TABLE OF CONTENTS
FIGURES, TABLES AND BOXES………….…………………………………………..…...5
PREFACE………………………………………………………………………………….......7
1.
INTRODUCTION ................................................................................................................. 8
1.1 Research background ......................................................................................................... 8
1.2 Research hypotheses and research questions ................................................................... 9
1.3 Aim and objectives of the Research ................................................................................... 9
1.4 Research approach and methodology ............................................................................. 10
1.5 Scope and limitations ........................................................................................................ 12
1.6 Exploring the terminology ................................................................................................ 12
1.7 Structure of the dissertation ............................................................................................. 12
1.8 A guide to the reader ......................................................................................................... 14
2. RESPONDING TO POLLUTION PROBLEMS ................................................................. 16
2.1 Disciplinary approaches ................................................................................................... 17
2.1.1 The mono-disciplinary approach .................................................................................. 17
2.1.2 Multi disciplinary approach ......................................................................................... 18
2.1.3 The Interdisciplinary approach ..................................................................................... 18
2.1.4 The Transdisciplinary approach ................................................................................... 20
2.1.5 The Holistic approach ................................................................................................... 22
2.2 Concepts related Holistic Approach ................................................................................ 22
2.2.1 The concept of system .................................................................................................. 23
2.2.2 Causal chain concept .................................................................................................... 24
2.2.3 The concept of evolution .............................................................................................. 26
2.2.4 Adaptive management of complex system ................................................................... 28
2.3 The Concept of governance .............................................................................................. 29
2.3.1 Defining the concept ..................................................................................................... 29
2.3.2 Decentralization ............................................................................................................ 30
2.3.3 The Principle of Subsidiarity ........................................................................................ 35
2.3.4 Co- management approach ........................................................................................... 36
2.3.5 Integrated environmental management ........................................................................ 38
2.3.6 Link between governance and corruption .................................................................... 40
2.3.7 Organisational learning................................................................................................. 42
2.4 Sustainable Development .................................................................................................. 46
2.4.1 Historical and Conceptual Precursors........................................................................... 46
2.4.2 Recent Evolution of the Concept .................................................................................. 48
2.4.3 Defining the Concept .................................................................................................... 49
2.4.4 Constant stock of capital as a condition for sustainable development ......................... 53
2.4.5 Complementarity and substitutability of natural capital............................................... 54
2.4.5 Aspects of environmentally sound design process ....................................................... 56
2.5
Useful Building blocks of the framework ................................................................. 57
3.
POLLUTION PROBLEM EXPLANATION AND ANAYLSIS..................................... 69
3.1 Problem-in-Context framework....................................................................................... 70
3.1.1 Problem-in-context summarised ................................................................................... 70
3.1.2 Applying the Problem-in-Context Framework ............................................................. 73
3.2 Functions of the environment........................................................................................... 75
3.2.1 Stability of Ecosystems ................................................................................................ 76
3.2.2 Diversity of Ecosystems ............................................................................................... 77
3.2.3 Carrying Capacity ......................................................................................................... 78
3.2.4 Environmental Utilization Space .................................................................................. 78
3.2.5 Ecosystem approach ..................................................................................................... 79
3.3 Environmental assessment methods ................................................................................ 80
3.3.1 Environmental Impact Assessment (EIA) .................................................................... 80
3.3.2 Strategic Environmental Assessment (SEA) ................................................................ 81
3.3.3 Use of environmental impact assessment tools in developing countries ...................... 83
3.4 Life Cycle Assessment (LCA) ........................................................................................... 85
3.4.1 LCA Summarised ......................................................................................................... 85
3.4.2 Basic difference between LCA and EIA ...................................................................... 89
3.4.3 Use of Life Cycle assessment in developing countries ................................................ 89
3.5 Cost benefit analysis .......................................................................................................... 90
3.5.1 CBA reviewed ............................................................................................................. 91
3.5.2 Contingent valuation..................................................................................................... 94
3.5.3 Relevance of CBA in developing countries ................................................................. 95
3.6 Special Circumstances in Developing Countries ............................................................ 96
3.6.1 Mismatch between sectors ............................................................................................ 96
3.6.2 Socio-cultural resources constraints ............................................................................. 97
3.6.3 Financial resources constraints ..................................................................................... 99
3.6.4 Institutional infrastructure constraints ........................................................................ 100
3.6.5 Physical infrastructure constraints .............................................................................. 101
3.6.6 Human resources constraints ...................................................................................... 102
3.7 Backbone for pollution problem analysis and explanation ........................................ 105
4. TOOLS FOR OPPORTUNITY IDENTIFCATION AND DISCOVERY ...................... 112
4.1 Options identification based on analytical tools ........................................................... 113
4.1.1 Option identification based on PiC ............................................................................. 113
4.1.2 Extended producer/product Responsibility ................................................................ 117
4.1.3 Option identification based on LCA ........................................................................... 118
4.1.4 A conclusion for developing countries ....................................................................... 121
4.2 Option discovery based on normative concepts ........................................................... 122
4.2.1 Bases on “Sustainable product development” ............................................................ 122
4.2.2 Based on “ cleaner production” ................................................................................. 124
4.2.3 Based on “Industrial Ecology” ................................................................................... 127
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4.2.4 A conclusion for developing countries ....................................................................... 130
4.3 Option discovery based on creativity ............................................................................ 131
4.3.1 Action Learning summarised...................................................................................... 131
4.3 2. Tapping local knowledge........................................................................................... 133
4.3.3 Enabling creativity...................................................................................................... 135
4.3.4 Based on “Serendipity” .............................................................................................. 139
4.3.5 Using dreams to find opprounities.............................................................................. 142
4.3.5 A conclusion for developing countries ....................................................................... 143
4.4 An enabling context for option discovery ..................................................................... 144
4.4.1 A basis in routines ...................................................................................................... 145
4.4.2 Basis in people ............................................................................................................ 149
4.4.3 A basis in learning ...................................................................................................... 153
4.4.4 Dynamics .................................................................................................................... 154
4.4.5 A conclusion for developing countries ....................................................................... 157
5.
DESIGN, IMPLEMENTATION, MONITORING AND EVALUATION .................. 162
5.1 General Design principles............................................................................................... 163
5.1.1 Participation of victims and actors interested in outcome .......................................... 163
5.1.2 Co-management approach .......................................................................................... 164
5.1.3 Adaptive management approach ............................................................................... 165
5.1.4 Networking, building capacity and positive linkages ................................................. 167
5.1.5 Balance context and macro analysis ........................................................................... 168
5.2 Principles to deal with special circumstances ............................................................... 169
5.2.1 Justification ................................................................................................................ 169
5.2.2 The Principles ............................................................................................................. 169
5.3 Tools for design, implementation and evaluation ....................................................... 176
5.3.1 Market-based Tools .................................................................................................... 176
5.3.2 Regulatory tools .......................................................................................................... 189
5.3.3 Environmental Education and communication tools……..………………………….197
5.3.4 Conflict resolution tools ............................................................................................. 204
5.4 Design and evaluation of solution ................................................................................. 208
5.4.1 Introduction ................................................................................................................ 208
5.4.2 The design process...................................................................................................... 209
5.4.3 Actors involved in the design, implementation and evaluation of solution ............... 212
5.4.4 Evaluation of the designed solution............................................................................ 214
5.5 Implementation and monitoring .................................................................................... 216
5.5.1 Monitoring and evaluation of implemented solutions ................................................ 217
6. OVERVIEW OF THE OPiC FRAMEWORK................................................................... 220
6.1 Problem explanation and analysis ................................................................................. 220
6.2 Opportunity discovery and realisation .......................................................................... 222
6.3. Design, implementation, monitoring and evaluation of solution ............................... 224
6.4 Applicability..................................................................................................................... 232
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7. APPLICATIONS OF THE OPiC FRAMEWORK IN GHANA ................................... 234
7.1 Ghana in general context ................................................................................................ 235
7.1.1 Socio-economic background ...................................................................................... 235
7.1.2 Development strategy ................................................................................................. 236
7.2 Pollution in Ghana .......................................................................................................... 237
7.3 Pollution Management in Ghana ................................................................................... 239
7.3.1 Developments in Pollution Management in Ghana .................................................... 239
7.3.2 Institutions involved in pollution management .......................................................... 239
7.3.3 National Environmental Policy of Ghana ................................................................... 242
7.3.4 Assessment of pollution management tools used in Ghana ....................................... 244
7.4 The Tema case study: Analysis and explanation of pollution problem ..................... 246
7.4.1 Final variable components…………………………………………………………...247
7.4.2 Physical context and environmental capacity of Chemu lagoon, Tema ..................... 252
7.4.3 Activity in the environs of Chemu lagoon.................................................................. 253
7.4.4 Social context of Chemu lagoon ................................................................................. 254
7.5 Tema case study: Opportunity discovery and realization ........................................... 260
7.5.1 Opportunities arising from concepts........................................................................... 260
7.5.2 Opportunities arsing from problem analysis ............................................................. 261
7.5.3 Creative opportunities in Tema ................................................................................ 263
7.5.4 Context of discovery ................................................................................................... 263
7.6 Tema case study: Design of solution .............................................................................. 264
7.6.1 Proposed actions for solution………………………………………………………..263
7.6.2 Principles to deal with special circumstances: an illustrative case ............................. 269
7.8 Lessons learnt ................................................................................................................. 275
SUMMARY ............................................................................................................................... 277
ABOUT THE AUTHOR .......................................................................................................... 280
REFERENCE LIST .................................................................................................................. 281
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FIGURES, TABLES AND BOXES
FIGURES
Figure 1.1
Figure 2.1
Figure 2.2
Figure 2.3
Figure 2.4
Figure 2.5
Figure 2.6
Figure 2.7
Figure 2.8
Figure 2.9
Figure 3.1.
Figure 3.2
Figure 3.3
Figure 3.4
Figure 3.5
Figure 3.6
Figure 3.7
Figure 3.8
Figure 3.9
Figure 3.10
Figure 4.1
Figure 4.2
Figure 4.3
Figure 4.4
Figure 4.5
Figure 4.6
Figure 4.7
Figure 5.1
Figure 5.2
Figure 5.3
Figure 5.4
Figure 5.5
Figure 5.6
Figure 6.1
Figure 6.2
Figure 6.3
Figure 7.1
Figure 7.2
Figure 7.3
Figure 7.4
Figure 7.5
Overview of the dissertation
Side by side connection of disciplines by intiutve notion
Strong connection between disciplines in an interdisciplinary approach
Disciplines considered within a boundary
The forms of decentralization
Interaction between two group actors resulting in co-management
The interaction between multiple actors showing integrated environmental
management
Comparative analysis of the different conceptualisation of sustainable
development
The main characteristics of context analysis and macro-level analysis
Proposed elements for pollution management
Problem analyses with Problem-in-Context Framework
Problem explanations with Problem-in-Context Framework
PiC used to analyse and explain water pollution problems in Lapaz city, Bolivia
Interrelation and interdependency between human society and the ecosystem
Environmental Assessment Process in Ghana
An example of a simplified life cycle of waster paper
System levels in Cost Benefit Analysis
Factors that drive brain drain process in developing countries
A model for pollution problem analysis and explanation
Action-in-Context
Options for solution arsing from PiC
A model for resource flow analysis in a geographical area
Principles of action learning
A model for creativity and opportunity finding to deal with environmental issues
A proposed opportunity recognition and assessment model
Windows of opportunity related to context and time
Components of opportunity identification and discovery
Policy reform areas and concepts that should be considered.
General characteristics of the classical and alternative approach
Problem and opportunity analysis as inputs for design of solution
Proposed pollution management functions to different institutions
Evaluation of designed solution
Adaptive management components shown as a cycle of continual loop
General Overview of the Opportunity-Problem-in-Context framework
An overview of the OPiC framework for existing activities
Proposed pollution management functions to different institutions
Type of pollutants and their sources in Ghana
Institutions involved in environmental management in Ghana.
Industry-related Environmental Policies and Regulations Guidelines
Discrepancies between facts and values
A pollution management strategies for Tema.
5
Figure 7.6
Figure 7.7
Proposed pollution management functions to different institutions
A summary of the proposed measures illustrated in Ghana.
TABLES
Table 7.1
Table 7.2
Table 7.3
Table 7.4
Table 7.5
Showing water quality analyses of the Chemu Lagoon in Tema
Showing soil pollution levels of the Chemu Lagoon in Tema
Results of the air quality assessment of Tema
Results of the noise assessment
Actors and opportunities available for the development of solutions
BOXES
Box 4.1
Box 4.2
Box 4.3
Serendipitous discovery of Penicillin by J Sir Alexander Fleming
Serendipitous discovery of Silly Putty by James Wright
Example of using dreams to solve problems
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PREFACE
This study is in fulfilment for the requirement of PhD degree from the University of Leiden, the
Netherlands. The journey has not been an easy one, however, with determination and hard work,
this thesis has been produced. This thesis would never have been completed without the help of
colleagues, policy makers, and professors in Denmark, Netherlands, Ghana and the United
Kingdom.
I would like to thank Wouter de Groot for giving me space, inspiration, his confidence and
patience to allow my chaotic curiosity and ideas to develop into this thesis. I will always
remember the pages full of written comments which made it what it entails to write a thesis to
obtain a PhD.
Hans Bruer, Analisa, Brenandse Edith and other members of the department of environmental
science (CML)- I cannot thank you enough for making Leiden a great base for me to carry out
extensive literature search
( ) I would want to thank my wife, Courage Tsetse, who has always stimulated me to do this and
never complained about it. To sons, Bernard, David, Emmanuel and Joel, your support during
times I spent without you has finally paid off. I would also like to thank my parents, siblings and
friends. You have had to wait a long time for this research to finish. Thanks for your patience
and support.
I would like to thank all other experts and colleagues who took ( ) time to share their insights, in
particular ( ) colleagues at the Science and Technology Policy Research Institute, Council for
Scientific and Industrial Research, Accra, Ghana. Dr. Gogo, thank you very much for your
support, for without it would not have been possible to complete this study. Thanks ( )very
much.
Lawrence, I thank you very much for making time to read and comment on my work. Your
contribution is highly appreciated. Your contribution has really transform this dissertation.
Finally, I would like to thank ( ) Almighty God for making the study a reality.
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1. INTRODUCTION
1.1 Research background
In developing countries, governments, companies and individuals tend to wait for pollution
related issues and problems to occur before ( ) solutions are sought. In spite of the fact that a
proactive approach to pollution management is currently promoted, little has been achieved.
The situation described above can be attributed to lack of standards or failure to respect() the law
in some cases. The environment in some instances is not given the necessary attention as
compared to economic development. In addition, processes employed in pollution management
are not sufficiently participatory especially ( ) for serious pollution problems, making the voices
of victims of pollution not given due attention by pollution management policies and agencies.
Notwithstanding the above problems, developing countries as they are, with a great deal of
opportunity such as local development initiatives, cultural and traditional values, when properly
exploited and combines with other opportunities like, ecologically sound production techniques,
organisational change and social equity could constitute a potential ways of finding solutions to
pollution problems. (I don’t understand this paragraph)
The vision of this book is to draw the attention of governments, companies, communities and
individuals in developing countries to deal with pollution issues in a sustainable way, by
considering the problems and opportunities that exist. It is my wish that this work will give them
the opportunity to put in place measures that will prevent potential pollution problems and find( )
sustainable solutions to existing pollution problems.
This book is rooted in the understanding that in every situation or context the problems and
opportunities should be analysed. With this understanding, it is hoped that pollution problems
can be prevented and seek solutions to already existing pollution problems in a sustainable way.
My point of depature is that in every context, there are prevailing problems and opportunities.
To design a solution to the problem in the context, it is not enough to only consider the
prevailing problems but also the opportunities. I think this approach is necessary, because a
wide range of disciplines from water, natural, and physical to social sciences is present in
institutions responsible for environment management. In many cases, a variety of frameworks
such as PiC, LCA and EIA (can you provide full names first?) used in designing solutions to
environmental problems are geared towards pollution problem explanation and analysis and not
very efficient and effective in addressing pollution problems in developing countries. In addition,
the frameworks are difficult to operationalised especially in terms of identifying opportunities
that will help prevent and also solve pollution problems. The frameworks and tools also do not
address very well, all aspects of sustainable development, such as equity.
To be able to develop a framework that considers both problems and opportunities in a context,
there is the need to understand the principles, theories and concepts that underpin frameworks
that support sustainable development. In an effort to contribute to solving environmental
problems, the hypotheses and research questions that would help ( ) gain insight into these issues
are proposed in the next section.
8
1.2 Research hypotheses and research questions
Contemporary research on environmental management is based on the general hypotheses that
pollution issues can be managed by taking a system or causal chain approach. However, since
sustainable management of pollution issues is a complementary issue and would very much
depend on the type of environmental management framework used, strong recommendation
have been made to advance our knowledge in pollution management to consider a system
approach, a causal chain and evolutionary approach.
The hypotheses in this research therefore are:
 Understanding the combine dynamics of system theories; causal chain theories and
evolutionary theories may serve as the basis to develop a framework to support
sustainable environmental management in developing countries.
 Taking a problem and opportunity approach to environmental issues has the potential to
contribute positively to the design of sustainable solutions to pollution problem in
developing countries.
Research question which resulted from this hypothesis, include:
 Can the major scientific approaches, theories, principles and concepts be used as a
backbone for the development of an Opportunity and Problems in Context
framework for environmental management ?
 Can the major tools and approaches used in pollution problem explanation and
used as the building blocks for problem analysis and explanation in a context?
 What are the major tools and approaches that are used to discover and realise
opportunities in context and how can they used as the building blocks for the
discovery and realization of opportunities towards the design of solutions?
 How should a solution to an environmental problem in a context be desgined so
that opportunity and problems in the considered in context framework be
developed
from a sustainable
development perspective? applied in the
development design of solutions to environmental problems and how can they be
used as the
 Can a framework that considers problems and opportunities in a context be used to
design a solution for environmental problems in Ghana ? What? (Why this?)
1.3 Aim and objectives of the Research
The aim of the framework is to:
 Provide perspectives that will be useful ( ) to understand the complex nature of
environmental problems and at the same time help in the design of effective interventions
and management practices with the integration of theory and practice.
 Be a guide for approaching typical pollution issues in developing countries from a
sustainable perspective
 Be a basis for further discussion on the development of more specific and well-grounded
approaches and framework for pollution management in developing countries.
9
The development of this framework is contributed to using both problem and opportunity
explanation and identification in designing sustainable solutions to environmental problems. The
realisation of this general objective approached in this study addressing the following two
specific objectives:
 Based on existing tools and theories, to develop generic frameworks to support the
design of environmental management strategies in developing countries such as Ghana.
 To exemplify and operationalise the frameworks, connected to the underlying
frameworks and tools in developing countries such as Ghana
1.4 Research approach and methodology
An exploratory/research approach was employed in the study. Even though this research result
is presented as well-defined itinerary, it started as a wandering process with little expectation of
leading to the expected outcomes. During the enquiry process, the why and how of the different
steps taken in the study are made transparent. It was clear for the researcher the starting point of
the study and what is expected. However, in the interplay of the original research questions,
assumptions and subsequent emerging opportunities, different approaches emerged; and all kinds
of insights and research tools were encountered. Some (what?) were instrumental in gaining
insight into frameworks for environmental management, theoretical basis that will contribute to
improving frameworks for environmental management and the problems associated with the
frameworks and identify areas for improvement whilst others did not.
The research approach adopted considered a systematic analysis and criteria that guaranteed
quality scientific research. At every stage of the study, steps taken and choices made were
crosschecked with quality standards such as credibility, transferability, dependability and
conformability.
1.4.1 Defining the playing ground, research questions and methods considerations
This research started out in a rather straightforward manner with predetermined research problem
and a research proposal to find the way. The point of departure was the question of how could
the combined analysis of problems and opportunities contribute to the design of a sustainable
solution to pollution problem. i.e. considering problems and opportunities in designing solution
to pollution problems. Most frameworks developed for pollution management turn to focus on
problem analysis with less emphasis on the role opportunities can play.
Methods employed here were the review and analysis of literature and consultation and interview
with researchers and experts for their comments and suggestions. Insights gained during this
process were crosschecked by using quality standards such as credibility dependability and
transferability. The outcome of this process was the development of a detailed research proposal
and the identification of relevant literature database for the study.
The study was initiated in Denmark and the detailed proposal was developed during an intensive
four-week stay at the Centre of Environmental Science, University of Leiden, The Netherlands.
1.4.2 Review of literature
In accordance with the work plan of the research, the first phase started out by becoming
acquainted with the research epistemologies and methodologies related to the development of
10
frameworks for pollution management. A number of literature were reviewed in search of
theory, concepts, and principles for the development of sustainable framework for environmental
management. This approach was to gain insight into the multiple views about developing a
framework that seeks to combine problem and opportunity analysis. As a guide to the review,
consultations and interviews were held with pollution management researchers (such as) and
experts and workshops organised to present my research proposal (can you name just a few
here). This led to a review( ) of theories, concepts, and principles necessary for the development
of sustainable frameworks for pollution management. Tools and for problem and opportunity
identification and analyses were also reviewed The outcome( ) to the literature review is the
development of building blocks for the framework and backbone for problem and opportunity
analyses and were presented as working papers.
The results of literature review were checked with comments and insights from key informants in
the pollution sector. Seminars were organised to present findings to the staff working at the
research base. Articles were presented to international conferences and critiques used to refine
findings and re-orient subsequent research directions.
Major part of the review of literature was done at the Technical University of Denmark with
occasional visits to Centre of Environmental Science, University of Leiden The Netherlands.
1.4.3 Integration of theory and practice
To see how practicable the framework would be, I had the opportunity to be a facilitator of a
Netherlands funded postgraduate course on environmental management for officers of the
Ministry of Local Government and Rural Development in Ghana. This provided an ( )
opportunity to link the insights of the frameworks to problems in pollution management in
Ghana and gain insight in environmental management consultancy in Ghana and organisational
arrangement and structures of environmental management institutions. The link between theory
and these considerations resulted in the development of backbone for problem analysis,
backbone for opportunity analysis and design, implementation and evaluation solution.
After the combining theoretical knowledge and practical experience to develop the frameworks,
researchers and experts were again consulted and interviewed for their comments to fine tune the
framework. Comments and suggestion were used to modify the frameworks to end up with the
OPiC framework
1.4.4 Application through case study
As case study analysis has proven to be useful for investigating a phenomenon within a real-life
context, it provides a means to see whether the frameworks developed are applicable. In order to
capture all that was developed, two case studies were carried out. One was carried at the
municipal level to develop solution to the pollution problems in Tema, the industrial city in
Ghana. I( ) undertook the other case study to develop a solution to pollution problems that would
result from a proposed activity by Global Haulage Ghana Limited in Tema. Expects consulted
pointed out ( ) issues faced in pollution management in Tema Municipality and shared a number
of actions being taken to resolve the issues. A quick scan of the issues confirmed these case
studies would be a good pilot for the frameworks.
11
Armed with the frameworks developed and from the insight gained about Tema, The case studies
were undertaken in Tema. (Repetition, Think you can take it off)
Details of how the frameworks were used and steps taken are further discussed in chapter 7. The
outcome of the case studies were Design, implementation and evaluation of solution to
environmental problems in Tema and Global Haulage Ghana Limited and lessons learnt for
further development of the framework.
1.5 Scope and limitations
This dissertation is a broad analysis of concepts, theories and principles related to pollution
management, pollution management tools and frameworks. The frameworks for pollution
management developed can be applied from the local level to national level. It can also be
applied on a geographical or organisational basis. Base on the context and the issue to be
addressed, specific strategies may be formulated to solve pollution problems.
During the field testing, it was not possible to practically test some parts of the strategy due to
the volume of work, the information required and financial resource constraints. The case studies
were therefore limited to industrial pollution problems.
1.6 Exploring the terminology
In this section, I define some of the common and important terminologies used in the
dissertation. This is to help the reader appropriate the idea put forward and to better understand
the frameworks for easy application.
 Environmental issues - are used in the book to mean the same ( ) and refer to
environmental problems and other environmental signs such as opportunities created by
mankind.
 Framework is used in the report to refer to the collection of building blocks that can be
used and customised to develop components of pollution management, which are
applicable.
 Tool Environmental crisis - refers to a long-term threat to Earth’s well-being caused by human
activities and advancement in technology.
 Pollution management - refers to the sum of pollution control, pollution preventions, the
institutional arrangements, and the management processes required to solve pollution
problems. In some parts of the thesis, I use environmental management in place of
pollution management
1.7 Structure of the dissertation
The dissertation is structured into eight chapters. Figure 1.1 provides an overview of the
structure of the dissertation and the chapters in which the research objectives are addressed.
12
Chapter 1
Introduction
Chapter 2
Responding to environmental problems: theories, concepts and principles
Chapter 2
Tools for Problem analysis and
explanation
Chapter 2
Tools for opportunity identification and
discovery
Chapter 5
Design, implementation and evaluation of solution
Chapter 6
Overview of the OPiC Framework
Chapter 7
Application of the framework in Tema, Ghana
Figure 1.1 Overview of the dissertation
Chapter 1:
Chapter 2: In chapter 2 the foundation for taking a problem and opportunity approach to
designing solutions for environmental problems are explored. This involve the examination of
approaches, theories and concepts such as Disciplinarily, Environmental theories, Sustainable
development and Governance theory that are used to deal with pollution issues. Based on the
examination building blocks for the development of the framework are identified.
13
Chapter 3: In this chapter, I present an overview of tools for pollution problem analysis and
explanation that I am going to use in my framework. Finally I present a synthesis of the tools,
which I consider to the backbone for pollution problem analysis
Chapter 4: In this chapter, I review tools that can be used for identifying and realising
opportunities for environmental management. At the end of the chapter, I develop a model for
the realisation of opportunities.
Chapter 5: Here, I present principles for the design, implementation and evaluation of solutions
based on insights gained from chapter 2. Tools for the design and principles to deal with
constraints in developing countries identified in chapter 3. The chapter ends with the presentation
of the design process, the actors involved in the design and their functions.
Chapter 6: In chapter 6 i present an overview of the the OpiC framework. This chpater is
basically the summary of sections 3., 4. and 5. respectivley. I present what should be done when
applying the framework.
Chapter 7: Here I present a field tests in Ghana of the framework developed to see its
applicability. I first present an extensive description of Ghana and the current pollution
management policy and framework. This is followed by the applying the framework in Tema.
Conclusion pertaining to the study, lessons learnt from the study and recommendations for more
research in the application of the framework are presented.
1.8 A guide to the reader
The framework developed in this study is generic, meaning it is applicable to any locality in the
world in spite of the fact that it would be most suitable for developing countries.
The framework looks at environmental management from strategic level to operational level.
The model proposed in chapter 3 for proposed activities could be used in place of the
conventional environmental impact assessment and strategic environmental assessment. There
will be the need to work out operational manual for the different aspects of environmental
management.
In reading this dissertation, if you want to have an understanding of the concepts necessary for
sustainable environmental management you are advised to read chapter 2. If on the other hand
you want to read about current environmental management tools used in developing countries
and their relevance you should read chapter 3, section 3.1. to section 3.., chapter 4 section 4.1 to
4. and chapter 5 section 5.3 respectively. These sections will give you the details of building
blocks of the frameworks with diagrams. In section 5, I present how to design of solutions
If you want to focus on the OPiC framework itself, you should start from section 2.5 where the
building blocks for the development of the frame worked are presented. Then you move to
section 3…. Where the problem identification block of the framework is developed and section
4… where the opportunity identification block is also developed. Diagrams are presented to
show the various aspects of the blocks.
14
For those who do not want know the theory behind the development of the framework and only
interested in the application of the framework,, chapter 6 is what you should read. However, you
may refer to sections 3, 4 and 5 if you require deeper understanding of the framework.
My personal reading strategy would be to read the overview in chapter 6 first and then chapter
5. This would b followed by building blocks of framework in sections 3.7 and , 4.5 after which
I will move to the chapter 2 and other parts if the dissertation. (May be not necessary, can leave
these paragraphs out, but that’s up to you)
As I already mentioned, the framework developed in this study is not final and could be further
developed to improve its implementation and practical workability, especially in the area of
opportunity identification and discovery. Any suggestion, experiences and comments about the
application of the framework could be sent to tsetsed@yahoo.com
15
2. RESPONDING TO POLLUTION PROBLEMS
With an increasing awareness of the global pollution problems, society expects a concerted
intellectual leadership from the scientific community in terms of knowledge acquisition and
solution generation. The scientific community has responded to the expectations of society with
respect to dealing with pollution problems. This chapter of the dissertation will allow the reader
to understand the nature of the responses from the scientific community from which I will derive
the building blocks for the development of my strategy for pollution management in developing
countries.
Section 2.1 Monodisciplinary, interdisciplinary and transdisciplinary approaches
I examine monodisciplinary where all attention is given one element or relationship. This
followed by multidisciplinary where disciplines are considered side by side and usually arranged
by intuitive notion of connections. I also review interdisciplinary approach where disciplines are
strongly connected by a way of systemic framework. The section ends a review of
transdisciplinary approach, a new overarching concepts which begins to dominate system
thinking.
Section 2.2. Systemic theory, evolutionary theory and causal chain theory
I present systemic theory, evolutionary theory and causal chain theory as key theories for the
development of a framework for pollution management. I therefore proposed a combine use of
these theories and present an insight to how they can he used in pollution management.
Section 2.3 The concept of governance
The concept of governance is defined in the section and the different forms of decentralisation
examined to see how best they can be applied in pollution management. The link between
governance and corruption is explored while the principles of subsidiary reviewed for potential
building blocks.
Section 2.4. The concept of sustainable development
I start this section by examining the precursors of sustainable development and the varied
conceptualization held in the scientific community. I also examine natural capital as a condition
for sustainable development and its complementarities and substitutability in an attempt to ( )
operationalise the concept in pollution management
Section 2.5 Building blocks of the strategy
This section presents a synthesis of the previous sections and makes proposals in the form of
building blocks for the development of a sustainable strategy for pollution management in
developing countries.
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2.1 Disciplinary approaches
One of the major outcomes of the change in global environmental consciousness witnessed over
the past three decades was its effect on the various disciplines of science. This change resulted in
an academic process that leads to different approaches to the environmental problems. The
response has been a two-way process helping the environmental debate to benefit from insights
of sciences and the scientific community to learn from their attempt to rise to environmental
challenges. I identify the role of science in the environmental challenge to have the following
two facets. First, science helps to develop our ability to recognize the complex interactions in the
environment, leading to a higher forecasting ability of long-term effects of human activities
today. Secondly, as the reality of the immediate and long-term implications of our current
development activities increasingly became evident, the scientific community has started to find
remedial measures and solutions to environmental issues. This has resulted in different
approaches of the scientific community to environmental challenges, which are classified here
into two categories. The first was the mono-disciplinary approach during which each scientific
discipline made an attempt to contribute to the analysis of environmental problems from their
own disciplinary domain. The second is the inter-disciplinary approach, which is currently the
dominant approach to environmental problems.
2.1.1 The mono-disciplinary approach
The mono-disciplinary approach was the initial response to the increasing level of environmental
awareness. It originated within the domains of the different disciplines, leading to specialized
areas within the mainstream disciplines (Clarkee, 1993). Fields such as environmental
economics, environmental engineering, environmental law, and environmental biology are the
outcome. Today, specialised environmental disciplines constitute the core elements of
environmental education and research of major educational institutions around the world.
The mono-disciplinary approaches to environmental challenges are, to a large extent, extensions
of the basic principles and theories of the disciplinary domains towards the field of environment,
which is inherently an area of complexity. This complexity led to two major constraints
associated with the use of the mono-disciplinary approach. First, I identify as the effort of
understanding the root causes of the environmental crisis by the traditional reductionist way of
thinking is reflected in trying to identify the source of environmental problems and solution
generation using this approach (sentence too long and looses its meaning). Since each discipline
provides partial insight to environmental problem and solution, none of the disciplines can stand
alone to provide full insight in environmental problems. The second is that solutions generated
within the disciplinary domains have a limited scope of application in dealing with the
complexity of environmental issues.
Notwithstanding the above constraints, the mono-disciplinary approaches to environmental
issues have been important for three main reasons. First, they have significantly expanded the
knowledge about the different aspects of environmental issues. Second, this approach has
exposed some of the basic assumptions of the traditions of science to critical examination. This
has resulted in the questioning of assumptions creating a forum for research that extends well
beyond the traditional environmental problems. Finally, the impossibility of mono-disciplinary
approach to fully understand, let alone resolve, any of the environmental problems has opened
17
doors for interdisciplinary dialogue in an attempt to better identify the source of environmental
problems and potentials for solution generation.
2.1.2 Multi disciplinary approach
Multidisciplinary approach is where more than one disicpline are connected side by side to deal
with a particular issue, wiithout coming to a result that is significantly more than the sum of the
disciplinary contributiions (De Groot, 1992).
In multidisciplinary appraoch, the connection between desciplines at the top and lower levels are
weak. As shown in figure the dotted line indicates the relative strength of each descipline and
the relationship between them.
The approach require that every professional in a disicpline should (any lbels here?)
Figure 2.1 side by side connection of disciplines by intiutve notion
A typical multidisciplanry approach to finding solution to pollution problems is where
professionals in differnts disciplines design solutions from their perspectives and attmept is made
to synthesize the solution.
2.1.3 The Interdisciplinary approach
The environmental issues that are too complex to be treated within the scope of the different
mono-disciplines led to the evolution of the multi-disciplinary approach, which in turn, led to the
inter-disciplinary approach in environmental education and research, exemplified by the
establishment of many interdisciplinary environmental education and research centres at
different institutions. One aspect thereof has been the transfer and adaptation of methodologies
from one disciplinary area to another. Although this approach represents a move towards
reducing the barriers between the different disciplinary domains, it has also led to the following
constraints with respect to effectively addressing environmental challenges.
The absence of a concrete body of theory that may synthesize the different parts of the various
disciplinary approaches has made the inter-disciplinary approach, to a large extent, characterised
by a mechanistic combination of concepts and tools generated under the different disciplinary
18
domains. Interdisciplinary approach deals with the strength connection of disciplines by a way
of framework to deal with detailed complexity. Prime example of tools that used in this
approach are Problem-in-Context framework, Environmental Impact Assessment and Life
Cycle Assessment. A review of these tools is presented in chapter 3.
Thus, fundamental drawbacks that are observed within the independent disciplines are
transferred to the interdisciplinary approach. Second, the passive integration of the various
conceptual principles and conclusions through the interdisciplinary approach have led to an era
of detailed complexity under which the underlying root causes of the environmental crises are
overshadowed by a long list of superficial issues and their solution with the exception of
frameworks such as the Problem-in-Context framework.
Although interdisciplinary approaches Problem-in-Context framework tries to be inclusive in
their approach, all of them are mainly anchored within one or another dominant disciplinary
domain depending on their individual and institutional affiliation. This has resulted in
differences between the approaches in terms of the concepts, methods, priority and relevance of
environmental decision-making through interdisciplinary more complicated than expected
(Leroy, 1997). The inside barrier to environmental interdisciplinary is the split between
ecological, social and economic lines of thought with the tendency of the lines to follow the
others disciplines. Even if the intention is multidisciplinary, often the organisational behaviour is
different (Ziegler, 1997). Each of the approaches tends to underrate the contribution of other
disciplinary sciences to the development of the knowledge base for environmental challenges.
This has made the inter-disciplinary approach to be branded as being unscientific and not
beneficial to the effort of moving towards sustainable society in some academic circles. Thus,
there is growing institutional decline in recognition of the inter-disciplinary approach to
environmental issues from the disciplinary domains.
The development of science has been the major catalyst for the unprecedented change in the
environment since the industrial revolution. Although the positive effects of these changes
cannot be denied, it is equally true that science has been unable to keep pace with the negative
effects produced by the positive effects. The source of this inability is the limitations inherent in
our scientific ways of thinking and methodologies employed in solving environmental problems.
The disciplinary and inter-disciplinary approach of the scientific community to environmental
challenges has demonstrated that science is an important tool in our effort to overcome
environmental challenges. However, the full potential of science can only be realised if the
constraints in disciplinary and inter-disciplinary approach to environmental crises are properly
addressed.
19
Figure 2.2 strong connection between disciplines in an interdisciplinary approach (is this
diagram complete?)
2.1.4 The Transdisciplinary approach
The scientific approaches to environmental challenges examined above present little
understanding of the management of the environment. This is due to the fact that environment
problems are one of the complex and dynamic subjects that essentially fall beyond the reach of
the reductionist scientific thinking. Scientific understanding of environmental problems such as
pollution requires overcoming the limitations of the reductionist approach that is inherent in our
mainstream way of thinking. This implies the need for a change in paradigm and approach.
A paradigm is a cultural pattern consisting of a cognitive, a perceptual and behavioural
framework (Van der Vorst, 1997). The disciplinary approaches examined, if considered
individually over a temporal scale, an evolutionary pattern of paradigms for managing
environmental problems appears. This is because the evolving paradigms can be explained as a
temporal sequence of events and the rate at which this sequence of events occurs is difficult to
predict. This shift is based on the limitations of the reductionist approach that is inherent in our
way of thinking and approach to environmental issues.
Here I focus on the transdisciplinary approach, a new overarching concepts which dominates
system thinking as a result of previous disciplinary approaches being locked within the narrow
compartments of their respective disciplinary domain that excludes dialogue with other
disciplinary domains. The result is solutions that have a limited scope of influence as standalone solution. Nevertheless some disciplinary sciences have made great contributions in terms
of expanding our ability to understand the extent of the ecological damage caused by human
activities.
The transdisciplinary view arose in order to get a way from the superficial notion of
disciplianarity, which has not been able to solve environmental problems effectively despite the
huge effort over the last 20 years. Although, the interdisciplinary view gave rise to some
scientific metaphors and models on man-environment interactions such as pressure state/impact
approach model and metabolism, it has only been the transfer and integration of methods, rather
than forging substantive theories (Leroy, 1997). This resulted in the need for close links between
environmental sciences and classical basic disciplines. It is this situation that has given rise to the
evolution of the transdisciplinary view that aim to transcend disciplinary boundaries.
20
Figure 2.3 disciplines considered within a boundary
According to the International Centre for Transdisciplinary Studies and Research (1999):
“Transdisciplinarity is not concerned with the simple transfer of a model from one branch of
knowledge to another, but rather with the study of isomorphism between the different domains of
knowledge”. Transdisciplinary aims to forge flow of information circulating between the various
branches of knowledge, permitting the emergence of unity amidst the diversity. Its objective is to
lay bare the nature and characteristics of this flow of information and its principal task is the
elaboration of a new language, and new concepts to permit the emergence of a real dialogue
between the specialist in the different domains of knowledge. Transdisciplinarity is therefore the
linkage of several different disciplines at a higher hierarchical level that are been bridged and
fused together with the help of driving force which is capable of propelling the evolution of a
new discipline. Transdisciplinary is not a simple combination of multiple disciplines but rather
represents both a form of scientific principle and research, which is most effective in solving
problems where merely disciplinary or field definition of problematic situations and solutions are
impossible.
The main feature of the transdisciplinary approach is its cross-sectional nature running through
all disciplinary domains, which looks at the dynamic interrelationships between domains to
generate solutions with maximum synergistic effect. Most importantly, the transdisciplinary view
does not dissociate itself from the disciplinary domain but rather works within each and every
domain serving as the synthesizing thread of our action in approach to the environmental crises.
Prime example of application of transdisciplinary approach is the adoption of adaptive
management approach, system evolution and resilience thinking. System evolution is presented
in detail in section 2.3.3 while adaptive management is used in section 5.1 as one of the design
principles for the development of a pollution management strategy.
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2.1.5 The Holistic approach
The holistic approach to environmental problems focus on ‘the whole’ by concentrating on the
dynamic interaction between ‘the parts’ of ‘the whole’ in a creative way (Smuts, 1993). For
instance a plant or animal is a whole unit, which consists of parts that are united. Holistic
approach in this sense gives a particular conformation or structure to the parts, and also so relates
and determines them in their synthesis as their functions are altered. The synthesis affects and
determines the parts so that their function towards the ‘whole’ and the whole and the parts
influence and determines each other producing individual characters. Thus, the parts are whole in
themselves and parts of the whole, and synthesis of the whole and parts is reflected in the holistic
character of the functions of the parts as well as the whole.
The holistic view also asserts that natural wholes are always composed of just the parts in their
synthesis, which may be physio-chemical or organic or personal. That is, holistic approach
involves a process of creative synthesis of parts which results in a whole that is dynamic,
evolutionary and creative. Hence, holistic approach points out that the reductionist mechanistic
concept does not fully explain nature, because nature is well considered in the wider application
of the holistic view. But fundamentally, the reductionist way of thinking is recognised within the
broader domain of the holistic view.
In an attempt to focus on the mutual complementarities between reductionist and holistic
thinking, two distinct approaches can be identified within recent thinking and attributed to each
domain of origin. The first comes from the holistic domain, which has the tendency to take
the”system” as the point of departure and the “subsystems” adding on to the whole. The second
emerged from the reductionist domain and takes the “subsystems” as the point of departure and
consider the “whole “as adding on to the parts. It is important to note that both approaches are
missing the most important element of holistic thinking, which is interaction between the parts in
the whole and the environment. However, flaw in these two approaches can be overcome if
holistic thinking is based on the “subsystems”, the “system” and its environment and the
interaction between the three (Smut, 1993). In this context, I argue that, disciplinary science
based on reductionist views will remain to be the best source of gaining in-depth knowledge
about the parts. But when it comes to complex pollution issues, the limitations of the reductionist
view need to be rectified through the application of the holistic approach.
2.2 Concepts related Holistic Approach
In the previous section, I review the different disciplinary approaches employed in dealing with
pollution issues. In this section, I examine the system, causal chain and evolutionary concepts,
which in the scientific community are used to understand environmental issues. I see this
approach necessary because, since the early twentieth century, there has been the recognition of
combining theories to deal with environmental challenges. This recognition is due to the fact that
our scientific knowledge is based on the establishment of partial and grey truth as key elements
in understanding the complex system, processes and functions. This also has significant bearing
on our effort to understand the complexity environmental crises.
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2.2.1 The concept of system
…..The word system used here referred to a whole of interconnected elements with a welldefined boundary and with system level characteristics of its own. Systems may be isolated,
closed or open in terms of the relationship, which pertains across the boundaries of the system
with the surrounding. Thus, any scientific thinking that employs system definition is based on the
system theory. The following are the two common characteristics of systems:
 All systems have some structure and organisation, which show some degree of
integration and are abstraction of the real world.
 There are functional and structural relationship between units of systems which are
connected by flow or transfer of material which is driven by force or source of energy
System are categorised into three based on their complexity and randomness. The first, a system
can be simplified and organised by scientific assumptions and exclusions. The second is, a
systems that are complex but are sufficiently regular to be studied statistically, and finally the
class of systems that are too complex for reductionist simplification and too organised for
statistics and it can only be understood though system analysis (Weinberg, 1975). Most
environmental issues fall under the third class of organised complexity of systems making them
less amenable to reductionist simplicity and statistical treatment.
The concept of system reflects the ability of the human mind to perceive or see things as wholes,
which is a collection of parts of the whole that are organised in some way, with connections and
links between the units. According to system theory, systems analysis should not be limited to
the processing of many variables but take into account the dynamics of the variables as well.
Senge (1990) pointed out that ‘mixing many ingredients in a stew involves detail complexity, as
does following a complex set of instructions to assemble a machine, or taking an inventory in a
discount retail store. But none of these situations is especially complex dynamically”. Dynamic
complexity is characterised by factors such as: dramatically different effects of an action in the
short and long run, action with one set of consequence and very different set of consequences in
another part of the system with obvious interventions producing non-obvious consequences. In
this context, one can say that the real leverage in management of complex situations lies in
understanding dynamic complexity, not detail complexity (Senge, 1990; Clayton and Radcliffe,
1996; Shih-Liang Chan, and Shu-Li Huang (2004). The problem, however, is most system
analysis focuses on detail complexity and not on the dynamics of the complexity, which results
in ignorance of basic patterns and major interrelationships. Hence system approach deals with
finding detailed solutions to increasingly complex problems.
An important feature of system theory is the understanding of a simple concept of “feedback”
that shows how actions can reinforce or balance each other. The system thinking builds on the
ability to learn to recognise types of structures that occur again and again. Eventually, it forms a
rich language for describing a vast array of interrelationships and patterns of change. Ultimately,
system theory simplifies life by helping us to see the deeper patterns lying behind the events and
details (Senge, 1990).
System can be whole or a part of a larger whole system. Thus, the “whole” is separated from its
environment by a boundary. The boundary between the whole and the parts are imaginary
boundaries in the form of hierarchy of levels between and among entities of organised
23
complexity (Checkland, 1993) and the levels of hierarchy are characterised by properties of the
entities made up of nested levels of stable and discrete subsystems separated by imaginary
boundaries. However, there is the problem of the choice of boundaries, since what are considered
systems are man-made and the definition of a specific system is the point of view of one or
several observers.
According to the general mode of organised complexity (Checkland, 1993), there exist a
hierarchy of levels of organisations, each more complex than the one below a level being
characterised by emergent properties at the lower level. This hierarchy in organisations refers to
an arrangement of descending order with the higher levels having control over those directly
under them. Thus, properties of a given system have either a horizontal hierarchy or vertical
hierarchy. However, this subordination between levels is always incomplete and each level has
its own rules of behaviour and its own specific concern. Thus entities that are whole at one level
of the hierarchy simultaneously become parts of the higher level of entities thus a given system
exhibits the properties of being a whole and a part at a given time. For instance, an individual
person is a whole on its own and a part of a family, which is the higher system in the social
hierarchy. Hence, the existence of a specific level in the hierarchy is strictly dependent on the
existence of the earlier levels in the vertical and/or horizontal hierarchy. Thus, horizontal
hierarchy depicts the system hierarchy that is divided into ecological, social, and economic
subsystems in the order of their precedence and the ecological subsystem is the basis for
existence of the whole system, while the economic subsystem is the last element in the
hierarchy. The vertical hierarchy on the other hand depicts the hierarchy within the subsystem.
This means the output of a system be it “whole” or “part” has two-dimensional effects both in
the horizontal and vertical direction of the system hierarchy that keep the whole system together.
The discussion above gives us a fundamental idea of what is essential for managing pollution. It
is not surprising that there have been a number of recent studies emphasizing systems thinking.
For example, the integrated assessment (IA), has become a rapidly evolving field in the past
decade ( Rotman and van Asselt, 2002; Shih-Liang Chan, and Shu-Li Huang, 2004). In section
2.5, I present relevant concepts from system theory as building blocks for the development
pollution management strategy.
2.2.2 Causal chain concept
The causal chain theory takes its roots from the works of Bertrand Russell (year) who first
argued that the causal chain, as it does involve the law of universal determinism that every event
has a cause but the functional relationship between the events are not necessarily deterministic.
What is important is when two events belong to one causal chain, the earlier may be said to
“cause” the latter (Harpaz, 1996). In other words, given some information about the event,
information about other events can be inferred without having to know anything about the
environment.
Causal chain concept basically links the causes of problems to their effect with lines without
boundaries in the form causal stories that never end. Here, the elements that form the causal
chain are identified along the process but pre-defined. The application of causal chain theory in
environmental problems identifies two main causal lines, the causal line of facts or effects and
24
the causal line of values and norms (De Groot, 1998), which are compared to assess
environmental crises. Even though the first is empirical and the latter normative, both involve the
interpretation of reality. The functional relationship between cause-effect may be either empirical
in the form of correlations (associations) or theoretical (causation) in the form of generic
relationship based on knowledge of the phenomena involved. In environmental cause-effect
relationships the phenomena are physical and social. For instance the polices being imposed on
developing countries by international donor organisations cause social effects, which influence
human land use activities, which influence environmental parameters and finally human
parameters such as health and economy. These, jointly with various values and norms (such as
economic values and health standards) determine the environmental problems.
Causal chain concept tries to avoid conceptualising issues and the relationship between elements
but rather concentrate on issues that connect the elements into a relationship to help define a link
between the cause and effect of events. Causal chain is concerned with relating the description
of events with the real world with the assumption that there is no direct relation between the
conceptual world and the real world. The most important thing is how or what is the effect or out
come in a particular situation and ho it is causally linked to the origin of the effect without
referring to the detail features and also the way the causal chain of events are accepted in the
particular situation.
It must be added that causal relationships are understood not merely as one event having a one
cause, but also as one event having more causes. Causal relationship means that variables at a
certain point in time are affected by others, at earlier point in time, in a physical (material flow)
or psychological way (behavioural adjustment). This makes causal relationships between
material flow and behavioural adjustment a representation of the necessary sequential patterns
(Faber and Proops, 1990).
Causal chain concept discards the approach to identify exact ingredients of the meaning of
event since in most cases we fail in the effort to try to make a precise identification of meaning
events because of their complexity. This has been the basis for criticizing the causal chain
concept that it ignores social context where people acquire information about events to determine
its meaning. The basis for this critique is first; the detail information of the cause of a particular
event does not seem to have a critical role to play in the causal connection between events. The
second is, causal chain theory ignores critical thinking since there is no kind of idea that will help
verify the event and also contribute to understanding the complex detail of events in the causal
chain (Harpaz, 1996). I disagree with the above critique to some extent because even though
some causal chains are not developed on precise logic, they consist of sequence of events that
can be linked or based on logical thinking due to complexity of events and their interpretation.
Causal chain concept views the world as a series of conversion processes, linked together by
inputs and outputs and do not allow the question of boundaries to be addressed. In this way,
causes and effects of inputs and outputs have other causes and effects which in turn have other
causes and effects and so on. The causal chain of processes is endless. However it is based on the
core of the environmental crises at hand and the context, a cut-off is chosen. It is proposed that in
the causal chain process, certain information come about from the transformation of external
25
environment inputs, which take place in two stages. First, external environment inputs are
transformed into useful and timely information, and second the information and resources are
transformed into practical operational processes and influenced by three connected contexts,
normative, physical and social (De Groot, 1998) necessary to identify the link between causes
and effects of pollution. This transformation process is complex because society and natural
processes influence them. In this respect, I consider the input not to be the only cause of the
output but rather the output is the effect of the input plus a process in which there are many
causal and system factors that play a major role. Hence, the interaction between the causal
factors and the system factors in the process influence the relationship between the input and
output relationship. How the concept should be applied the strategy is presented in section 2.5.
Since pollution management is concerned with short time and long time horizon, present and
future generations, economic growth and environmental processes, it is necessary to consider
causal relationship between variables as one of the basis for a holistic approach. In spite of that”
causal chain” theory is not perfect and considered to be suggestion and direction in problem
solving. But the fact that it can solve (dissolve) lots of pollution problems it is sufficient for me
to be convinced to adopt this theory in addition to other environmental theories as the basis in the
development of a conceptual framework for pollution management.
Causal chain theory helps to present the context of pollution management in terms of
governance, traditions and rule and also the objection of pollution management such as
communities and industries. Causal chain theory explains influence of context based on actors is
identified. A detail review of Action-in-Context a tool that could be used to determine influence
of context in pollution management is presented in section 3.
2.2.3 The concept of evolution
Concept of evolution is exerting significant influence on scientific thinking with the emphasis
that the common focus in nature and in society is an irreversible and non-linear change in
domains far from thermodynamic equilibrium. In this respect, scientist are becoming more and
more convinced that evolution in nature and evolution in the human realm have more in common
than mere analogies. The world was seen, as man is a free agent in the universe with the
authority to manipulate and exploit his environment. This perception was centred on the idea of
deterministic and time-reversible laws. It is not surprising to note that this idea of deterministic
and time-reversible laws continues to be propagated with considerable authority through many
aspects of human sciences, in which rationalism is identified with equilibrium and timelessness.
However, at present, our conception of nature is undergoing a radical change toward the
multiple, the temporal, and the complex. It is now understood in the scientific community that
the behaviour of matter at non-equilibrium conditions can be radically different from its
behaviour near equilibrium. And it is this difference that introduces multiple choices, selforganisation, and complex dynamics in the field of rational thinking can no longer be associated
with certainty, nor probability with ignorance (Laszlo, 1991).
The evolutionary theory is based on the recognition of the constructive role that irreversibility
plays in the universe. Thus, questions such as the origin of life, the origin of the universe, or the
26
origin of matter can no longer be discussed without recourse to irreversibility. Indeed,
irreversibility must exist on all levels, or it can exist on none; it cannot emerge in the transition
from one level to another. Although evolution is a study of change, it is not the study of all
varieties of change. Purely random and entirely time-reversible patterns of change are excluded.
Thus, evolution theory is exclusively concerned with change that is statistically irreversible. But
not all varieties of irreversibility fall within the realm of evolutionary theory. To qualify,
irreversibility must entail processes that lead to the emergence, or at least persistence, of ordered
structure in space and time. Comparison of contemporary industrial information of developed
countries with the still surviving information of the developing world highlights the range, the
dimensions, and the statistical irreversibility of the historical process.
Evolutionary approaches to pollution management endorse methodologies that are characterised
by biology or natural history and reject methodologies represented by classical physics, or
mechanics that are implied by conventional paradigms in the social sciences, particularly in
neoclassical economics (Modelski and Poznanski, 1996). Evolutionary approaches are dynamic
in temporal terms, based on time concept that is irreversible and historic in character, and they
try to explain the origin and effects of novelties (Ring, 1997). However, despite the long tradition
of evolutionary approaches in economics and biology (Nelson, 1995), the link to pollution has
only been made recently in context with the emerging discipline of ecological economics
(Constanza, 1991).
Central to an evolutionary approach are self-organisation in dynamic systems and positive
eternities associated with learning and knowledge accumulation. These processes and systems
are developed and based on the information they possess. However, gathering and capturing
information is a process of transforming free energy into information and also one of generating
entropy (Kohn, 1999), which is an evolutionary process. Relating this to society, human beings
are able to capture and store information externally in the institutions and organisation structures
of society (Ayres, 1988). The information pool consists of knowledge which human society
generates by individual and social learning during processes that are part of human evolution.
Moreover, this information influences pollution management strategy at different phases. For
instance, social learning plays an important role in the evolution of institutional arrangements
(Young, 1995). The human information pool consists of various forms of information like
technological and traditional knowledge which is the structural frame for relations within society
that is the potential of a particular society to express itself as a distinct culture. Since culture and
institutions extend the potential of the human body to inherit acquired traits and information, on
the level of potential as well as the culture. It implies that pollution management require the use
of existing knowledge and creation of new knowledge by learning.
The evolution of systems is the result of the development of the unit information of its
subsystems, the expression of the specific characteristics of the information and the adaptation of
the subsystem to each other and to hierarchically equal and higher systems. The expression of its
potentially oriented information characterizes the degree of development of a system. This
categorisation of information points to a new way of thinking about pollution crises since it
assumes that the economic system is nested in the social system that also consists of political and
cultural systems. In this respect an evolutionary approach to pollution management strategies
involves changing of
technological capabilities such as gathering, evaluation and storing
27
information as well as social interaction, learning and co-operation carried out with the help of
feedbacks.
According to evolutionary theory, biological evolution is a process of accumulating “useful
“genetic information. The best measure of evolutionary progress is ability to store and process
information in the brain and/or central nervous system. Similarly, human evolution is a process
of accumulating “useful” cultural, economic, political information that is used for human
survival, and passed on via social processes, and stores in artefacts as well as in people’s
memories. One of the most significant evolutionary innovations of men was the storage and
process of information. The first step in this direction is the invention of pictographs and written
language, and the creation of books and libraries. This was followed recently by the introduction
of technological devices to enhance the human sense, and enhance human brain. As stated by
Ayres (1994), “the direction of evolution is characterised by an increasing ability of organisms
and systems to sense the state of the environment to assess its risk and opportunities, to learn and
remember appropriate responses in the community and to succeeding generations.”
Information produced as a result of physical processes and transformation in evolution is the
basis for which building blocks that are geared towards the preservation and extinction of ideas
and the transfer of knowledge across and within sectors are proposed in section 2.5
2.2.4 Adaptive management of complex system
Adaptive management of complex systems involves dealing with ecosystems and their
interaction with human society. With complex systems found in physical and social systems
everywhere they are difficult to describe. The main characteristic of complex systems is they are
self regulatory and resilient from within and do not require external guidance (Kessler, 2003).
This characteristic is related to organisational learning in social systems.
Holling (1995) define adaptive management as “ the release of human opportunities that require
flexible, diverse and redundant regulation, monitoring that leads to corrective action and
experimental probing of the continually changing reality of the external world”. It is a
management approach suitable to deal with complex systems at nay scale, and allows selfregulation to reach defined management goals through careful and limited guidance. Adaptive
management makes use of diversity of complex systems to adapt and be resilient without
reducing or controlling the diversity or complexity of the system. The approach is characterised
with organisational learning and a high responsiveness to contextual changes and societal
demands through monitoring.
With resilience being a key principle in sustainability when dealing with complex systems,
there is the need to adopt adaptive management approach to meet certain management goals that
deals with well defined desired levels of resilience in ecological and social systems.
In the work of Mitchell (2002) the following concrete characteristic of adaptive management that
are related to organisation learning (see section ..) are identified:
 Identify principles, rules and organisational arrangements that create suitable conditions
for using adaptive management approach to deal with complex systems. This is because
28


