas for
national development: Wastewater and Solid Waste topics.
The partial adaptation of the methodology "INECE / ZOOP" facilitated the selection of ECE
indicators through consensus within the team with regard to the particular situation analyzed.
A good design of indicators requires participants to learn properly all the components of the
situation lay ground for analysis. This implies a clear understanding by all team participants,
regarding the situation will be analyzed and for which proposals will be developed indicators.
2.1
Assessment of the situation analysis with a pilot topic
To achieve a clear understanding by all team participants in the workshops, as to the situations
under analysis and on which proposals would be obtained ECE indicators for the themes chosen, a
pilot theme was chose. This was: Management of water resources - sanitation
Development of the problem tree
Once the participants developed analytical skills to develop ECE indicators through the analysis of
problems with the technique of "problem tree" of "ZOOP and a “matter of trial and error", was
proceeded to allocate indicators compiled according to the defined categories of INECE indicators:
Resources, Production, Intermediate Results and End Results. The procedure was repeated for each
of the legal issues related to Wastewater and Solid Waste to cover fully the laws and regulations.
3.
DESCRIPTION OF TABLES AND GRAPHS
Presents the main results of both the thematic and Wastewater and Solid Waste at the same time
indicating which are the indicators or variables can present information in the short term from
national sources.
Table 1: shows the results achieved from draft analysis mentioned in one of the pilot analysis (Fig.
1) on the issue of wastewater converted and placed in the categories of indicators such INECE
3.1. Water Resource Management (Wastewater)
The management of water resources was operationalized in three major problems
1. Mismanagement in the treatment of wastewater
2. Inefficiency in the implementation of sanctions
3. Poor management for the implementation of fees for wastewater discharges.
For each of them an enhanced process of identifying indicators considered as possible causes and
effects. Following this step, beginning a process of discussion, analysis and definition of concepts
through various internal workshops with staff specialists in the field.
FIGURE 1: Results of analysis of the problem as draft document issue
EFFECTS
Negative socio-environmental impact
– Impact to Human
Health
– Endangered
Species of Fauna and Flora
Corresponding
sanctions are not applied
2. Deficiency in
inspections
2.1
Insufficient
staff for inspections
- Reduction in the
amount and quality of
marine-coastal resources
r
- Impact to
the economy
– International
lawsuits
- Impact on Tourism
Deficient application
and compliance with the sanitation
legislation
MAIN PROBLEM
CAUSES
- Increase of
unemployment
- Deterioration
of the Health Ecosystems
2.2
Deficient planning
The managed party
does not know the scope of the
legislation
Lack
of programs for measuring
application and compliance
Source of
spillage is not known with
certainty.
2.3
Budget
constraints
Source: Aguilar, Alvaro. 2009. CENIGA Coordinator
Table 2 of this section shows the total of indicators developed in three larger thematic analyses:
Table 2: Total of indicators classified according to topic and type of indicator
Main Problems
Theme and type of
indicator
Management
Cause
Effect
Poor management for the
implementation of fees for
wastewater discharges
Inefficient application
of sanctions"
Mismanagement
in the treatment
of wastewater
Total
general
6
6
8
14
28
4
9
19
4
5
9
4
4
4
4
11
23
9
19
2
2
29
55
Additional
Resources
monitoring
Cause
Environmental
Responsibility
9
1
9
1
Adicionales
Cause
2
2
Effect
Total general
15
Source: Gómez, Agustín. 2009. US AID/ CCAD Consultant.
9
2
2
The issue of Management refers to the process indicators related to the topic itself Wastewater, so
for example a specific indicator for this area would be the total number of officials (as) outstanding
on the issue of wastewater. As the table shows, the issue of mismanagement in the treatment of
wastewater is the problem which could be operationalized more indicators, about 29, while the issue
of inefficiency in the implementation of sanctions only nine indicators.
“Environmental Responsibility”, focuses indicators related to specific performance parameter of the
Law, so for example the total number of entities that will perform an inspection is one of nearly 24
indicators that users can find in that theme.
The second "Resources for monitoring" means monitoring indicators on the specific parameters of
the law, and such an indicator would be subject Laboratories eight parameters have the universal
and the sampling procedure (according to the regulation of discharges and reuse of wastewater
Table 1: Results of draft analysis of the problem converted to indicators such INECE
Main cause
2
Deficiency in
inspections
Associated
Cause
2.1
Associated
Cause
2.2
Insuficient
sta ff for
inspections
Deficient
pla nning
Associated
Cause
2.3
Budget
constra ints
Type of indicator (INECE)
Indicator
Contributions
Tota l a nnua l
ca ses requiring
inspections
Tota l
inspection sta ff
Sta ff a ssigned
per ca se per
yea r
PTota l budget
a ssigned to
inspections
Products
Final
result
X
X
X
X
Tota l
inspections per
yea r
X
Percenta ge of
inspections per
yea r in rela tion
to tota l ca ses
requiring
inspection per
yea r
X
Existence of a
working pla n
a nd ínspection
procedures
Intermedia
te
Result
X
4.2. Integrated Solid Waste Management (ISWM)
For the issue of solid waste had to make a change to the methodology used in wastewater because
there is no direct legislation on the subject as such and had to go to official documents designed to
evaluate an integrated program PRESOL as is. It is important to note that PRESOL covers all
processes related to the topic of ISWM is a timely effort.
The proposed indicators should be aimed at a comprehensive assessment of the issue of waste and
not so focused on the evaluation of certain strategic actions PRESOL as such.
The proposed indicators to analyze the issue of GIRS are about 72 which, as shown in figure two of
this section, are classified into six major themes, the first theme "Management" refers to the
administrative process and ISWM a proposed indicator for this theme is Percentage of
implementation or development-oriented Information System for integrated waste management.
The second theme proposed for the classification of indicators refers to the monitoring of the
resources invested in the ISWM process, a proposed indicator for this theme is: Reduction of costs
in the collection process, transport and final disposal of the municipalities that implements the
ISWM . The third theme refers to those variables or indicators associated with the process proper
disposal of solid waste issue a proposed indicator is the amount of waste deposited under PMGIRS
process between the total waste collected. The fourth theme refers to that variable associated with
the issue of solid waste collection, a proposed indicator for this theme is the percentage of
households with at least 1 time per week trash collection. The fifth theme of "transport" focuses
those variables or indicators associated with the means by which solid wastes are transported to
their final destination, an example of an indicator associated with that theme is, volume of
hazardous waste are treated (by category of waste ) and are prepared safely.
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