this approach takes policies and strategies as experiment with emphasis on learning from
the experiments to improve actions.
Management systems of organisations should be adaptive with structures and process
responsive, supportive and flexible to changing conditions
Human capabilities and resources is need to take action in line with adaptive
management principle and the operation level since the focus is on managing complex
systems.
The use of adaptive management in dealing complex systems especially in social science has
gain some recognition and measures have been made to enhance the use of the approach within
organisations. Some of the measures according to (Gunderson el.al., 1995; Roome, 2001)
include:
 Identifying the various adaptive cycles in the organisational development as well as
opportunities for change at different stages of the organisations’ development
 Establish co-management arrangements, networks and partnerships at different levels
both within and out the organisation to stimulate interaction and learning
 Create network between organisational levels within spatial scales and time so that
local level decisions can be fed into higher level decision making
 Develop institutional structures that support collective learning, decentralisation and good
governance.
 Create the enabling environment that would stimulate innovation, emotional commitment
and actions that would lead to opportunities.
Adaptive management approach aim to maintain and/or strengthen human capabilities and
sensitivities to respond to feed-back from ecological and social systems at different levels of
decision making. In section 5.1 I present ways in which adaptive management could be used in
my framework
2.3 The Concept of governance
2.3.1 Defining the concept
The term “governance” is not a word that has been used extensively in the past by political
scientists, and its recent appearance in popular usage has not been very rigorous. It has been, in
many ways both all-embracing and vague. According to the Oxford dictionary, governance
means “the act or manner of governing, of exercising control or authority over the actions of
subjects; a system of regulation”. In essence, governance denotes how people are ruled and state
affairs administrated and regulated. Young (1996) in his work noted that, “governance is a social
function whose performance is crucial to the viability of human society; it centres on the
management of complex interdependencies among actors who are engaged in interactive
decision-making and taking action that affects others’ welfare”. This makes it difficult to have
one ideal model for governance. The current challenge is to produce appropriate forms of
governance, which optimise the potentials of society and respond adequately to it needs.
The term governance means different things to different people or users (….Haeley et al, 2002;
Peiterse, 2000; Stoker 1998). Governance encompasses a complex set of values, norms,
processes and institutions. It also includes the whole range of actors within civil society and the
29
relationship between society and the state. Generally governance can be taken as a means to
establish order among parties whose interest may conflict.
Three things about governance are important for its analysis in relation to environmental
management (Hyden, 1992).
 Governance subsumes both “government” and “leadership” and it does not imply, that
real political authority is vested somewhere within the formal-legal state institutions
(Lofchie 1989) but it imply that political control necessarily rest with the official political
elite.

Governance allows us to transcend limitations such as limited state capabilities and
people going bypassing state-initiated legislation inherent in the state-society relations’
approach that dominated much of the thinking on developing countries. Governance
explained this way acknowledges that the state is rarely the sole harbinger of power and
that society is rarely free from the apparent shortcomings of the state.

The connection between governance and regime. A regime is a form of political
organisation made up of set of fundamental rules and institutions that guide political
behaviour about organisation of the public realm and also the normative framework for
on which policies are made. Governance here is the conscious management of regime
structures with the view to enhancing the legitimacy of the public realm (Hyden, 1992).
From the above, the concept of governance goes beyond the political power exercised by a
government. Drawing on this definition, I perceive of governance as a set of norms and values
institutionalised at global, national, and local levels. In order to bridge the gap between the
governed and the governors with norms and values expressed in two or more ways such as
formal and informal policies and law. The norms and values bind the governors to the governed,
and it creates a measure of social-political order in society making the governors respond to the
needs of the governed.
The debate about governance has emerged from two different schools of thought. First school are
critics of conventional liberal democracy who call for empowerment of groups and organisations
outside government institutions. The other school of thought deals with those who stress the need
for decentralisation, privatisation and consumer orientation. A common ground for both schools
however, is hostility to central governments (Crook and Manor, 1995) and the move towards
“good governance”.
2.3.2 Decentralization
Decentralisation means different things to different people or different governments and they
oppose or support it for different reasons (Wolman, 1990). Different concepts stimulate the
debate on decentralisation (Pickvance, 1997; Manor, 1999; Schuurman, 1997; Zsamboki, 1996).
Emphasis is on shifting responsibility downwards from central government to local governments
or shifting responsibility from government to the private sector or community organisations or a
mixture of governmental reform and market forces to stimulate “social market” responses.
30
Various writers have proposed very different meanings for the term decentralization and much
ambiguity surrounds the concept. Decentralisation associated with good governance in literature.
Decentralisation is also a multidimensional concept (Pickvance, 1997) and normally
distinguished into the following:
 the range of functions carried out at the local level;
 the degree of autonomy about how these functions are carried out;
 the degree to which the local government is funded from its own resources rather than
from central grants; and
 the degree of private sector participation in decision making and service delivery.
Most authors agree that decentralization in democratic governance involves a transfer of
authority and responsibility from an individual or an agency in central government to some other
individual or agency, which is closer to the public, based on territorial conditions and functional
conditions. Such transfer of authority is of three main types. First is when the delegation is
within formal political structures, for example, when the central government delegates additional
authority to local government. The second is transfer of authority within public administrative or
special structures such from the headquarters of different ministries to their districts offices. The
third is when the transfer of authority is from an institution of the state to a private agency for
instance when a particular national asset is sold off to private shareholders. The above
distinctions result in their combination to recognise six main forms that policies of
decentralization may have (see table 4.2). This helps us to explore the concept of decentralisation
even though in reality decentralisation is often more complicated as ‘mixed authorities’ can
occur between the different forms of decentralisation. For instance, the establishment of a
council in which both elected representatives and public servants have voting rights.
Nature of decentralization
Territorial
Functional
Devolution
Political decentralisation,
(local government,)
Interest group
representation
Deconcentration
Administrative deconcentration,
(field administration)
Establishment of new, more
specialised structures
Privatisation
Privatisation of devolved functions
(deregulation, contracting out)
Privatisation of national
functions (divestiture,
deregulation, economic
liberalisation)
Figure 2.4 The forms of decentralization
Devolution
The devolution of power to sub-national units of government is seen by many academics as the
ideal form of decentralization as it combines the promise of local democracy with technical
efficiency. Sub-national governments include local governments and authorities, which vary in
size and between and within countries; they can either be single–tier or multiple-tier; and their
responsibilities may range from large number of important functions to minor functions. The
31
main notion of devolution is that local governments take greater responsibility of the effects of
their decisions and initiate local restructuring and reform policies. Devolution in this sense
involves the transfer of political and administrative authority to local level governments that
already have resources to provide a specified set of social services. This can be by either
territorial devolution or functional devolution. Territorial devolution takes place mainly in the
form of political decentralisation, local government, democratic decentralisation whiles
functional devolution involves transferring authority to interest groups and representing them in
local level decision-making. A fundamental feature of devolution is, a clear legally recognised
geographical boundary over which authority is exercised and functions are performed with
particular attention to legislations. That is devolution requires a clear and comprehensive
legislation mandating central governments to decentralise the public administration of services to
lower level governments.
However, according to Mawhood (1987), “the classical model of devolved local government,
which was advocated in the 1950s and 1960s as the blueprint that newly independent countries
should pursue, has five main features.”
 The devolved government should be a local body that is constitutionally separate from
central government and responsible for a range of significant local services.
 The devolved government should have its own financial resources and substantial
authority to raise its own revenue
 The devolved government should employ its own competent staff whom it can hire,
fire and promote
 Central government administrators should serve purely as external advisors and
inspectors and have no role within the local authority
 A majority-elected council, operating on party lines, should decide policy and
determine internal procedures.
Even-though the above features seem to be comprehensive, the full application of the above
features is a long-term and a difficult task. As Ranis and Stewarts (1993) noted "serious attempts
to implement the classical model have been rare." This has made most devolution efforts to
maintain considerable central government influence over sub-national governments.
Deconcentration
Under deconcentration, the central government retains its hierarchy authority, but redistribute
responsibility to lower-level administrative structures with less legislative requirement compared
to devolution. That is, deconcentration process involves administrative structures delegating
responsibility and authority to new and more specialised structures and institutions to perform
certain functions and to field level servants in specific territories. It is important to note that
during deconcentration decentralised decision-making and power from the headquarters of the
administrative systems, the delegation of power to an official is appointed by and accountable to
the central administration rather than to a representative of the local community who are
accountable to that community. Thus, deconcentration can pursue the objective of technical
efficiency leading to greater effectiveness but not automatically to popular participation.
Although some academics hold the view that choices about field level administration
responsibilities are made on the basis of managerial parameter, decisions to deconcentrate are, in
32
fact, highly political for two main reasons. First, political interest of those who control state
power are often the prime concerns when central governments decide to transfer authority to
field level administration, rather than devolve it to the local government level. Second, field level
duties often involve political concerns of the central government such as maintenance of political
stability at the field level, the obstruction of opposition political groupings, ensuring that the
decision of sub-national authorities follow central policies and at the same time monitoring the
political loyalties of field workers (Smith, 1985).
Notwithstanding the above, field level administration differ from country to country due to
variation in economic and socio-cultural factors. However, most decentralisation efforts fall
under the following three main options (Smith (1985) :
 Functional systems- where senior representatives of the state bureaucracy are in charge
of functional state services. The functional systems emphasize vertical communication,
technical expertise, specialisation, uniformity of service provision and co-ordination
between central and regional levels but no central government representative at field
level.
 Integrated prefectoral systems-where considerable power is in the hands of a general
representative of the central government acting as a prefect and responsible for good
governance within the territory. This system allocates political functions to the field
administration; thus limiting the autonomy of sub-national governments. This option
emphasizes coordination above specialisation.
 Unintegrated prefectoral systems- these systems involve prefect with less power and
usually responsible for coordination, but is not the administrative superior in the
territory. Similarly, the prefect advises but does not direct the local authority. Such a
system involves both vertical and horizontal communication.
In adapting any of the above options, deconcentration should be geared towards bringing the
problem and its solution as close as possible to the problem actors. This will let the actors realise
the seriousness of the actions and find ways collectively to deal with pollution problems. Since
actors are involved both in the decision making process in identifying problems and solutions,
taking into account local situation and condition.
Privatisation
Privatisation is a term used to describe a range of different policy initiatives designed to alter the
balance between the public and the private sector with the notion that performance of services
and goods provided by the public sector are not efficient. Currently there are three approaches to
privatisation (Ostrom 2000). First, Change in ownership from public to private sector, where
ownership is the right to control the outcomes of events that are connected to or embodied in a
given good or service (Coleman, 1990). The right of control is distributed among public
decision-makers representing the people as the ultimate sovereign. Second, denationalisation that
takes the form of joint ventures or liquidation of public enterprises and services is by reducing
the national assets and encouraging the private sector to buy public assets. The third is
franchising where provision of goods and services are transferred from public sector to private
sector.
33
The three forms of privatisations on one hand represent the transformation of property regimes,
and on the other hand, reduction of public control is used a way to improve efficiency and
performance of services and goods. The property right expressed in the different forms of
privatisation define possible actions that individuals take in relation to other individuals
regarding the goods and services. With respect to these different rights, Ostrom (2000)
distinguishes between the right of access, right of withdrawal, management right, right of
exclusion, and right of alienation. Based on the above distinction between rights specific
ownership regimes depend on the specific combination of these different rights and the
allocation of these rights among actors. For instance, if the same single actor holds all different
rights to a given good or services, we have a complete private property regime and, if distributed
on all actors, we have a public or common property.
Hence, privatisation is a transformation of the property regime with rights of control reallocated
such that public decision making structure, now become concentrated on a single private person,
private organisation or shareholders. This transformation process takes two forms. First, by
transforming the whole service or good towards private control depending on different degrees
and levels of effectiveness and second, is transforming different parts of the good or service in an
infrastructure’s value chain. However, in complex regimes, privatisation of some activities of
actors is relevant
Pros and cons of decentralisation
For a long time, there has been a tendency to discuss the advantages of decentralisation without
any distinction made between devolution, deconcentration and privatisation. Recently there have
been attempts to focus separately on the devolution, deconcentration and privatisation aspects of
decentralisation. Reagan (1993) identified two main advantages of decentralisation: popular
participation in decision making by locally based staff promoted by devolution, and efficiency
and responsibility of locally based administrations promoted by deconcentration. Olowu (1995)
identified the advantages of devolution as political rights, civil liberty, institutional pluralism and
pluralism in policy choices, which are expected to lead to greater citizen participation, higher
level of accountability, political integration and reduction of corruption. About deconcentration,
he identified the transfer of responsibility, strengthening of field agencies and reform of
administrative organs as the advantages. Privatisation on the other hand is taken to be more
efficient and effective form of decentralisation because the private sector is considered to be
more geared t using resources in an efficient and profitable manner.
Although the above mentioned advantages may exist indeed under certain circumstances, it is
clear is that they are not articles of faith. To take decentralization as an axiom or guiding
principle without regards to its limiting conditions may produce situations that have just the
opposite effect. In this respect, I argue that the advantages of decentralisation can only be
realised:
 Under situations in which the centre is fully committed to decentralization process and
believes that administrators at the centre cannot succeed in what they are doing unless
some of their responsibilities are transferred to lower-level units of governments.
 If the design of the structure of local-level organisation involves interaction among
stakeholders in development, allowing for democratic governance and the same time
34

define separate responsibilities for development committees and political institutions
which are well coordinated and integrated.
In situations where hierarchies do not exist, making decentralization to increase the speed
and flexibility of decision-making process is quiet easy. However, this is not the case in
many of the decentralised schemes in developing countries.
It is important not to see decentralisation as competing options to centralisation. Whether to
decentralise or not is an open issue, to be handled according to the prevailing circumstances of
the given situation. However, the option adopted has some form of delegated power and
responsibility with boundaries delimited by the delegating authority.
2.3.3 The Principle of Subsidiarity
The principle of subsidiarity enlarged as an explicit principle of political and philosophical
thoughts in the middle of the last century, is found in both political liberalism and catholic social
theory. The principle later appeared in the international circles in 1991 in Maastricht Treaty
negotiated and adopted by the European 1987 and related specifically to environmental crises,
although the term had “hovered “ on the edges of European debate through out much of the
previous decade (Wilke and Wallace, 1990). In the context of this study, the principle of
subsidiarity is used to analyse the respective powers of different levels of government and their
possible redistribution of power and responsibility. This makes subsidiarity principle serves not
only as a guideline for defining and assigning powers and responsibilities, but also as a tool for
their realization. Although the principle of subsidiarity allows for various interpretations, it is
legitimate to advocate for its application in accordance with its original meaning which is ‘to the
greatest extent practicable, affairs are managed as closely to the citizens as possible and the
principle is departed from only for reasons of absolute necessity (Council of Europe, 1994). In
line with this, the definition adopted here is that of The European Charter of Local SelfGovernment, which states, “Public responsibility should be exercised preferably by those
authorities that are closet to the citizen.”
One unique feature of the above definition is, it encourages governments to create strong union
among themselves by making it clear the obligation of higher authority to assist lower authorities
in fulfilling their task. Thus, subsidiarity principle is concerned with determining the
competencies in realising the full potential of individuals with the notion that society can take
from the individual what they are able to do with their own power and skills. Key to application
of the principle is the protection of independent initiatives within society through the rights of
small groups of civil society and building a social order from top to bottom. The challenge in the
application of the principle of subsidiarity principle is to reconsider existing social relationship in
the context of greater autonomy, the continually seek a balance between freedom of individual
and authorities and state power and control needed to ensure security, social, cohesion, and
management of the economies.
The definition of principle of subsidiarity in terms of allocation of competence is not fixed. It
however, brings new impetus to power relationship between the centre and the periphery, and the
same time an organising principle of society according to exercising power and skills by
individual citizen and social groups. In the EU for instance, the application of the principle has
35
resulted in challenges related to integration with other concepts, implementation and enlargement
of the principle and the allocation of task across the administrative levels of governments (Jordan
and Jeppesen, 2000). With integration, I proposed that the reactive and piecemeal approach to
environmental crises need to take a more holistic approach, with the driving forces of
environmental pollution, and the origin of environmental problems that are perceived as ´nonenvironmental´ tackled at its roots. Notwithstanding the fact that most developing countries have
problems with the implementation of environmental policies, the principle of subsidiarity is
pertinent to the improvement, especially in the development of new environmental policies.
Subsidiary principle also states that the burden of proof of centralisation rest on organisations
operating at higher levels since they have an obligation to help facilitate decentralisation at the
local level. This means lower level organisations do not need to justify why they should
decentralise. Subsidiarity principle pertains to local autonomy of local-level organisations to take
decisions without taking instructions from high-level authorities. This is why it was important to
distinguish between delegation and decentralisation in section 2.3.2.
The principle also states that management authority and function should be vested in the lowest
possible organisation. In some situations, however, decision-making responsibility should rest on
with the regional, national and international levels. This means local institutions should be
acting as mere agents for decision that are made at regional, national and international levels but
they should be part of the decision making process Subsidairity principle makes government
responsible for building and supporting institutions (i.e. playing a construct role) at the local
level continuously not to establish the institution once and for all.
I therefore proposed that proper application of the principle of subsidiarity in developing
countries should be an organic part of democratisation process since it has great influence in
changing the style of public administration. This is because the principle of subsidiarity confirms
the tendency of building society from bottom to up which is a concept expressed in the structure
of the constitution of most developing countries. On the other hand, it is necessary to avoid over
application of the principle of subsidiarity because in societal development, the state is a
democratically controlled public power that is responsible for the transformation of society. In
short, the principle of subsidiarity must be realised in its full complexity by entailing
decentralisation of powers, material and intangible conditions within which these powers are
exercised. This will then make principle of subsidiarity one of the key elements of
decentralisation in pollution management in developing countries.
2.3.4 Co- management approach
Co-management approach has come about because of the limited success of top-down and
bottom-up approaches to management and the feeling that local people were not treated fairly in
the past. The term loosely define means ‘the sharing of power, responsibility ad benefits with
respect to the management of the environment among government and individual or collective.
Co-management requires that management function be delegated to user-organisations that make
autonomous decision and are responsible for their decisions. The issue is the autonomy,
delegation and deconcentration may vary between levels. A co-management approach should
be guided by rules (Schlagerand Ostrom, 1992).
36
Government
organisation
Co-management
Community
based
organisation
Figure 2.5 Interaction between two group actors resulting in co-management
There are various definitions of co-management which are about partnership between the state
and user groups, with sharing of responsibility and roles in the management process. The
definition of co-management adopted in this study is “the sharing of responsibility and authority
between local communities and the government to manage natural resources (Persoon and Van
Est, 1999). Here the sharing of responsibility refers to the various environmental management
functions and each of these functions right and responsibilities are co-managed by both parties.
The responsibility and/or authority that the state and the user groups at the local have results in
the following management styles (Kessler, 2003):
 Consultative style where the state consult local actors and their institutions before taking
decisions but take its own decision
 Cooperative style where the state and local actors are partners and they share roles and
responsibilities that lead to consensual decision-making
 Advisory style where the state advice the local actors for them to take their own
decisions
Co-management links up to a new paradigm of democratisation and decentralisation, involving
an increase of authority of local level decision makers and organisations. The approach is about
creating linkages between local level and higher level interest (Uphoff, 1998) with focus on
developing management rights and responsibilities for both levels.
The adopting of a co-management approach has come about largely through the interplay of the
following factors (Pomeroy, 1996, Gerard&Van Est, 2003)
 Failure of centralised approach to manage environmental and natural resource problems
 The process of democratisation in many developing countries where great prominence
was given to local interest
 The rising of international organisations and NGO with strong financial resources
advocating local peoples’ interest and participation along side sustainable use of
resources at the expense of state power
37



Ethnic awareness and identity has provided the basis for revitalisation of traditional
management adjusted to present day circumstances
Environmental justice are being incorporated into environmental and natural resource
management along side poverty alleviation
Food and environmental security are now serious issues and new management
arrangement at local level is considered a potential way to deal with the situation.
Driven by the above factors, new arrangement styles are coming up in developing countries.
However, it is important to note that the actual form of arrangement for a particular country or
area will depend on the governance structure, the willingness person at higher levels of decision
making to delegate power to local levels.
Co-management approaches at the local level are often linked to property right. Even though it
can be applied to all kinds of property regimes, what is critical element is the sharing of
responsibility among the government and user group in the management process. However, in
most cases co-management are arrangement in the form of contracts between institution and the
user groups (Gerard&Van eas, 2003).
2.3.5 Integrated environmental management
Integrated approach to environmental management is one of the several area-based approaches
to environmental management. IEM is based on the concept that environmental units, at any
scale or level need to be managed in an integrated manner through collaboration and
participation of different sectors, actors and institutions (Margerum, 1999) The idea is strong
interaction between different actors and their participation will help build up trust and mutual
understanding to solve environmental problems (see figure 2.>>).
This approach helped in the generation of interdisciplinary insights for environmental
management. That is, all actors try to identify possible ways to solve environmental problem
and they themselves can collaborate or participate effectively in the management process. Actors
normally go through the process of identification, analysis and appraisal of all relevant natural
and human processes and their interactions to identify environmental problems and design
solutions based on both the current and future state of environmental and social resources taking
into account appreciate spatial and temporal scales for effective implementation of the solution
and its monitoring and evaluation. By so doing integrated environmental management considers
the social, economic and institutional dimension of proposed interventions.
Compared to collaborative management, integrated environmental management is more holistic
in terms of issues covered and the actors involved in design solutions to environmental problems.
IEM considers social, economic and institutional issues at different levels of decision-making.
The following are identified as success factors for the implementation of Integrated
Environmental Management (Kessler 20003).
 Existing laws and policies should support an integrated approach, with policy objectives
that allow for changes and inputs from actors through an interactive process
 The actors should perceive a potential benefit from improved collaboration and
participation in solving environmental problems. This could be for them to acquire
38




resources or know the benefits they will get from solving the environmental problem and
how their decisions can influence policy
There is the need for a facilitator which should be acceptable to all actors or parties and
should also have good communication skills and a clear knowledge by the problem and
the context.
Availability of rules, instruments and tools required for open and transparent
communication, decision, education, information dissemination, public consultation and
conflict resolution.
An action oriented approach should be taken in the integration process so that
implementable action and interventions could be undertaken with clear responsibilities
and roles assigned to actors
Infrastructure (financial, technical, human) is required to start the process and support
the activities that would be implemented
NonGovernmental
Organisations
Private
Sector
Integrated
environmenta
l
management
Government
Organisatio
n
Religious
organisation
Community
based
organisation
Figure 2.6 The interaction between multiple actors showing integrated environmental management
Integrated environmental management is related to co-management and in most case are applied
together without realising. For example if different actors come together to collaborate and
participate in developing a solution to an environmental problem is integrated environmental
management. If after the collaboration it is realised that two parties can effectively solve the
environmental problem, which is co-management. That is, adopting an integrated environmental
management approach can lead to the identification of specific issues that can be dealt with a co-
39
management approach.
section 5.1.
The two and the applicability in my framework is demonstrated in
2.3.6 Link between governance and corruption
This section deals with the complex and sensitive issue of corruption in governance in
developing countries. The section starts with the definition of corruption and its various forms.
Examine the causes of corruption and their effects on institutions responsible for pollution
management in developing countries and present measures to curb corruption in institutions
responsible for pollution management.
Corruption is a broad term, subsuming a wide variety of illegal, illicit, dishonest, irregular,
and/or unprincipled activities and behaviours. However, most definitions of corruption share
emphasis on the exploitation of public position, resources, and power for private gain. In
practice, though, it can often be difficult to draw clear distinctions between “public” and
“private,” which impedes attempts to treat corruption as a clear-cut category (Johnston 1997).
All the same, most of the definitions fall under three main perspectives, public office
perspective, market-centred perspective and public interest perspectives (Pavarala, 1996). In the
context of this study, I adopt Khan (1996) definition of corruption based on public office
perspective, which is, corruption is a “behaviour that deviates from the formal rule conduct
governing the action of someone in a position of public authority because of private regarding
motives such as wealth, power, or status.” This definition shows that corruption is:
 The abuse of public roles or resources for private benefits.
 Inappropriate exchanges of money or favours for undue influence or power; and
 Violations of public interest or norms of behaviour for special advantages or self-serving
purposes (Rose-Ackerman, 1999; Werlin, 1994):
Whatever category of corruption that is adapted, a catalogue of corrupt acts such as bribery,
extortion, influence peddling, nepotism, fraud, speed money and embezzlement (RoseAckerman, 1999; Werlin, 1994) are used to represent corruption in different forms.
Several forms of corruption in institutions responsible for environmental management have
emerged and have been divided into the following two categories:
 Petty corruption practised by public servants who may be grossly underpaid, and depend
on small rents and
 Grand corruption of high public officials who make decisions involving large public
contracts (Stapenhurst and Langseth, 1997).
On their part, Caiden and Caiden (1994) have categorized corruption into:
 Individual corruption- refers to the individual who strays from a prevailing norm of
official public behaviour. For example, informal organizational short cuts, personal
accommodations and mutual understandings.
 Systemic corruption (sometimes referred to as ingrained corruption)-occurs when
corruption has become an integral part of the system. Here, corruption has become so
regularized and institutionalised that organizational supports back wrong-doing and
actually penalize those who live up to the old norms.
40
I would categorize corruption in this study into corruption enacted by politicians in their official
capacity, not in their personal capacity and corruption enacted by administrators and bureaucrats
in their official capacity, not in their personal capacity.
The causes of corruption in institutions that deal with pollution management in developing
countries are numerous and complex, making it difficult to assess whether corruption causes
other variables or is itself the consequence of certain characteristics that hinder the effective
management of pollution issues (Lambsdroff, 1999). The following are three reasons that have
emerged from my research as contributing to the flourishing of corruption in developing
countries.
First, the prevalence of corruption in the pollution management institutions in developing
countries is the result of the difficult task of insulating politics from the public service. Officials
of these institutions can not resist the temptation to political tendencies to undermine their
official duties, all because administrators on one side are inevitably guided by politicians who,
however, altruistic they may be, are motivated by the need to seek for themselves and their
supporters special advantages. Such advantages directly or indirectly divert public resources to
private gains. On the other hand, administrators themselves are politicians, struggling for higher
salaries and promotion (Werlin, 1994).
Second, reforms imposed on developing countries are been disruptive in nature and have weak
remedies for corruption. Although decentralization has been offered as the only viable prospect
of curtailing corruption in the third world (Theobald, 1990), evidence has shown that this
assertion is untrue in practice, since deregulation has weakened the capacity of the state to
control corruption while privatisation has created a host of opportunities for personal
accumulation through corruption (Zeftel, 1998).
Third, the inadequate remuneration given to officials in environmental management institutions
is below minimum living wage. For example in 2002 the minimum living wage in Ghana was
9500 Ghanaian Cedis (MFEP, 2003). The result of this is a number of behaviour patterns, which
I can refer to as “survival strategies”, have evolved among public servants. A typical example is
environmental professionals in public institutions awarding contracts to friends and relatives as a
way for them to pass back and carry out the contracts themselves in order to earn some extra
income. However, I must note that low wages and salaries alone are not a potent reason for the
incidence of corruption in general. If it were, then it would be hard to explain why industrialized
countries whose public officials earn decent and living remuneration and income are beset with
scandals.
Corruption is on the ascendancy in the public sector because societies in developing countries
seem to be encouraging and facilitating it individuals and social groups have lost their traditional
and religious values and beliefs and thus their conscience. Consequently, public servants are
becoming more corrupt and tolerating corrupt behaviour resulting in “growing greed and
avarice” due to rising expectations from social groups making them greedier than before (OseiHwedie and Osei-Hwedie, 1999).
41
Corruption is threatening good governance especially in developing countries because of its
potential to “redirect” aid, subvert policy reforms and undermine market institutions (Hope Sr.,
2000; Stapenhurst and Langseth, 1997). Corruption also distorts all forms of development and
performance partly because of its institutional spill over effects and also affects professionalism
in the public services developing countries and leads to frustration on the part of the few honest
public servants to the extent that the emigrate. Political stability in developing countries is
affected by corruption resulting in violence and frequent regime changes, which undermine
political development and the process of national development (Klitgaard, 1997; Szeftel, 1998).
Eliminating corruption in developing countries is just like eliminating disease from life (Werlin,
1994). What is required however is the use of statesmanship to control partisanship so that
political systems that developed through the cultivation of genuine public service ideology will
protect the public interest from the inevitable challenges or dangers of the competitive
process. Cultural engineering that will produce incorruptible public officials and citizens is
required to foster competition, change incentives and enhance accountability. It is important the
governments and institutions in developing countries “fix the systems that breed corruption” and
also endeavour to improve the conditions affecting “political software” with particular attention
improper policies, unqualified or unmotivated personnel, ineffective supervision, illegitimate
laws and regulations. Emphasis on contempt for constitutional requirements such as methods
and organizational structures is required to improve administration (Werlin, 1994).
A number of efforts such improving institutional performance and policing, greater transparency
and accountability, more effective oversight and punishment and building a political culture
intolerant of corruption have been made to control corruption in public services in developing
countries. The results have however been disappointing (Szeftel, 1998; Rose-Ackerman, 1999).
The result is corruption has compounded cynicism and weakened faith in developing countries
“new” democratic governments, and rocked by scandals and incidence of corruption.
Avoiding corruption in environmental related institutions in developing countries is a problem
with governance. The future of pollution management institutions in developing countries
depends on the acknowledgement that corruption is a crime of calculation, not passion. It is true
that there are saints and honest public officials who resist all temptations. Combating corruption
requires careful regulation of monopolies, clarifying official discretion, enhancing transparency,
the probability of being caught and given serious penalties for corruption. These measures
require a certain amount of “cultural engineering” and the establishment of a “national integrity
system”, which must make corruption a high-risk and low-return undertaking.
2.3.7 Organisational learning
A variety of theoretical perspectives have emerged since the 1960s (Shrivastava, 1983). Argyris
and Schon tied the concept of organisational learning to conception of and defined it as a process
of individual and collective inquiry which constructs and modifies organisational theories-inuse. Daft and Weick (1984) maintain that although “organizations do not have mechanisms
separate from individuals to set goals, process information, or perceive the environment,” the
organizational interpretation process is more than the sum of what occurs individually. Fiol and
Lyles (1985), (including Daft and Weick) generally agree that although “individual learning is
42
important to organizations, organisational learning is not simply the sum of each member’s
learning” and suggested that the literature discussed both behavioural and cognitive changes by
an organization as constituting learning. Levitt and March (1988), in their analysis of
organisational learning placed greater emphasis on routinized behaviour than on organizational
inquiry and interpretation and described as routine-based, history-dependent, and targetoriented. Routines, broadly defined, include the rules, practices, procedures, conventions,
strategies through which organizations operate, structure of beliefs, frameworks, paradigms,
cultures, and knowledge that bolsters, elaborates, and contradicts the formal routines.
In considering the different views of organisational learning highlighted above, several
important points of agreement emerged among the different perspectives. There is considerable
agreement among the above-mentioned theorists that organisational learning involves multilevel
learning (individual, group, organization), that it requires inquiry, that it results in shared
understandings, and that it implies behavioural and/or cognitive change. On the other hand there
are also some differences. For example, Argyris and Schon (1996) viewed organisational
learning as the sharing of assumptions developed through individual and collective inquiry,
whereas Levitt and March (1988) emphasized organisational learning as adaptation to changes in
the environment by adjusting strategies and structures including procedures and routines.
Although there is considerable debate whether organisational learning is adaptive behaviour or
whether lessons learned are embodied in shared cognitive maps that guide behaviour, I am of the
opinion that there is a difference between learning involving behavioural and cognitive change.
Features of organisational learning
Having defined organisational learning, here discuss the main areas in organisational learning
where there are agreements and could serve as the enabling context for identification of options
for solutions to environmental problems.
Multilevel learning
There is a reasonable degree of consensus that a theory of organisational learning needs to
consider the individual, group, and organisational levels” (Crossan et al., 1999).4 Specifically,
different theorists (e.g., Argyris & Schon, 1996; Daft & Weick, 1984; also see Huber, 1991)
underscore that although insight and innovative ideas occur to individuals, not to organizations,
sharing individual ideas, insights, and innovations is a key component of organizational
learning. Moreover, “although individuals are the agents through whom the learning takes place,
the process of learning is influenced by a much broader set of social, political, and structural
variables. It involves sharing of knowledge, beliefs, or assumptions among individuals”
(Shrivastava, 1983,).
Learning is distinctly organisational when it relies on the combined experiences, perspectives,
and capabilities of a variety of personnel in an organization. Thus, “complex organizations are
more than ad hoc communities or collections of individuals” (Crossan et al., 1999); relationships
among individuals are structured and shared understandings are developed which may then
become institutionalized as formal or informal organisational systems. In such situations there is
opportunity for exchange of information and experiences which could help in the identification
of options. Thus experiences from different level of the organisation are shared and what will
43
work best for the organisation to deal with environmental problems are explored taking in
consideration lessons learnt from other levels
Habits of Inquiry
A second area of general agreement involves inquiry as a necessary but insufficient condition for
organisation learning. In terms of collective inquiry, assumption sharing and feedback become
central features of how some theorists define organisational learning (e.g., Argyris & Schon,
1996; Daft & Weick, 1984). Whether inquiry is formal or informal, there is cyclical process of
questioning, data collection, reflection, and action. This is process may lead to generating
alternative solutions to problems, reflecting on previously unquestioned assumptions,
experimenting, scanning the environment for salient information, or other activities that enable
organization members to restructure their organisation knowledge base.
An example of collective inquiry in a managing an environmental problem in an industry might
be the creation of quality circles where representatives from management, line workers, and
engineering meet to discuss ways to improve product quality. Or, inquiry could proceed more
informally when, for example, a manager of an industry might institute a new environmental
policy and then modify the policy as on-going feedback is received from other staff of the
industry.
Shared Understanding
Organisation learning involves shared understandings that integrate lessons about the
relationship between actions and outcomes that underlie organisation practices (Argyris &
Schon, 1978). Shared understandings are generated through various learning processes such as
“interpretation” (Daft & Weick, 1984) or “imitation” (Levitt & March, 1988). Whether shared
understandings are described in terms of theories of action, cognitive or routines, they often
appear as tacit rather than clearly articulated assumptions. All organizations have shared
understandings that guide behaviour and decision making whether they are actively learning or,
instead, are relying on lessons from the past. The critical practice for organisational learning is
to uncover these shared understandings and to articulate and examine the assumptions embodied
within them. Because shared understandings are often tacit, conversation and increasingly
precise language are necessary to make them explicit (Crossan et al., 1999) so that options for
solutions that hidden in these understanding are brought out.
Behavioural/Cognitive Change
The assertion that organisation learning involves behavioural and cognitive changes even though
currently debated has the tendency to create an enabling context for the discovery of options for
solutions. This is because for instance, with double-loop learning, individuals engage in a
process of scrutinizing goals in relation to the environment and from people’s personal and social
environments through critical questioning such as ‘That objective isn’t realistic because…”
“Instead of doing this, we should be…” “What management doesn’t realize is that…” “This
would work much well if…” has the tendency of generating options that actors might have not
considered. Thus double-loop learning would be particularly appropriate in organizations facing
more turbulent environments and those that have intensive, as opposed to routine, work
technologies.
44
Here, some illustrations of single- versus double-loop learning in organisations involved in
environmental management can be imagined. Organisations that have recently acquired
computers and Internet access might be interested in exploring ways of managing their
environmental problems. With single-loop learning, personnel in the organisation might locate
information from the computers in place of using written materials. The behaviour has changed
but the underlying way of managing the environmental problem has remained the same. With
double-loop learning, personnel could decide to rethink the use of computers, perhaps using
them to re-examine and alter the way they manage environmental problems. An example is
acquiring new skills in problem definition and analysis to solve environmental problems.
Organisational learning demands cognitive changes as well as behavioural changes in order to
support sustained renewal. This process however requires a disposition and norm of continuous
learning as well as conditions that allow flows of learning among individuals, groups, and the
organization as a whole. Learning flourishes best in organizations that practice democratic
principles of liberty, pluralism, and regard for the worth of individuals.
Renewal
Organisational learning does not occur in a vacuum. What happens is organisational behaviour is
deeply influenced by the environment, community, and shifting parade of stakeholders. Because
organisations dealing with environmental problems must continually learn to adjust to constant
change, I adopt Crossan et al.’s (1999) conception of organizational learning “as a principal
means of achieving…renewal” of a collectivity.” This perspective takes the position that
“renewal harmonizes continuity and change at the level of organisation. Renewal requires that
organizations explore and learn new ways while concurrently exploiting what they have already
learned”. Thus healthy environmental management organizations, for example, should conserve
the organization by encouraging enough innovation to stay vibrant and oriented towards finding
options for solutions.
System best designed to support continual learning and renewal is the democratic system. This
means there cannot be long-continued renewal without liberty, pluralism and regard for the
worth of the individual. Renewal at organisational level is a set of highly complex and
interrelated processes. The necessary conditions for such as process are liberty (checks and
balances to limit or discipline power), pluralism (a social strategy that encourages the existence
of many sources of initiative, many kinds of institutions, many conflicting beliefs, many
competing economic units), and regard for the worth of the individual by learning through
inquiry which should be viewed holistically
In short, there is no simple process or “silver bullet” for sustained organisational learning. The
term generally enjoys a positive connotation. However, all organizations learn, whether it’s
“positive” or “negative” learning. So although organisational learning has been “conceived of as
a principal means of achieving the strategic renewal” of organizations, (Crosson et al., 1999), the
organisational learning process can also be manipulated to maintain the status quo in the face of
criticism or imposed change. Organisational learning through renewal is a continuous process
and also a highly complex tapestry of many interwoven threads that create an active scene of
learning and sharing new information and knowledge. Learning and sharing are enabled or
constrained by organisational conditions, and sometimes the same factors both enable and
45
constrain. Each construct and each condition embodies a host of values, beliefs, and
assumptions. Thus, meaningful and sustained organisational learning (not merely adaptive
behaviour) involves cognitive change. Its chances for success seem greater if new changes are
consistent with its existing foundational values. Finally, three dilemmas of organisational
learning are worth noting. first, the cost for practicing democratic principles that reflect the
value of individuals, participation in decision making, freedom of thought and inquiry, a tradition
of vigorous criticism, and healthy human relationships, second, the importance of multilevel
learning and governance models may be underestimated and third, where norms of isolation and
self-reliance prevail , people have little reason to change if they have not experienced or cannot
envision the difference that learning can have at every level.
2.4 Sustainable Development
Pollution is perceived as a serious problem in both developed and developing countries. An
initial reactive approach to pollution problems has not achieved the desired results in finding
solutions. Most recently, mankind’s attitude towards the environment has evolved to encompass
a proactive response in an attempt to find appropriate solutions. This has led to the evolution of
new concepts, including “sustainable development” as a basis for overcoming the environmental
problems. In this section, I examine the concept of sustainable development and its use as a
conceptual pillar in the development of the framework.
2.4.1 Historical and Conceptual Precursors
In order to understand the Sustainable Development concept, one needs to consider the historical
process that culminated in the concept. Exactly when that historical process began is debatable as
reflected by the varied opinions that exist within the Sustainable Development literature. For
Instance, Mitcham (1995) believes that the philosophical and historical background against
which the ideals of Sustainable Development emerged with basic ideas about the character of
historical change as cyclical or a progressive process. Mitcham grounds his argument in the
belief that the concept has links with the idea of movement away from an imperfect past towards
a perfect future.
Some commentators have argued that sustainable development has been born out of any
historical event the concept evolved from the foundation laid by critical actions and events. Most
current discussions on the concept of sustainable development take the report, “Our Common
Future”, published by WCED, as a starting point for the concept of sustainable development.
This report, a comprehensive one produced through a global partnership, constituted a major
turning point in the concept’s development. As with any conceptual process, some significant
conceptual precursors led to the WCED’s definition of sustainable development. In this research,
three historical and conceptual precursors identified are. (i) religious and traditional beliefs (ii)
the theory of limits and economics (iii) appropriate technology.
Religious and Traditional Beliefs
The values of religion and tradition have taught us to perceive and act on the resources
of nature in terms of particular human interest, beliefs and social structure. Through religious and
traditional beliefs and values, we have framed nature in human terms in order to satisfy human
needs, abilities and power relations. At the same time, religion and tradition have also presented
46
nature to humanity through various spiritual teachings (Gottleib, 1996). This is by reminding us
of our relationship with ecological resources. Most of these teachings especially Christianity is
based on the notion that it is man’s right to” master the earth” are an essential source for the
environmental problems caused by societies on earth. Other environmentally related passages in
the religious text have made Christianity more environmentally minded than they seem at first
glance (Kinsley, 1996, De Groot, 1992).
Besides the dominant religions, there are numerous indigenous and traditional beliefs that have
been used as the basis for dealing with environmental issues. For instance, for most human
history, our species lived in ways that were environmentally sustainable. A typical example is the
Nile valley cultures that developed and depended on an intricate system using natural resources
in a sustainable way (Gowdy, 1997). Traditional beliefs differ from one culture to the other.
However, the core element that runs through all is the importance of living in harmony with
nature through constant communication with nature in a holistic form. This has made religion
and traditional beliefs one of the historical precursors of sustainable development.
Theory of limits and economics
The theory of limits is based on the work of Thomas Malthus (1798) in which he noted that the
limit to growth is caused by resource scarcity. It was around this time that the sustainable use of
resources was first mentioned in the field of economics (Goodland, 1995). Malthus in his work
observed that vices and misery that befall societies are not due to evil human institutions, but
rather to the fecundity of the human race, and population when unchecked will increase
geometrically while subsistence increases arithmetically (Blanchfeild, 1975). This theory
expressed in terms of “environmental limits thinking” put limits on the supply of goods,
ecological resources and the resultant diminishing returns to labour in ecological resource
exploitation (Pearce and Turner, 1990). The standard of living thus will fall to a subsistence level
until the population ceases to grow. Even-though technical innovations may improve ecological
resources and offsets the tendency towards diminishing returns. Still the Malthusian theory of
“environmental limits” is a precursor to the concept of sustainable development.
Appropriate Technology
The concept of appropriate technology evolved in the wake of global pollution, resource
exhaustion, corporate concentration, and the diminution of individual liberties. The main notion
of appropriate technology that natural resources were being exhausted, which gave an impetus to
the rise of concerns that also looked environment from the social, economic and ecological
aspects of resources (McClaughry, 1989). This approach added a new dimension to the thinking
about appropriate scales of organisation and at present appropriate technology is promoted as the
way to help develop the less developed communities (DuBose, 1995) while taking care of the
environment. The present idea on low inputs and organic agriculture may also be seen as part of
this movement. In this light the concept of appropriate technology defined as technology that
takes heed of the skills, levels of population, availability of natural resources, and pressing social
needs defined by the people themselves is the immediate precursor to the concept of sustainable
development.
47
2.4.2 Recent Evolution of the Concept
Without underestimating the significance of any of the preceding concepts, it is my belief that
the concept of SD emerged largely from the forces generated by the “limits-to-growth” debate of
the early 1970s. The limits-to-growth debate was ignited by the findings of the Club of Rome
Report (Meadows et al., 1972). The fundamental argument of the Club of Rome in their report
called "Limits to Growth" is that technological development and societal increase simply cannot
continue as they have for the last 200 or 300 years. The simple and obvious point of “Limits of
Growth” is that exponential growth, a characteristic of modernity, cannot continue forever. This
report involved an in depth study of the environmental and resource limits to growth and the
potential role of technological change in removing such limits. The result it generated indicated
the rapid depletion of resources and the fast approaching limits to the growth in resource use.
The condemnation of growth-oriented policies resulted in a range of socially and politically
unpalatable questions in relation to economic growth. To avoid these questions and their obvious
ramification, there was a change in the course of the limits-to-growth debate by embracing the
concept of SD. Yet, because of the influence of dominant institutions, the SD debate proceeded
in manner that deliberately avoided critical issues concerning the desirability of economic
growth and environmental management. Consequently, dominant institutions were unable to
legitimate and justify the status quo.
The shift from emphasising on what should not be done to stressing on what should and can be
done is constituted by the shift from a discussion of “limits to growth” to “sustainable
development”. This led to the concept of sustainable development being the focus of the 1972
UN conference on Human Environment in Stockholm. It was at this conference that
environmental management and environmental assessment were recognized as management
tools (DuBose et al; 1995), and also that environment and development could not for long remain
in a state of conflict and that environmental and development ideas needed to be considered
concurrently. This shift in the framework of the discussion decidedly initiated was by two other
reports. According to Tryzna (1995), the first breakthrough in conceptual insight is the
International Union for the Conservation of Nature (IUCN), who working closely with the World
Wildlife Fund for Nature and the United Nations Environmental Programme formulated the
World Conservation Strategy, which was launched internationally in 1980. This was a major
attempt to integrate the environment and development concerns into an umbrella concept of
conservations. Although the term “sustainable development” did not appear in the text, the
strategy’s subtitle, “Living Resource Conservation for Sustainable Development” certainly
highlighted the concept of sustainable development (Khosla, 1995).
WECD picked up the theme a few years later. The report of WCED (also known as the
Brundtland Commission), “Our Common Future”, built on the tactics of the World Conservation
strategy, reemphasis the shift in terms of discussion from limits to sustainability. This shift
resulted in two extremely polarised positions. On one side were the environmentalists, who
argued for the limits to growth or no-more growth to meet the threat of pollution, protect natural
resources, and respect the rights of future generations. On the other side were the economists,
who argued the need for development and more growth especially for developing countries, to
alleviate poverty in the present and make it possible for nations to play their role in international
affairs. The Brundtland report bridge between these conflicting interests was to propose neither
simply a limit nor simply development but sustainable development. The conceptual definition
48
of the Brundtland Commission contains two concepts: First, the concept of “needs” in particular
the essential needs of the world’s poor, to which overriding priority should be given, and second
the idea of limitations imposed by the state of technology and social organisation on the
environment’s ability to meet present and future needs by over exploitation.
Not surprisingly, the Brundtland Commission’s definition of sustainable development was
interpreted in so many ways, receiving a very wide acceptance. According to Holmber (1994),
”by 1994 there were more than 80 different definitions and interpretations fundamentally sharing
the core concept of the WCED’s definition”. Another major development around this time is the
UN Conference on Environment and Development (UNCED), which is also known as the “Rio
Conference” or the “Earth Summit” held in June 1992. The outcome of the UNCED conference
is the production of major international documents such as the Rio Declaration 21 and
conventions on desertification, biodiversity, and climate change, which led to the identification
of participation as a tool for sustainable development in every corner of the world which has
drawn a lot of critique. However, considering the institutional foundation of WECD and the
global realities in the mid1980s, the definition of sustainable development, provided by WECD
contained much practical wisdom and has been highly instrumental in developing new global
thinking that is emerging today.
2.4.3 Defining the Concept
In the context of the present research, I categorise the definitions of sustainable development into
(i) institutional, (ii) disciplinary and (iii) ideological conceptualisations. This categorisation is
done in order to identify the source of pollution, the core approaches used to solve pollution
problems, the proposed platform and key tools for the solution. A summary is given in table 4.1
Institutional conceptualisation
The definitions given by WCED, the International Institute of Environment and Development
(IIED) and the World Business Council for Sustainable Development (WBCSD) (see table 2.1)
are taken to be the representative of the institutional version. A comparison of these definitions
shows that they all share needs satisfaction, with variation in the interpretation depending on the
context. The differences in interpretation are related to the ways in which the institutions identify
the core of the solution, solution platform, and the tools required to actualise the solution.
The definition of sustainable development given by the Brundtland Commission in the previous
section serves as the core element for almost all the institutional definitions. The Brundtland
Commission report contained the key definition of sustainable development, as “development
that meets the needs of the present without compromising the ability of future generations to
meet their own needs” (WCED 1987).
The definition of sustainable development developed by the International Institute for
Environment and Development is based on the identification of three systems as basic to any
process of development: the ecological system, the economic system, and the social system. As
noted by Holmberg (1994) “human society applies a set of goals to each system.” The objective
of sustainable development will then be to maximise goal achievement across these three at the
same time. The typical feature of this definition is it is based on increasing empowerment of
49
people to take charge of their own development, combined with clear knowledge of
environmental constraints.
The other institutional version is the definition presented by the WBCSD. In this definition, the
concept of sustainable development recognises that economic growth and environmental
protection are linked, and that the quality of present and future life rests on meeting basic human
needs without destroying the environment upon which all life depends (Schmidheiny, 1992). The
WCED version asserts that economic growth in all parts of the world is essential to improve the
life of people. This version also asserts that the requirement of clean, equitable economic growth
remains the single greatest difficulty within the scope of sustainable development for business
and industry. The way to achieve such growth is through the development of strategies to
maximise value added while minimising resource and energy use through the implementation of
the principle of eco-efficiency and new technologies.
Disciplinary conceptualisation
The disciplinary conceptualisation of sustainable development, which involves economist,
ecologist and social ecology as shown in table 2.1, reflects the response of the scientific
community to the challenge of the environmental crisis of the twentieth century. At centre is
what Jacob (1994) refers to as the neo-classical approach to environmental problems: that is to
‘turn the environment into a commodity that can be analysed in monetary terms like other
resources’. The neoclassical economists are of the opinion that the environment is undervalued,
and because it can often be used free of charge, it tends to be misused and overused. If
environment were given its proper value in economic decision-making terms, it would be
protected much more highly (Redclift and Benton, 1994). The proposed solution of the
neoclassical economists is composed mainly of two stages. The first stage is to determine the
price of the environmental resources by constructing supply and demand curves based on the
application of different valuation techniques. This enables the economist to identify the
appropriate level of environmental protection for society to adopt (Jacob, 1994). The second
stage is to turn these imputed prices into real-market prices, either by changing the prices of the
existing market activities by taxing environmental damage, by creating markets for
environmental goods by issuing permits, or subsidizing environmental improvements. Solution
to pollution problems that are caused in this way is through internalisation of externalities
through the use of market-based tools.
The ecological conceptualisation of sustainable development as noted by Clarke (1993) is based
on two main premises. First, the assumption that nature is a self-organising system that changes
responds and evolves over time. Secondly, human beings depend on nature for their needs
through interventions. Based on these premises, two domains of ecological sustainability are
identified. “Shallow ecology” means the treatment of environmental problems without tackling
the underlying causes and without confronting the philosophical assumptions that underlie our
current economic and political thinking. On the other hand, the “deep ecology” aims to tackle the
underlying causes of environmental problems. This is because, in the end, environmental reforms
of social and economic systems are not a viable solution to offset the increasing pollution
problems (Braidotti et al, 1994). The source of pollution problems used by this conceptualisation
is human being have domination over nature hence human beings have the right to pollute
50
nature. The source of solution to such problems is human beings having respect for nature. This
can be achieved by taking a bio-centric approach to pollution problems.
Overall, the disciplinary versions exhibit conceptual shortcoming that are reflected in their
solution strategies. Moreover, there is a danger that ‘the prevailing conflicts of views about the
environmental crisis, which arise from being locked by the reductionist way of thinking, may
harden into inflexible and polarised oppositions (Redclift and Benton 1994). This can be
attributed to the fact that every discipline approaches the other in a reductionist way, seeking to
impose its views and procedures on the decision making process. In this respect, there is the need
for a new way of scientific thinking based on radical revision of the existing approaches, with the
objective of transcending the pervasive “dualism” that dominates modern thinking. However, I
must note that various theoretical perspectives on sustainable development are guided by a
common principle that development must take into account various issues and problems related
to the environment.
Conceptualisation
Source of Environmental
Crisis
Political development
Source of Possible
Tools Areas
Solution
Sustainable growth
Governments
• WCED
• IIED
• WBCSB
Rural development
Environmental care
Community
Business development
Eco-efficiency
Business
Disciplinary
Under valuation of
ecological resources
Human domination
over nature
Domination of people
and nature
Male centred
Capitalism
Internalisation
of externalities
Respect for nature
The market
place
Bio-centric thinking
Co-evolution of
humanity and nature
Women centred
Socialism
Re-definition
of
social hierarchy
Women associations
Unions (trade)
Christian arrogance
Spiritual revival
Churches
Institutional
• Environmental
• economics
• Ecology
• Social Ecology
Ideological
• Eco-feminism
• Eco-socialism
• Eco-theology
Figure 2.7 Comparative analysis of the different conceptualisation of sustainable development
Ideological conceptualisation
From figure 2.7, the main environmental versions of classic ideologies are liberation theology,
radical feminism, and marxism. Some academics consider eco-feminism as the conceptual
juncture, which the four main features of the liberation theory –the oppression of gender, race,
class and nature finally come together (Plumwood, 1993). The French feminist writer, Francoise
d’Eaubonne who identified overpopulation and the destruction of natural resources as the two
immediate threats to human survival, introduced the concept of eco-feminism in the 1970s
(Braidotti et. al, 1994). In her view, the ‘male system’ is the main source of destruction and
threat and the only way out would be for women to destroy the male system. Eco-feminism
51
today is a significant stream within the feminist movement, which contains a range of theoretical
positions based on the assumption that there is a correlation and interconnection between the
domination of nature and the domination of women. The idea behind eco-feminism is to expose,
challenge, and change dominant power structures, whether within gender or economic systems.
The basis for this is merging the potentials of ecology and feminism to create a new force for
social and cultural change.
The next ideological concept is the eco-socialism. The ideology arose due to the modern
environmentalism, which triggered a new debate between socialists and environmentalists. Ecosocialism is based on the assumption that sustainable, ecological sound capitalism is a
contradiction and can never be realised. It asserted that the ecological problems we are facing are
the result of the inherent crisis within the capitalist systems and it can be overcome only through
ecologically oriented socialist development. As noted by Pepper (1993), “eco-socialism is
anthropocentric and does not consider humans as pollutants; neither are they ‘guilty’ of greed,
aggression, over-competitiveness or other savageries.” If human beings behave in any of these
ways, it is not by virtue of unchangeable genetic inheritance or sin: the cause is the prevailing
socio-economic systems. According to the concept, we should not dominate or exploit nature in
the sense of trying to transcend natural limits and laws, but we should collectively plan and
control our relationship with nature. This can be done by re-appropriating collective control over
our relationship with nature, through a common ownership of the means of production. However,
individual ownership per se is not rejected so long as it cannot be separated from nature. On the
other hand, if they are separable, they must be replaced by common development where
technology is adaptive to all nature and not destructive of it, and at the same time strengthen the
competency and controlling power of the owners (Pepper, 1993).
The next is eco-theology. The rise of modern environmentalism opens a new door of criticism
towards traditional religions. Christian religious tradition and beliefs are singled out by
environmental groups to be one of the causes of environmental problems because of their
teaching of man’s domination over nature and his duty to make the world a better place to live. It
is against this background that eco-theology started to emerge. Using as its basis the views of St
Francis, who is considered a patron saint of ecology, eco-theology turns to reinterpret old
traditions to help us face the current environmental crisis (Dickson, 2000). The concept tries to
explore the religious beliefs and traditions about the way we must treat things the way we want
to be treated. Eco-theology is based on the notion that mankind has ignored the wealth of
ecological resources in the religious tradition. What is needed is an environmental theology to
dig up the appropriate religious texts, which can throw light on the present environmental crisis.
According to Haught (1996), the main source of our respect and love for man and nature is our
relationship with God, and the solution to environmental crises lies in a renewed commitment to
humanity, to the virtue of detachment and to the central religious posture of gratitude by which
we accept the world as God’s gift and treat it accordingly. To sum up, eco-theology allows us to
shape our lives by genuine religious virtues so that nature will attain the appropriate balance and
we may avoid the environmental problems that lie ahead of us. The source of solution is through
revival and using churches and religious organisation as tools to effect change in human beings.
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2.4.4 Constant stock of capital as a condition for sustainable development
The essence of WCED’s widely accepted definition of SD is that the conventional economic
development imperative of maximizing economic production must be reoriented toward
minimizing suffering today and in the future. This depends, on one hand, on reducing ecological
destruction – mainly through lowering the resource throughput that human economy draws from
nature-and on the other hand, on improving people’s quality of life. In other words, SD is living
within nature’s means. Pearce et al (1988) argued that the use of the term “sustainability”
suggests the existence of a minimum condition for development to be sustainable, irrespective of
how development is perceived. That is sustainability requires living within the productivities
capacity of nature. Putting this into practice depends on having a measure of nature’s
productivity. In line with this, ecological economics proposed the concept of “natural capital”
realising that human societies not only depend on labour but also on human made capital
(Costanza and Daly, 1992). Natural capital used in this context even though it lacks a universally
accepted definition includes those components of the ecosphere, and the structural relationship
between that organisational integrity is essential for the continuous self-production of the
natural system itself. Currently there is variation in opinion about the use of the term natural
capital. This variation in my opinion has led to the emergence of two main sustainability
measures: strong sustainability measures and weak sustainability measures (Pearce et al 1989).
Strong sustainability measure is based on the principle of keeping the quantities of both natural
resource and human-made capital intact. The need to maintain both two capital assets intact is
due to the belief that both assets are perfect or near perfect complements and, as such, the
productivity of one is dependent upon the availability of the other (expect services provided by
the natural capital). This assumption implies that any argumentation of the quantity of humanmade capital is unable to offset the depletion of natural capital sufficiently to maintain a constant
stream of consumption overtime. The only way to have a sustained constant consumption is
through improvement in the efficiency with which human-made capital converts natural capital
into final goods and services. However, there are thermodynamic limits on the capacity of
human-made capital to overcome the diminution of natural capital stocks. Hence, strong
sustainability in my opinion, therefore, requires that any adverse residual impact on the
environment needs to be zero especially with cumulative impact.
Weak sustainability on the other hand is the measure based on keeping a combination of natural
capital and human-made capital assets intact, rather than maintaining each variety of assets
individually. This measure works on the belief that both categories of assets are perfect or near
perfect substitutes. As such, it is assumed the depletion of natural capital stock, will not
undermine the capacity to maintain a constant income over time so long as the stock of humanmade capital is augmented sufficiently to compensate. Weak sustainability occurs when there is
no significant risk of serious or irreversible damage, and conversion of natural capital into some
other form, but its value must not decrease in the conversion. This result is comparison of the
value of the natural capital with the value of human-man capital that will replace it on the basis
that the people involved are satisfied with the valuation. That is, single stocks may decrease and
even be exhausted, so long as the aggregate condition is being satisfied all the time. This is with
the idea that a loss in one element of the natural environment must be compensated by an
addition somewhere else. This condition may vary; in situations when the measure is a nondeclining utility over time. In such a case, it is a very weak sustainability measure (Pezzey,
53
1989). A very weak sustainability measure is based on the capacity of a combined stock of
capital irrespective of its makeup to sustain a given level of utility rather than a particular
income.
The use of weak and strong sustainability in assessing the sustainability of human activities is
not fixed because of the common condition that each type of stock is maintained each point in
time. However, some scholars use strong sustainability as the criterion for judging whether
humanity lives within nature’s means. In this case the ecological bottom-line of sustainability is
only met if each generation inherits an adequate stock of essential natural capital assets alone
independent of the human-made capital stock. In addition, natural capital must not be less than
the stock of the assets inherited by the previous generation. On the other hand, some scholars
such as Pearce and Alkinson (1993) subscribe to the weak sustainability measure as their
analytical approach based on characteristics related to substitution and complementarity of
different types of environmental and resource stocks. However, I would like to note here that, the
issue is not about the validity of the strong sustainability measures or the weak sustainability
measures but about how to organise human activities and still maintain our natural capital stock.
This will allow ideas about the desirability and possibility of economic growth, the type of
environmental management, and argument of societies of life geared towards sustainability. The
operationalisation of strong sustainability and weak sustainability brings about the question of
substitutability or complementarity of human-made capital for natural capital, which is examined
in the section below.
2.4.5 Complementarity and substitutability of natural capital
Complementarity and substitutability of nature capital is based on the functions of the natural
environment where ecological and other environmental processes are examined from an
anthropocentric perspective as discussed in section De Groot, (1992). As noted in chapter 3, the
sink function, the sink function and life support function are the three main functions of the
natural environment. Given that these functions of natural capital is necessary to sustain humanmade capital, there is the question of how much of natural capital is needed to maintain intact the
stock of human–made capital required to achieve sustainability. The answer to this question is
needed to maintain intact the stock of human-made capital. To know how much natural capital is
required to achieve sustainability, it is necessary to understand the extent to which human-made
can serve as a natural capital substitute. To do this, however, there is the need to elucidate the
first and second law of thermodynamics.
The first law of conservation of matter and energy, which is the first law of thermodynamics,
ensures that matter-energy embodied in resources exacted from natural capital, which is then
transferred into human-made capital, can never be lower than the matter and energy embodied in
human-made capital produced. This suggests that matter and energy created through production
process is a breach of the first law. The second law, the entropy law ensures that matter and
energy is less available for future production following its transformation into human capital. In
addition, the entropy law does not give room for 100% recycle of matter and preclude any
recycling of energy. The deductions from the first and second laws of thermodynamics above in
relation to the production of production of human–made capital are:
54


The ratio of matter-energy embodied in human-made capital to that in natural capital
must be less than the value of one if sustainability can be achieved.
The production and maintenance of any given human-made capital requires the input of a
minimum, irreducible quantity of natural capital. The minimum requirement of the
natural capital at any point in time depends entirely on human technology embodied in
the human-made capital.
Thus, as human technology improves, a given quantity of human-made capital produced from a
small natural resource capital is large. However, a point is reached where it is not possible
according to the law of thermodynamics to reduce waste production and increase human-made
capital. At this point, the ratio is almost one and the point where the production and maintenance
of an optimal stock of human-made capital requires the continued input of a minimum,
irreducible natural capital. This is a critical point in the human-made and natural capital,
substitutability and complementarity debate.
Based on the above assertion, it is my contention that, natural and human-made capital is
fundamentally complementary forms and not substitutes. This is because of the following:
 Substitutability between natural and human-made capital does not exist. What exists is an
illusion created when the capacity to produce a given quantity of human-made capital
from a lessened input of natural capital results, not from substitutability per se, but from a
reduction in natural capital wasted in the conversion to newly produced human-made
capital, which is more of implicit substitutability (Lawn, 1999). In fact, this does not
constitute substitutability because human-made capital does not “take the place” of
natural capital.
 Human-made capital and natural capital are fundamentally different elements of the
production process. Natural capital constitutes the material cost of production and
human-made capital, the natural capital transforming agent constitutes the efficient cost
of production. Hence, efficient cost of production without material cost of production
processes nothing. Hence, natural capital is the” true” input of the production process
(Lawn, 1998).
 Human-made capital is itself the output of the production process requiring input of
resources exacted from natural capital. Consequently, to produce more of the perceived
substitute requires more of what is being substituted, which is the defining condition for
complementarity not substitutability (Daly, 1996). That is human-made capital is based
on the processing natural capital which has many functions for which substitutability is
simply not conceivable. For example finding a substitute for the deleted ozone layer.
 if the substitutability of human-made capital for natural capital is possible, why has
mankind devoted time, effort, and energy to accumulate the former when it perceived
substitutes already exist? It is because they are complementary and production limited by
the lack of human-made capital.
Finally, while some human-made capital is used for natural capital functions, it can never
fully replicate the sink and source function of natural capital.
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2.4.5 Aspects of environmentally sound design process
An environmentally sound design process can be characterised by substance and process
planning that account for environmental sustainable issues. In this section I justify, discuss
context analysis and macro levels analysis, and draw conclusions for their use in design,
implementation, monitoring and evaluation of solution to pollution problem presented
in
chapter 5.
Context analysis
Context analysis is a process that involves key actors to generate trust, commitment and
ownership. The analysis of specific context is required to design concrete solution and define
concrete agreement with actors. Thorough understanding of the context is critical in knowing the
local driving forces and actors.
A context analysis helps to understand insights about relevant stakeholders and key actors, their
values, norms, motivational factors and institutional structure and process. Most context analysis
are taken based on norms derived from external parameters and the uncritical understanding of
basic environmental, social and economic concepts used in defining sustainability. Analysis of
the interaction between social, economic, ecological and institutional issues are critical with
though driving forces making difficult to conditions in a context with that of another. Thus, the
outcome of a particular context analysis can have opposite effect or have minor important in
another context analysis.
 Analysis of specific events, cases, failures and successes are carried out in detail
 Concrete problems, opportunities and solutions are defined
 Concrete plans ..are developed and concrete decisions for concrete actions to be taken
Context analysis
Macro-level analysis
● Local issues are considered and driving forces ● External factors, sectors, actors and macro
and stakeholders are micro and meso levels
level driving forces are analysed.
● Analysis starts out from a local context and ● Analysis starts from a broader context
establish links with a broader context
focusing on key factors and establishing
linkages with the local context
● Analysis of specific events, cases, failures and ● the analysis is aimed at acquiring a broad
successes are carried out in detail
insight of issues
● Concrete problems,
solutions are defined
and ● Analysis considers large spatial areas and
over a long period of time to determine
historical pattern of change
● Concrete plans a are developed and concrete ● Resulting in a vision or prediction about the
decisions for concrete actions to be taken
future
opportunities
Figure 2.8 The main characteristics of context analysis and macro-level analysis
56
Macro level analysis
Context analysis is a process that involves key actors to generate trust, commitment and
ownership. The analysis of specific context is required to design concrete solution and define
concrete agreement with actors. Thorough understanding of the context is critical in knowing the
local driving forces and actors.
Macro level analysis is where insights outside a specific context are anlysed by external factors
and has characterisics as presented in figure 2.8. The analysis involved examining the various
actors in the environment and the driving forces influencing the environment. The anaylsis starts
from a broader context by looking at all factors and then focusing on key factors. Based on the
analysis of key factors in the macro context, linkages are established with the local context to
explain some factors and actions in the context and also acquire broad insights of issues. Most
macro level analysis are carried out based on the following:
 spatial distribution of land use parterns of areas or as a function of time
 The dymanics and interaction of population and the environment
 The availability or scarcity of environmental resources and the conflicts associated with it
use
 Integration or uncooperative attitudes of local communities in decision making that
relates to market economies
Local situations cannot be fully understood without insights in its macro context The above
themes are useful to determine pattern of change in the context which is useful as a guide to
predict the future state of the context. Thus, macro-level analysis help in making more realistic
predictions and reduce the amount of ‘trial and error’ in design of solution by placing an
context that the solution is designed for in a certain time and environment.
2.5 Useful Building blocks of the strategy
The objective of this study is to develop an Opportunity-Problem in Context strategy to support
pollution management. Based on the review presented in the previous sections the following
useful building blocks are proposed:
2.5.1 Builidng blocks from disciplinary approaches
The approach of the scientific community to environmental challenges started within the
disciplinary domain, which later evolved towards the interdisciplinary approach. The move from
the disciplinary to interdisciplinary approach has been dictated by the inherent limitations of the
disciplinary approach in dealing with systems of organised complexity. The limitations of the
disciplinary approach again dictate the need for transition to transdisciplinary approach in
dealing with environmental challenges.
Despite their shortcomings, the disciplinary and interdisciplinary approaches to environmental
challenges have made major contribution in terms of expanding our knowledge base and opening
doors for questioning some of the assumptions in the scientific world. There are some pollution
problems, which can be solved simply by taking an interdisciplinary approach without.
57
Disciplinary science based on reductionist views will remain to be the best source of gaining indepth knowledge about the part. But when it comes to complex pollution issues, the limitations
of the reductionist view need to be rectified through the application of the holistic approach
Transdisciplinary approach on the other hand runs across natural and social sciences disciplinary
domains, serving as the synthesizing thread among them in dealing with complex environmental
issues. The transdisciplinary approach, therefore, helps us to overcome the shortcomings of the
disciplinary domains, and the detailed complexity of the interdisciplinary approach.
2.5.2 Building blocks from system, causal chain and evolution theories
The core elements of the three theories are aimed at overcoming the epistemological
shortcomings of the traditional scientific thinking. Their ability to deal with both simple and
complex environmental issues makes them the most suitable point of departure for dealing
environment issues especially pollution.
Pollution is of many kinds and can be managed by adopting system theory, causal chain theory
and evolutionary theory. By coalescing the three theories variously held to be the best scientific
explanations of most environmental phenomena, I proposed here that a system-causalevolutionary approach to pollution crisis is needed. In that respect, the following building blocks
are identified:
System-related blocks
Relating the above understanding to pollution management made up of environmental, social and
economic subsystem it is difficult to define boundaries and identify the entities and functions of
the system. In this case, utilizing the system thinking in pollution management requires
revitalizing the specialised system thinking based on the principles and spirit of system thinking.
A key element of this revitalizing process is the redefinition of the concept system. In this
respect the units of the system should taken as any organised physical entity with a specific
functional purpose and manifestation, which are characteristics by uncertain and
undistinguishable information embedded in it. Due to the dynamic linkage between the units in
the system as well as its environment, there exists a complex interaction within in and between
the systems, which in turn determines the functional capacity of the system. In this respect, a
system approach to pollution management is based on the notion of a set of relationship between
elements or variables. Some of which are state variables capturing all relevant information about
the state of the system, and others as flow or rate variable which include input, throughput and
output. Thus, a system approach to pollution management allows for dealing with identification,
analysis and control of these variables of a specific system phases. In light of this, properties at
the system level are quite different from the subsystem properties because no unit system could
be distinctly categorised in one or the other subsystem.
A system approach to pollution management should be based on the notion of a set of
relationship between elements or variables. Some of which should be state variables capturing all
relevant information about the state of the system, and others as flow or rate variable which
include input, throughput and output. This allows for dealing with identification, analysis and
control of these variables of a specific system phases. This means that a system unit in a
58
pollution management strategy should proceeds in a consistent, integrated and interactive manner
with the elements in the system defined by specified boundary, so that the complex details of the
elements are analysed, and then linked in a consistent way to other elements in the system.
Boundaries should be specified to minimise interactions in terms of influences and flow between
elements of the system and rest of the environment.
Adaptive management approach should be adopted to deal with pollution problems are complex
systems since they are difficult to describe. This would allow and stimulate self-regulation of
institutions to reach defined management goals through careful and limited guidance. Use would
be made of existing diversity and complexity such that they adapt and be resilient to during the
management process. This is because diversity of options the high the potential of applying the
adaptive management approach. Thus, if one option fails there are other options to adapt. Details
of how adaptive management could be used in the framework is presented in section 5.1.2
Resilience thinking would help actors to look beyond institutional forms and instead ask
questions regarding the adaptive capacity of social groups and their institutions to deal with
complex pollution problems. This would help actors gain insight regarding capacity building to
adapt to change and, in turn, to shape change. Resilience would help study of institutional
dynamics. The assessment of resilience of a system unit under consideration is determining the
long term ability of the system to withstand external shocks and stay the same by adapting to
external change adaptive cycle and evolution processes. This will determine the environmental
sustainability of the system unit under consideration. The spatial context and the time horizon
of resilience and the two main aspects that need to be considered in the assessment since they
seems to be associated with the adaptive cycle. The way resilience is related to diversity and
stability of the environment is detailed in section 3.2.
Other system related building blocks include the following:
First, a context analysis of the system is required to acquire specific insight, define solutions and
reach agreements with key actors. Since every system is unique it has specific problems and
opportunities that can bring a change. The analysis of the system should look at the social,
economic, ecological and institutional issues and how they interact and interrelate. To
understand the fully, it is useful to place the system or relate the system higher systems to know
the external driving forces and actors that are involved in dealing with pollution in the system.
This is necessary because in developing countries dealing with pollution in a system often
depends on potentials beyond the system. This will help define more sustainable solution to
pollution based on the opportunities and comparative advantages of the system
Second, every system has a succession function that enables the system to sustain its functional
capacity through alternative cycles of succession. There in developing a strategy for pollution
management, it is important that the strategy is able to maintenance of a given level of systemic
function that reconciles with the principal feedback loops of natural and human-made cycles and
successions through the proper combination of unit functional capacity and succession time.
Third, a pollution management strategy should exhibit a four-dimensional subsystem (ecology,
social, economic and institution) with varying degree of manifestation of the interaction between
the subsystems. These subsystems are intertwining with neither dominating the other as neither
59
provides a more obvious starting point for understanding the whole system. However, each
subsystem needs to be understood in the context of all others. Thus, when any activity within the
whole system affects the characteristics of its parts and the relationship between them, the
survival of the whole system output, which is the newly created part, depends on the “fitness” of
the existing components and relationship of the subsystems.
System theory is the core foundation on which a learning organization should be built since
processes and structure of systems- whether biophysical, economic, social, institutional- are
linked and interconnected. Each system normally has a an influence on others.
As already noted pollution problems are complex and social systems that are responsible to solve
them also show some characteristics of complex systems and are difficult to describe and
explain. In such situations, adaptive management approach is suitable to deal with the complex
systems at any scale and level.
Causal chain related blocks
Causal chain concept as an input-output process approach to pollution management is a
conscious, goal-oriented process driven by normative principles so that man can keep pollution
management adjusted to changing dynamics of human society and the environment. A process
approach to pollution management is to improve environmental quality in line with social
preferences. The input-output process is the interaction between relevant stakeholders and
organizations such as public entities, private sector and civil society, formal and informal
organizations to articulate societal preference and goals and transform them into actions to
influence environmental in a desirable manner’.
The pollution management strategy should consist of tow components: structure and process
components.
Structure is the institutional structures required for putting into practice environmental
management and governance and includes the environment management functions and
responsibility of institutions in the management process. Here the following functions are
identified.(based on Osrtom, 1990; Kessler, 2003):
 Governance functions - these include decisions on sustainability, equity, determine
criteria for participation, development and implementation of associated normative and
executive legislation and policy framework, ensure good governance effective use of
human and material resource. At this level rules are set to describe how rules at low
levels of decision making may be created, enforced and the relevant actors identified.
This function acts as the reference point from which lower level functions operate.
 Organizational learning and management functions- these include ensuring organizational
learning by using monitoring, feedback mechanisms and integrating lessons learnt into
the management structure. Other functions include strategic analysis and planning, policy
development and other actions such as tools, rules, creating markets, making available
information and financial resources, and sanctions taken by organizations that would
allow activities at the operational level to function properly.
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
The operational functions – these include taking concrete decision about when, where,
how and who should do something with respect to assessment, planning, implementation,
enforcement of Typical; actions involve interaction with actors at the local level
Having presented organizations functions, I will now turn to organizational arrangements
involved in pollution management. Based on the institutional structure in most developing
countries such as Ghana, I subdivide organisations into four categories: national public
institutions, district, municipal, and regional public institutions, the private sector and civil
society. The involvement of the four categories of stakeholders largely depends on the pollution
management goal. These categories are not exclusive, various ‘blinds’ may exist.
Process Rational adaptive perspectives are the two main perspectives used in pollution
management process. Rational perspective is based on the understanding that pollution
management should consist of phases with each phase considered as necessary tasks in an
interactive process of identifying links between events. The number of phases depends on the
task and each phase is an organised entity with a specific functional purpose and manifestation.
Consider each management phase distinct with inputs and outputs and contributing to the whole
pollution management process. Adaptive perspective on the other hand is referred to as the need
to rapidly respond to problems and opportunities within a particular framework by different
stakeholders with environmental focus who contribute to the development of pollution
management process. Due to the varied nature of pollution problems it is proposed that the two
perspectives should be used to reinforce each other to achieve maximum results. The rational
perspective would provided the structure and tools needed when pollution problems are very
complex while the adaptive perspective would provide the windows for solutions.
Co-management approach (where the state and community negotiate to agree on shared
responsibility for a range of pollution management functions) and integrated environmental
management (where all interested actors are involved to agree on a common vision, strategy and
roles and responsibilities) should be used in synergy to manage pollution problems. They way
this should be done is presented in section 5.1.
Linkage between the different pollution management organizations would help clarify how each
organization influences matters of importance and identifies where significant gaps exist in the
whole pollution management strategy. Here, I see logical interrelation between the different
organizations in two main ways: as a forward process from situation assessment to situation
improvement and a backward process to evaluate and monitor results. This implies that
information in one organization is related to the information in the other. Within each
organization, many different activities influence the process, and for that matter, determine the
output.
The number and scope of these activities vary between the different classes of actors and the
scale of the pollution task. In each organization following elements of pollution management are
proposed (figure 2.):
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





Context of pollution management-this presents the governance structure of the
organization, the traditions in the organizations. These attributes influence the past,
present and future management of pollution by the organization.
Pollution management previous-This represent previews decision-making arrangements,
control mechanisms, tools that were used to manage pollution problems. The result of
these elements which is the outcome of measures and the pattern of interaction serve as
input’ elements for pollution management in the present
Pollution management present - This represent present decision-making arrangements,
control mechanisms, tools used to manage pollution problems. The result of these
elements which is the outcome of measures and the pattern of interaction serve as input’
elements
for pollution management in the present. Feedback from evaluation and
monitoring of the object of pollution management is used to redesign a new strategy for
the future.
Pollution management in future-This represent proposed decision-making arrangements,
control mechanisms, tools that were used to manage pollution problems in the future
based on insights gained from present pollution management actions
Object of pollution management- elements of pollution, which comprises attributes, and
nature of the technology, which require management. the normative, social and cultural
characteristics of the actors responsible for pollution problems and the way evaluation
and monitoring activities that caused pollution are undertaken. The present pollution
management has a direct influence on the object of pollution which is
Context of the object of pollution management-these include the actors and stakeholders
in the context that cause and/or are affected the by pollution. These are communities,
environmental organizations, enterprises, non-governmental organizations and the
government institutions.
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Context of pollution management
Pollution
management
previous
phase
E=-1
Pollution
management
present
phase
E=0
Pollution
management
in future
E=+1
Monitoring
Object of pollution
management
Context of the object of
pollution management
Figure2.5 different elements of pollution management
Evolutionary related blocks
Based on the discussion presented in section, it is proposed that physical processes and
transformations follow an evolutionary pattern and can be described in terms of two fundamental
information quantities which are requires as input for the development of a pollution
management strategy:
 Identify pollution problems based on the identification of a negative discrepancy between
the norms or standards of desirable qualities determined by society and the reality and
actual quality of the environment. The principal factors of identification include:
surprises (i.e. incertitude risk, uncertainty, and ignorance) associated with functions,
cause of pollution (information that identifies the normative, physical and social analysis
of pollution problems and measures to control and prevent the pollution.
 Use opportunity information to determine the nature of information flow in different
forms to improve the existing situation for society to fulfil a given societal function. The
principal sources of opportunity include; institutional structures and norms, technological
innovation, favorable market structures to enhance production efficiency and potential of
social and cultural system and creative thinking. The institutional structures and norms of
a given society provide the basis for the field of opportunity taking into account both
vertical and horizontal hierarchy in social structure in the system. The technological
innovation and diffusion factor, which has a direct linkage with the cultural aspect of the
problem-oriented information, is another factor that determines the nature of opportunityoriented information for a given society.
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I proposed that considering problem analysis and opportunity analysis constitute the bases for
fulfilling pollution management function. However, while there are numerous attributes and
functions that could be listed under pollution management functions. Categorize all of these
functions under the function of societal transformation and production function. The principal
function of societal transformation and production function will take different forms of
expression and attributes depending on the nature of the problem-oriented information and the
nature of the interaction or balance between problem-oriented information and opportunityoriented information.
The following are helpful in developing sustainable pollution management frameworks:
 Take steps to prepare people for the function of producing goods and services. Base the s
process on the transfer of the accumulated problem-oriented information and the
building up of capacity to identify process and transfer useful information of production
process to the next generation. Research and education in both local and scientific
knowledge are the instruments that can used to conduct this process.
 It is important to avoid a mismatch between the process of preparing for production of
goods and services and the structures of the production process so that production process
is less material and energy intensive and more equitable in its impact
 There is the need to take an adaptive management approach to social activities related to
pollution in other to fulfill socio-ecological and socio-economic requirements of evolving
social and ecological systems. Societal transformation function should include normative
and controlling, ensuring organizational learning, steering and influencing, enabling and
facilitating.
 Economic market and learning process approaches should be used transform negative
attitudes and perceptions of human beings towards the use of natural resources and
energy. Economic market have signals by which the economic system regulates the
environment while learning process involves letting human being appreciate
environmental functions so that attitudes are geared towards maintaining a balance
between societal activities and the natural system
 Production function and societal transformation function should be balanced and
connected to determine the path of a given pollution management strategy. Define the
optimum balance and connectedness by the effectiveness of the feedback and corrective
mechanism.
 Pollution management geared towards societal transformation function should include
normative and controlling, ensuring organizational learning, steering and influencing,
enabling and facilitating.
The effectiveness of a pollution management strategy depends on the pollution management
phase is effective adaptation to external and internal events, since as evolution proceeds; it
gradually switches from introducing adaptation that deals with the external world to adaptation
that succeeds within the internal environment.
The goal of dealing with complex pollution issues has often been regarded as a break through
with traditional thinking and practice. This seems to require complementing static, equilibrium
oriented approaches of research with dynamic, evolutionary ones.
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2.5.3 Building blocks from governance
Drawing insights from the discussion present in section 2.3, I proposed the following as building
blocks, which are operationalised in chapter 3 to determine what tool to use in pollution problem
analysis, in chapter 4 to identify opportunities and in chapter 5 to design an good governance
structure for pollution management.
Present governance structures are favorable for the rich and do not take care off the present poor
and future generation. I therefore agree with De Groot (1992) the use of a two-tiered evaluation
system in selecting policy tools for pollution management. The two-tier process should have
equity placed above efficiency. This would protect and taken care off the present poor people,
the future generation and things without voice and achieve good governance. The first tier should
be assessing equity across generation by using an equity filter and then followed with an
efficiency test to determine the market conditions.
Most institutions responsible for pollution management inevitably generate overlap of
responsibilities because the main local institutions rarely focus strictly on environmental quality.
The creation of separate institutions to deal with pollution issues can induce other institutions to
wash their hands off pollution issues. In such a situation, decentralization by allocation of
responsibilities across institutions and agencies will ensure effectiveness of policies. This means
defining “who does what” together with an incentive system promoting the necessary
coordination is crucial. For instance, local pollution problems are typically felt locally and
physical boundaries of pollution problems rarely coincide with political and administrative
boundaries, local institutions are often in a better position to address local pollution problems.
Thus, local institutions should have the freedom to choose the most appropriate polices and tools,
taking into account co-operation and co-ordination at local level in both vertical and horizontal
hierarchy levels when dealing with pollution problems. This is because:
 they have the broadest mandate of all local institutions and organisations and at the same
time are responsive to social pressures in principle.
 As representative of public interest, they are the best-suited authority to mediate between
other actors who represent sectoral interest of various kinds.
 Even if other actors carry out particular activities or services, rules and standards will
have to be developed and regulated at the local level.
This will make local authorities have such power as representatives of government to carry out
long-term initiation and direction of pollution management strategy. Such decentralization
eventually will leads to differences in environmental quality across regions due to differences in
environmental, cultural and socio-economic conditions.
The extent of decentralization in policymaking largely depends on the political systems, which
determines the distribution of functions of pollution management and the responsibilities of
allied institutions. To this end, the following should be taken into consideration:
 The specific aspects or function of the pollution management strategy being decentralised
 Key features of a pollution management strategy that are desirable with regard to the
organisation and achievement of results,
 The capacity institutions have to comply with legal attributions and promote new agenda.
65



The degree of independence of the institutions in terms of decision-making; their
accountability,
The degree of stakeholder participation and transparency of the decision making process;
The level of institutional and policy coordination with other sectors and across tiers of
government.
Decentralization of pollution management functions is typically and ideally part of a broader
political process of decentralisation. The most important underlying condition for successful
decentralization is serious commitment. This means that central governments must be willing to
give up responsibilities and local governments must be prepared to take over such attributions.
However, for this political compromise to be reached, it is necessary that a sufficient level of
mobilisation by civil society be in place at the local level, so that the true benefits from
decentralization can materialise.
Not all pollution problems should be managed in a decentralised fashion. Even when national
governments decentralise responsibilities, they often must retain important policy and
supervisory functions. Thus, devolution of authority in pollution management to the lowest
possible level connected to the physical scale of the pollution problem while the central
governments retain rights to instruct the lower-level governments when necessary. This will
contribute to justifying and accepting higher-level national issues such as national equity.
Decision to decentralise pollution management should be made in the light of the spatial
distribution of the problem, the nature and seriousness of the pollution problem, and the actual
strength and weaknesses of public and private sector organisations at different levels. This is
because it is not possible to define in general what is an “optimal” level and form of
decentralisation, since that depends on the specific institutional structure of the environmental
sector. However, pollution problems that transcend local boundaries need to be addressed from a
national perspective.
2.5.4 Sustianable development
Taking a clue from scetion 2.4, source of environmental crisis in developing countries are
reflected in the institutional and disciplinary conceptualisation. The potential socurces of
possible solutions and areas were tools should be used to deal with the environmental crisis
include the following:
 Production processes employed should adopt eco-efficiency approaches and new
technologies that will add value to products and minimise resource and energy use.
Community should adopt approach that cares for the environment in undertaking
development activities.
 Use bio-centric approach to tackle pollution problems caused by human being activities
that do not have respect for nature. That is making human being respect nature and treat
with care.
 Actors should link economic growth with environmental protection so that the quality of
present and future life is balanced. With requirement of clean, equitable economic growth
being the single greatest difficulty within the scope of sustainable development for
business and industry, growth is through the development of strategies to maximise value
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
added while minimising resource and energy use. Promote this through the
implementation of the principle of eco-efficiency and new technologies.
Define different social hierarchy to deal with specific and different environmental
pollution and vertical and horizontal hierarchy clearly with responsibilities assigned. This
would help solve environmental crisis that arise as result of the co-evolution of humanity
and nature.
It is not possible to maintain a preferred state of the environment without degrading it in an
attempt to develop since human preferences, for different environmental conditions, act as
constraints on the quantity and quality of capital stock long before ecological integrity becomes
an issue at all levels as well as spatial scales. Hence, any use of renewable and non-renewable
capital will no matter how well substituted may create changes in the ecosystem structure,
function, and/or composition regardless of how well the natural capital is harvested or waste
emitted.
Natural and human-made capitals are fundamental complements. However, substituting one
natural capital for another and one human-made capita for another is possible. Any observed
substitutability between the two forms of capital is nothing more than implicit substitutability,
which diminishes as efficiency in human activities increases. In view of the complementarity,
achieving sustainability requires the following four main precepts to maintain intact the functions
of the natural capital.
 Maintain the ecosphere source function intact and sustain the rate of national capital
entering the production process by first ensuring that there is deliberate use
of
renewable natural capital to substitute for the depletion of non-renewable natural capital.
So that all the capital used is less than the regenerative capacity of the renewable natural
capital. Second, ensure that if the total stock of natural capital is greater than the natural
regenerative capacity of the renewable natural capital, part of the usable non-renewable
capital is used at a rate equal to regeneration of suitable renewable natural capital
substitute.
 Maintain the sink function of the ecosphere by ensuring the quantity and qualitative
nature of human-made capital in the form of waste does not exceed
the waste
assimilative capacity of the ecosphere. This requires substituting unsustainable humanmade capital with more sustainable human-made capital.
 Humankind should preserve and /or restore the ecosphere’s rich biodiversity in order to
limit any irreversible damage it might inflict on the ecosphere instrumental function.
Both extraction of resources and insertion of resources to the ecosphere must be limited
to a rate that avoids humankind need to exploit the ecosystem.
Two different values and principles for natural capital that can be substituted and those that
cannot should be defined. Strong sustainability approach should used for environmental
functions provided by natural capital that are not or most likely not substitutable whilst weak
sustainability approach is applied for natural capital that require major human management
inputs. In using a strong sustainability, apply non-negotiable well-defined norms, values and
standards while for weak sustainability market-based tools and economic tools are applied.
67
Even though whose needs should be satisfied and when should it be satisfied is not clearly stated
in the WCED report, priority should be given to the poor. To tackle the problem of satisfying the
needs of the poor and at the same time satisfy the aspiration for better life of all humankind,
more emphasis should be out on conserving natural resources for future instead of ensuring
adequate living conditions for those living in poverty today. This may be practically difficult
because there is nothing to prevent the present generation from trading off the well-being of
future generations for improvement of its own. The fact that there is an inbuilt lack of
consideration for the rights of future generations present decision making processes and present
development requires trading of some natural resources for human well being.
There is little basis for the maintenance of a constant ecological capital stock. Since from a nonequilibrium thermodynamic point, the term sustainability refers to the ability of a given system
to maintain its self-organizing ability. This suggests that natural capital stock of a system can
change through time, with no treat to sustainability since human activities do not compromise the
self-organising ability of the biosphere. That is for natural capital to be sustainable, human
exploitation of the environment should not exceed the capacity of ecosystem to provide these
services. A constant natural capital stock only has relevance for human development if
incorporated with human preferences for different ecosystem states. However, the assessment of
different environmental conditions in terms of the environment’s potential contribution to human
well being, should based on preferences, which are formed within the context of ecological,
social and economic approaches to sustainable development. As noted by Pearce (1988), “it is
conceivable though unlikely that society can persist and even advance while operating outside
these limits.”
A sustsinable approch to pollution management should consist of four subsystems. The four
subsystesm of sustainable development (ecological, economic, socio/cultural and institutional)
should be integrated by defining cretiria for each dimension based upon the final goals for the
four dimensions of sustaianble development. This should also require taking into account the
insitutional structures, socio-cultural activities and economic activity is the source of pollution
problems.
Finally, a sustainable development approach to pollution management requires the utilisation/
balancing of information that produce opportunities and create problems to produce change in
production processes and structural change, which are the basic consideration in social,
economic and political evolution related to environmental management strategies.
Today, we are at a crossroad where the interface between science and society is tested again to
find lasting solution to pollution. In trying to this, there is the need to combine the insights of the
various theories, concepts and approaches used in dealing environmental crises. A new way of
scientific thinking to is required. History of science however, shows that new ways of scientific
thinking are related to the development of new paradigms. The building blocks presented in this
section introduce a new version of scientific thinking in the pollution management debate. As a
new version, I do expect the building blocks to explain all possible questions related to pollution
management but provide a ground for criticism from my colleagues.
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3. POLLUTION PROBLEM EXPLANATION AND ANAYLSIS
Section 3.1 Problem-in-Context Framework
This section deals with tools for environmental problem analysis. I emphasise the use of PIC
since it puts the interaction between people and environment in their right contact. I review the
Action-in-context framework. These frameworks identify actors behind activities that cause
pollution, the reason why the actors carry out the activities and actors who influence these
reasons.
Section 3.2 Function of the environment
In this section, I discuss the various environmental functions in terms of various economic and
non-economic values for society. The values are related to how human activities cause a negative
change in environmental functions thereby resulting in pollution.
Section 3.3 Environmental Impact Assessments
This section review EIA as a methodological framework. Emphasis is given on the relevance of
environmental impacts assessment in developing countries. Example of how EIA is applied in
Ghana is presented.
Section 3.4. Life Cycle Assessment
In this section, I review the life cycle assessment framework, a tool that could be used to support
decision regarding policies and development projects. It is an essential tool for environmental
sound design of products. Experiences from the application of LCA in developing countries are
also reviewed and lessons learnt to improve it use in my framework.
Section 3.5 Economic assessment tools
Cost Benefit Analysis is one of the tools used in the assessment of impact of proposed
interventions. This section presents a discussion of the application of the tool in developing
countries. Contingent valuation is based on the principle people are willing to pay some amount
money towards the restoration of the environment if the hold certain ethical norms and values
about the environment. At the, I draw conclusions to serve as a springboard for the use of CBA
and CVM in my framework.
Section 3.6 Special circumstances in developing countries
In this section, I present special circumstances in developing countries that make actors act the
way they do. Here I identify corruption, institutional and physical infrastructure constraints,
human resource constraints, financial resources constraints, socio-cultural resources constraints
and mismatch between sectors as the main causes of actors’ behaviour in developing countries.
Section 3.7 Synthesis: Backbone for pollution problem analysis and explanation
In the last section, I present the backbone for pollution problem analysis and explanation. The
backbone takes its conceptual basis from conclusions from the previous chapter and insight
gained from the previous sections in this chapter.
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3.1 Problem-in-Context framework
3.1.1 Problem-in-context summarised
The Problem-in-Context model aims at establishing a linkage between social and ecological
reality of environmental problems (De Groot, 1992, de Groot, 1998). PIC is based on the
understanding that there is an environmental problem when there is a negative discrepancy
between the norms or standards of desirable qualities and the reality and actual qualities of the
environment. Human beings set standards and norms and they vary between people and in time.
This means a particular situation can be perceived, as being a problem but not so by another. For
instance, a water body can be perceived as polluted by some people if there is a negative
discrepancy between their water quality standards or norms and the desirable qualities. On the
other hand, another group of people will not consider the water body polluted because there is no
discrepancy between their standards or norms and the desired quality.
Negative discrepancies are presented in four different levels. i.e. do human activities affect
environmental capacity?, are the environmental effect acceptable?, are the impacts on
environmental functions within acceptable limits? and are the impact on the final variables
acceptable?. These four different levels of negative discrepancy are presented in figure 3.1
Chain of Environmental affects
Chain of environmental norms
Impact on final values for
human well-being
Desired norms of final values
for human well-being
Observed impacts on the
quality of environmental
functions
Desired norms and standards
for quality if environmental
functions
Concrete effects and outputs
Acceptable changes of the
environment
Human causing activities
Environmental capacity
ACTOR
ECOSYSTEM
Figure 3.1. Problem analyses with Problem-in-Context Framework (Adapted from de Groot, 1992)
70
PiC is a guide to the process of defining and explaining environmental problems for the
identification of appropriate solutions. The analytical processes employed in dealing with
environmental problems is based on the causal chains. If systems are encountered along the
research, it is taken up ass part of an ongoing causal chain. This process can start from any point
or event of the chain as long as it seems important and relevant. In this process elements are
identified during the research process. This is so because while systemic approach considers
boundaries and the quantification of elements and relations, causal chains are like stories (De
Groot, 1998) and studying these causal chains can be done through ‘progressive
contextualisation’ in normative social and biophysical context (Vayda, 1983). The relation
between the three ways progressive contextualisation and environmental problem analysis is
shown in figure 3.2.
Normative contextualisation
Determining actor’s norms and how the normative observer values his final values and norms are
the main issues here. These activities caused by social actions, identify the actors behind the
activities and how they are connected. Normative contextualisation is used to determine, for
instance, why should actors undertake certain activities even though they know it will produce
negative impact and how do human and nature relate to each other.
Normative contextualisation requires an outsider to take an independent position to represent
values and norms that of universal, regional or local concern. It refers to the role external
agencies play in participatory processes to make actors take informed decisions, rather than
seeing them to be controlled and motivated (Pimbert and Pretty, 1997). It is necessary that
normative contextualisation ensure representation of future generations, the intrinsic value of
biodiversity, affected actors and marginalized actors (Kessler, 1999)
Ecological contextualisation
Ecological contextualisation is used to understand why the elements within the environment
react they way they do and identify the cause-effect chain between the different elements in the
environment. Here models are used to determine the environmental capacity and the
fundamental processes in the environment that are connected to the environmental capacity.
Social Contextualistion
The involve understanding why people undertake activities that cause environmental problems.
The structures of the relevant parts are first the activity, the actor field and the Culture,
environment, socio-economic background of actors shown in figure 3.2. Social contextualisation
involves actors who are defined as social entities with a significant decision capacity regarding
activities. The actors make choices on the basis of the alternatives for actions (options) and the
pros and cons of the actions (motivation). Due to the importance of social actions in explaining
the causes of pollution problems, I would like to illustrate the social contextualisation following
the action-.in-context principle below.
71
Normative contextualisation
Pollution problem analysis
Social contextualisation
Ecological contextualisation
Activity
Environmental capacity
Actor field
Options
Ecological basis
Motivation
Culture, environment, socioeconomic background of actors
Figure 3.2 Problem explanations with Problem-in-Context Framework (Adapted from de Groot, 1992)
The Action –in-Context Schema
The basic idea of Action-in-Context schema is to identify the decision-making social actors
directly behind activities that cause environmental problems, the range of options available to the
actors and the motivations attached to these options and to identify other actors these options and
motivations.
The framework tries to find ways in which actors define and deal with environmental problems
such their attitude towards the environment and environmental policy making as well as question
why actors cause environmental problems. Currently, our understanding of the social causes of
environmental problems is less advanced and it is important that social causes of environmental
problems receive more attention in the future.
The AiC is based on two main methodological principles (De Groot, 1992, 1998)
 Actor models where options of actors are known, the pros and cons of the actions are
known and we put ourselves in the place of the actor and think from the actors’
72

perspective. This can be done by using a model of moral domain (de Groot, 1992) and
rational choice theory (Eliis, 1993)
Using progressive contextualisation to search for all relevant actors (secondary and
tertiary actors) behind the primary actors that cause environmental problems. The actors
can then be analysed based on first the identification of the actors field which is
horizontal and a deeper analysis which is vertical. The structure of how the actors are
connected is referred to as the actor field, which is the main source of potential actors for
design of solutions. Details about this is presented in chapter 4.
3.1.2 Applying the Problem-in-Context Framework
First an environmental problem is defined and actor field through progressive contextualisation
is built to help identify the factors and associated actors that lead to the problem. In building of
an actor field there is no need to consider the whole system, with their elements, instead, it is
necessary to understand the key elements of biophysical context (such as) and social context.
PiC emphasises the social relations within which resource users are embedded and the effect of
the social relations on their actions. Resource users make choices on the basis of the available
options and the motivations for these options, which are normally co-determined by other actors.
What is central is, for each actor, insight is generated in the current and alternative options and
motivations for certain behaviour.
In applying PiC, participation of actors, victims and normative observers 1 as participants and
partners rather than been subjects and beneficiaries is essential. This will give multiple
perspectives of the actors involved. This is because the validity of the outcome and its relevance
for concrete decision-making depends on the quality of participation during the process.
Applying PiC is about defining values and norms for environmental function. Unfortunately,
norms, standards, values are often used to relate the way people value environmental
sustainability and human development. The classification of these terms is outside the scope of
this study. However, what I would like to point out is, environmental values vary by locality and
actor. For example in an area the protection of aquatic life against pollution is a key
environmental values. For other in or outside the area clean air may be a major value. So norms
should be determined when applying PiC. In figure 3.4, I use PiC to explain an analysis of
water pollution problems in Tema, Ghana.
Understanding values and associated norms for different localities and actors as part of applying
PiC, and understand how these relate to certain environmental and development context. (I don’t
follow the above line). Analysis of features and characteristics of localities and actors could help
understand perspectives of actors. Key to this analysis understands the functions the
environment provides which contribute to human life (see section 3.2).
73
Results of analysis by comparing impacts on the quality of environmental functions with desired norms and standards for quality if
environmental functions
Problem
Water pollution in Tema
Causing
Activity
Dischagre if un treated industrial waste into water bodies in Tema
Industries
Water&Sewerage
Company
Primary actors
Options
And
Motivations
Options
1.Do nothing
2. Comply with
law
and
regulation
3. Move to an
industrial or
appropriate zone
Underlying
factors
Weak regulation and
enforcement
Secondary
actors
Options
and
Motivations
Water
Sewerage
Company
Tertiary
Actors
Education
institution
s
No standards and
presence of complications
Options
Continue doing the
same
Shift in attitude ans
strategy for pollution
control
Motivations
Weaknesses of adm
Env. Not a priority
Financial assistance
Capacity-biulding
1. Construct already
design treatment pland
2. Design a new plant
Motivation
Adopt the simplest
way
The best economic
option
The duality of rules to
follow
The authorities attitude
Autonomy
Water body
classification
Pressure groups
No pressure from
public and media
Pressure groups
Options
Do nothing
Do something
Motivations
Other things to do
No time
Personal problems
Environmental awareness
Poor training
Co-operation
agencies
Options
Community
leaders
Local
Authorities
Options
Industries pay to
clean up wastewater
Industries obliged to
treat wastewater
Motivations
Technical point of
view
Autonomy
Duration of contract
Poor education
Motivation
1. No pressure no deadline
2. lack of knowledge on
environmental issues
awareness
3.inadequate coordination
4. weak public
administration
5. Pressure from public an d
media
6. Growth attractiveness
7. Desire to improve working
conditions
Limited information tools
NGOs
National
govt.
Figure 3.4 PiC used to analyse and explain water pollution problems in Tema
74
No environmental
education programmes
Environmen
tal agency
Options
Continue with
policy
Shift in policy
Motivations
Other things to do
Lack of finance
Capacity building
Cooperation
Environmental
awareness
Few waste disposal
sites
Ministry of
env.
In conclusion, present application of PiC is based on the use of qualitative methods to construct
interrelationship between the biophysical and social systems through progressive
contextualisation to identify underlying contextual factors, associated actors and the events and
factors that determine the motivation and options of actors in relation to an environmental
problem. The focus is on linkages between events and systems and not on individual analyses of
biophysical and socio-economic systems. I must say however that, even though PiC is able to
clarify conceptual confusion associated with conflicts rising from environment problems and
proposed interventions, it does not focus on opportunities, new initiatives and break-through
issues associated with process of progressive contextualisation.
1
actors and victims are considered insiders, with more or less direction relations and dependency to the problem even though
they can vary. For instance, primary actors are victims and may be fully responsible for their actions or may be strongly
influenced by other actors who in most cases are beneficiaries. Normative observer is often an outsider who aims to take an
independent position and represent more or less general values and norms.
3.2 Functions of the environment
The environment is considered a set of natural resources and material products. The
environment also includes ecological processes and non-material values such as aesthetic and
cultural values. The environment can be defined as the life support system:” the ecological
system that sustains the productive, adaptive and regeneration capacities of the land, water and
the entire biosphere” (IUCN, 1991). Ecosystem refers to a specific set of species and populations
in a spatially defined area, the interactions between them and with the ecological condition.
Human society is part of the ecosystem because of the close interrelation and interdependency
between it and the ecosystem (see figure 3.2.)
Human Society
Ecosystem
Negative Impacts e.g. pollution
Socio-cultural relations
Positive Impacts e.g.
Economic relations
Institutions
Flux of environmental function
Natural processes
Product and services
Stability & resilience
Natural hazards and risks
Figure 3.5: Interrelation and interdependency between human society and the ecosystem (Adapted from
SEAN)
Defining environmental functions demonstrates the multiple interactions between ecosystems
and human society. Environmental functions can be defined as the different ways in which the
environment contributes to human life. Different classifications of environmental function exist,
however, in the context of this research I opt for the classification of De Groot, 1992, which
identifies the following two levels of environmental functions:
75


The first level includes the provision of production function, carrier function and
enrichment function 1.
The second level includes regulation and processing functions that maintain the capacity
of the environment to provide products.
Environmental functions are economic goods if they correspond to human needs and desires.
They can be mutually exclusive or competitive. For instance, space taken for solid waste disposal
reduces space for nature.
In spite of the different functions provided by the environment, there is the difficulty for society
to think about this. What society considers as environmental function are environmental
functions that have direct economic value whilst environmental functions with indirect economic
value (habit, regulation processes and signification) are neglected. For instance (can you
complete this, please?)
Environmental functions have quality and the change in the quality results from human
interventions (e.g. dumping of waste material), natural processes or both. There exist a
relationship between the ecological regulation and processing function and human intervention.
High human interventions causes’ degradation (pollution, depletion disruption) reduces
ecological regulation and processing function of ecosystems. The acceptable level of human
pressure required for environmental functions is related to the stability and diversity of the
ecosystems.
Use concepts such as stability and diversity of ecosystems, carrying capacity and adopting an
ecosystem approach to analyse the sustainability of functions provided by the environment are
3.2.1 Stability of Ecosystems
Ecosystems are characterised by dynamic equilibria in terms of energy transfer cycles of
resources with no goal for conservation of species but concern with production, transformation
and transportation of energy and materials. (Schultze and Mooney, 1994).
Stability and diversity are two variables used to assess whether changes in ecosystems are
positive or negative because they have a broad and general relevance for components of systems
in variable situations and aggregate parameters of the ecosystem. Stability is defined as the
capacity to maintain a certain level of average productivity as well as the capacity to buffer and
regulate disturbances and variation of determining conditions. Based on Hollings (1986) study
on adaptation of ecosystems to gradually changing conditions through a cycle of adaptive
renewals. The adaptive cycle has four phases, which have exploitation phase, conservation
phase, destruction phase and reorganisation phase. The first two takes place relatively long and
the latter two phases proceeds rapidly. The adaptive cycle is the self-regulatory to remain within
one stability domain. Stability includes the concept of resistance and resilience:
 Resistance is the capacity of the ecosystem to buffer internal fluctuations (even though
normal cannot be predicted) against the determining factors of the surrounding
environment. As a result, the production function of the ecosystem fluctuates within
limits around an average value. There is variation in the average value because there
76

are always fluctuations and gradual change in the stability of ecosystems. Resistance
can be measures by the coefficient of variation in production function (Conway, 1994)
Resilience is the long-term adaptive property of the system to withstand external
perturbations without changing its basic structure or behaviour (Holling et al., 1995).
Resilience is the size of the stability domain, or area of attraction, around a state, which
correspond the maximum perturbation that can be taken without causing a change to
the stability of another ecosystem (Scheffer et al., 2001). Resilience refer to major
disturbances that are unexpected, that occur gradually or because of cumulative effect
of minor pressures. The long-term capacity of ecosystem to stay the same by adapting
to external change through the adaptive cycle is critical for sustainability.
The
maximum ecological limits required for ecosystems to be resilient are difficult to
predict (Gunderson el al., 1995), making degradation, regeneration and pollution
processes being based on professional judgements. For example, if the new ecosystem
is characterised with low productivity it is referred to as either degraded or polluted.
However, if the productivity of the ecosystem improves, it is referred to as being
regenerated.
3.2.2 Diversity of Ecosystems
Biological diversity (biodiversity) refers to the variety and variability among the worlds living
organisms and ecological complexes (UNEP, 1994). Functional diversity refers to the existence
of a variety of regulation processes such as purification and decomposition that enable the
system to fix, process and recycle energy and matter and to adapt to changes circumstances.
Natural biodiversity can be characterised by the diversity of environmental functions.
Biodiversity related to stability of ecosystem because it contributes to develop resilience. The
basis for this development is the evolutionary processes, which require a either long time periods
with relatively favourable biophysical conditions or a large size with variation in connection
between sub-units and space. Spatial variation in environmental conditions enhances biodiversity
especially under unfavourable and highly dynamic conditions. Thus, high biodiversity occur
under situations where ecosystem stability is resilient because of the connection between subunits in the ecosystem. It can be argued that spatial variability is the cause of variation in
biodiversity in ecosystems.
Biodiversity is a prerequisite for ecological regulation and processing function to be executed.
These functions which are mainly mechanisms by which ecosystem regulate take place operate
through biophysical processes with certain diversity of species (.e.g. the chain of biological
species involves in decomposition and purification processes). Maintenance of biodiversity for
effective performance of ecological regulation and processing function require an ecosystem
with sufficient buffer zones, ecological networks and protected areas. However, in most cases,
ecosystems can loose it diversity but still maintain their characteristics function and stability
(Gunderson et al., 1995). Determining the number and type of species in an ecosystem is the
best way to know now diverse the biophysical resources and functions are. There problem in
most cases is the various functions of animal and plants species in an ecosystem are often not
known to be able to determine whether there has been a decrease or increase in species.
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As discussed above, diversity and stability are two variables that influence the function of
environment. Ecosystems functions strongly contribute to economic key values. For instance
diversity particularly is required in terms of options to address unexpected pollution problems
such as climate change. The desire to define limits in the use of natural resources and also
assessing the function of the environment has resulted in the emergence of the concepts of
environmental utilisation space and carry capacity which are related (Stankey et al, 1999).
3.2.3 Carrying Capacity
De Groot (1992) defines carrying capacity as: “ the allowable intensity of an activity (either
adding things-e.g. pollutants-or taking away things-e.g nutrients) derived from norms in terms of
human well-being and values of nature, and co-determined by human inputs and natural
properties of the environment.” This definition calls for norms of desirable qualities of human
well-being and environmental functions, based on the interrelation between the defined desired
norms.
The concept of carry capacity is difficult to operationalised both in developed and developing
countries. Kesseler (1994) try to use the concept in integrated land-use in the Sahel Region by
defining the maximum level of exploitation of renewable resource by imposing limits on a
specific type of land-use, which can be sustained without causing irreversible land degradation
within a given area.
Based on the above understanding, Identify two main levels of carrying capacity;
 Production capacity level: At this level, environmental production functions provide
sustained yield levels of limiting primary production inputs such as nutrient and water
 Human resource use capacity level:
Carrying capacity is normally applied to define limits in the use of natural resources to avoid
environmental problems. An example of carrying capacity of a lake in term of pollution is the
amount of pollutants that the lake can contain such that t its diverse biological species is
maintained.
3.2.4 Environmental Utilization Space
The concept of environmental utilization space (eco-space) originated in the Netherlands, and is
defined as the provision of product and services by the environment, depending upon the
interaction in the ecosystem, without impact upon the capacity of the ecosystem to provide such
goods and services, or causing irreversible changes (NAR, 1993).
Eco-space is based on the notion that society must act in accordance with the potential room for
use of the environment and there is no question of trade off with social goals. The concept is
derived from resource economics (Klassen and Opschoor, 1991) and requires information on the
absorption capacity of the environment. This presupposes that there are well-defined limits to the
scale of reserves of natural resources within which properties and functions of the environment
can e used in terms of it carry capacity.
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The main idea behind the ecospace concept is that ‘ the biosphere ‘ provides finite base stocks of
natural resources and the capacity to absorb pollutants and environmental degradation. Ecospace
defines human timeframe by the pattern and level of economic activity, which ensures that the
resulting environmental burden could be ecologically assimilated. This guarantees against the
future functioning of ecosystems by regeneration and absorption capacities against over
exploitation.
The ecospace concept aims to avoid a reduction of available environmental services and products
by quantifying available resources to assess regenerative capacities and thresholds in ecological
processes based on the acceptable levels of pollution.
Ecospace is concern with environmental quality and environmental compliance with respect to
diversity, integrity and amenity (NSCGP, 1995) with the underlying premise that scientific
consensus should be achieved and used as the basis to set limits for political and administrative
activities. Thus, scientific limits determine the constraints and the trade off mechanism of the
economic systems, which operate within the limits but are unable to influence the scientific
limits imposed.
Two main problems are associated with the operationalisation of ecospace especially in
developing countries (NSCGP, 1995). They are:
 difficult to determine the scientifically proven limits to resource use because human
knowledge is not able to predict human behaviour. This is because human knowledge is
dynamic and ends up with human demand on society. What is normally done is to focus
on the safe minimum standards that take into consideration the state of current scientific
knowledge, uncertainties, and risk associated with the use of environmental functions due
to the complexity of the environment. In most cases, the parameters or indicators used do
not cover all aspects of sustainable development and are often unclear and difficult to
measure
 many uncertainties in the information required to apply the concept. This is due to lack of
precise knowledge about human intervention and subsequent effect on the environment.
Little understanding of the dynamics of the ecosystem and science per se provides partial
insight. The size of the impact, precise position of the impact and predicting the form of
interference causing the impact with less uncertainty is a problem. What is possible is to
predict within reasonable limits the consequence for the quality of the environment of
some human activities by cause-effect relationship.
3.2.5 Ecosystem approach
The ecosystem approach can be one means to assessing the functions of the environment and is
concern with the preserving the intrinsic natural conditions of the ecosystem. Ecosystem
approach involves a holistic and ecological view of the environment and recognizing that all
human activities take place within and outside the ecosystem.
One main condition for ecosystem approach to contribute to sustainability is the maintenance of
ecosystem health, which can be used to define pollution problems and explore solutions while
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taking into account the spatial and temporal limits of the ecosystem and the structures and
dynamic processes among elements of the ecosystem.
The desired outcomes of ecosystem approach are concern with ecosystems, ecological processes
and the combinations of uses that will benefits actors. (11th Dec, 2004)
3.3 Environmental assessment methods
In this section I discuss environmental impact (EIA) of projects, and strategic environmental
assessment of policies, plans and programmes. Special attention is given to the relevance and
current use of the methods currently applied in developing countries.
3.3.1 Environmental Impact Assessment (EIA)
EIA is a tool used to aid and improve decision-making process with the main objective to
determine the potential environmental, social and health effects of a proposed development
project in a way that permits rational decision-making.
Currently there are several definitions of EIA but none is universally accepted. In this research I
adopt Sadler’s (1996) definition, which states that EIA is “a process of identifying, predicting,
evaluating and mitigating the biophysical, social and other relevant effects of proposed projects
and physical activities prior to major decisions and commitments are made”. EIA is
characterized by a comparative evaluation of all reasonable alternatives of activities, which will
achieve the intended development objectives through the integration of environmental, social,
health and economic impacts in order to provide an environmental sound decision about
activities. Public participation is a very important element in carrying out EIA.
Although there are many regulations for the preparation of an EIA, the following are generally
the main methodological phases.
Project selection and impact significance - EIA is concerned primarily with significant
environmental impact. Significant impacts of projects are identified and selected by analysing
and examining all possible impacts of the project with actors concerned. Three main classes of
identification techniques are checklists, matrices and networks (Devuyst 1998) A checklist is
one-dimensional way of thinking about the possible range of impacts as well as the interactions
between the effects. Matrices on the other hand employ two-dimensional tables to relate
development actions and environmental impacts to each other, in order to ascertain whether an
impact is likely. The focus here is the direct relationship between the impact causing factor and
the target environmental component. Networks aim to trace causal interactions in order to deal
with complex (indirect multiple) impacts, which can arise from an initial impact. This is by
linking causes and effects along the effect chain. Working, as does the Problem-in-Context
framework (De Groot, 1998) putsit, from an activity primary effect to its final impact on
variables such as human health, well-being and biodiversity.
Impact measurement, prediction and assessment -There are different ways of measuring and
predicting environmental impact and, no matter what model is adopted, characteristics such as
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spatial and time dimensions, reversibility and surprises need to be considered. Issues such as
social distribution of the environmental impact and the mixture of the effect are crucial at this
phase. Prediction of impacts is based on professional judgment and the choice of environmental
impact assessment techniques depend on the circumstances.
Alternative and mitigation measures – Here alternatives to the proposed project are considered in
terms of no-action alternative, environmentally friendly alternative and location alternatives with
the view to finding the most appropriate alternative to the project. An important task here is the
evaluation of the magnitude and significance of the impacts. It is through an appropriate choice
of significant criteria that sustainable development objectives can be achieved (Georg, 1999).
Use can be made of institutional, public and technical criteria with different interpretation
depending on the situation (Canter, 1996).
Environmental Impact Statement - is prepared to ensure that planning and decision-making
processes are based on the fundamental inputs necessary to carry out an EIS. Three main
elements need to be present in all EIS (Lee and Colley, 1992). First is the description of the
development project and actual state of the environment. Second is a discussion of the
environmental impacts of the project and presentation of possible alternatives to the project and
analysis of the impacts of the alternatives, and third, possible impact mitigation measures and
monitoring plans.
All projects have a planning process in which EIA can be integrated. Given its sensitivity to
social, economic as well as environmental impacts of projects, EIA helps compensate for
shortcomings in the project planning process and helps strengthen decision-making and
communication mechanisms within projects paving the way for introducing innovations. An EIA
may reveal sound environmental, social, or economic reasons for shifting a project’s direction. In
view of the non-primacy often accorded the environment in the opinions and aspirations of
project development actors, the EIA process may also function as a project control mechanism.
However, one should expect EIA to correct all the weaknesses of a flawed planning process.
A major back draw of EIA is its focus on individual projects and activities and not at the policy,
plan and programme level as well across projects, making the combined effect of a number of
projects in a specific area not clear. Other shortcomings associated with EIA are its lack of
transparency of the process and public participation. Whatever the problem is EIA is applied at a
late stage of project cycles, when a lot of preparatory work and decisions regarding pollution has
been finalized making it of little use in preventing pollution problems at strategic decision levels.
This has made EIA not able to address cumulative pollution impact associated with a project and
at the same time usually fails to assess possible alternatives to the proposed project (Goodland
and Tilman, 1995).
3.3.2 Strategic Environmental Assessment (SEA)
Strategic environmental assessment emerged in the 1990s as a term for tools which aim to
integrate environmental considerations into proposed policies, plans and programmes. However
policies, plans and programmes are terms that have a wide variety of meanings depending on the
political and institutional context they are used. In the context of this study, I refer to policies as
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broad statements of intent that reflect and focus the political agenda of governments and initiate
a decision cycle which are reflected in plans and programmes (Sadler and Verheem, 1996).
SEA evolved due to two main reasons. First, is because of the following three causes (Partidario
1999):
 The timing of decisions - particularly at policy and planning levels as a cascade of small
incremental decisions that happen in the absence of a systematic impact assessment
approach, in a way that subsequently influence environmental decisions
 The nature of decisions - the less concrete and more vague nature of policy and planning
decisions are significant constraint to the operation of project-oriented tools like EIA
 The level of information - it is realized that project level EIA requires the level of
information and uncertainty that do not exist and could not be provided to the same
extent at policy and planning level
The second reason for the evolution of SEA is its assumed capacity to promote sound and
environmentally sensitive and integrated policies and plans, in line with sustainable development
principles and practices, thereby enabling a better context for the consideration of cumulative
effects. SEA is also considered to have the capacity to influence the environmental and
sustainability nature of strategic decisions and to provide sound, integrated and sustainable
policy and planning tools to assist the project development process.
Currently, there is no internationally agreed definition of SEA, but the interpretation offered by
Sadler and Verheem (1996) is widely quoted. ‘SEA as a systematic process for evaluating the
environmental consequences of proposed policy, plans and programmes initiatives to ensure the
environmental consequences are fully included and appropriately addressed at the earliest
appropriate stage of the decision making, on a par with economic and social considerations’.
SEA is often presented as an assessment tool that helps to focus on maintaining the “source and
sink” functions of natural systems (Sadler, 1999; Sadler and Verheem, 1996). However, this
potential of SEA has not fully been realized because the way to make SEA simple, adaptable,
and practical is not apparent. This has resulted in SEA to be not yet clearly delineated and
operative in strategic decision-making processes.
Interest and debate about SEA is growing rapidly especially in relation to its nature and scope.
One school holds the opinion that SEA should focus mainly on environmental issues; another
takes the view that it should provide sustainability focus and cover social and economic aspects
as well. I argued that SEA at the policy level requires a different methodological approach to
SEA at the programme and plan level. However, there is broad consensus that there can be no
single ‘blueprint’ approach to SEA and tailored to suit conditions, institutional realities and
political circumstances (Dalal Clayton and Sadler 1998).
Unlike EIA, SEA does not have a uniform procedure and methodology. The that SEA in practice
takes different forms based mostly on impact assessment approaches and result from national
and institutional development of evaluation tools according to particular policymaking needs.
Based a number of SEA reports studied, despite this diversity of forms of these reports, the
following procedural steps are often used no matter the method chosen.
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



Determine the need for and type of SEA, by means of listing objectives and constraints
of the planning process.
Analyze the existing environmental context by identifying alternatives and impacts to be
assessed from different sources and excluding irrelevant information
Specify policy alternatives, identify impact, analyze impact, and identify mitigating
measures through participation of stakeholders.
linking other environmental assessments with SEA to monitor and evaluate impacts and
mitigating measures.
The above steps of SEA do not necessarily have to be a formal administrative procedure, aiming
towards a report as a main product. Instead, SEA focuses on improving decision making, on the
quality of the final policy, plan, or programme. This call for emphasis on how the use SEA may
be able to strengthen project level EIA and at the same time addresses cumulative and large scale
effects by incorporating sustainability considerations into the decision- making process.
I must note that there are some critical constraints associated with the use of SEA. The major one
of these is that in order for SEA to effective, SEA requires securing the political and institutional
will so that decision makers can recognize it and policy makers accept its legitimacy and
acknowledge that SEA has a role to play in addressing environmental problems above project
level. The problem, however, is currently actors prefer to ignore SEA rather than risk sacrificing
the incremental nature of their decision-making process to the technocratic and rationalistic
commitments imposed by the SEA procedures known to date (Clark, 2000).
3.3.3 Use of environmental impact assessment tools in developing countries
There is a feeling that the high expectations of impact assessment tools have obscured the
paucity of objective research on which this faith should be based. Where resources are scarce,
investment lead-times are short and the capacity to make and use impact assessment tools are
low, there are disappointingly few signs that impact assessment tools are being implemented
with any degree of success. Their performance in most developing countries shows how
marginal the impact on real development can be, in spite of substantial financial and human
investment.
Ghana has an Environmental Assessment Regulation of 1999, Legislative Instrument (LI) 1652
which requires major development activities to be subject to environmental impact assessment.
Detail of the EIA process in Ghana and the environmental assessment Regulation of 1999,
Legislative Instrument (LI) 1652 is presented in the appendix. In spite of this requirement, most
development activity in the country activities still causes serious pollution problems. What is
necessary for the EIA process in Ghana to be more effective is improving internal
communication; performance review, institutional re-organization and linking guidelines with
training in improving the effective use of impact assessment tools considered first.
EIA used in developing countries is backed by national legislations and influence by strongly by
development funding agencies however; there is variation in the way EIA is used. For example
in Tanzania, National Parks are developments that emphasis is on EIA (Lee and Norman, 2000).
In sub-Saharan Africa, screening, scoping and assessment tend to be based on the funding
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agencies and international companies. For example, Nigeria EIA has a discretionary provisions
relating to project of donor agencies and international companies for which EIA is required.
Consultants normally carry out assessments. (Lee and Norman, 2000) and the relevant ministry
or authority decides on the environmental acceptability of the project.
Public involvement is a key aspect of EIA in developing countries. EIA system contains formal
provisions for public involvement in the EIA process.
Submission of Project EIA Form
Screening
Inspection
Scoping
EP Declined
EP Issues
EIA
Per Review
Submission of Draft EIS
EIS Revision
Draft EIS Review
Public Hearing
EPA Decision
EIS Finalised
EP Issued
EP Declined
Figure 3.6 Environmental Assessment Process in Ghana (Adopted from GEPA, 1992)
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The concept of strategic environmental assessment has been given increased attention and this is
evident by a constant stream of workshops dedicated to SEA. There is a keen desire amongst
many developing countries to experiment with SEA in their countries. Pressure is also increasing
in donor agencies to ‘export’ SEA to developing countries with the assumption that SEA is an
appropriate approach, which may not be the case. Several adhoc SEA have been carried out as
part of a planning process mainly by development organizations. For example the Asia
Development Bank has use SEA for the Greater Mekong while Ghana strategic environmental
issues are being addressed by the Environmental Protection Agency require the preparation of
management policy, plans and programmes for large scale development activities.
What is required is to re-think this assumption, since EIA and SEA are beset with problems in
developing countries, making SEA not able to alleviate some of the bottlenecks by obviating the
need for EIAs upstream in the policy, plans and programmes and integrating social issues. What
is needed in this respect for developing countries is to take a close look for themselves at the
relevance and potential utilization of SEA. Currently, most EIA procedures in developing
countries only consider traditional environmental aspects such as water, soil, air and noise and do
not include the human environment as well as socio-economic aspects.
Education about impact assessment tools needs to be intensified. Current educational
programmes in impact assessment are often restricted to information dissemination and
communication practices (Didnck and Sinclair, 1997). This need to be extended to include the
process of critical learning through education about impact assessment tools and education
through impact assessment tools. Education about impact assessment tools will help actors to
have information about the proposed impact assessment process before engaging in it. This may
help reduce the problem of impact assessment tools being conducted on a rather ad-hoc basis
with different donors promoting their own individual methodologies, sending confusing signals
to the developing countries concerned (Sadler, 1996). It is important moreover, to take into
account the specific needs and priorities of the developing country, its social and cultural
background, and/or the extent of pollution. A typical method that allows for learning through
impact assessment is workshops because it is participatory, dialogical and encourages group
learning. Workshops and other public participation methods have to be adapted to the legal and
institutional environment by providing information about impact assessment processes.
Identify issues such as the main target groups and the nature and scale of their education. In
addition, the main qualitative and quantitative deficiencies in the existing education programmes
need to be determined and the most effective means of overcoming them established. Clarify the
role of different organizations as well as the role of foreign and local experts in the education
programme so that there is no overlap in responsibilities. For instance, foreign experts may have
an important contribution to make in the initial stages of impact assessment implementation;
however, their role should reduce as local capacities increase.
3.4 Life Cycle Assessment (LCA)
3.4.1 LCA Summarised
The concept of LCA is a relatively recent one, which emerged in response to increased
environmental awareness on the part of the general public, industry and government. The
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immediate precursors of life cycle assessment as a decision-aiding tool were the global
modelling studies and energy audits of the late 1960s and early 1970s (Nierynck, 1998). These
precursors attempted to assess the resource cost and environmental implication of different
patterns of human decisions such as the products they make and consume.
The recognition of incorporating environmental quality aspects in decision making and a shift in
policy from pollution control to source reduction led to LCA being developed into a tool and
used to identify the environmental consequences of products including ways that enhance
products environmental benefits and also provide information on alternative products with less
environmental consequence (Nierynck, 1998). LCA in its original form is a linear environmental
assessment tool following, one by one, the stages of the life cycle of a product, service or
activity.
I adopt the definition provided by Consoli et al (1993) that “LCA is an objective process to
evaluate the environmental burden associated with a product, process or activity by identifying
and quantifying energy and materials used and waste released to the environment and to
implement opportunities to effect environmental improvements. The assessment includes the
entire life cycle of the product, process, or activities, encompassing extraction and processing of
raw materials, manufacturing, transportation and distribution, use/reuse/maintenance, recycling,
and final disposal.” Thus, LCA is used to determine environmental problems such as pollution
of products or activities’ from the cradle to the grave.’ In other words, LCA is an objective
process to evaluate the environmental burdens associated with products or activities by
identifying and quantifying energy and materials used and waste and pollutants released to the
environment. This is then followed by assessment of impacts of these and how opportunities can
be implemented to improve the environmental consequences, e.g. through new product design.
Based on the work of Udo de Haes (1990) three main principles of LCA are identified.



Comparisons of products - Environmental impacts of products are compared either
across product lines or within the product itself if modified. The unit of analysis and
comparison are products, process and activities that are functionally similar; the main
focus is the amount of product needed to perform a specific function.
Entire life cycle approach -This principle takes into account the whole process
involved in product production starting from the acquisition of the raw material,
through the production of the components of the product. It also considers the use of
the product and the processing and disposing of the waste and of the product.
Environmental interventions - Here, all interventions such as the extraction of primary
resources, emission of harmful substances in the environment and aspects of land use
are considered. Quantifying the interventions so that products intended to perform the
same function may be compared with their environmental performance is undertaken.
In addition, a qualitative assessment is used to determine the potential environmental
interventions such as nature of emission, reuse of product, recycling of the product and
the natural degradation that cannot be quantified.
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A broad consensus on the overall structure of LCA appears to be emerging. Console et al. (1993)
and SETAC (1993; 1997), have recommended the following four interrelated components that
should be present in LCA:




Goal definition and scoping -Three main issues are considered in this stage. The first,
is to define the objective and boundaries of the LCA study and the relevance of the
study in terms of the actors involved and how the results of the study will be used.
Second, the functional unit employed is defined in other to avoid unreasonable results
(Heijings and Guinee, 1995). The definition of the functional unit employed is then
used to establish the basis for the selection of alternatives to be investigated. Data
requirement, data quality, assumptions and limitations also assessed.
Life-cycle inventory -This phase involves the identification and quantification of energy
and raw materials required for the whole LCA process (i.e. both input and output of the
LCA process). Thus, inventory of all the environmental interventions of the LCA
process, accurate description of the system to be analysed and proper understanding of
the data and information collected and the interpretation is necessary.
Life-cycle assessment/analysis – This phase involves the translation of the inventory
results into environmental impacts, addressing both ecological and human
considerations. A technical quantitative and/or qualitative process is used to
characterise and assess the effects of the environmental loadings identified in the
inventory component. Depending on the LCA task at hand and the condition available
to characterise and assess the effects of the environment, loadings identified for
instance, in terms of acidification potential, global warming potential or aggregated
toxic potential. The analysis is done in relation to resource depletion, human health
impacts, and ecological impacts.
Life-cycle improvement analysis - This phase involves finding ways to reduce
environmental impacts of the product under study through evaluation by making
improvements in line with sustainable development concepts (CSA, 1994) such as
pollution prevention, reduce energy and resource use and maximisation of the use of
sustainable resource and energy through product development and process
improvement. It also involves a systematic evaluation of the quantitative and
qualitative needs and opportunities to reduce the environmental burden associated with
energy and raw material use and environmental release throughout the life cycle of a
product, for example, by redesigning it with less of more friendly component materials.
A practical application of a simplified LCA of waste paper is demonstrated in figure 3. It looks at
different impact emanating from the generation, collection, processing and disposal of waste
paper.
The application of LCA is often based on comparing product systems in terms of their
environmental effects with that of some real or imaginary ‘standard product system’. By so
doing unspecified products are designed and also existing products are redesigned to produce
less environmental effects like pollution. Considering the design of products, LCA is able to
evaluate a product’s cumulative environmental impact from the extraction of primary materials
up to its final disposal. This serves as the basis for which products with low environmental
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burdens in terms of resource use and pollution are produced. Also, breaking down the life cycle
of products into fine details for analysis, aid in identifying the use of scarce resources, showing
where in the cycle a more sustainable product could be substituted. Thus as pointed out by
Jensen (1995) and Van Weenen (1997), ‘LCA can aid in the design of the environment through
better material management, pollution prevention and product quality improvement.’ LCA can
also be used to provide environmental data for the public and institutions to support claims that
their products are environmentally friendly and environmentally superior to similar products. It
must be noted however that most of this claims made by institutions and firms have been
challenged and debated in the academic field, connected to uncertainties and arbitrary aspects of
LCA methodology.
Office Sector
Household Sector
Commercial Sector
GENERATION
----------------------------------------------------------------------------------------------------------------------------Waste Paper
Economic
Health
Private Collectors
Small Waste Buyers
Reuse
Employment
Atheistic
Public Collector
Health
Wholesaler
Economic
COLLECTION
Gas Emission
Fuel
Transport
Consumption
--------------------------------------------------------------------------------------------------------------------PROCESSING
Paper production
Power
Paper Factory
Gas emission
Water
Chemicals
Wastewater
Solid waste
------------------------------------------------------------------------------------------------------------------------Gas
Reuse Recycle
Unhygienic
Burning
DISPOSAL
Atheistic
Emission
Atheistic
Landfill
Solid Waste
Figure 3.7 An example of a simplified life cycle of waster paper.
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There are some disadvantages associated with the use of LCA which I will group into two broad
categorises. The first category concerns the problems associated with collection of information
and data needed to carry out LCA, which are not always easily available. Even if available, there
is the problem of a standard method to use for measurement to decide which is the ‘cradle’ and
which is the ‘grave’. This has been the point of contention in recent works to have a standard
methodologies so as to set limits to the LCA process. The second category addresses the
problems associated with interpretation of data collected for LCA. In view of the large amount of
data needed to carry out LCA, and if available not easy to measure and quantify. Most LCA
interpretations have been based, some times, on subjective judgement and assumptions. This, in
most situations has made it impossible to prove conclusively, using LCA, that any one product or
process is better in general terms than any other, since many parameters cannot be proven to the
degree necessary to reach such a conclusion.
3.4.2 Basic difference between LCA and EIA
LCA and EIA are two methodological in nature that is able to show how to understand the
environment. Some critical differences between the two tools are characterised in table 6.1 and
are explained hereunder.
EIA starts out from the preposition to initiate a complex, localised activity and considers only the
impacts originating from the location. For instance, the EIA of proposed establishment of a new
shoe factory considers the factories construction, maintenance and operation, the pollution
generated by that factory, and so on.
LCA on the other hand, focuses on the shoes themselves and then considers all the impacts
associated with the shoe. E.g. the raising of the cattle for the leather, the manufacturing of the
shoes, the impacts of paint leakages from disposed shoes etc where ever the location. This makes
LCA in a sense more abstract; since location are not taken into account and since with that
receipt environment such soil, ecosystems are not well known, impacts remain described in more
general terms e.g. toxic potential.
3.4.3 Use of Life Cycle assessment in developing countries
The use of LCA in developing countries has been rare and situation where they have been used
there they are faced with barriers. Some of these barriers are lack of co-operation between
countries and companies in sharing of data on LCA resources and financial constraints on
governments, universities and industries. The support and commitment from government in
developing countries is crucial. In this sense, government should play an active role in promotion
and implementation of LCA and SFA activities and projects so that there is the recognition of
their potential use and benefits.
Due to the wide amount of resources shared throughout the developing countries, there is a basis
for the development of a LCA network and methodology specific to developing countries. The
creation of a multi-partnership infrastructure, which allows for the sharing of information and
expertise about the development of LCA techniques, is required in order to allow for the input of
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many stakeholders into their development on a continuous basis. This may lead to the
consideration of issues such as development, poverty, trade, population and social-economic
conditions so that technological components, political and economic elements may be
assimilated in a holistic view so that LCA and SFA are able to address both the demand and
supply of sustainable products in developing countries.
However, as there are large differences in the environmental characteristics of the countries
within developing countries and the development of LCA models for each nation or sub-region
separately is necessary. However, given that most developing countries do not have resources to
develop their own LCA models, a generic, could be a positive interim step, since without a
coherent impact model, it may be difficult to bring LCA into mainstream decision-making and
establish a greater level of simplicity in explaining LCA results. Sharing information of research
on methodology and applications with the international community would reduce duplication of
efforts and increase the number of research areas covered. A way out may be to set up a
standardized methodology to help countries that are now adopting LCA and SFA. On the
national and regional level, clarify LCA method to avoid the use of conflicting methodologies.
With the international community still struggling with issues related to data collection, data
quality goals for these tools and international trade of goods and services making it worse, very
little public data on products and services are available in developing countries. A way out is to
create a public databank on products and services in developing countries to collect data for
specific materials. In particular, energy systems and raw material data constitute the basic
building blocks for LCA work. This may provide the opportunity for useful data that are not in
the form of an LCA inventory, yet used to develop, adapt or verify other LCA inventories.
LCA application still leaves the selection of important parameters to the individual practitioner.
Continued facilitation of the exchange of opinions, discussion on how to increase LCA
application in the private sector and dissemination of appropriate application methodologies are
needed to increase the level of understanding. The reason is, in developing countries industries
are heavily inter-dependent due to the high volume of import and export of resources, materials,
and products. For instance, the rediscovery of local raw materials and the upgrading of
indigenous processing technologies can provide new opportunities for the use of LCA in
developing countries. As noted by El-Mosley, (1997), “the rediscovery of local raw materials
means imagining, thinking, designing and carrying out research with the objective of developing
new uses of local raw materials”. This provides developing countries with a very strong stimulus
for building or rebuilding their endogenous scientific and technological capabilities within a new
vision of pollution management with principles, ideas and technologies from developed
countries.
3.5 Cost benefit analysis
In this section, I review CBA as tool for analyzing environmental problem. The idea is to present
the key principles and how it is applied in developing countries. I do not mean to present a
comprehensive and empirical encapsulation of CBA in this section.
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3.5.1 CBA reviewed
First, I would like to explain what cost and benefit means since pollution problems are defined in
relation to costs or benefits to individual human preference and satisfaction. Cost includes those
things necessary to implement and maintain a selected alternative, such as investment cost,
opportunity cost and others. Benefits are the total change in direct and indirect income, positive
and negative, brought about by a selected alternative.
Cost benefit analysis (CBA) is based on economic reasoning concerned primarily with efficient
voluntary exchange. It is crucial to understand that economic assessment tools focused on only
the criterion to judge the merits of particular pollution management actions.
CBA is based on the economic or market value of environmental impact. This is then used to rate
pollution management actions and the one with least environmental cost and high environmental
benefit is preferred. The major economic assessment tool around which minor ones evolve is
Cost Benefit Analysis.
CBA is a tool for supporting decisions on large investments. CBA compensates for the
imperfection of markets by translating non-consumptive variables into monetary terms on the
following two system levels, (i) from a private point of view and (ii) from a national point of
view. These two system levels are linked to different perspectives about the way efficiency is
measured. The following are three types of corrections take place in cost-benefit analysis at
national system level:
 Transfer payments in the form of taxes and subsidies, which shift purchasing power but
do not indicate human welfare changes, are left out
 Price distortions, as created by monopolistic and oligopolistic markets, are corrected
 External effect and collective good which are not adequately expressed in market
prices, are included
Among these three, the latter type of correction is of special interest to environmental problem
analysis, because environmental problems such pollution are the external effects of economic
activities, which are not paid for when damaged. The trade-off between cost and benefit is
purported to indicate the most rational and moral choice of activity or policy. Thus, CBA
provides a way to determine the net future benefit of a particular policy expressed in terms of
current economic value and efficiency. CBA is essentially about correcting for market failures to
realize a state of efficiency allocation over society as a whole.
The following are two ways of accounting in CBA:
 Financial accounting involves taking the real paid price of goods and services,
irrespective of how these prices come about, hence including subsidies, taxes, market
distortion etc, but excluding external effects
 Economic accounting aim to take the true economic value of goods and services, hence
excluding taxes and subsides, correcting for monopolistic pricing, etc.
There are system levels in CBA, that could be called decision-making level for example decision
at farm, firm, district, national and global levels. CBA at these levels is guided roughly by the
following rules:
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


All transfers within the system are ignored
Values accruing within the system should be accounted for at the true value
economic values)
Account for prices paid or received at the system boundaries financially.
(i.e.
The latter rule is exempted if the unit of decision-making has incurred moral or legal obligation
to account economically. For example if firms claims to be a green firm, or nations sign treaties
then external environmental impacts should not be accounted for financially (i.e. cost=0) but
economically.
Internal transfer value
External effect value
Boundary value
System
Internal value
Figure 3. 8 System levels in Cost Benefit Analysis
Two perspectives provide ways to adjust CBA to specific pollution problems. Private
perspective of CBA is used in assessing private projects in order to maximize private income and
profitability. Transfers such as direct taxes and taxes, which affect the profitability, are recorded
and the cost of external effects is not taking into account. Efficiency analysis is done by taken
into account domestic market conditions. This is only relevant for separate firms, not for public
decision-making regarding pollution management. Societal perspective, on the other hand, is to
maximize real national income and profitability. In societal perspectives, transfers such taxes and
subsides are not taken into account but the external effects of activities are recorded and
efficiency analysis is done with accounting and shadow market conditions (James, 1994).
For instance carrying out CBA for firms is called private, however for CBA for a higher-level
systems referred to as public. These two perspectives are confusing. For example, a village
wanting to convince a private bank that a village level action should be funded have to prove that
it can pay back the loan. These actions therefore require the use of financial accounting at the
village system boundary and beyond. On the other hand, if the same village wants to convince a
district government that its actions should be subsidized, it must present a CBA at the district
level.
The following are the main features of cost benefit analysis:
 Incremental analysis: CBA is conducted based on incremental analysis, focusing on
differences between the situation with and without the activity or project. That is
economic values that represent incremental changes
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



Time of carrying out CBA: there is a temporal pattern of CBA and the length of the
period for which effects are estimated depends on the nature of the activity whether the
analysis is carried as a short term or long term.
Discounting: This is based on the notion of opportunity cost, which is used to compare
immediate effects in the future and the opportunity cost of the forgone opportunity
Decision criteria: Decisions regarding CBA are done by using monetary expression
such as Net Present Value (NPV), Internal Rate of Return (IRR) and Benefit-Cost
Ratio (BCR). For instance, NPV is calculated as the benefits minus the cost, discounted
and summed up over time.
Assumptions: CBA is based on assumption about the physical size of cost and benefits,
prices and timing and the economic values these parameters use to represent public
willingness to pay for the prevention of pollution problems
It is worth noting that CBA used to address pollution problems do not address equity issues
although it covers all benefits and cost to society since it does not say anything about the
“fairness” of distribution of consequences of human activities. This is because after the
estimation of impacts, values and benefits, the cost and benefits are discounted to deal with
equity. That is to say, the future cost and benefit of activities count less than the present, making
the cost and benefit of activities to future generation not given the necessary attention as today.
This contradicts the intergenerational aspect of sustainability making CBA to work against
sustainability
In relation to the Net Present Value method, two main problems are identified in relation to the
use of CBA to address sustainability of projects. First is the failure to include environmental
externalities in the analysis. For years, externalities caused by carrying out a project were not
taken into account in CBA simply because environment and natural resources were considered
free public goods and impacts on public goods were very difficult or impossible to value. The
reason is when goods are traded in markets; buyers and sellers reveal their preferences directly
through their actions. In the case of externalities, preference revelation is not directly possible
since they are classified as intangible and no methodology was developed to overcome the
problem their valuation for project analysis. The issue that provokes externalities is the lack of
well-defined market for public goods making it impossible to set up markets for them to
encourage trade and achieve efficiency in which the externalities would disappear.
Another fundamental problem with CBA is taking into account, intra and intergenerational
equity. Real world economics are composed of many households where some gain while others
lose from the implementation of a project. This is equity in the present and equity between
various categories of people. In a situation of a significant environmental effect, the poor often
bear the cost and the rich enjoy the benefits (Angelsen and Sumaila, 1997, Brent, 1998).). This
judgement may be also extended to the future generation since intra, intergenerational equity is a
public good, and markets usually fail to provide the optimal amount of it (Johannsson, 1993).
This means both of these considerations should be addressed in order to decide about a project’s
feasibility.
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3.5.2 Contingent valuation
The contingent valuation method (CVM) is used to estimate economic values for all kinds of
ecosystem and environmental services. The method has great flexibility, allowing valuation of
both use and non-use values, a wider variety of non-market goods and services than it is possible
with any other non-market valuation technique. The most appealing aspect of the contingent
valuation method is that it allows us to estimate total value rather than components of that total
value (Frykblom, 1997).
CVM involves directly asking people to state their willingness to pay, contingent on a specific
hypothetical scenario and description of the environmental service or the willingness to accept
compensation for damaged environment or to accept a condition of being deprived of the
improved environment. This can circumvent the absence of markets for environmental goods by
presenting consumers with markets in which they have the opportunity to pay for the goods in
question.
CVM is based on the fact that benefits of non-market goods are likely to be implicitly treated as
zero unless their market value is somehow estimated. This is because people do not reveal their
willingness to pay for them through their purchases or by their behavior.
Currently, there is debate over the reliability of CV and the overall suitability of passive use of
values in policy analysis. This debate has resulted in many theoretical and empirical issues being
raised in relation to rethinking of issues concerning the benefit of environmental goods, and how
people respond to questions about market situations. a number of techniques are used in CV to
estimate the non-marketed value of any specific environment amenity. For the purpose of this
research, I identify the following:
 Direct cost used estimating the non-marketed benefit of reduced environmental damage
based on direct estimate of the cost to be projected from that damage.
 Revealed demand used to infer the non-marketed benefit from the revealed demand for
some appropriate proxy. For instance, reduced air pollution, the revealed demand for
residential land is related to the concentration of air pollution.
 Biding game used to estimate the non market benefit of improved environmental quality
where respondents will be asked " to answer yes or no to the question and the individual
response aggregated to generate a demand curve for environmental quality provided.
Common to the application of CVM through the above techniques are (i) an introductory section
which helps to set the general context for the discussion to be made; (ii) a detailed description of
the goods to be offered to the respondent and the institutional setting within which the goods will
be provided; (iii) the manner in which the goods will be paid for and the elicit method by which
the survey elicit the respondent preferences with respect to the goods; (iv) debriefing questions
about why respondents answered certain questions the way they did and the collection of a set of
respondent characteristics including attitude and demographic information (Frykblom, 1997).
In general, CVM requires competent survey analysts to achieve defensible estimates, even-
though it difficult to analyse and describe. This has raised questions among academics over
whether it adequately measures people's willingness to pay for environmental quality. People
have preference in making choices with market goods, so their purchasing decisions in markets
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are likely to reflect their true willingness to pay. However with CVM based on the assumption
that people understand the goods in question and will reveal their preferences in the contingent
market just as they would in a real market. This may not be the case in some situations since
most people may be unfamiliar with placing market values on environmental goods and services
and may not have an adequate basis for stating their true value.
3.5.3 Relevance of CBA in developing countries
Recent environmental economic literature nearly always points out that CBA can be employed as
a useful aid in pollution management in developing countries. Its value is mainly seen in the fact
that it may help makes the real dimension of environmental pollution patently clear and also
make polluters aware of the cost arising from their own actions. It will also deal with all aspect
of the environment on a rational basis and direct scarce financial resources to those areas of the
environment where they are most urgently needed. The problem however is, CBA have only
been applied in developing countries to quite a limited extent due to the time and money they
require, methodological problems, political and administrative barriers and ethical reservations.
It is proposed that the key to a broader use of CBA in pollution management is the development
of a standardized guidance material. With considerable theoretical, methodological and practical
knowledge available today of economic evaluation of projects, standardizing the various
techniques may be possible. For instance, materials for measures with relevance to the
environment should be developed to provide cost-benefit analyst with an effective as well as
cost-and time-saving set of tools. This may be done by the development of a local regulatory
impact method in a multidisciplinary and intersectoral approach so that all potential measures
directed towards local pollution problems are analyzed with focus on the recipient not on the
regulation.
It is also important that decision-makers in developing countries adopt a transdisciplinary
approach and establish research programme on environmental benefit estimation. The task of the
programme should be to improve the existing valuation techniques and check already valuated
benefits through empirical studies. In addition, the programme should focus on how to increase
the general information about CBA and environmental benefits estimation in all sectors of
society and how to communicate results to the decision-makers on all levels in a more effective
way in addressing major uncertainties. For example, the creation of a local database as a support
to the evaluation techniques i.e. data on exposure to pollutant and related effects, information on
other physical data, and compendia of existing empirical estimates of damage and benefits.
However, with limited number of specialized economists in developing countries to undertake
benefits valuation studies, there is the need to educate decision-makers and their team who are
going to interpret benefit appraisals as well as those responsible to carry out benefit studies. In
addition, train decision-makers involved in benefit valuation to adapt their methodologies to the
specific environmental issue at stake. This will make CBA play a very important role in
legislative and regulatory debates on improving the environment. For instance, it can help
illustrate the trade-offs that are inherent in public policy-making as well as make those trade-offs
more transparent. It can also help environmental agencies in developing countries set pollution
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management priorities. In this sense, CBA should be used to help decision-makers reach a
decision.
CBA should be required for all major regulatory decisions, but environmental institutions should
not be bound by a strict cost-benefit test. Instead, they should be required to consider available
CBAs and to justify the reasons for their decision in the event that expected cost of a pollution
management strategy far exceeds the expected benefits. Subjecting economic analysis prepared
in support of particular decision to peer review both externally and internally could do this. In
addition, Cost and benefits of proposed major pollution management strategy should be
quantified wherever possible, and the best estimates presented along with a description of the
uncertainties. In situations where not all benefits or cost can be easily quantified, qualitative
descriptions of the pros and cons associated with a contemplated action can be helpful. In this
situation the use of CEA or MCA may be more appropriate.
3.6 Special Circumstances in Developing Countries
In this section, present special circumstances in developing countries that help to analyse and
explain pollution problems. In section 5.2, I try to propose principles to deal with the constraints.
I will now briefly explain the special circumstances.
Most documents written on pollution management in developing countries include a long list of
factors that limit the use of pollution management tools. The emphasis given to the factors varies
widely from one document to another, depending on the pre-analytic vision embraced by the
authors. In the context of this research, I identify special circumstances in developing countries
that hinder successful management of pollution issues. Management. They include: (i)
institutional infrastructure, (ii) physical infrastructure, (iii) human resources (iv) financial
resources, (v) socio-cultural barriers and (vi) mismatch between sectors.
3.6.1 Mismatch between sectors
One of the shortcoming of pollution management tools in developing countries is the limited
attention given to understand and strengthen sectoral complementarities that are critical to
managing pollution management problems. Looking back at the tools reviewed, one can see that
each of them place different emphasis on private sector, civil society and the public sector
regarding their role in helping solve pollution management problems In this section, I discuss
these three sectors.
Management of pollution problems in developing countries has long been the sole responsibility
of public sector. In recent years, there has been a shift in emphasis, in terms of the role of three
sectoral complementarities in development activities in genera and environmental management
in particular. This shift is attributable not only to the dismal performance of developing countries
during social and economic crises, but also to a number of ideological level there has been the
ascendancy of neo-liberalism partly as a result of the rise and political triumph of the neoconservative movement. And at the structural level, the process of globalisation has forced all
governments of developing countries to rethink and restructure their development strategies by
paying more attention to “market forces”.
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In general national pollution management strategies in developing countries are based on
promoting active state engagement pollution management activities. Due to structural rigidities
in most developing countries and extremely weak private sector and technological backwardness,
successful pollution management is not likely to be realised without the involvement of the state.
Although the role of the public sector in developing countries ‘ pollution management effort is
crucial and it cannot replace the private sector. It is also important that public sector
involvement should not undermine the involvement of the private sector. Until recently,
pollution management in developing countries was, to a large extent, dominated by the public
sector. However, it is rather unfortunate that most public sectors involvement in pollution
managements as documented in a number of studies, are performing far from satisfactory.
Nonetheless this should not lead to the generalisation that governments are unsuited to manage
pollution problems and that the very echoes of the private sector and civil society makes it prone
to inefficiency. For instance, private sector and civil society were not involved in environmental
debates in Ghana until after the Rio summit in 1992 (Hens and Boon, 1999). In addition, it was
the Rio summit in 1992 that made Ghana to realise that their economic prosperity actually
depends on the maintenance of an adequate quality of the environment.
One main reason for sectoral mismatch, which is evident in the use of tools for pollution
management, is that in most cases pollution management goals are not well tailored to the
characteristics of the pollution problem at hand. For instance, factors such as the nature of the
pollutant whether acutely toxic, bio-accumulative, carcinogenic, and of the dose-response large
sources or many small sources, geographically concentrated or dispersed sources; stationary or
mobile sources. The “economic” characteristics of polluters whether operating in competitive or
non-competitive industries, whether facing hard or soft budget constraints, whether facing
similar or widely differing abatement costs; the availability of economical substitutes/alternative
to the polluting products or processes and the elasticity of demand for the product of polluting
industries are not weighed.
Also, there is the problem of co-ordination between different institutions and departments
involved in pollution management. In developing countries where functions and responsibilities
are divided, some institutions and departments may be well ahead of others in terms of
implementing and /carrying out agreed duties. In such situations, there is the problem of how
best efforts and activities of institutions and departments can be linked into a comprehensives
strategy. An example of this situation is in Ghana where different aspects of pollution
management strategy are carried out in different departments and institutions and are treated as
separate assignments from other similar management assignments being carried out. It is only at
the final stage that information from the different assignments is co-ordinated at the end of the
strategy
3.6.2 Socio-cultural resources constraints
Developing countries have diverse cultures and political systems which result in different ways
of decision-making from country to country. This cultural and political diversity has made it
difficult to use some of the pollution management tools reviewed. These different cultures affect
the content of policies and type of pollution management tools used by respective countries.
With differences in views and strategies among stakeholders, decision making regarding
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pollution management in developing countries context brings different administrative and legal
cultures into contact with each other, some times with some friction, conflict and often with the
participants not really knowing the full reason for each others’ position.
The great culture variability between local people, industries and governments is one major
cause of conflicts in relation to disposal of pollutant and use of resources in countries. Since
different cultures have their own potentials to manage environmental problems, the use of
pollution management tools reviewed which have their root in industrialised countries are not
automatically appropriate in the development context but need to be tailored along cultural and
political systems. From the assessment of indigenous institutions in Ghana, the use of a pollution
management like EIA can be effective if socio-cultural factors that are relevant to the pollution
management process are considered (Appiah-Opoku and Mulamoottil, 1997). A typical example
is the incorporation of indigenous institutions and their knowledge into pollution management
strategies. This may help reduce total dependence on outside ideas, technology and experts in
managing local pollution problems.
Traditional systems in most developing countries facilitate the use of participatory tools at grassroot pollution problem solving. The political and institutional systems are often too bureaucratic,
and do not, however, favour people participation in pollution management that involves
negotiation between the local people and companies or government institutions. In the past, there
has been insufficient opportunity for public participation in environmental issues, as well as their
involvement in environmental matters especially in decision-making. This state of affairs is
gradually changing, since people now know the benefits of participating in collective decisionmaking. However, as more and more people become aware of the need to be actively involved in
participatory decision-making processes, there may be a growing public interest in influencing
the outcomes of environmental strategies, which may lead to structural changes in physical
environment. Another constraint is that, in majority of developing countries, there is inadequate
public awareness of the link between environmentally sound use of natural resources and
sustainable development. However, with current moves by governments and institutions to
intensify environmental management skills in order to enhance efforts to increase productivity,
and also minimise the environmental impact of their activities.
Despite the fact that there is the potential for indigenous institutions to manage environmental
problems, there is a constraint. That is the concept of “development” is widely interpreted as a
movement from archaic to the new, or from traditional to modern ways of life. In such an
imagery situation, indigenous institutions are described as informal, archaic institutions
associated with underdevelopment (Ayittey, 1991). However, indigenous institutions such as
kinship, family and clan lineage, land tenure system, chieftaincy and traditional courts have a
great potential for the management of pollution in developing countries.
In addition, the ecological knowledge of indigenous people can help in understanding the
complex nature of the environment. As noted by Appiah-Opoku and Mulamootill (1997), “the
religious norms, ecological knowledge, and practices of the Ashanti tribe in Ghana may provide
an effective response to specific challenges posed by the local environment”. The philosophy of
the Ashanti people of life is aimed at the perpetuation of all objects, both animate and inanimate.
The Ashanti people also have a sanctioned aspect of social actions enshrined in indigenous
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beliefs, norms and taboos, coupled with a land tenure system that makes it imperative to involve
indigenous institutions in environmental management
3.6.3 Financial resources constraints
Another crucial operational factor affecting the implementation of the pollution management
tools is the scale of financial resources allocated to environmental institutions and agencies. Most
governments of developing countries face difficult financial conditions and are under pressure to
manage their debt and cut down public spending. These pressures turn to shorten the time
horizon about any decision concerning pollution management, making it hard for governments to
invest in the environmental area. For example, in Ghana, only 0.07% of the government
expected expenditure is allocated to the environment (Ministry of Finance, 2001) as compared to
the Netherlands where environmental expenditure in total in 2000 is about 1.9% of the total
government expenditure (RIVM, 2001).
Another thing is developing countries are known to be financially weak due to corruption in
institutions. Most of the governments have limited financial capabilities, which result in the
channelling of the small funds available to sectors such as education, health and agriculture,
which they consider priorities. For instance, most African governments turn to focus on the
economics of nation building and promoting economic growth, which seem to be, viewed as
good growth indicators as the main source of their legitimacy. This coupled with their less preoccupation with national control has made them to embrace privatisation and attraction of
foreign capital as central to their policies instead of putting the environment as central.
I argue that the financial problems facing developing countries is not a lack of “thrift” but a lack
of faith in their own economies as investment sites and the consequent propensity to expatriate
capital to developed countries. One should stress here that funds held by developing countries in
developed countries amount to hundreds of thousands of billions of US dollars creating capital
flight from developing countries. For instance, the capital flight from the severely indebted, lowincome countries in Sub-Saharan Africa is equivalent to about half the external resources
required for development (Amoako and Ali, 1998). Against this background, it is not difficult to
note that:
 Inflation and local currency devaluation, which are endemic in developing country
context, also eat into the value of environmental fines.
 The cost involved in pollution management is generally hidden from the public eye and
regulatory agencies are not generally accountable as such.
 The requirement of permit approval by companies provides opportunities for bribery,
which is endemic in bureaucracies and industries in developing countries.
Unlike developed countries, which receive substantial revenue allocation from private
corporations for pollution management abatement, in developing countries pollution abatement
is taken to be the responsibility of the government. For instance in Denmark, Novo Nordisk, a
pharmaceutical company has assisted the Danish Environmental Protection Agency by providing
infrastructure and research grants for pollution management. Lack of public funding has made
pollution management in developing countries to be funded solely by governments. However,
this situation is better for developing countries that are fortunate to have some external assistance
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from international organisations such as the World Bank and United Nations towards their
pollution management activities. Moreover, the economy in developing countries is structured in
such a way that the pollution problems caused by production and manufacturing activities on the
environment is “externalised” giving little opportunity for environmental agencies and
organisations to generate enough funds to maintain and implement pollution management
strategies.
3.6.4 Institutional infrastructure constraints
An institutional infrastructure provides the brains and the thinking process for stimulating
development processes such as pollution management. The term institutional infrastructure used
here covers a variety of institutions that are directly or indirectly responsible for pollution
management. Clearly the most important of these institutions is the government itself, which is
responsible for framing policies to determine whether there exists an enabling environment to
deal with pollution problems. In most cases, pollution management frameworks cover tools
reviewed in chapter 4. However, it is important to note that even an optimum set of pollution
management framework would not produce good result if the institutional mechanisms of
implementation do not function effectively.
The last 10 to 20 years witness the establishment of agencies and institutions by governments of
developing countries to handle pollution problems. With the establishment of these institutions,
there are some institutional constraints associated with the use of pollution management tools.
One of such constraints stems from the fragmentation of environmental responsibility among
institutions. Second is the lack of co-ordination between the institutional units responsible for
different sectors, and the difficulties of integrating environmental planning into the policies and
programmes of the sectors. These two constraints constitute the major gap in the implementation
of pollution management tools in developing countries. For instance, in Ghana the main
institutions responsible for pollution problems are the Ministry of Environment and Science and
the Environmental Protection Agency. Other institutions involved include the Council for
Scientific and Industrial Research, Ministries of Mines, Energy, Works and Housing, Trade and
Industry. The involvement of so many institutions in pollution management clearly calls for
effective co-ordination, integration and control.
Another issue is, institutions responsible for pollution problems do not act in an integrated
manner right from the planning to implementation stage, resulting in pollution problems in most
cases not given the necessary strategic attention at policy and programme level but rather
focused on individual project activities. The major cause is that more often than not, data about
the risk of pollution problems are not available when key decisions are being taken. This is
because risks of pollution problems are considered to have little or no influence especially at that
high strategic level.
Because of political instability in many developing countries, it is difficult to create the
institutional setting necessary for effective environmental management. Strategic planning for
pollution management requires along-term planning horizons and a long-term commitment of
development resources. These conditions are rarely met in areas prone to political turmoil and
civil unrest.
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Another constraint worth noting is the inefficiency in institutions in developing countries. This is
in most cases more related to their disoriented objectives, which are mainly wavering between
serving the political system in power and serving the public. This is due to the highly politicised
basis of civil service in developing countries that has its roots in the colonial era. As result of this
disoriented objectives, institutions in developing countries have often become instruments for
consolidating power rather than promoting and providing services for pollution management
strategies. The dominance of political factors combined with a lack of balance between
bureaucratic and non-bureaucratic elements in institutions has turned many simple pollution
management procedures into highly complex ones. For example, in Ghana local level
management of pollution problem has to be approved at the regional and national level before it
can be implemented. The political head also decides its implementation at the local level. This
situation can be attributed to lack of political will concerning pollution problems and the way
pollution management policies of most developing countries are crowded out by short-run and
narrow political interest. Another reason for this is that high policy decisions in developing
countries are made in response to immediate political and economic pressures and questions of
long-term sustainability or the implication for the local people are often overridden.
In response to the institutional constraints that are prevailing in developing countries, “capacity
building” has become a major buzzword in the donor countries and many of these capacitybuilding programmes focus on increasing the number of professionals in the environmental field.
However, pollution problems in developing countries are in a way social constructs consciously
brought about by the actions of industries and people. Thus, the desire to reduce pollution in
developing countries may require re-orientation of institutional arrangements, focusing on
integration and capacity building.
3.6.5 Physical infrastructure constraints
The principal causes of weak performance of existing pollution management tools in developing
countries, and equally the hesitation of introducing new tools is the lack of adequate supporting
physical infrastructure. The term ‘physical infrastructure’ used here covers a wide range of
supporting services that are required for effective management of information and analyses of
data. Some of these are effective postal systems and telecommunication services, which
influence the speed and reliability of information exchange and decision-making. The coverage
of physical infrastructure in developing countries is significantly low. Moreover, poor
administration and maintenance of already existing physical infrastructure have led to the
continuous deterioration, resulting in increased operational cost. Developing countries need to
place as much emphasis on the maintenance and administration of existing physical
infrastructure as on new ones.
One of the physical infrastructures that is critical to developing countries in the following decade
is information and communication technology. The transformation of the global economy
towards knowledge-based production has been enhanced by the fast development in information
and communication technology. Unfortunately, developing countries, especially in Africa, are
lagging behind in terms of catching up with the development phase. Great commitment is needed
from governments and donor agencies to help develop the electronic media since information
management is necessary to improve the baseline data on pollution problems. This will help to
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make use of a lot of information about pollution problems than the few and poor information that
is currently used because of poor information management.
Most of the tools for pollution analysis reviewed in chapter 3 require that a lot of data be
processed before any decision can be made. However, all good intentions in developing
countries to use some of these tools are thwarted with the poor quality and availability of reliable
information. This is because in developing countries pollution problems and associated issues are
often not given the necessary attention and also not being measured and documented well. In
addition, new emerging issues and parameters that are required to develop concrete pollution
management strategies are not measured at all due to the absence of the necessary monitoring or
data collection systems. This I will say is perhaps the most important constraint in the use of
most of the tools reviewed.
In most developing countries, these issues have only recently become a priority, and measures
are now being taken to set up environmental databases to improve effective methods and also set
up dedicated institutions for collecting and processing environmental information. For example
in Ghana, the Environmental Information System data for the Environmental Protection Agency
is currently being developed through an Environmental Information Network project funded
jointly by the International Institute for Communication and Development (IICD), the
government of Netherlands.
3.6.6 Human resources constraints
Human capital plays a decisive role in the process of pollution management for sustained
economic growth. Most developing countries suffer from low levels of investments in human
capital and to make things worse, public education has been the sector that has suffered major
setbacks. However, the use of some pollution management tools requires extensive knowledge
and experience since as the use of the tools becomes more sophisticated, additional skills and
human resources are required, which are far beyond the technological and managerial
capabilities of many developing countries and frequently beyond their budget. The result of this
is in most cases, foreign experts are called on to draw pollution management strategies that are
very expensive. Human resource depletion and lack of education and training are identified here
as the two main constraints.
Human resource depletion
In developing countries such as Ghana, most of the few knowledgeable pollution experts often
travel abroad for well-paid jobs while the few skilled people left who are involved in the
environmental institutions tend to live and work in the capital cities and infrequently visit the
field. In addition, those who have foreign education often do not return after completion of their
studies. For instance, in a 1995 World Bank study, it was noted that some 23,000 qualified
academic professionals migrate from Africa each year in search for better work conditions
(Fadyomi, 1996). This has necessitated their replacement by more expensive, who in Africa
alone numbered 30,000 in 1993. The World Bank estimates that 100,000 expatriates from the
industrialized countries are employed in Africa at a cost of U.S$ 4 billion per year, amounting to
nearly 35% of official development assistance to the continent.
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On the other hand a sizable number of highly skilled individuals in developing countries
migrates from one country to another due to economic, social and political factors. For example,
in the 80s there was a massive outflow of Ghanaian skilled manpower to Nigeria in search for
better jobs and living condition. This created a lot of problems in dealing with pollution issues.
As Gosh (1996) noted, “skilled labour migration from developing countries may actually lead to
the postponement of structural changes needed to generate and sustain a process of dynamic
broad based development.” Thus, the sending country loses some of its most innovative and
skilled workers.
It is important to note that this form of resource loss has not received much attention from the
international community. It is, therefore, difficult to conceive of sustainable pollution
management taking place in developing countries based on the assistance of highly paid
expatriate and foreign-based national experts. Recently, there have been few international efforts
from developing countries aimed at luring back nationals from abroad. One of such recent
endeavours was to encourage Ghanaians living abroad to come home through a “homecoming “
summit organised in Accra, Ghana in July 2000. The aim of the summit is to identify
opportunities in the country for professional service.
It is worth noting that, even if the underlying causes of brain drain problems presented above are
addressed, a desired result will not be achieved if a proper mechanism that deals with the
fundamental causes is not in place. Figure 5.1 presents two main factors that cause brain drain
from the developing countries. The first are the push factors that are related to the conditions in
the developing world and the second are the pull factors related to conditions in the developed
world. In most cases the analyses of the factors are limited to addressing the push factors
without addressing the pull factors that drive the process. An example is governments of
developing countries and international organisations operating in developing countries are
currently concentrating on improving working conditions of people and are undertaking capacity
building programs in developing countries. Most of these capacity-building programs are
focused on increasing the number of professionals in specialised field instead of rather
valorisation of the existing capacities.
Pull factors
Push factors
Lack of research facilities and conducive Mismatch between education, job opportunities and
working environment
national socio-economic realities
Lower payment, lack of incentives, political Reliance on foreign and international expertise and
harassment and persecution
bias against local expertise and knowledge
Figure 3.8. Factors that drive brain drain process in developing countries
Another major challenge that has been a problem in developing countries from a human resource
perspective is the alarming spread of the AIDS (Acquired Immune-Deficiency Syndrome)
epidemic. According to a report released by the World Bank (1999), in 1982 one country in Sub
Saharan Africa hat had a prevalence rate of 2%. By 1998, 21 countries in Sub Saharan Africa
had prevalence rate above 6%. It is not only the sheer size of the population affected by AIDS
that becomes grave of concern for developing countries, but its attack on the most productive
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segment of the society aged between 18 to 50 years, makes it particularly detrimental to
developing countries.
Education and training
Education and training of professionals is the second factor of the human resource constraints
limiting the use of the pollution management tools in developing countries. The strength and
capabilities of educational systems assumes particular importance in the light of the objective to
build up skills in developing countries as the basis for development. In modern societies, it is
almost axiomatic that the level of development is directly proportional to the level of human
resources. The progress in pollution management achieved by industrialised countries is no
accident. The low progress in pollution management achieved in developing countries reflects
the underdevelopment of its human resources in terms of education and training.
Modern education in developing countries is an activity that was started by colonial masters.
Their main objective was to generate the required manpower for the expanding public services.
This has made their primary focus, especially at a higher level, was on the field of social sciences
with limited attention to environmental science and technology. As a result, the educational
system in most developing countries is lagging behind in terms of producing graduates in the
field of environmental science, engineering and technology. There has been very little progress
but considerable retrogression in educational system in recent times (Stien, 1998). For instance,
it was only 1998 that Kwame Nkrumah University of Science and Technology in Ghana started a
master programme in the field of environmental engineering and also the University of Ghana
started a master programme in the field of Environmental Science.
Also, the level of competence of a country’s workers and technicians at the middle level is as
important as the availability of high-level professionals to promote development in any country.
For example the secondary school education in most sub-Saharan African countries does not
have a broad base vocational and technical education. As a result, high school graduates that
constitute the bulk of the unemployed do not have any productive skills. For instance, in Ethiopia
the total number of secondary level manpower estimated to be generated in 1994 was 154,305,
out of which only 10,932 were absorbed by the job market (Solomon and Goitom, 1998).
Due to lack of experts, most pollution management tools used in developing countries are not
properly used for consultation and authorization. And in most cases, the content and
methodology are often not appropriate for managing pollution problems. In addition, findings of
organisations dealing with pollution problems are presented in a form, which may not be
sufficiently useful to tackle the pollution problem at hand. This is evident in problems of various
kinds such as inadequate or non-existing non-technical reports, too much data with too little
analysis, unnecessary complex interpretation, and insufficiently clear and precise
recommendations and proposals for decision-making. Furthermore, there is also a problem of
quality and reliability of the information collected by people who are not qualified to handle a
type of information. A typical example of this is a chemist acting as an environmental engineer.
In section 5.2, I propose principles to deal with these special.
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3.7 Backbone for pollution problem analysis and explanation
The objective of this study is developing a framework for pollution management in developing
countries based on the analysis of problems and opportunities. In this section I try to put together
the different aspects of the tools reviewed and linked them together to show how and when they
could be used in pollution problem analysis. The backbone presented in this section is based in
the insights from this chapter and the previous chapters.
In the subsections that follow I propose a model for the analysis of pollution problems. One for
pollution problems associated with existing activities and the other for proposed activities. I do
not claim that the two models can be used to analyse all pollution problems completely. The
model proposed should be used in qualitative manner to build up arguments for the analysis of
problems .
Problem-in-Context appears useful in the analysis of pollution problems and is the backbone of
this model. PiC would be used to identify actors that are involved from raw material stage to the
waste disposal stage. PiC would be used to define and explain pollution problems and determine
the actual and desired levels of air, water, noise and soil parameters. There is the need to set
long-term sustainability standards and norms. In doing this, it is important to consider the
limitations to the capacity of the environment to provide goods and services.
PiC shall be used to explain environmental problems and identify promising actions. One can
also start out from an event, current situation or proposed intervention, in stead of starting out
from an environmental problem, from there construct the biophysical and social chain of causes
and effects leading to these changes (Vayda and Walter, 1999). Here the focus should be on
industries and individuals.
The cause-effect chain should end when causes and realistic solutions have been identified.
However, it is important that in every situation insight on root causes, relevant social structures
and potential tools for abatement, before concrete actions are taken. PiC would be applied in
OPiC as follows. The model is presented in figure 3.3.
Final variable component of model
When we find pollutants in the environment above the maximum accepted limit, we say there is
a pollution problem. In this case there is a discrepancy between facts and values that is a
discrepancy between what we se happening and what should be the case. Pollution problems like
all other problems in society, represents discrepancies between the facts and values, that is
discrepancy between what we see happening and what should be the (De Groot et al, 1993).
These discrepancies are the result of a structured and separated analysis of pollution problems
between the actual pollution problems and the desired level of pollution even though the two
should be expressed in the same term for easy comparison in assessing pollution problems.
As can be seen in figure 3.9 the facts about pollution problems and the effect chain of the
pollution problem are drawn considering that every fact has its perfect mirror on the norm side.
The norms are linked in the form of a chain and made up of desired environmental and human
health and standards. The norm chain should be developed based on current environmental
policies and regulations and how, in general terms, the pollution situation should be. It is
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important however that, the final norms should consider how the normative observers value the
practicality of the content and legitimacy of the environmental policies and regulations.
Normative context
Geographic boundary
Impact on ecological, human health,
economic and non-material welfare, by
using EA tools
Desired ecological and
human health, economic
and non-material welfare,
Decline if performance on environmental function
Emissions
Desired function
performance
Acceptable emission
End-of pipe
treatment
Waste
Storage and
transportation
Transformation
processes
Environmental capacity
Product
output
Industrial Actors
Ecosystem
Figure 3.9 A model for pollution problem analysis for existing activity
Social Context
Physical context
Figure 3.9 A model for pollution problem analysis for existing activity
Represent major flow in terms of weight
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This is a proposed model for pollution problem analysis. The ultimate norm for pollution is on
the right, is taken to be desired economic, ecological and human health levels from which
standards should be set for different pollution problems. The standards should be the maximum
allowable standards or the desired technologies that may help prevent pollution.
On the left is the impact of pollutants on final variable such as economy, ecological and human
health. This could be poverty and loss of income due to polluting of river becoming unsuitable
for fishing.
What help in the determination of impacts on final variables are the decline of performance on
environmental functions and human beings. These are in the form of measured concentration of
emissions of environmental parameters such as water, air and soil quality parameters The main
elements that should be considered are the levels of pollution, human exposure to pathogens and
chemicals, disease and toxic effects, contamination of food, soil pollution, and odour nuisance.
Environmental capacity component of the block
In figure 5.3, the physical contextualistion of pollution problems starts with determining the
environmental capacity. Thus, explaining pollution problems in physical and scientific terms is
based on the notions that normative observers have norms and polices and also the capacity of
the environment is infinite. This understanding calls for the analysis of pollution problems in two
main ways:
 Whether the desired environmental and health levels proposed are justified taking into
account the local situation. The focus should be on what the person feels is right to do
and also explore the chance of using the way people related with the environment to
analyse pollution problems as well as ways to stop pollution.
 The second is to analyse the physical parameters of the pollution problem so that the
level and kind of services available for use of energy and raw material within the desired
standards is employed.
Even though determining environmental capacity may be difficult; the result of this may
contribute to knowing the exact pollution management strategy to adopt. For example, carrying
out research into pollution problems in order to know the factors that should be involved in
developing an application oriented integrated model to explain the problem.
In determining environmental capacity, attention should be given to carry capacity in working
out levels of allowable emission of pollutants. The idea is to create a balance between demand
and supply of environmental products and also taking into consideration the signification and
regulatory processes of the environment.
Ecosystem component in the model
Below the environmental capacity are the direct capacity-determining factors and the ecological
basis, which are used to determine the fundamental patterns and processes in the environment
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(see figure 3.3). In my discussion in section I have pointed out environmental utilisation, carry
capacity and limited acceptable change, which can be used to analyse environmental functions.
Understanding the ecosystem of the environment is not easy. There is the need to understand the
intrinsic capacity of the ecosystem as well as the spatial context and time horizon. This can be
done by assessing different areas within the ecosystem that used for purposes but consistent with
social and ecological goals. The self-renewal capacity of the different areas should be measured
using qualitative and sustainable indicators to see whether it is high self-renewal, low selfrenewal or no self-renewal. This should be done in a qualitative way. This would help determine
the potential of the ecosystem to regenerate, the degradation situation of the ecosystem, identify
areas for effective investment that will protect the environment and the need for protective
measures.
Physical context
The following principles should be considered in carrying physical contextualistion of pollution
problems:
 For transformation processes that would produce high level of pollution, one should look
at the environmental function provided by the context and the time required for
environmental regulations processing functions and the survival of biodiversity.
 Indicators such as capacity of the ecosystem of the environment to cope with stress,
reduce organisation and complexity of biodiversity, reduce level of energy and nutrient
cycle should be used to assess whether the environment has the potential to provide
functional diversity over time.
The principles can be made operational by first knowing the historical and current state of the
environment such as the ecological processes (economic carrying capacity, levels of acceptable
change, the capacity to absorb pollution) and interactions with human activities. Second,
because of lack of information and uncertainty surrounding our understanding of environmental
functions, precautionary measures in the form of reduced human pressures, maintaining and
creating buffer areas, develop monitoring and management system is necessary.
The activity block in the model
Activities such as manufacturing, transportation, farming are the main caused of pollution
problems. Based on the understanding that resources that are used for production come both
from the community and outside the community. A geographical boundary should be defined
for the area that is being assessed. I identify storage, transformation processes, and waste and
product output as component in the activity block of the activity model. Raw materials that are
produced within the defined geographical area should also be assessed while those produced
outside should not be assessed.
In order to pollution problem associated with these activities, LCA should be used to analyse the
activity block of the model. I propose that qualitative LCA approach should be applied in
analysing the pollution problems associated with activities that take place in the different
components of the block.
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The following actions are adapted from LCA should be applied to analyse problems associated
with existing activities:

A guiding principle in the development of policies and regulations related to
environmental issues should be undertaken based on available resources and information.
A key feature should be actors observe impacts as a result of product development
upstream and downstream in the production chain. Use should be made of criteria such as
type of resources used, type of emissions, reusability, degradability, purchase of
resources and utilities, in-house production processes and waste management systems,
life span of the product among others should be assessed qualitatively the impact of the
product and service in within the defined boundary.

Investigate all stages of assessment that falls within the defined boundary. Stages that fall
outside the defined boundary should be assessed (i.e. resource extraction to waste
management in the defined boundary should be investigated). The assessment should
cover both impact assessment and improvement assessment of energy use and solid waste
production to develop policies.

Undertake physical measurements of their products, use of products and the impact of the
product through the development of technology or provision of services with the goal to
promoting sustainable production processes through more efficient use of resources and
the pollution emitted at every stage of the production processes.

Actors in very stage of production process or undertaking an activity should be made
responsible for the impact of their activities. This will make every actor in the production
process be concerned about impact of production cycle of the product.
Type of information on effect on human being and the environment of products and
services made available to the public should be assessed to see whether it provides the
basis for consumers to live an environmentally friendly lifestyle concerning what
products they have buy and how they have to live. And assess whether such information
has changed the purchase behaviour and lifestyle for consumers

The industrial actor component of the model
The main guiding principles used here is first to consider actors in the form of models with more
or less formal set of ideas about how they process facts and values to reach a decision. Thus,
actors should describe and act upon pollution problems situations by using the model of ‘moral
domain’ which assumes that actors have consistent way of decision making, such as
microeconomics, moral of honour and ‘ethics of care’ modes of reasoning (De Groot, 1992). The
second principle is to provide guidance on the route of progressive conceptualization so that
where to start and where to end a particular pollution analysis is known. This is because
pollution problems can be explained in social terms, in an open search along causal chains that
run far deep without end. In doing this however, it is important to use one’s common sense and
also keep tabs on the problem relevance of choices made, whether they make a difference to the
facts and the desired values (De Groot, 1992).
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The guiding principle here is, actors are the social entities that make environmentally relevant
decisions and cause pollution problems. For instance the main social causes of pollution
problems are mining, farming, industrial transportation activities and household duties. These
activities can be subdivided based on the pollution problem formulated and the subdivisions
causally linked to the main activities and other smaller activities. This subdivision is necessary
because some activities causing pollution problems may be so complex that it is difficult to
analyze their subsequent impacts.
For example the primary actors that cause pollution in a city may be workers in the mining,
farming, industrial, transportation sectors and people in the community, because they are the first
on the road of progressive conceptualization from the pollution problem downwards and also
more responsible for the whole chain. The secondary actors may be ministries, district
assemblies, NGOs. In general who the actors are and how they are arranged is not easy. However
in all cases decisions by actors are dependent on two major factors: the options the actor may
choose from and the motivation they have for these options (De Groot, 1992).
Social context
As can be seen in figure 3.4, the social-science explanation part of pollution problem oriented
analysis present actors as individuals and organizations with significant decision-making
capacity regarding the activities that cause pollution problems. All the actors make choices on
the basis of the available alternatives for options, which I use here to include tools, target groups
and motivational options. With respect to options, the focus should be on implementable options
for the actor in question. With respect to the motivations, the focus should be on the advantage
and appropriateness of the options as perceived and valued by the actor (De Groot, 1998). The
actors who physically pollute the environment may be called primary actors. Their options have
underlying factors, which are partly determined by other actors, in an actor-behind actor pattern
and also by the surrounding environment, which co-determines the actor’s actions.
The use of identified options has underlying factors that are linked to the actors below the chain,
generating an actor field (De Groot, 1992). The extent of the actor field generally depends on the
pollution management goal and the responsibility of the actors.
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Industrial Activities
Industrial actors
Options
Motivation
Action on
option
Action on
motivations
Secondary
Secondary
Options
Motivations
Options
Motivations
Factors
Factors
Figure 3.10: Action-in-Context
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4. TOOLS FOR OPPORTUNITY IDENTIFCATION AND DISCOVERY
Identifying opportunities to deal with pollution has been a major challenge in the academic
community. In this section, I review tools that can be used for identifying and realising
opportunities for environmental management. I would like to note that most of the tools
reviewed in this section can also be used for problem analysis and explanation.
Section 4.1 Options identification based on analytical tools
In this section, I discuss how analytical tools such as Problem-in-Context and Life Cycle
Assessment can be used to identify opportunities to solve environmental problems. Options for
solution resulting from the use of these tools identified as opportunities for solutions.
Section 4.2 Option discovery based on normative concepts
The focus of this section is on concepts from which opportunities can arise to solve
environmental problems. Cleaner production, eco-industrial development and dematerialization
principles of industrial ecology and process improvement concepts are reviewed. Here the focus
is on opportunities arising from the use of this tools sustainable industrial development in
developing countries. The relevance of these tools in developing is also addressed in the section
Section 4.3Options discovery based on creativity
Here, I first summarised the concept of action learning and use it as the pillar for which creative
opportunities can be identified. I then try to explain how positive use of knowledge systems, the
concept of creativity, concept of serendipity and the concept of dreams could be exploited to
identify opportunities that will contribute to solve pollution problems. The section has some root
in philosophical thinking but it does not seek to give a detail analysis of the theoretical
underpinning of these concepts since that is outside the scope of this study.
Section 4.4 An enabling context for options discovery
The context of opportunity is very important in the identification for the opportunity itself. In this
section, I present other activities and tools such as environmental management system,
environmental accounting tools that in one way or the other contribute to the identification of
opportunities taking into account their relevance and application in developing countries. I also
argue that human factors, environmental factors, self-efficacy, interpretation frame and critical
elements in the recognition and assessment of opportunities. At the send of the section, I
propose a model to explain opportunity recognition and evaluation using cognitive factors that
affect the perception of opportunities and their proposed antecedent.
Section 4.5 Synthesis: Backbone for opportunity identification and discovery
In the last section I present the backbone for opportunity identification and discovery. Here I try
to link ideas and insights presented in the different sections into a model. I also present how and
when the different tools should be used in opportunity identification and discovery.
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4.1 Options identification based on analytical tools
4.1.1 Option identification based on PiC
As noted in chapter 3, PiC is used to analyse pollution problems based on two parallel causal
chains: a chain of facts of human activities, their effect on the environment and health of human
beings and the chain of values which gives the assertion about the desired state of the
environment and human activities. The chains of causes of the problems are established to give
the social scientific explanation of human activities that causes the problem and physicalscientific explanation connects to the carry capacity of the environment. The discrepancy
between what the world is (facts) and what it should be or become (values) create room for the
identification of opportunities or options for solution.
Options arising from the problem block of PiC
Identifying options from problems analysis is the final step in the analysis and explanation of
problems when using PiC. Here the basic method of identifying options is to know what to
change in the causal link in a way that may contribute to the design of a solution.
Physical explanation of pollution problems also creates the platform for the identification of
opportunities because it gives actors an insight in what are the most critical factors and
vulnerable ecosystems. By knowing, actors may then look around for a less vulnerable
ecosystem type where their activities would have minimal destruction or shift their activities that
cause serious pollution problems to areas with less vulnerable ecosystem.
The use of PiC framework to understand the physical properties of the environment would also
generate important questions such asking actors whether there are proper or alternative
approaches. This process would the forum for actors to discuss and decide on the environment
and themselves depending on what they see and experience. In this way the normative observer
could identify opportunities that the actors themselves do not see. These opportunities will arise
from the knowledge normative observer and the values the actors causing the problems adhere
to. A typical example is farmers using pesticides in Ghana referring back to the traditional
method of farming, by using local manure, which less polluting easy to apply, equally good
working and harvest.
For example is whether the allowable pollution level in a lake should be increased without it
exceeding the acceptable standards? Construction of a treatment plant to treat the wastewater
before discharge into the lake may serve this purpose. This option may be expensive among
other options but will be noted down anyway among options such as preventive measures. The
resultant options that would be used to solve this problem would come from a list of both simple
and analytical options. This example clearly shows that the identification of options for
solutions also triggers other options for the solution
Options arising from physical explanation of problems
Options for solution environmental problem can able generated from understanding of the
physical factors and the ecological basis of the context. A possible way is having a good
understanding of sustainability issues, environmental carrying capacity. Thus, the dose-effect
relationship, environmental properties and man-made environmental properties should be
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understand and used as a source of inspiration for the identification of opportunities to deal with
the problem at hand. Knowing what human being put into the environment and the allowable
intensity of human activity could also serve a source of identifying opportunities. Knowing the
physical basis of environmental problems gives us insight in what are the most critical factors
and vulnerable ecosystem components. This knowledge would help actors look for options that
are less vulnerable to the ecosystem components. In most cases, areas where activity will have
less impact an the ecosystem component or existing activities would be moved to areas they will
have less impact on the ecological component. For instance, if actor knows that cyanide
chemical is being used through an activity, the rate at which is being used, and has the potential
to destroy the environment, a norm targeted the minimal use of the chemical would then be
developed and a management plan target at cyanide chemical would also be developed. Without
such knowledge general norms and management plans would be developed which can not
provide the opportunity to dealing with the environmental problem.
Knowing the human carrying capacity in the form of the maximum number of people that can
make sustainable living off the land, with allowable income and space for biodiversity could help
identify opportunities for the management of environmental problem in the area. Knowing the
settlement pattern, the economic activities undertaken and taking into account the resources
available in the areas,
activities and life styles that would create opportunities for less
environmental problems would be identified. This insight provides the ecological basis for the
determination and identification of options for environmental problems.
Outside options
Design of solution
Analysis
options
Problem analysis and explanation
Physical
options
Social
options
Social
Causes
Physical
Causes
Figure 4.1. Options for solution arising from PiC (Adopted from De Groot, 1992)
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Options from normative explanation of problems
Option from social explanation of problems
Social problem explanations generate options and motivation for the design of solution. These
options are generated from what actors’ would find when they are asked about their reason for
doing what they do. In such a situation, different values and options would be given by different
actors compared to the options normative actors would perceive.
In most cases an actor’s field (defined as the structure of how actors are connected to other actors
in the causation of a problem to create a social network which show how actors are connected to
other actors through communication). The idea is to establish lines of influence between actors
whether they act or not since they behind the options and motivation that influence the activities
of other actors. A typical option could be using social explanation of a pollution problem to
identify other activities that could be undertaken by actors to prevent or reduce the effect of
pollution. Here the issue is options that contribute positively to the design of a solution to an
environmental problem. Identifying these options however, require a mix of analytical rigour
and creativeness to be able to think beyond the problem and rather identify positive building
blocks for solving the problem
Motivations concern both short-term and long-term benefits, investments and risk that the actor
will derive from undertaking a particular activity. People in one way or the other are motivated
to undertaken certain activities. If their motivation is just for undertaking a particular activity
because they have to but because they fill it is important and would have a positive impact on the
problems, then such as situation, the motivation is an opportunity. Also motivation based on the
proposal of actors themselves that cause cognitive change in actors and also evaluate their
knowledge help actors to organise themselves in a way that could be an opportunity to transcend
the strategy of the commons. Some of these motivations could be a well organised structure.
This is because the changes initiated by the actors and appear rational in their and make them
Options outside the PiC framework may be used to solve problems that may arise from pollution
analysis and explanation. Here options ors opportunities in the context would be compared with
the problem so that common sense or consultation of experts will give guidance provided the
opportunity element has been identified. An actor who can successful find solution to
environmental problems is that who is opportunity oriented. The behaviour is in how the actor
identifies new opportunities and formulates new ideas to make use of these opportunities. The
development or transformation of these ideas that will reduce environmental problems as well as
the effective implementation of the ideas should be regarded as opportunities.
Looking at the causal link that exist between problem analysis and explanation, it implies every
causal element or linkage of the problem analysis and explanation generates one or more
options for solution. In such a situation, if any thing either activity, action, actor is changed, the
problem would also change. If the change in activity and or actor is big, the change in the
problem would be big. On the other hand if the change is small, the change in the problem would
be small. Depending the on the result of the change in the environmental problem, different
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solution options would arise. If there is also a change in the activity of the actors, there can also
be a change the corresponding environmental problems which would require different options for
solution. A typical example is if the number of people causing environmental problems in
specific areas decreases, the will be a corresponding decrease in the level of the environmental
problem. On the other hand if the number of people causing environmental problems in the area
increase, the level of the problem would increase. An example is dairy factory producing milk
would required different options for solution to deal with its environmental problems as
compared the same factory producing meat. These examples clearly shows that the nature of the
relationship and the links between the elements in the PiC analysis and explanation has the
potential to yield different options for solution to environmental problems.
As noted earlier no, options for solution depending on the actor and normally result from a
combination of people’s local knowledge with scientific knowledge resulting in two main classes
of options:
 Direct options resulting from cognitive change and evaluation of actors’ knowledge and
indirect options through change in prices, provision of incentives. for influencing actors’
motivation. Direct options emphasis is on the use of education and preventive approaches
that increase the autonomy of actors and regulatory tools while with indirect options, the
emphasis is on the use of on market-based tools that take in account financial, legal and
social internalisation at both micro and macro levels. An example of direct option is
helping actors’ to organise themselves in a way that their activities will have less
environmental problems and that of indirect is the imposition of taxes
on
activities that causes serious environmental problems so that actors’ would change their
attitude.
 Direct options such as conservation measures, treatment, and recycling for influencing
the range of options that actors have so that they can implement the good options they
are motivated for and indirect options such as new design of product, improvement in
production process and national and regional regulation on zoning for influence the range
of option that actors have.
An extensive review of these tools that help in the implement of these options is presented in
chapter 5. However, here I would like to pay special attention here to two options which are in
the form of policy instruments that can be used to generate options for solution or “working the
actors’ field”. Extended producer responsibility where every actor along the production chain is
made to be responsible for their actions. By so doing they turn to carry out activities that create
options of solution. For example in the production of plastics bags, the actors along the
production chain will be responsible for their actions and this in turn will generate an actor field
at every stage of the production. The other policy tool is tax reform which can be used to create a
context where actors are made to develop option or adopt alternative action to deal with pollution
problems. Extensive review of taxes reform is presented in chapter 5 while that of extended
producer responsibility is presented in the next section..
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4.1.2 Extended producer/product Responsibility
Extended producer responsibility is an emerging concept that focuses on the product systems
instead of production facilities. The aim of this concept is to encourage producers to prevent
pollution and reduce resource and energy use at each stage of the product life cycle through
changes in product design and process technology. In a broad sense, extended producer
responsibility is a concept in which producers bear the degree of responsibility for all the
environmental impacts of their products.
The expression of the need for getting the manufacturer and the developer involved in finding
solutions to pollution problems are found in policy documents dating back to the mid 70s and the
80s (Lindhqvist, 1997). However, no policy measures were formulated and implemented during
this time until 1988 when EPR was introduced in Sweden. Instead, the problem was viewed as
waste management issues that should be solved by the authorities at local, and to some extent,
central levels. In the 1980, there was public debate about reuse and disposal products such as
bottles. The political dimension of this debate forced otherwise reluctant governments to take
action thorough the introduction of special legislations and agreements.
The rationale for the concept of Extended Producer Responsibility was introduced in Sweden in
1988 in a report to the Ministry of Environment in 1988. According to this report (Lindhqvist
1997): Extended Producer Responsibility is “An environmental protection strategy to reach an
environmental objective of a decrease total environmental impact from a product, by making the
manufacturer of the product responsible for the entire life-cycle of the product especially for the
take-back, recycling and final disposal of the product. The Extended Producer Responsibility is
implemented through administrative, economic and informative instruments. The composition of
these instruments determines the precise form of the Extended Producer Responsibility”.
The producers’ responsibility includes (Lindhqvist, 1997):
 Being involved in physical management of the products, used products, or the
impacts of the product through the development of technology or provision of
services. Also the producer bears the economic responsibility in terms of all or part
of the cost for managing waste of the products
 Responsible for environmental damage caused by a product in production, use or
disposal is born by a producer; and the producer is responsible to provide
information on the product and its effect during various stages of its life cycles.
The goal of EPR is to promote the development of sustainable production-consumption systems
through more efficient resource use and a drop in the consumption of resources by factoring into
the product design EPR objectives. This help to determine the nature and quantity of resource
use and pollution emitted throughout the product life cycles.
With respect to Extended Product responsibility, it is the extended producer responsibility that
has been broadened to embrace other links and policies in the product chain that share the
responsibility for reducing the life-cycle environmental impacts of product systems. The concept
is defined in this research as way that actors along the product chain share responsibility for the
life-cycle environmental impacts of the whole product system including upstream impacts
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inherent in the selection of materials for the products, impacts from the manufacturer’s
production process itself, and downstream impact from the use and disposal of the products.
The key attribute of Extended Product Responsibility is the extension of responsibility to a lifecycle stage or stages where responsibility currently does not exist or is not well-defined. This is
through sharing of responsibility for the life-cycle environmental impact of the product system
among links in the product chain in such a way that there is a well-defined focus of
responsibility, which may include more than one link with appropriate feedback loops. Thus, the
principle of Extended Product Responsibility seeks to extend responsibility up and down the
chain so each actor in the chain has appropriate incentives to be concerned about the life-cycle
environmental impact of the whole product chain.
In effect, the concept encourage a more cooperative, outcome–oriented relationship among
different actors and stakeholders along the product chain and at the same time allow more
flexibility for producers in achieving environmental goals and encourage innovation, since they
do not necessarily prescribe technologies. With this potential, Extended Product/producer
Responsibility can be a key concept in developing countries for pollution management through
environmental and economically sustainable production and consumption.
Producers should be made to bear majority of the responsibility of the environmental impacts of
their products. That is producers’ should be involved in physical management of the products,
used products, or the impacts of the product through the development of technology or provision
of services. Also the producer bears the economic responsibility in terms of part of the cost for
managing waste of the products. Actors should also be responsible for environmental damage
caused by a product in production, use or disposal is born by a producer; and the producer is
responsible to provide information on the product and its effect during various stages of its life
cycles. The development of policy that brings together manufacturer and the developer to bear
the environmental impact of their products as a way to finding solutions to pollution is an
opportunity
4.1.3 Option identification based on LCA
This phase involves finding ways to reduce environmental impacts of the product under study
through evaluation by making improvements in line with sustainable development concepts
(CSA, 1994) such as pollution prevention, reduce energy and resource use and maximisation of
the use of sustainable resource and energy through product development and process
improvement. It also involves a systematic evaluation of the quantitative and qualitative needs
and opportunities to reduce the environmental burden associated with energy and raw material
use and environmental release throughout the life cycle of a product, for example, by redesigning
it with less of more environmentally friendly component materials.
As discussed in chapter 3, LCA is a technique for assessing the environmental impact of a
product, process or activity from cradle to grave. Although the use of LCA has traditionally been
oriented towards improving the environmental performance of product, LCA can also be applied
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to processes for the selection of environmentally best practices and technologies and for the
optimization of the environmental performance of existing processes (Azapagic, 1999).
It is applicable to processes, the LCA system boundary normally excludes product use, recycling
and waste disposal. Such LCA provides the manufacturer with insights in significant
environmental performance issues that addressed through improvement and innovation of
processes, for example through the application of cleaner production and eco-efficiency tools
(van Baerkel, 2000).
Improvement analysis can be used to generate options for solution could be generated from
improvement since it deals with the implementation results from the life cycle inventory analysis
component, the life cycle impact assessment component, the identification of significant issues,
and the evaluation of the results. Improvement analysis which is the final component of LCA
deals with structuring the results in order to determine significant issues, in the context of this
section, that relates to identification of options for solutions to environmental problems in
accordance with the goals and scope, definition and interactivity with an evaluation element.
The search for options for solution in improvement analysis in principle are not bound to by
limitations identified in the analysis, as long as the option is able to help solve or reduce the
magnitude of the environmental problem. Atypical approach to identifying options for solution
from improvement analysis is to divide results from life cycle inventory and life cycle impact
assessment into inventory data category (e.g. waste, energy and material), impact category (e.g.
greenhouse gas emission ) or life cycle stages category (e.g. contribution of service like transport
to the total life cycle environmental interventions and impacts).
In most cases, options for solution identified in improvement analysis are either direct options or
indirect options. Direct options are those generated because of undertaking the foreground
processes required to produce a particular product. It includes options generated through
improvement and innovation in the fore processes. Indirect options are those arising from
background processes by assessing the possibility of reduction of resource requirement to the
foreground processes. Indirect options are those arising from background processes.
Life cycle improvement analysis was initially meant to facilitate the achievement of reduction
in the net environmental impact of product systems (Fara et al, 1991, Consoli et al 1993). This
focus has however faded away as a result of the fact that identification of improvement
opportunities are essentially a creative process and very process, product and activity are site
specific affair (van Berkel et al 2000) and does not lend itself to the rigorous generalisation
Life cycle improvement analysis is akin to the use of continuous improvement strategies. The
goal in environmental conscious manufacturing should be to achieve zero pollution. This could
be achieved if the entire system processes are continuously improved on (Sarkis et al, 1998,
Ruiz, 2000). From raw material acquisition through manufacturing and processing to distribution
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and transportation, then recycling, reuse, maintenance and waste management, each stage
involves creation of waste, energy consumption and material usage (ref. 63)
A life cycle improvement strategy is needed to identify areas where improvements can be
achieved such as a product design that has less demand for material requirement (e.g.
replacement of plenty cylinder engines with fewer). It also require enhanced consumer usage of
products by reuse, or creating an alternative use for products, cutting down consumption of
energy (e.g. fossil fuel), participating in recycling programs and so on. This will require the
tracking and monitoring of the product through its life cycle to detect areas, which have
improvement opportunities (Frank et al, 2000) that would lead to many changes in design and
resulting in design for the environment.
Normally options from improvement analysis focused on the following (Reference):




Material selection-options that result of this are related to, or meant to deal with
environmental impact of material choices based on quantitative analysis of the life cycle
of the material and the environmental burden. These options are concerned with materials
that are cost effective, have high performance and are quality with respect to the amount
of hazardous waste produced over the product life cycle. The options are identified as a
result of looking at the possibility of using both recyclable and virgin items, and
reintroducing the material, at the end of the cycle into in the same product stream as
raw material o into new product stream
Manufacturing processes- options from this analysis are concerned with reducing energy
consumption while minimizing waste within different processes. The options are
identified by monitoring the inputs and outputs of the process.
Consumer utilization- here options are identified because of analysing the deleterious
environmental impacts during usage of the product.
Material recovery analysis- options are identified taking into consideration the possibility
of designing for recycle, remanufacturing and reuse of components or subassemblies. The
idea is to liberate components more easily at the end of the product life.
An effective improvement analysis depends on the undertaking an good interpretation of results
of the impact assessment in order to suggest options for improvement. When LCA is conducted
to compare products, the step may consist of recommending the most environmentally desirable
product. In such a situation, the main drivers for improvement analysis is to reduce burdens on
the environment by altering product or process and benchmarking a product to prove that one
product is environmentally preferable to another.
To be able to identify effective and implementable options from LCA improvement analysis,
good interpretation of results of life cycle inventory and life cycle impact assessment should be
undertaken by following the steps below:

Consistency and completeness check - Here assumptions, methods and data are checked
to see whether they are consistent with the goal and scope of the LCA study. It is done
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


for the product understudy and among the product compared. The compatibility of the
methods, models and assumptions with the goal that is necessary to check the
completeness of the LCA. This could be done by peer review and comparing the study to
similar one (Fiksel, 1996)
Contribution analysis – Here the contribution of various components of the LCA is
analysed. The best result from the contribution analysis is used to determine which
intervention can best be changed in order to reduce environmental problems in the
production system. This type of intervention can be identified if all linkages among the
different process are covered (Wenzel, 1998; Guinee, 2002).
Perturbation analysis – Here the effect of small changes in the parameter that describe
the system are studied on the overall results of LCA and the effect presented in the form
of indicators showing economic flow and environmental interventions. This is used in
improvement analysis and sensitivity analysis to identify areas crucial for uncertainty
(Wenzel, 1998).
Sensitivity and uncertainty analysis - Here the accuracy and the uncertainties in the
results and how sensitive the results are to uncertainty is also determined. This helps to
determine how robust a product is (Chen and McRae, 2003).
4.1.4 A conclusion for developing countries
Opportunity that will arise from here are social and cultural opportunities which are initiatives
and practices taken by indigenous individuals and scientist to prevent or reduce environmental
problems. ,. Exploration of traditional innovative ways and management systems could improve
industrial production processes and products.
Looking at actors causing environmental problems, the main objective should be to identify
opportunities to improve their knowledge and information system. This, coupled with exchange
of information among actors with the aim of improving the potential of learning and innovation,
would enhance their decision-making process.
The opportunities resulting from PiC should be identified by joint inquiry of stakeholders
focusing on performance and stakeholders that are in a position of providing opportunities in
their own practices. Networking among different organisations and departments in order to share
information about pollution management goals is a possible way out.
Design an approach to identify opportunity from PiC should focus on designing useful
interventions by recognising widely different yet equally relevant views of actors. Central
concern should be the improvement of human practices that are practical and fits the views of the
actors with regards to environmental issues. Holistic and inclusive approach is necessary to
stimulate discussion and a learning process among different actors and at the same time integrate
macro and micro perspectives in looking at human actions at different levels in society. focus
should be on sharing knowledge among relevant actors, rather than simply on extension on
efforts since what people know and what they do may be intrinsically related
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The presence of existing institutional structures, positive institutional changes (legislative
changes and the adoption of new policy statements and new approaches) may provide the
opportunity for carrying environmental management goals.
4.2 Option discovery based on normative concepts
In this section I discuss how opportunity can be realised from cleaner production, industrial
ecology and process and product improvements concepts to solve environmental problems.
4.2.1 Bases on “Sustainable product development”
From the consumption perspective, the basis for any product system definition is determined by
two broad objects (Schitovky, 1992): on one hand is, those products that are intended to prevent
or remedy pain, injuries or distresses in the form of basic requirement for human survival, and on
the other, those which are intended to supply some positive gratification or satisfaction. He states
that they may be conveniently named as defensive products and creative products. Making a
clear distinction between two types of products is very difficult since the need for creative
products will have significant influence on the need for defensive product despite the fact that in
some cases, one product often fulfils the purposes of both defensive and creative products.
Although the need for defensive products by human being are, to a large extent similar, the need
for creative products could exhibit higher variation depending on the specific socio-economic
and cultural situation under consideration. Furthermore, it is not easy to draw the line between
products that prevent pain and those that promote physical pleasure. This is because; it is
characteristic of the need for any defensive product, which causes distress while it is unsatisfied,
to cause positive pleasure as soon as it is in the course of being satisfied (Schitovky, 1992). This
makes defining “need” to be relative because what is considered a need of necessity for a
community in a developed country could be affluence for a community in developing country.
Another major factor that defines a given product system is the availability function, which is
influenced by two major factor inputs: resource availability and production technology. Most of
the basic needs for defensive products are elements of need that could be satisfied with the
consumption of the naturally available resources. However, satisfaction of the need for defensive
products and creative products and defensive products influenced by the need for creative
products, call for improvement in the availability function. This is evident in the improvement of
the availability function with the changing need for needs for defensive products. This
improvement is influenced by the dramatic development in human knowledge.
In the light of the preceding analysis, mankind is faced with two principal challenges with
respect to producing products that produce less pollution of the environment. On one hand, the
dependence of developing countries on natural resource and environment to meet their need for
defensive product is exceeding the regenerative capacity of the natural environment thereby
causing a major imbalance in the source function of the natural environment. On the other hand,
increasing the affluence based on product systems driven by the availability function in the
developed world is exceeding the assimilative capacity of the natural environment leading to
imbalance in the sink function. Thus, the promotion of sustainable production and consumption
would require addressing both challenges through the development of product systems that are
responsive to the source and sink functions of the natural environment. From a sustainable
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pollution management perspective, the most rational way of reorienting the existing product
system that is mainly driven by the availability function would be making sustainable products
available by satisfying the elements of defensive products and creative products. Thus, reducing
pollution in the production and consumption of products require a qualitatively reorienting the
availability-based satisfaction through sustainable product development.
According to the sustainable product development concept (Van Weenen, 1997), “products
should be viewed in the context of the systems in which they have been realised, in which they
will function and those that have been established for their treatment once they have become
waste product”. What this implies is that the product should not be seen in isolation from
societal, cultural, and technological context. A product is the expression of the transfer and
transformation processes through which it is produced. However, before a product is
manufactured, both the product itself and the manufacturing process have to be designed. This
means the environmental effects of the product are already fixed in the design phase since
environmental concern and design are intrinsically linked. As a result ‘eco-design which is
designing products with environmental criteria evolved in reaction to growing ecological
concerns.
With processes, the key notion is process improvement. Modify manufacturing processes by
substitutions or process modification to produce present day products more safely and with less
waste. Depending on the product and the pollution problem under consideration, waste and risk
reduction may appropriately by making changes at different levels within an industry and/or
society as a whole. It is important to note that substitutions can occur at a variety of levels such
process level, material level, strategy level and system level (Huisingh, 1989).
Eco-design is the development of products in response to the environmental crises through four
stages (Han van Werenen, 1997). The first stage includes the design approaches that mainly
focus on reducing the impact of products at the waste disposal stage. This is by designing
products that eliminate specific pollutants through change in composition, reduce material
recycling problems by changing the product design, facilitate multiple uses of resources as well
as facilitate the disassembly of complex products for further reuse or recycling. The second stage
of eco-design is to reduce the environmental impact at every stage of the product life cycle. Here,
products are considered as material objects that have history and future in terms of life from
resource extraction to product disposal. Their life cycle consists of various transformation stages,
beginning and ending with the environment. Thus, the second stage of eco-design focuses on the
environmental optimisation of product throughout its life cycle. The third stage of eco-design
considers product function in other to find a more sustainable way of providing it. The fourth
stage that is currently the central objective of eco-design provides a unique preventative
advantage to address the environmental impacts of products at the roots by altering design
decisions by focusing on the functions to be delivered through producers, systems and services.
Hans van Weenen (1997) emphasizes “the concept of sustainable development integrates aspects
of society needs, technology and natural physical conditions by addressing the origin and design
of products of any kind”. Thus sustainable product development is defined as ‘resource, context,
and future-oriented product development, aimed at the fulfilment of elementary needs, better
quality of life, equity, and environmental harmony (Han van Werenen, 1997).
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4.2.2 Based on “ cleaner production”
In the context, this research, cleaner production is used to refer to pollution prevention, waste
minimization and eco-efficiency. My reason for this is that, although they have slight variation
in terms of terminologies and approaches, the core element of all these concepts is the shift of
emphasis from how to threat waste to how to reduce and eliminate waste at the source of
generation. The idea is to eliminate waste at the source is essentially equivalent to maximizing
resource productivity at the firm level taking into account scarce environmental resources as
well as energy and raw materials, rather than simply minimizing pollution associated with a
given product (Ayres and Leynseele, 1997).
The official and worldwide recognition of cleaner production has been achieved through a
number of national and global projects. The UNEP Industry and Environment Programme and
UNEP/UNIDO National Cleaner Production Centre Network are two examples of this.
UNEP/UNIDO define cleaner production as “ the continuous application of an integrated
preventive environmental strategy applied to processes, products and services to increase ecoefficiency and reduce the risk to human and the environment. For processes, CP includes
conserving raw materials, energy, eliminating toxic raw material and reducing the quantity and
toxicity of all emissions and waste. For products, CP involves reducing the negative impacts
along the life cycle of a product, from raw materials extraction to its ultimate disposal. For
services, the strategy focuses on incorporating environmental concerns into designing and
delivering services” (UNIDO, 1999).
The above definition reflects the development of the preventive concept representing a shift from
being process oriented to also include products and services; thus extending the preventive
concept beyond traditional engineering domains. Consequently, a holistic and multidisciplinary
approach has been taken in which engineering, management and other competence areas are used
in a mix to find the most effective solution to pollution problems (Strahl, 1996). Cleaner
production means the continuous application of an integrated preventive environmental strategy
to processes, products and services to enhance efficiency, which leads to improved
environmental performance, cost savings, and the reduction of pollutants to humans and the
environment. This can be achieved by applying know-how, by improving technology and/or by
changing attitudes. Such an approach can effectively address the waste of natural resources since
pollution does not only lead to environmental degradation but also to a sign of inefficient
production process and management.
The central tool used in cleaner production is the cleaner production assessment framework. The
basic reference is the US EPA Waste Minimization Opportunity Assessment Manual from 1988,
which describes the cleaner production assessment procedure or waste minimization opportunity
assessment procedure (US EPA, 1988). The assessment procedure below describe the essential
elements and steps undertaken at the company level, in order to move from mere recognition of
the need to improve environmental performance to implementation of cleaner production
measures.
 Planning and organisation phase – this is where the need to reduce waste is recognized
and commitment from management sought. Overall assessment goals are set
assessment programme task force organized.
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


Assessment phase – here process and facility data are collected and prioritized to select
assessment targets. Stakeholders for the assessment teams are selected. Sites are
inspected and data reviewed to generate, screen and select options for further study
Feasibility analysis phase – in this phase the options selected are evaluated technically
and economically to select suitable options for implementation
Implementation phase - is when projects are justified and funding obtained in order to
install equipment and implement procedures. Projects that are not implemented,
assessment are carried to select new targets and previous options re-evaluated.
The key elements of the cleaner production assessment framework which lies in the analysis of
the process, a good analysis of the inefficiencies and their root causes render many improvement
options visible and obvious include:
 Characterize the process steps by using flow diagrams, which show interrelation
between parts of the process and also identify sub-parts that need closer investigation.
This requires a thorough understanding of energy and material flow in the process.
 A Root cause analysis technique is used to identify and structure the causes of pollution
problem. The basic diagram used which consist of our root causes of pollution consist
of methods, machines, people and material. The root cause analysis technique
illustrates that causes are not only technical; there exists variety of causes for a
problem.
 The generation of options for environmental improvement is the overall objective of
this analysis. This is easy if previous steps have been performed even though the
methodology varies with the type of improvements. More substantial changes in the
processes may require a closer analysis of the operation.
A multidisciplinary preventive strategy, involving training, education and design, faces the risk
of losing out to more tangible solutions. Furthermore, a multidisciplinary preventive strategy
having a broader focus than production processes must come to include not only technological
systems but also stakeholders (customers and suppliers) interacting with these systems. Thus, the
identification of improvement areas beyond technical improvement must be sought after. More
explicitly, areas of concern could be expressed as (Geiser, 1997):
 The system problem - For a lot of good thinking about supply chains and industrial
linkage, cleaner production remains largely focused on industrial facilities with little
attention given to systems of production and issues of consumption.
 The legal problem - The environmental regulatory infrastructure of most nations
promotes end-of-pipe approaches and staff and permits focus on what passes between
the boundaries of the facility and the public. Cleaner production is about what goes on
inside the facility, between the facility and with the customer and consumer.
 The technology problem – The pollution control market remains large and more vital
than the cleaner production technology market. The use of pollution control equipment
generates employment, and adds to gross domestic product figures. Cleaner production
is often touted as a way to save operating expenses, but is salient on issues of increased
sales, profits and jobs.
Currently, developing countries have a lot of opportunities for cleaner production strategies
because of the new industrial facilities that are being built. Since as argued by Hirchhorn (1997)
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‘when opportunities for cleaner production are lost, they may be lost for along time. The
introduction of cleaner production strategies in developing countries will enable industries and
society to achieve optimum resource (energy and raw material) consumption per unit product
through improved production efficiency. This is because it would be based on the utilization of
the existing local industrial skill and capacity that is reflected in the combined form of the
simplest common sense with the highest level of creative thinking. The result would be an
improvement in the competitiveness of industries in developing countries which will eventually
result in improved environmental quality.
To promote the use of cleaner production in developing countries require the that the challenges
facing the adoption of CP in developing countries it dealt with through the following three main
approaches:
First is addressing technological challenges. Addressing technological challenges hindering the
use of CP may be through improving the technical and managerial skills and capabilities in
developing countries. This calls for a concerted action to improve technology and capacity
networks, which comprise all stakeholders involved in the development, operation, evaluation
and promoting CP since their collaboration may greatly enhance the likelihood of the successful
adoption of the respective technologies. In the light of this, technology network may be enhanced
by first, the identification and select CP needs and opportunities taking into account potential for
using local available resources and technologies and the openness of stakeholders to emerging
environmental technologies, and also overcome institutional and cultural barriers and deal with
the cost of technological options. Second, enhance CP technologies through development,
transfer and dissemination by developing an action plan that will accelerate both the
dissemination of proven technologies and the development and application of new technologies
through the assessment of their potential. This may be either short-term action plans, may
concentrate on capacity building activities and policy measures that will enable the widespread
application of proven CP opportunities or long-terms action plan that concentrate on actions such
as identification and assessment of new CP technologies and stakeholder networking that support
technological development on ‘break through’ CP technologies.
The second is
addressing financial challenges. It is proposed that financial challenges
associated with the use of CP in developing countries should be dealt with through primary
financing strategy and supportive strategy. Primary financing should be the main source of funds
used to promote CP activities and technologies. This can be either by groups of end-users
coming together by industry or size in order to take advantage of similarities in end-user
creditworthiness or through the formation of associations that has the potential to bring together
end-users of similar proven CP equipment technology. In addition, increasing the participation of
commercial credit providers that may be the source of finance for CP technology or may act as
financial intermediaries in financing CP since they may understand the merits of CP investments.
Also special-purpose funds with a well structured, well-planned and targeted may be a good
strategy to finance CP in developing countries. Supportive strategies to address financial
challenges are related to organizational, institutional, economic improvements and industrial
and technology policy development that should be used to promote CP. Its should involve the
establishment of cleaner production service companies or remodel existing cleaner production
and environmental sound technology centres into such service companies. The CP service
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companies may help in the identification, development, implementation and evaluation of CP
investment projects. It is also important to strengthen the organizational capabilities of policy
makers, industry associations and other NGOs as well as enhance capacities of financial and
technical institutions engaged in the promotion of cleaner production technologies. Initiating
specific reforms in government policies such as financial incentives or trade liberalization to
support economic rand sustainable economic growth in general may also be beneficial for
financing CP. This may help to develop and introduce industry and technology polices that will
increase market penetration of cleaner production-related goods services. This may be done by
increasing the local availability of CP equipment, technology and services through local
manufacturing and distribution, and will eventually increase the use of CP equipment, and
technology in developing countries.
Third is adopting an encompassed approach. The use of an encompassed approach adopting CP
in developing countries should involve the promotion of a more holistic and customized CP
concept as the basis for a more outward looking and synergy-searching attitude. That is,
developing countries have to promote the adoption of an overarching idea and opportunity that
fit this overarching idea in industries. This mean adopting CP that demands customizing service,
product, production, technology, reuse approaches to the task at hand.
4.2.3 Based on “Industrial Ecology”
The concept of industrial ecology was conceived years before it appeared sporadically in the
literature in 1970s that marked the early years of the United Nations Environment Programme
(UNEP). The main idea behind Industrial Ecology is to understand how the industrial systems
works based on the principle of material balance, how industrial activities are regulated and its
interaction with the biosphere; then on the basis of what we know about the ecosystem, to
determine how it could be restructured to make it compatible with the way natural ecosystems
function.
Currently, there is no standard definition of industrial ecology. However, whatever the definition
may be, all authors more or less agree on at least three key elements of the industrial
ecology/metabolism perspective (den Hond, 2000):
 It is a systemic, comprehensive, integrated view of all the components of the
industrial economy and their relation with the biosphere.
 It emphasizes the complex pattern of material flows within the outside and the
industrial system, in contrast with current approaches, which mostly consider the
economy in terms of abstract monetary units, or alternatively energy flow.
 It considers technology development as crucial but not exclusive element for the
transition from the actual unsustainable industrial system to a viable industrial
ecosystem.
According to Ayres, (1994), “the industrial system as it exists today is unsustainable”. Based on
material cycle analysis, it would appear that industrial society has drastically disturbed, and is
still disturbing the natural system (Simonis, 1994). Curbing this is by reducing the dissipative
losses by near –total recycling of intrinsically toxic or hazardous materials, and increasing
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economic output per unit of material input. This recent move by industrial experts seeking
solution to pollution problems has resulted in the modification and restructuring of existing
patterns of energy and material use from high volume production to high value production
(Simonis, 1994). This orientation reflects new and potentially strong environmental priorities.
The hope of the reconciliation between economy and ecology and the envisaged “industrial
metabolism” relies on the premise that a reduction in the energy and material input of production
will lead to a reduction in the amount of emission and waste.
This will then help to facilitate the potential for recycling and promote the option of intentionally
closing cycles in industrial society.
Currently, two main directions are explored in Industrial Ecology in other to complement and
improve current wisdom in pollution management (Truman, 1997). One direction is the local
application of the principle of industrial ecology in “eco-industrial development” and referred to
in some literature as eco-industrial parks or island of sustainability (den Hond, 2000). The other
is dematerialisation, which explore ways to reduced intensity of production and consumption at
the societal level.
The conceptualisation of eco-industrial development is based on relating the ecosystem concept
with industrial clusters 1 and the resource cascading theory 2. With this in mind, eco-industrial
development is a food web created between industries by the waste of one used as resources by
another. That is, eco-industrial development is a community of different local administration,
manufacturing and services industries seeking to enhance environmental and economic
performance through collaboration in managing environmental and resource issues. By working
together, the community of businesses try to achieve a collective benefit that is greater than
individual benefits each industry would realise if it optimised its individual performance. The
goal of Eco-industrial development is to improve socio-economic performance of the
participating companies while minimizing their socio-ecological impact. Besides the desirable
socio-ecological and socio-economic perspectives, eco-industrial development seeks to
demonstrate the proposition that business and environmental success can be linked and mutually
supportive in ways that enhance the surrounding communities and the natural environment.
Several conditions for success however need consideration. Some of these are, a clear vision of
the community values and performance objectives, careful screening of existing and new
companies, methods and information to support companies in their production and management
strategy. Even though eco-industrial development looks promising, it is faced with undesired
resource dependencies, technological lock-in, leaking of information, and uneven quality (Lowe,
1997) among industries.
Dematerialization on the other hand refers to the absolute or relative reduction in the quantity of
materials used and/or the quantity of waste generated in the production of a unit of economic
output (Cleveland and Ruth, 1998). That is dematerialisation seeks to optimise the total material
cycles from virgin material, to finished material, components, products, and ultimate disposal so
that the economy functions as indefinitely sustainable (Graedel and Allenby, 1995).
Dematerialisation is a strategy to optimise the flow of materials within the economy, which is
largely based on technological evolution. As noted by De Bruyn and Opschoor (1997) a ‘change
in market and demand and material substitution is a way to achieve dematerialisation.’ This is
because dematerialisation depends on the relative importance of the rate of economic growth
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measured as income and the rate of efficiency gained in material use. And for dematerialisation
to occur, it is necessary that the rate of efficiency gains must be greater than the rate of economic
growth since efficiency gains in productivity are used to increase production. I argue that
dematerialisation will only be fully observed when radical structural or technological change
occurs in other to determine the form and concentration of materials dissipated into the
environment. This is because current industrial ecology exposition leans towards turning waste
into new products while unavoidable leakages receive less attention.
One option from dematerialisation is the transition from products to services where the focus is
on product-based services. Here consumers do not buy products but instead pay for services.
This create the involvement of the producer with the product in its use phase. This option
encourages producer take-back, leasing and pooling arrangement instead of buying and selling.
This option is based on the understanding that value is not created by creating a product with a
certain value added but by the function that is provided by the producer with the product being
a means of delivering the function. This option can be developed through the use of three main
principles (White et al, 1999).
The above concepts can be effectively used in developing countries. Although some of these
countries are relatively rich in natural resources, their availability to the local society is often
limited. The two concepts which main to maximise resources productivity, should be central to
the economic and development planning process. This would greatly enhance the economies,
quality of life and sustainability in developing countries.
Since in developing countries most decision is centred on resources, a resource flow analysis
should be used to understand the various resources flows in area and use it for planning. Such
an understanding could help societies and communities assess the opportunities available to them
by maximising productivity of limited, and to more fully assess the threat from of the use or
misuse of the resources. It could take the format presented in figure 4.
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Resources
Geographical area
Region, community, household, district,
municipality etc.
● Waste to environment
● To recycle
● To reuse
Finished products
Figure 4.2 Resource flow diagram in a geographical area
4.2.4 A conclusion for developing countries
In the context of developing countries, the issue of sustainable product development includes
subjects such as development, poverty, trade, population and social/cultural conditions. In order
to comprehend sustainable product development, the assimilation of technological components,
psychological, political and economic elements in a holistic view is required. In this way,
sustainable product development addresses both the demand and supply side of the economic
equation (Jansen, 1995). Looking at the possibilities for sustainable product development in
developing countries, much knowledge exists about utilising industrial products. For instance,
rediscovery of local raw materials and the upgrading of indigenous and existing processing
technologies can provide new opportunities for the filed of product development in developing
countries. According to El-Mosley (1997), the discovery of local raw materials means imagining,
thinking, designing, carrying out research and producing prototypes with the objective of
developing new uses of local materials. The above discussion indicates that in principle, ideas
and technologies from developed countries can be combined with those of developing countries
to improve product development prospects. Such an approach may provide a sound basis for
sustainable pollution management through proper product development in developing countries.
Developing countries have a lot of opportunities for pollution prevention strategies because of
the new industrial facilities that are being built. Since as argued by Hirchhorn (1997) ‘when
opportunities for pollution prevention are lost, they may be lost for along time. The introduction
of pollution prevention strategies in developing countries will enable industries and society to
achieve optimum resource (energy and raw material) consumption per unit product through
improved production efficiency. This is due to the fact that, as an integrated industrial
intervention, pollution prevention would be based on the utilization of the existing local
industrial skill and capacity that is reflected in the combined form of the simplest common sense
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with the highest level of creative thinking. This will improve the competitiveness of industries in
developing countries, which will result in improved environmental quality. Finally, the
promotion and implementation of pollution prevention will aid in the development of science
and technology capacity, which would be responsive to the countries specific needs and
demands.
By adopting this resource flow analysis concept, actors in developing countries consider how
they might leverage the availability of the resources they have to their advantage and sustained
operations through a window of opportunity such as the establishment of new linkages between
industries in different industrial sectors. For example a complex if manufacturing or agricultural
industries could be set, where one industry uses the wastes of the resulting in efficient use of
resources. In actual fact, industrial ecology is a concept that may advance positive radical change
in industrial resource efficiency and, consequently reduction in environmental pollution
management strategies in developing countries. However, specific application of industrial
ecology concept in developing countries might take different forms and depths depending on the
scope of the region, the nature of industrial activities in the geographical location, and the
desirable objectives to be achieved. In most cases, a single material flow or branch-activity
focus might be more fruitful. However, in other cases, a comprehensive and integrated approach
is essential in order to bring about a long-term and sustainable impact. With non availability and
accessibility of data, and the huge informal sector involve in industrial activity resources flow
analysis should be used in a qualitative manner to establish trends the would provide sound
background sustainable development planning and decision making.
4.3 Option discovery based on creativity
This section presents the resources and skills that human beings have which could be exploited
to generate opportunities to deal with pollution problems. My idea is to show that the could be
vital tools in the identification of opportunities and not critique the theoretical underpinning of
these concept since that is beyond the scope of this study. Before I review the tools I discussed
action learning which a major principle against which creativity identification is associated in
this study.
4.3.1 Action Learning summarised
Definition
There a lot definition of action learning (see, Howell, 1194, McGill and Beaty, 1992, Koo, 1999,
Smith 1997 Keys 199, Bourner et al 1996. In all these definitions, Smith (1998) referred to
Revans work as a form of “exquisite simplicity” that represents enormous complexity. Lietch
and Harrision (1999) cite Revans who distinguished between two interdependent learning
variables namely “programmed knowledge” that embraces facts, theories an existing models,
which are normally integrative to traditional learning paradigms and “questioning insights’ that
resembles an alternative way of solving problems by means of questioning methods based on
existence of unknown solutions.
Revans (1987) categorise programmed learning as the traditional learning methods by means of
which occupations like engineers’ mechanics and administrators are educated. Questioning
insight on the other hand suggests that the current state of affairs need t be questioned in an
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active mode of delivery and also motivates learners to question the programmed phase of
learning. Thus effective action learning in experiential learning context is where learning by
doing is combined with theoretical knowledge as a platform to gain insights. Revans works
suggests an unimportant role of programmed knowledge in actions learning. However, it is
important that programme knowledge that is related to the issue to be solved should form part of
the process. This point is echoed in Robinson (2001) who states that the integration of
programmed knowledge is supportive to action learning and shows empirical evidence of that.
This provides the reason for me to include creativity as a tool for identifying opportunities.
Principles of action learning
Mc Gill and Beaty 1992 cite the model developed by Pedler et al. (1986), as way of capturing the
principles of action learning. This model will serve as the platform inn the development of a
model that will use creativity in opportunity finding.
1. Experience
Observing and
reflecting on the
consequences of action
in the situation
4. Action
Acting or trying out the
plan in the situation
2. Understanding
Forming or reforming
understanding of a
situation as a result of
experience
3. Planning
Planning actions to
influence the situation
based on newly formed
or reformed
Figure 4.2 Principles of action learning. (Adapted from McGill and Beaty, 1992)
The Experience stage involves observing and reflecting on the consequences of action in the
situation. This stage requires considerable insights into similar actions.
Understanding is the next stage of action learning. Here understanding are form and reformed as
a result of the situation. The idea is to have a full grip of issues related to the action and the
action itself based on experience gained.
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After the situation has been fully understood, actions that would influence the situation based on
the understanding that was got from formation and reformation of the situation would be
planned. An implementation plan is developed for the action developed.
The action planned is finally tried out the situation to correct the situation. If situation is
corrected, mistakes are learnt and improvements made to the action plan. On the other if the if
the situation is corrected, lessons are learnt and improvement are made.
4.3 2. Tapping local knowledge
Participatory local appraisal
The concept of local knowledge has its roots in the idea of indigenous or traditional knowledge
management systems. The understanding is that because of the close ties indigenous people have
with the environment and natural resources, people develop, by trial and error understanding of
the ecosystem in which they live thereby not degrading or polluting it. The survival of
indigenous people depends on maintaining the integrity of the ecosystem system from which
they derive their livelihood hence mistakes are usually not repeated.
Participatory local appraisal is the method for studying local knowledge systems. It is where
semi-structured, activity carried out in the field by multidisciplinary team and designed to
acquire quickly new information on, and new hypotheses about rural life” (Conway and
McCracken, 1990). The following methods are identified for use in different combination for
participatory local appraisal (Conway and McCracken, 1990, Mitchell2002).
 Interviews- this is where local people are asked questions in an informal manner based on
key with the view to exploring other issues within the local system.
 Direct Observation - this is where the normative person observes events, processes,
relationships or patterns in the local systems where knowledge is being sort while
gathering information.
 Visual models - it is the use of diagrams be the both the local people and the normative
person to know the knowledge system of local people.
 Workshops - this is where the normative person meets with the local people whom local
knowledge is being sort to examine the information collected, share analysis and
interpretations, consider opportunities and look for initiatives.
 Story telling - this is where the normative person and the local people tell story from
which the local knowledge of the people are identified
Participatory local appraisal methods allow local people to participate in local knowledge
tapping through a learning process with the information ultimately owned by the participants.
This happens because local people have a greater ability to assess their situation better than
normative people. Through the use of these methods a relaxed rapport is established with the
local people leading to easy flow of information and communication. The use or combination of
these methods will depend on the
Participatory local appraisal methods have the potential to identify opportunities for pollution
management. The following limitations have to be taken in consideration when using the
participatory local appraisal methods (Chambers 1994 and Mohan 1999).
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Focus groups
Focus groups discussions typically consist of 6 to 10 people often with some shared
characteristics participating in an informal session in which their key concerns and expectations
and worries about pollution problems are elicited. It provides a forum for identifying and talking
about concerns of participants, which often results in useful insights to pollution management.
There is usually a facilitator with the desired goal of having a better understanding of the
participants reasoning about environmental problems and actions (Morgan, 1998).
The use of focus may help draw upon insights of knowledgeable people and in general probes
people’s values and identifies what fundamentally matters to them. Thus, focus groups can be
used to obtain information about what they already know, the additional information they would
like to receive, and how this information would be processed in terms of the underlying values.
In this context, focus groups may be used to examine the basis for people’s risk perception, to
pre-test risk communication material and to design more effective risk mitigation policies that
can be tailored to the special needs of particular stakeholders (Desvousges and Smith, 1988).
The main advantage of focus groups discussions is it is less expensive but able to target
questions of concern even though in general, it may be confronted by group dynamics. An
example of focus group discussion is when a representative group of people has been formed in a
community or organisation to discuss preferred approaches for reducing pollution problems.
Advisory committees
Advisory committees is made up of small groups of people from diverse social, academic,
religious backgrounds and neighbourhoods, who have experts’ views about pollution problems
and have a combined group discussion in order to find possible solutions by evaluating pollution
issues in terms of perception and reaction of people as well as economic and risk factors. It is
used to determine values when a group of individuals interact
Advisory committees require a high degree of commitment and provide a forum for identifying
and talking about concerns of participants. They are used in the design and dissemination of
information towards finding solutions to problems. It is crucial for members of the committees to
know their role and their mandate has to be clear and should also have prior information about
available and feasible management strategies.
Facilitators are used to put the committee’s work in progress and positive discussions are
initiated and presented information in a clear and understandable way to members and the public.
However, Liette et al (1997) noted that ‘the diverse values and priorities of members and issues
related to pollution considered require the use of indicators in order to summarise issues to speed
up the process and increase the chance of reaching consensus about a problem.’ Typical draw
back to this approach is getting an agreement on concerns from experts who tend to analyse the
problem at hand differently.
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4.3.3 Enabling creativity
First of all, I would like to explain what creativity is about. Creativity is the ability to look at the
same things everyone else does, but see things differently and find hidden connections to create
something new. That something may be a campaign against an activity that is causing serious
pollution in an area or a better way to organise ones activities that would lead to pollution
(Weiss, 2002). Creative jumps therefore is basically doing something that everyone else and
finding ways to create something to improve the situation.
The scientific process of defining creativity is a continuous effort covering a number of decades
or research and reasoning. More than 100 definitions were formulated too describe the rather
enigmatic concept over time and several attempts are documented both literature and popular
literature. The scope of this section is not to define creativity extensively but rather to apply it the
identification of opportunities for dealing with pollution problems.
I used the definition classification framework of Couger (1995) definition of creativity which
states that creativity consist of:
 A creative person is a function of expertise (knowledge of technical, procedural and
intellectual aspects), creative thinking skills (all cognitive creative processes e.g.
inspiration, imagination, flexibility and combining the non conventional idea into a novel
idea and motivation (desire to solve a problem or the drive to create an opportunity)
(Amabile, 1999).
 A creative process is the mental and action-driven requirements needed in each stage in
order to develop a new idea, product, service or process (Nystrom, 1979; Williams,
1999). The process involves awareness and interest, preparation, incubation, insight and
verification stages. These stages will be applied and
 A creative product- is the result of creative thing. The product can be seen as anything
new that results from creative thinking or applying creative technique that encompasses
creative thinking
 The press- is the context within which creativity takes place. This can be the educational
environment or the work environment. Conditions in the context such as openness to
experience, ability to toy with elements, internal locus for evaluation and concepts and
barriers in the environment, environment affect the level of creativity
This definition will form the fundamental basis for which creativity would be applied and test
in the study
How to be creative
Most productive and creative people use techniques in the form of deliberate thinking process
that are design to help them find ideas and solve problem. Most of these thinking processes are
strategies that are not complicated. Nevertheless, the following strategies have worked for a
number of people who are creative (Davis, G.A, 1992).
 Analogical thinking - the transfer of an idea from one context to a new one
 Brainstorming- where a wild, even preposterous ideas are devised and every one jotted
down with criticism and evaluation taken into consideration
 Attribute listing - is a specific idea finding technique where the key characteristics or
attributes of product or processes in question are identified.
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

Morphological synthesis - is where attribute listing are elaborated through changes, idea
combination, synthesis to arrive at different surprising combinations
Idea check list –
I must say here that, none of these techniques is guaranteed to identify opportunities to solve
pollution problem. But they can help you find ideas without forcing you to wait for an
uncooperative muse.
Notwithstanding the strategy adopted, the way every manufacturing process has a sequence that
is flexible and based on variations in inputs or desired inputs, the same is true of creating ideas.
An effective sequence for thinking goes a long way to towards raising the odds of achieving
effective results or opportunities.
To find our creative self, one has to ask himself what he would do if there were no boundaries to
a pollution issue. This simple exercise would help one to step beyond his perceived limitations to
dealing with pollution problems and look for answers. This would help move from the “this is
how we have always solve the problem” habit but rather try to maintain an open and imaginative
mind that would hep use see all possibilities and how to achieve them.
To be creative means you have be ready to response to issues that come your way since
creativity alone starts when there is trigger (the seemingly innocuous events that lead people to
say “aha”-are everywhere) to response to. These triggers when carefully noted are present in the
events (dissatisfactions and satisfactions) of everyday. In the following paragraph I present a
situation where s a typical trigger that resulted in creativity.
Teflon was invented by accident, however its application to myriad products was possible
because curious chemist did not throw away the accident but rather played with it to learn more
about its properties and discovered that it could solve certain problems better than any other
substance (Altier, .J. 1993). One thing that is clear here is whether it was a creative application
or a better satisfaction with Teflon, the triggers were seemingly mundane happenings. This type
of events undoubtedly happens to a lot of people faced with pollution problems but they
apparently do not pursue them.
The situation present above is a common occurrence in our present day activities, l feel it is
important to have a scheme to help people be more creative in their effort to manage pollution
problems. Base on my own experience I have noticed the following three brightly illuminated
signs even though they may look odd would guide us to be creative towards finding solution to
pollution problems:
 Try to forget everything you know about the problem by attempting to create ideas to
destroy the familiarity and relationship of everything you know about the problem.
Before the unset of pollution prevention, pollution control was the main way to deal with
pollution problems and every actor was a prisoner of that familiarity.
 After destroying the familiarity and relationship with the problem, you are left with a rich
reservoir of bits and pieces of information, a vast storehouse of unconnected facts and
fantasies, thoughts and ideas that do not mean anything until you select and assemble
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
them into a coherent whole. The pieces are means to an end but they are valueless as they
stand.
Finally rearrange everything you know and look for new relationships among the pieces
by using a new form of arrangement
Barriers to creativity
I must admit that being creative is not easy. There are definitely barriers. We need to do to
develop his creative abilities is to recognise and own up to the obstacles that devise creative
ideas. Buggie F.D (1997) in his work identifies the following barriers to creativity:
 It is non fun to make a mistake, since you may only get one chance to make a mistake, on
that you get clear blame for. After making that mistake you have be more careful next
time not to repeat the same mistake but take a different and safe course to do things the
proper way. This could be through the use of organisation traditions and knowledge that
is available. In actual fact there is no sense taking chances or trying something that you
know may go wrong.
 People sometimes try to justify everything they do as way of keeping the status quo of
pollution management. They tend to view new ideas as sources of problems and are
afraid of change thereby trashing creative ideas that will never have the chance to be
evaluated.
 The feeling of ‘I was right, so I can not be wrong’ prevents people from making great
contributions. This has worked against people coming out with creative ideas since other
people are not prepared to accept other people creative ideas. Also, those who are also
creative genius seems to rest on their reputation because they are afraid to take chances
that will tarnish it.
 Other mental blocks such as follow the rules, be practical, to err is wrong, do not be
foolish, that is not my area and play is frivolous inhabit our ability to be creative
The barriers to creativity presented a blow seems overwhelming; however, they can be
overcome. One just has to be creative in how to show your creativity. Here I try to give some
hints at how to jump over the barriers present above. To remove obstacles to creativity and
logical thinking Schutz, W. (1994) suggest we must identify the hurdles at each stage of the
creative process.
Creativity and opportunity finding model
The focus of this section is to illustrate how creativity can help in the identification of
opportunities. This reason for this is most frameworks for pollution management do not consider
creativity as one of the tools for finding opportunities. This model is based on the discussions
presented in the previous sections. The model endorsed the use of action learning, although
certain level of theoretical interventions takes place within the framework of creativity and
opportunity finding in a context. The principle of action learning within an experiential learning
framework that the model is based is discussed in section …
My decision to make use of the action learning approach was based on the opinion of Cusins
(1996), which clams that action learning is the result or holistic augmentation of the experiential
learning, creative problem solving, acquisition of relevant knowledge and co-learner group
support.
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The main characteristics that are emphasised in the model are thinking through reflection and
action
supported by experience. The actor who learns is not only suppose to be linked to closer to the
activities that causes the problem, but also become part of the hard reality of the environment
within which the activities take place. Figure presents the platform for the development of the
model.
Stage 1
Creative person
Pre-assessment of individual
creativity through theory or
practice
Conventional learning
environment
Stage 2
Creative process and press
Opportunity finding
Idea generation
Opportunity and creativity
assessment
Stage 3
Person, process, press & product
Creative opportunity
Unconventional learning environment (action learning)
Figure 4.4 a model for creativity and opportunity finding to deal with environmental issues
Stage 1
Here the creative person assesses his or her own level of creativity. The level of creativity could
be increase by acquiring theoretical knowledge in creativity and innovation or through
motivation by other actors or the motivational components of the actor. Based on the above, the
following conclusion can be drawn a way through which creativity could lead to the
identification of opportunities:
 The actor should be introduced to the world creativity that will eventually lead to the
identification of opportunities. Here basic theoretical concept should be explored with
emphasis on secondary research and literature. With
 The actor should evaluate the structure and unstructured nature of creativity by means of
specific creativity techniques that would facilitate the process.
 Actors should identify all barriers that may prevent them from thinking and acting
creatively.
 Actor himself determine how creative thinking can be used to identify opportunities to
solve pollution problems in different situation
 The actor should identify and understand all the process in gathering relevant data and
information necessary for opportunity finding and sound decision making
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

After data and information has been analysed, actors need to generate ideas to exploit
identified opportunities to solve the problem
The actor then selects the most suitable idea to exploit the opportunity with an
implementation plan developed.
Stage 2
The actual should creativity starts at this point in time. The knowledge that the actor acquired
about basics creativity, innovation and application thereof now commences. The first action
should be to demystify the concept of creativity and allow actors to realise the impact of
creativity after which all the creative techniques obtained should then be applied in a real-life
situation or context for the actor to identify opportunities within the context.
This stage is then followed by an intensive idea generating process that should be highly
exhaustive and unrelated related issues should be used to generate new insights. The actor should
then be introduce to related issues and problems on the surface to create the platform for the use
of idea generating skills to identify and analyse opportunities.
The actor should be continuously aware of the fact that the fundamental outcome of the course is
the identification of opportunities that will help solve the problem. The assessment of the
opportunities then takes place and the actor chooses the best opportunity that will
Stage 3
At this stage the person the process and the press all are combined to identify a creative
opportunity. This is the visible actions and tools identify as opportunities to with pollution issues.
4.3.4 Based on “Serendipity”
In the context of seeking information that would to finding opportunities, “serendipity” is
something of a paradoxical concept. While being perceived as valuable, it is at the same time
elusive, unpredictable and – at least at first sight- not subject to either the understanding that
would enable it to be “used” as a conscious information seeking strategy through which
opportunities can be found. Possibly for this reason serendipity does not figure in frameworks
used management pollution problems.
Serendipity is defined in the Oxford English Dictionary as: “The faculty of making happy and
unexpected discoveries by accident”. Thus, serendipity is finding something unexpected and
useful while searching for something else entirely. It has been considered in literature to form an
integral part of the creative process in the arts and humanities, social sciences and the sciences.
In each, however, the experience of serendipity may be different.
Here I would look at two main attributes of serendipity. First, serendipity has been thought of as
the product of mental preparation, of an open and questioning mind. As Rosenman (1988) for
example noted “By realising that discovery involves a dynamic interplay between conventional
scientific methods and chance in all of its forms, and by cultivating an aptitude for serendipity,
scientist could enhance their investigative powers” Rosnman (1988) points to the discovery of
penicillin (see box 4.1) and the importance of the will of the questioning mind to view data from
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several perspectives. Second, serendipity been thought to have a role in revealing enabling
hidden creative connections. For example, the hidden analogies are revealed in through
serendipitous links between information sources (Cory, 1999).
Serendipity seems to play an important role in every discipline because of its role in connection
building, creativity and discovery. This attributes possibly originate in the preparation of the
mind that allows subsequent recognition of the serendipitous when it is encountered (Seifert et
al, 1994). This understanding makes serendipity an essential tool to aid the process of discovery
that would result in opportunities to deal with pollution issues.
Opportunity finding as way to dealing with pollution issues has been at the centre of debate for
some time now. In concept of serendipity eventhough as played some role in finding solutions to
pollution problems (see box 4.2), its value has not be highlighted in pollution management
framework. In spite of the fact literature has provided some support for the view of serendipity as
purposive or active phenomenon with the ability to creative solutions to problems.
In environmental education for instance, serendipitous way of learning combined with action
learning would improve the creativity of the actor. Since it require the actor to notice and take
advantage of, circumstances which cannot be predicted, but which engages and enhances the
actors’ learning. These circumstances might have their generation from the actor or from events
around the actor. In the next paragraph I try to demonstrate how serendipity could be used in
finding opportunities to deal with pollution issues.
Here I try to present a scenario that shows how An example is dealing with a particular problem
through action and passive learning and by good and greatest chance the real world provide a
superb illustration of the of the issues and problems. Then take the opportunities that have so
fortuitously arisen to respond to the real issues that the actor could see emerging in the
environment around. By so doing the actor would demonstrate understanding and learning which
they could not have acquired in any other way. What happens, in such a situation is
 The actor through his understanding of technical issues would propose options that
address the pollution issue.
 The actor will demonstrate a real insight into the socio-technical processes which
underlie the actions undertaken in the modern world
 The actor would bring their skills, humour and personality into whatever they are
doing
The above attributes been attributed to serendipitous mode of identifying opportunities to deal
with issues, I believe it is particularly appropriate to engineering aspects.
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Box 4.1 Serendipitous discovery of Penicillin by J Sir Alexander Fleming (source: Wikipedia, the
free encyclopaedia)
Sir Alexander Fleming started the research that led to the development Penicillium notatum from
which he discovered penicillin. Fleming’s discovery happened entirely by accident. His
laboratories were usually in disarray, which led to be to his advantage. On day he was sorting
through the many idle experiments strewn about his laboratory. He inspected each specimen
before discarding it and noticed an interesting fungal colony had grown as a contaminant on one
of the agar plates streaked with the bacterium Staphylococcus aureus. Fleming inspected the Petri
dish further and found that the bacterial colonies around the fungus were transparent because their
cells were lysing (breakdown harmful bacteria cells). The importance was immediately
recognised, however the discovery was still underestimated, initially used to clean his glassware.
Fleming worked with the mould for some time, but refining and growing it was a difficult process
better suited to chemist. In part by believing its effect may only hold valid with small infections
and further by not being well received within the community, the drug was not developed for mass
distribution until World War II when Howard Floery and Ernst Boris Chain developed a method
of purifying penicillin to a form that was useful for medical treatment of infection.
The idea here is opportunities for solving certain pollution problem could arise from actors
undertaking certain activities which are not in any way related to the pollution problem.
With the discussion presented I above I think I have been able to convince you that serendipity
even though difficult to conceptualise has the potential of giving rise to opportunities. I must
however admit that serendipity is a difficult concept since it is by definition not particularity
susceptible to systematic control and predictions. As such its existence, nature and attributes are
suitable, particularly in the early stages of finding opportunities. Despite the difficulties
surrounding it that it is a relatively fuzzy sensitising concept, serendipity appear to be an
important component in finding opportunities from the real world
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Box 4.2 Serendipitous discovery of Silly Putty by James Wright (source: Wikipedia, the free
encyclopaedia)
Silly putty is silicone plastic clay, marketed as a toy for children by Binney &Smith Inc. It is
another one of those scientific “oops” on the way to solving another problem. That is finding a
rubber substitute for the United States during World War II.
Silly putty is a .47 oz glob of plastic clay with unusual characteristics. It is packaged inside of
an egg-shaped plastic container. When pressed on comics’ pages or other newspaper media,
the loose ink transfers to the silly Putty, which is then able to be stretched out, a source of
amusement for many children. It bounces, revealing its rubber roots, yet it breaks when given
a sharp blow. Even though it seems like a solid, it is actually a dilatant non-Newtonian fluid.
As a dilatant liquid, it will melt into a puddle over a long enough period of time.
Since 1980s silly Putty has been available in various colours, concluding glow-in-the-dark and
metallic, and colours can easily combined to make new colour shades.
The origin of Silly Putty is controversial, as is typical of many inventions. Two researchers,
working independently during the same time period, both came upon the product separately.
The world may never know who actually the first was.
Silly Putty was accidentally invented by James Wright of General Electric when he dropped
boric acid into silicone oil. He was looking for a substitute for artificial rubber. GE supplied
the newly discovered dilatant compound to researchers around the world. None found the use
for it be they loved to playing with it.
Earl Warrick in 1943 undertook a research to develop a synthetic rubber substitute. Although
he failed to produce a suitable rubber before the end of the war, one if his result was a silicone
bouncing putty which was later named Silly Putty because of its silicone properties.
Ironically, it was only after its success as a toy that practical uses such as its ability to pick
dirt, lint and pet hair were found.
4.3.5 Using dreams to find opprounities
In spite of the fact that dreams are so compelling, they often seem so weird and strange, some
dream theorist say that dreams have a problem solving function. Dreams suppose deal with
problems we can not solve in the waking life and offer solutions. My argument in this section is
based on the understanding that we can develop uses for our dreams as part of our cultural lore.
Looking at dreams in the light of waking day, and believing that they may be full of insight, we
may sometimes come up with new ideas or insights while studying or solving pollution
problems. This is because in technical terms dreams have an emergent function that develops
through culture. E.g. in some cultures dreams are used to predict the weather, or diagnose illness
or predict the future.
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Box 4.3 Example of using dreams to solve problems (adapted from Weintraub, 1995)
Floyd Ragsdale an employee at Dupont in 1992 was having problem with a machine that
manufactured Kevler fiber, the material in bullets-proof vests. Because down-time on this
machine cost $700 a minute, Dupont assigned its best engineers to fix the problem, but none were
successful. One night, Ragsdale, an engineer with no college education, had a dream in which he
saw the tubes of a machine and springs. He came to work the next day and told his boss about the
dream. The received a typical reaction: his boss scoffed and told him to forget about it. When
Ragsdale’s shift ended, he went ahead and inserted springs into the tubes, and the machine worked
perfectly, saving the company more than $3 million!
While innovation and opportunities from dreams may appear as gifts from an unknown source,
many people have purposely trained themselves to use their dreams to find opportunities. Here I
would like to propose some ways to crank up your unconscious mind and try to use your dreams
to find opportunities for problem solving (Weintraub, 1995):
 Just before sleeping, write in detail about the issue you like your dreams to help solve.
This will help your conscious mind to be focused on the issue and provide a subject
matter for your dreams.
 As you go to sleep, ask your unconscious mind to answer your questions, and tell
yourself that you will remember this dream when you wake up. If you can get yourself
out of your own way, your unconscious mind may deliver the opportunities.
 As you doze off, repeat the areas you want to identify the opportunities softly to your
self, with the mental expectation of receiving an answer. If your mind wanders, gently
bring it back to the
 Record all words and images of any dream that you remember as soon as possible after
you awake or awaking.
I know these suggestions of using dream information to find opportunities is will meet negative
response from some academics. Most people in developing countries are receptive to linear
thinking since it appears to give use a sense of predictability and control. However, in reality
most inventor and successful executive in developed countries rely on intuition for many major
decisions.
Dreams sometimes predict the future just like Floyd Ragsdale dream in box 4.3, it did work! The
dreams of so many other people have the potential for creating opportunities for solving
problems. As will deal with in the section the context for the identification of all opportunities
should be comprehensively assessed to determine their applicability and viability before
adoption.
4.3.5 A conclusion for developing countries
To effectively use any of the environmental values tools, there is the need to understand the
technique, which will works best for which problem and for which stakeholder. Since pollution
problems are of multiple dimensions, multiple uses of these tools may be required. Adding to the
complexity of pollution issues is the presence of multiple decision makers each of whom will
bring their own style, training and perception to deal with pollution issues, making it important
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to address questions like how the various environmental value identification tools should be
applied, the sequence of application and how they may be disseminated and justified.
The use and adoption of above tools may provide an opportunity for implementing policies that
take account of peoples underlying environmental values and at the same time provide the means
for creating better civil society, public sector and private sector actions taking into account the
following:
 Determination of the environmental values of the stakeholders by the extension of
existing value structuring approaches to create more meaningful definition of terms
such as ecosystem and participation, in order to facilitate acceptable agreement on
pollution management actions.
 The limits of the tools need to be acknowledged and new insights about decisionmaking approaches that embrace ethical, analytical and scientific dimensions
explored. This requires addressing fundamental questions related to how
environmental values and preferences are formed and expressed and our relation
with the environment such as what it means to improve or harm the natural
environment
 The adoption and use of these tools may be softened since stakeholders are familiar
with the underlying concept of participation. What is required is a clearly defined
objective to achieve and strategy to follow.
Although it may be difficult to select participants and assess their out come, the tools have the
potential to play a leading role in redefining the way in which people in developing countries
view, understand and behave towards the environment.
Enabling creativity
The idea here is opportunities for solving certain pollution problem could arise from actors
undertaking certain activities which are not in any way related to the pollution problem. Despite
the difficulties surrounding it that it is a relatively fuzzy sensitising concept, serendipity appear
to be an important component in finding opportunities from the real world. Actor in developing
countries need to aware of this not disregard event and activities that happen accidentally. What
need to done is to see how the outcome of the event can be turned into sometime use and
productive. With the use of dreams in environmental management, most people in developing
countries are receptive to linear thinking since it appears to give use a sense of predictability and
control. However, in reality most inventor and successful executive in developed countries rely
on intuition for many major decisions. It therefore important approach is taken towards dreams
so that people will know what dreams can do and become critical about their dreams. I must
however, care should be taken so people do not reply on dreams for solution and force
themselves to dream. The applicability and viability should be thoroughly assessed before
adoption.
4.4 An enabling context for option discovery
In this section, I present factors that contribute to the success of opportunity identification in
terms of what should be done if one wants to identify opportunities.
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4.4.1 A basis in routines
Other activities used here means environmental activities of firms, governments, private sector,
civil society that in one or the order leads to the identification of opportunities. Here I identify
environmental accounting, environmental management systems, voluntary environmental
reporting as some of the activities when undertaken can lead to the identification of options.
Environment accounting
Environmental accounting is a tool that evolved as a result of the need to integrate environment
ecological aspects in the general management of organization and also the continuing
environmental degradation and the problems associated with the traditional accounting approach
is being adapted to gather and analyse environmental information. With the emergence of
environmental accounting, various perceptions have been developed (Gray et al. 1993,
Schaltegger, 1996). Thus, environmental accounting uses the concept of traditional accounting
systems to analyse environmental information to manage environmental degradation based on
assessing the eco-efficiency of a company of a firm and its operation (Schaltegger, 1998). Ecoefficiency used in this context is the ratio of the value added, created by a firm, to the resulting
environmental impact added (Schaltegger and Storm, 1990). This process involves the sharing of
information about environmentally induced financial impacts and information about
environmental impact of the firm
The aim of environmental accounting is to safe guard the vital interest of firms and organization
against potential treats arising from the continuous degradation of the natural environment. In the
light of this, environmental accounting is defined as an internal set of management tools which
enables firms to make their operational and strategic decisions through the gathering of external,
internal, eco-oriented information as well as through the quantitative and/or qualitative analysis
of that information (Gunther, 1998). In the context of this research I define environmental
accounting as the consideration of environmental intervention with financial and non-financial
impacts in managing environmental problems like pollution. In other words, Environmental
accounting is the generation, analysis, and use of financial and non-financial information in order
to integrate environmental and economic polices of firms to build a sustainable business with
less pollution.
Environmental accounting uses two categories of information; on environmentally induced
financial impacts (financial impacts caused by natural forces) and on environmental impact of
companies- financial impact caused by man’s activities towards development. Schaltegger
(1998) notes that there are different characteristics of these two categories of information
resulting in different perceptions people have of environmental accounting. The characteristics of
these two categories of information have resulted in different perceptions of environmental
accounting. Based on the work of Gunter (1998) I identify two types of environmental
accounting tools (i) environmental differentiated accounting and (ii) ecological accounting.
Environmentally differentiated accounting
Environmentally differentiated traditional accounting is a set of information system for
measuring the past economic performance of a firm. This approach is concerned with financial
impacts of environmental issues, which express environmental cost in monetary terms and are
internally relevant. The financial impacts are differentiated from other financial impacts by
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dividing it into the following three main areas in other to support economical decisions
(Schaltegger, 1998).
 Traditional managerial accounting is the control tool and the basis of most internal
management decisions and usually not required by external stakeholders. This method
of accounting deals with determining, tracing and tracking of environmental cost and
how the cost and responsibility is allocated in the firm.
 Traditional accounting is used to satisfy the information need of the external
stakeholders of firms with regard to financial impacts. Issues considered here are the
type of standards and guidelines that need to be adopted for the disclosure of liabilities
and ways to treat these liabilities.
 Other traditional accounting systems such as tax accounting and bank regulatory
accounting. That deals with different aspects of how environmental issues influence
organizations and firms.
Environmentally differentiated accounting incorporates the financial impacts of environmental
issue, such as taxes, cost and permits, as a separate entry into firms accounting system. The
whole approach is based on the notion that environmental impacts on society and natural
environment should be included in traditional accounting in other to deal more with externalities.
In so doing, the financial impacts of externalities considered are differentiated from other
financial impacts. This is because from traditional accounting, past financial impacts and
accounting are required in carrying out present and future financial accounting transactions and
only a fraction of externalities are internalized making decisions to be based on incomplete
information, often focused on past performance (Schaltegger, 1998).
The main information gathering tools used in environmentally differentiated accounting are
investment appraisal and eco-oriented cost accounting (Gunther, 1998).
Investment appraisal is used to obtain information on current activities of the firm and market as
a basis for making sound environmental investments through out in four phases (Gunther, 1998):
The first phase is concerned with the introduction of the concept of investment where all relevant
problems and issues related to the environment are examined taking into account both the views
and demand of stakeholders. In the second phase, alternatives, which can improve the investment
structure, are identified taking into account measures such as pollution prevention, reuse and
recycling. In the third phase, the alternatives that do not meet the minimum requirement laid
down by the firm and stakeholders are rejected. Those that meet the requirement are assessed for
their financial viability and evaluated and subsequently used in appraising proposed investment.
In the final phase, decisions are made on the options that are most attractive to the firm taking
into consideration internal and external effects.
Eco-oriented cost accounting is used to obtain information on internal and external ecological
cost for all activities or each activity of the company in two main forms, internal and external
ecological costs and differentiation and extended cost. Internal and external cost accounting is
used to define all cost of ecologically scarce resources and energy and cost of prevention and
control strategies. The internal cost refers to the cost of internal effects that are already part of
the firm’s cost accounting while external cost is cost that arise from external effect through the
use of resource and has direct influence on the benefits people get.
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Environmentally differentiated accounting calls for differentiation and extension of cost
accounting and other means showing that ecological cost has already been internalised. If not,
cost accounting of firms should be expanded to include ecological cost for each activity of the
firm. Even though evaluation of the ecological aspects in monetary terms is difficult due to
inconsistencies between economic scarcity and ecological scarcity, internalised cost may be
evaluated based on market prices of actions needed to prevent and control pollution.
Ecological accounting
Ecological accounting is used to measure the ecological impacts of firms on the environment in
terms of non-monetary physical units such as material influxes of substances and goods and their
reaction with the environment and express environmental cost in physical units. It is used to
account for ecological impact of firm’s activities, products and processes both internally and
externally. The information collected for internal management of firms’ products and processes
on the environment is used to provide ecological information for external stakeholders interested
in environmental issues. This information is used as means by regulators to control compliance.
Various approaches have been suggested for use in ecological accounting. Of all, eco-balance is
by far the most widespread.
Eco-balances are a structured method for reporting the physical flows of materials and energy of
an identified entity or organisation (White and Wagner, 1996). That is, eco-balance is an
information gathering tool used to assess ecological requirements and provide eco-oriented
information about material and energy flow associated with activities of firms. The aim is to
record, describe and assess all ecological relevant resources and output. The information
gathered is later analysed to classify all material and energy with respect to their risk potential to
human health and the environment (Gunther, 1998). Eco-balance can be prepared for a whole
firm or for a particular product or production process by considering the unit in its entirety as a
‘black box’ where inputs are raw materials and energy and output are products and waste.
According to the Institute for Ecological and Economic Research (Hallay and Pfriem, 1992), the
drawing up of an eco-balance is characterised by two levels:
 The relevant quantities of input and output are determined, together with the assignment
of a balance number, a marking, and the number for the category of the material
 All inputs factors are subdivided and their composition analysed
Ecological accounting is divided into the following three categories (Schaltegger, 1998):
 Internal ecological accounting is used to gather ecological information for purpose of
internal management. Method such as material flow analysis energy used and emission
are used to measure the impact of a firms product and process on the natural environment
 External ecological accounting used to gather and present stakeholders interested in
environmental matters in the form of reports, which contained detailed information on
pollutant discharge.
 Other ecological accounting systems used to measure data in physical units are used as a
means to regulate compliance. This category is used to provide specific information on
the discharge of specific pollutants. The units are used as the basis to assess taxes that
should be paid on pollutant discharged to the environment
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Environmental accounting
Environmental accounting is an emerging tool and its use in developing countries require the
development of a framework that involves the definition of the concept, and the clarification of
the objective in order to help facilitate its appropriate application. This may show which
environmental accounting approach meets the requirement of and usefulness for different actors
in different decision context.
For effective use of environmental accounting, there is the need to identify and define the
internal function and external function of firms so that the use of environmental accounting may
promote environmental management across the entire society. This calls for the development of a
common database to deal with both internal and external function, the distribution of information
externally, coherence and communality in order to provide accurate information to users.
Organisation should accurately measure their own environmental cost and effect of
environmental measures, which is necessary for development, and operation of effective
environmental accounting system. In addition, the time frame that it is addressing, the length of
the time frame and the routine of information should be defined since these dimensions may help
place and assign the appropriate environmental accounting approaches according to the decision
context or internal accountability setting.
Different accounting systems should be designed to satisfy the different information sources and
the main target audiences. The different information sources may be aligned with stakeholders
that have major concerns with physical environmental impact of corporate activities and
stakeholders that are mainly interested in monetary effects induced by environmental impacts of
company. For instance, stakeholders interested in monetary bottom line may only be partially
interested in a separate report containing pollution information expressed in physical units, even
if it is put into a clear context with its monetary consequences and how it affects the finance.
Other stakeholders may be interested in pecuniary information that shows material effects on
shareholder value and environmental related impacts. On the other hand, stakeholders may be
interested in the various waste and pollution figures expressed in physical units with no direct
interest in knowing whether the cost of pollution abatement is considered in the monetary terms.
In such situation the application of environmental accounting should address:
 Monetary units that cover internal and external environmental accounting, and other
environmental accounting such as environmental tax accounting.
 Physical units that cover internal and external environmental accounting, and other
environmental accounting such as regulatory environmental accounting in physical units
The use of environmental accounting in developing countries should be considered as both
management goals and the consequences of different activities to be analysed. In such a situation
the ‘value chain proposed by Porter (1986) may be used as tool to analyse the different activities
of the company. This will help analyse the strength, weakness, opportunities and treats that exist
in the company. In this respect, developing countries should integrate environmental issues with
economic issues so that management awareness about the potential importance, positive
negative, of environmental impacts on corporate economic performance is raised. Since
environmentally induced monetary impacts of a company are interrelated with corporate
environmental performance measures in physical units, integration may help to measure ecoefficiency.
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With traditional accounting system already existing in organisations and institutions in
developing countries, environmental accounting environmental experts should team up with
traditional accounting experts to develop an environmental accounting system based on the
strength of their accounting information data base and the environmental information database.
This will provide the opportunity to utilise local knowledge and resources, since it is only with a
proper gathering and management of environmental information that stakeholders and actors can
assess the actual and potential economic consequences of environmental issues.
Even-though the use of environmental accounting in pollution management is still in a very
primary stage, however, it must be noted that environmental accounting in itself does not
necessarily deal with reducing environmental impact or pollution. Yet the adoption of
environmental practices induced by environmental accounting would encourage people involved
in pollution management to favour preventive alternatives over end-of-pipe approaches. The
potential benefit that environmental accounting is by integrating environmental issues into dayto-day decision making of industries with the ultimate goal adopting voluntary pollution
prevention strategies.
4.4.2 Basis in people
From the discussion presented in the previous sections, there are different tools that can be used
to realised opportunities. However, the context in which a tool is used would determine whether t
opportunities could be realised.
Identifying opportunities to deal with pollution has been a major challenge in the academic
community. One of the challenges of opportunity recognition and assessment is how
opportunities are exploited effectively. In my effort to contribute to this challenge, I propose a
model for opportunity recognition and assessment. This is based on the argument that the
realisation of opportunities is related to how environmental and human factors are interpreted
and the way they affect self-efficacy.
The section starts with the discussion of the factors I consider critical to the realisation of
opportunities, and used the factors to develop antecedents to opportunity recognition and
assessment. I would like to note here that the idea i.e. to present a workable model and not too
explain the recognition and assessment of opportunities using complex theories in cognitive
psychology and organisational behaviour.
Environmental factors
Environmental factors such as economic, political and market conditions, affect the likelihood of
initiating environmental management activities. Lack of fund is one of the most critical road
blocks for undertaking environmental management activities. A detailed discussion of
environmental factors is presented in section
Although some actors may have favourable economic conditions for the recognition and
assessment of opportunities, some opportunities align better with some conditions such as low
political will. However, the confidence in an actor’s ability to exploit an opportunity will be
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affected by the availability of data suggesting the opportunity, and the interpretation of the
situation.
Details of the features to look for when interpreting the environment is present section 3.1
Human factors
The work force that is available and ready to carry out environmental related assignments. The
work force may be skilled or unskilled. What is important is their availability and readiness
Technical skills of human beings are also a major factor. Some actors may be well-trained
environmental engineers, scientist and technologist while others may” grow up” in
environmental organisations and institutions, yet have little confidence in their ability to identify
opportunities to deal with environmental problems despite experience.
The culture and beliefs of the people and workers also have an influence their efficacy and the
how they situations as opportunities. For example who belief or have grown the know that
Interpretation frame
Interpretation is the meaning that people give to events around them and elsewhere. In essence, it
is how people, institutions attribute positive and negative experiences. The confidence people
and institutions have in the identification of opportunities depends on the interpretations of
events and the development a of confidence to manage environmental problems
Interpretation could be measured by using environmental management systems and
environmental reporting. The foundation for the use of this should be based on the following
three dimensions:
 In the case of an environmental problems occurring, it is important to determine whether
the negative impact of the problem is permanent or transient. If the environmental
problem is perceived to be permanent, the actor should have confidence that it effect can
be reduce by adopting a proactive approach. On the other hand if the environmental
problem is perceived as transient, the actor should have confidence that it can be
overcome.
 If the environmental problem is perceived to affect a lot of actors and other
environmental elements, the actor should have confidence that together with other actors
and stakeholders, the problem can be dealt with. It is important for actors not to interpret
negative impact of the environmental problems to due to lack of incompetence.
 If the environmental problems are perceived as being caused by transient external
factors, the actor should not interpret the negative impacts as the but rather develop
confidence to manage the environmental problem.
I would like to use a theoretical example to explain these dimensions. For example an actor
interpreting events from an optimistic and confidence point might explain an environmental
problem caused by seeing the environmental problem as a temporal one that was confined to that
situation. The actor will not perceive the environmental problem but as a basis for identifying
solutions to that particular problem. The actor will then have a positive attitude towards the
environmental problem. On the other hand if the environmental problem was interpreted as the
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actor do not have the ability to mange the environmental problem, the actor ability would be
considered in adequate.
In figure 4.1, the element of interpretation extends to the right and left to indicate that
environmental factors and human factors could be interpreted differently. Interpretation here is
seen as central to the determination of factors that affect the Self-efficacy of actors in recognition
and assessment of opportunities.
Self--efficacy
Dutton and Jackson (1987) in their study established a relation between confidence in skills and
perceived opportunities and found the perception of opportunities to be distinct situations with
potential gain and the likely means to resolve an issue. Kruger et. al (1994) in his work extended
this by linked opportunity recognition to self-efficacy and found that changes in perceived selfefficacy resulted in changes in opportunity perception.
Bandura (1986, p391) defines self-efficacy as “people’s judgement of their capabilities to
organise and execute courses of action to attain designated types of performance” This definition
may be the link between the actions and achievements for actors performing well in managing
the environment, since the path to sustainable management of the environment may come
through manageable challenges.
Self-efficacy is a main variable of actors that is relevant in the identification of opportunities for
pollution management. Self-efficacy can also be linked to a number of workplace behaviours and
skills such as ability to adapt to technology, improvement in performance and the perceived
benefit of information especially market information use in pollution management. I ague that
the value of Self-efficacy in opportunity recognition and assessment is largely driven by the
confidence an organisation or individuals have in the abilities relevant to that particular situation.
As shown in figure 4.1, Self-efficacy is related to the perception of opportunity and the
evaluation of opportunity. The model proposes that Self-efficacy drives both the recognition and
evaluation of opportunities. A major driver of this model is that confidence in skills affects
whether a situation is perceived as an opportunity.
This perception and recognition and assessment yield an implementable opportunity. However,
an actor can only recognise the opportunity depending on the degree of Self-efficacy. The Selfefficacy of actor may have the potential to result in opportunity to cause positive change. Thus,
Self-efficacy perceptions would influence a situation to be perceived as opportunity.
The following two types of Self-efficacy should be considered in the model:
 The confidence the actor has regarding the technical elements of the opportunities. Thus,
the ability to understand the potential opportunity is there and the opportunity is more
likely to be easily recognised. The actor should have the confidence and the skills
necessary to start an environmental management. The actor should assemble a team that
can successfully meet the technical requirement of the actor to be able deal with
environmental issues and at the same time carry out other activities.
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
The confidence that the actor can successfully engage in out activities necessary to help
realise or support the identified opportunity. These activities may include fundraising and
promotional activities. This type of Self-efficacy has the ability to result in the potential
to see economic related opportunities. The actor should have the confidence in dealing
with the technical requirements of the opportunity (e.g. develop a new management
approach, developing an environmentally friendly product or adopting cleaner production
process)
Human factors
Environmental
factors
Interpretation
Self-efficacy
Opportunity recognition and assessment
Perceived
alternatives
Action
Figure 4.1 A proposed opportunity recognition and assessment model
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One of the elements of self-efficacy is it is an acquired perception. Thus an actor’s perceived
self-efficacy could be increased to change in behaviour towards environmental problems.
Opportunity recognition and assessment
In this stage all the opportunities identified in the three areas should be put into social and
ecological context so that key issues such as the environmental media, their feasibility, benefits,
consequences, cost and impact and risk associated with the use are considered alongside the
pollution management goal in order to identify the implementable opportunities. The
implementable opportunities should then be guided by the pollution management goal identified
according to the views and interpretations of the stakeholders as well as the interrelation between
the tools demonstrated. The aim here is to reach a consensus as to what is and will be the
implementable opportunity-oriented tools in relation to the situation at hand. The implementable
opportunities identified from the comprehensive analysis should then be considered in the
development of a pollution management strategy.
The way actors perceived alternatives as a role to p lay in the identification of alternatives.
When assessing the viability of opportunities, the decision to pursue a particular environmental
management activity is driven by a comparison to other alternative activities. The actors’ choice
would depend on how effective the activity could solve the problem and the financial
implication. Thus, the perceived quality of opportunities relative to the actor affects the
likelihood of pursuing the opportunities. If the actor sees the potential in the opportunity to solve
environmental problems, the probability of pursuing may high compared to not seeing anything.
Action
After assessing the opportunities, the decision to pursue activities that would lead to its
realisation is driven by a comparison to other alternatives. While undertaking such activities may
largely depend on financial factors, the choice to pursue the activities by the difference between
the subjective return of becoming an environmentally conscious actor and the expected return of
alternative activities
It is important that all the opportunities identified be put into social and ecological context so that
key issues such as the environmental media, their feasibility, benefits, consequences, cost and
impact and risk associated with the use are considered alongside the pollution management goal
in order to identify the implementable opportunities. The implementable opportunities should
then be guided by the pollution management goal identified according to the views and
interpretations of the stakeholders as well as the interrelation between the tools demonstrated.
The aim here is to reach a consensus as to what is and will be the implementable opportunityoriented tools in relation to the situation at hand. The implementable opportunities identified
from the comprehensive analysis should then be considered in the development of a pollution
management strategy.
4.4.3 A basis in learning
Based on the discussion presented in section , learning is often associated with formally designed
educational contexts but there are different ways to learn as there are things to be learned. Thus
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learning may take place formal educational contexts and among trained and experienced
professionals. Learning is generally difficult to define despite the fact that it is manifested in
different settings forms and outcomes. This has been the subject for debate for some time now.
Some find learning to be under-theorized (Parson &Clak, 1995) while others claim the concept
of learning is over-theorized (Bannet&Howlett, 1992).
Learning is often linked to adaptive potential of learning which is referred to as the capacity that
enables entities
to continuously modify understanding of issues, dynamics
and adapt decisions and actions. Although learning has been defined in different ways, various
conceptualisations tend to share a similar view of the dynamic processes that constitute learning.
Learning is often linked to adaptive potential of learning which is referred to as the capacity that
enables entities
to continuously modify understanding of issues, dynamics
and adapt decisions and actions. Although learning has been defined in different ways, various
conceptualisations tend to share a similar view of the dynamic processes that constitute learning.
Whatever definition is adopted the following four types of learning has the potential for the
identification of opportunities:
 Learning that is acquired insight into in the brain when an individual interact with the
environment. In this type of learning actors processors of information and the
motivational structure for such learning are biological (hunger and thirst) and social
(desire for achievement)
 Learning is anchored in personal experiences and how sense is made out the experiences
to determine what to do. Here learning is seen as dialectic process to be made up of
observation, understanding, thinking and experimenting are used to adjust and reformulate cognitive frame, knowledge and skills based on personal experience (Kolb,
1984).
 Learning where insight is acquired about the structural coupling between actors and the
environment. Here actors undergo continual structural change while preserving a
recognisable pattern of organisation. Here learning cognitive and structural changes
constitute the leaning ability of actors since these are what are considered to key to
understanding the essence of human learning and networking
 Learning that results from the interaction among different actors in an environment that
leads to aggregate learning. The outcome is the emergent of collective properties that
frame future learning of actors in the context. This model of learning is involves
collective learning from the interaction of their individual learning which is usually
complex, dynamic and adaptive (Holland, 1995)
I must note here that, in all the four models, learning is conceptualised as involving iterative
cycles in which actors an their environments are linked through a process that combines a
number of different but interrelated cognitive and behavioural processes such as action and
perception so that actors are ale to connect with their environment through sense-making and
goal-oriented behaviour.
4.4.4 Dynamics
As I have already noted very little has been written on the identification and discovery of
opportunity for solving environmental problems. Here I try to explain the dynamics of find
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opportunities and hope it will generate insights that would trigger the further research into
opportunity discovery.
In dealing with the dynamics of opportunities, one important issue has to be noted. That is the
distinction between an actor’s idea and the opportunity the idea is destined to for. An opportunity
may be referred to as phenomenon that seems attractive in the sense of benefit that it poses for an
actor and the value it will hold when used to solve a particular environmental problem.
Opportunities in most cases are temporary and must be maintained since it usually present itself
where there are changes in situations. A form of chaos is also present with opportunities which
are consequent with knowledge and information gaps as a result of opening or windows in the
context or the environment.
As noted earlier on, opportunities are situational and this situationalism varies from being strange
or usual to being absolutely common and applicable in various environments and context. It is
then the creative actor who can exploit the opportunities that exist. It can be conclude from
various research papers that a creative actor is an individual who develops a passion or obsession
for the development and identification of opportunities in chaotic situations. With this quality in
hand, a creative actor continually distinguishes him/herself with regards to certain ideas or
opportunities.
In most cases, a creative actor is opportunity oriented and this behaviour is measured in as much
as the actor identifies new opportunities and formulates new ideas to make use of these
opportunities. The development and transformation of these ideas in the context as well as the
effective implementation of it are regarded as opportunities. I also suggest the whole process
should be system oriented so that identification, development and management would be
simplified. In this way, long term advantages could be reaped.
The identification of opportunities as well as its in-depth analysis would be the precursor for the
design of a sustainable solution to an environmental problem. To analyse an opportunity
correctly, I propose with opportunities related to the context and its definition time limited, the
framework wherein an opportunity is present is called the window of opportunity or opportunity
opening. It is from this window of opportunity that a creative actor must take hold of the
opportunity using his/her idea.
Figure 4. shows that when there are changes in the context certain opportunities open as time
goes by (i.e. they are time bound). As the changes in the context become bigger and more
established the more opportunities present themselves. Windows of opportunity therefore opens
a certain time and as changes in the context decreases opportunities finding opportunities also
decreases. The length of time that windows of opportunity in the context is opened is utmost
importance.
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Context
Windows of opportunity
Time
Figure 4. Windows of opportunity related to context and time
Windows of opportunity can therefore be regarded as one wherein the true and perceived value
of the opportunity must be determined as well as the problems that could result of the
determination. The opportunity identified from the window should be placed in relation to the
creative actor’s personal skills and goals and an in-depth analysis of the context of the
opportunity should be determined.
I must note here that there is a large difference between the appearance of an opportunity and the
value of the in solving environmental problems. This difference is of importance with regards to
the fundamental role that the opportunity analysis has to play in the in-depth analysis of the
opportunity as such.
Certain hurdles could arise within the window of opportunity. Certain activities undertaken by
other actors can hasten the closing of the window thereby reducing options that can be identified
for solution.
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A primary limitation here is there is general lack of research regarding opportunity finding in
solving environmental problems. What I have done here is to explain the dynamics of
opportunity finding in the context of creativity based on my understanding.
4.4.5 A conclusion for developing countries
Organisations involved in the management of environmental problems in developing countries
currently appear to engage mostly in adaptive behaviour (single-loop learning.) rather than
changing both beliefs and practices (double-loop learning. As policies with dissonant
assumptions and values pile up, personnel are left to cope with the inherent tensions between
organisational beliefs and theories-in-use. Organisational learning clearly does not happen by
chance a lot of e research is required to understand the interwoven nature of conditions that
enable and constrain it, At the same time actors in developing countries can look at indicators
that suggest whether organisation learning is occurring in other organisations and for dispositions
toward learning. Opportunities for environmental professionals to learn and share their learning,
the nature and quality of environmental professionals are critical especially for criticism and
participatory decision making. In such situations environmental management system’s process
for nurturing and hiring of professional, its capacity to confront actors about environmental
problems, and the methods and tools use for dealing with environmental problems should be
assessed. Additionally, members of organisations can look for multilevel learning from
mistakes and for mechanisms used to ensure that values/goals are systematically re-examined
and articulated. Visible behaviours or indicators in isolation can be misleading and incomplete.
Organisations in developing countries that display some of the visible behaviours without the
underlying cognitive frameworks that support them would be unable to sustain meaningful
organisational learning. I therefore suggest that the beliefs, attitudes, and values associated with
the practice of learning through inquiry, sharing (especially through collaboration) and, and
democratic principles both would enhance organisational learning and also generate continual
organisational renewal in developing countries.
The identification of opportunities as well as its in-depth analysis is the precursors for the
creation of a suitable environmental management for the problems identified. It is important
therefore that the actor take hold to the opportunity using his own idea since certain opportunities
open up with time. Thus opportunities windows open at a certain time and opportunity
possibilities decrease at another time. The length of time that the opportunity window is open is
of utmost importance. The window of opportunity created should also be regarded as one where
true and perceived value of the opportunity and the risk associated must be determined and
placed in relation the actors’ skills and goals and in-depth analysis of the environment
surrounding the actor should determined
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4.5 Backbone bone for opportunity identification and discovery
The objective of this study is developing a framework for pollution management in developing
countries based on the analysis of problems and opportunities. In this section I try to draw
conclusions from the discussions that would help in the identification of opportunities for
environmental management. As shown in figure opportunities arising from problem analysis,
concepts and creativity should be considered in the context they are discovered and filtered to
arrive at implementable opportunities.
Opportunities
arising from
problem
analysis
Opportunities
arising from
concepts
Filter
Opportunities
Creative
identification
of
opportunities
Context of discovery
Figure 4.1 components of opportunity identification and discovery
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Opportunities arising from problem analysis
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PiC should be used to identify opportunities that come with the environmental problem.
In doing this the focus should be the options that are generated from the motivation of
actors,, the explanation of the physical properties of the problems. Windows of
opportunities that the actors’ institutional arrangements present should be critically
examined.
Actor’s causing environmental problems should be made to bear majority of the
responsibility of the environmental impacts of their products. That is the actors’ be
involved in physical management of their activities and the impact of the activities
through the development of technology or provision of services. Policies that would
bring actors’ to bear the environmental impact of their products should be developed
Actors should under take eco-designs to improve product design and improve production
process by utilizing existing knowledge about products, ideas and technologies from
developed with local raw materials and upgrade indigenous and existing processing
technologies to provide new opportunities for product development.
Prudent economic tax reforms should be undertaken to encourage actors’ to carry
environmentally sound production processes. Actions such as removal of subsidies on
unsustainable activities, regulations to promote energy efficiency, investment incentives
to encourage eco-efficiency, adjustment measures for sensitive sectors (e.g. energy), and
information campaigns should be undertaken too realize opportunities.
The presence of institutional structures such already existing, environmental, social and
economic departments may provide the opportunity for carrying pollution management
goals. Also, positive institutional changes such legislative changes and the adoption of
new policy statements and new approaches, which can give rise to the promotion of
traditional institutions in pollution management and the adoption of centralisation and
decentralisation polices where necessary are potential opportunities for pollution
management. these opportunities could be identified by carrying out an institutional
analysis.
Opportunities arising from concepts
 The concept of cleaner production should fully be adopted and supported. Since this will
enable actors achieve optimum resource (energy and raw material) consumption per unit
product through improved production efficiency. This however, require taking concrete
steps to address the technological and financial challenges as well as promote a more
holistic and customized CP concept as the basis for a more outward looking and synergysearching for attitude overarching idea and opportunity that fit the activities or task at
hand.

A resource flow analysis approach should be used be used in a qualitative manner to
understand the various resources flows in area and use it for planning. That is, knowing
the resources that are coming into the geographical areas, the type of finish product
produced and the waste generated and how the waste is managed. This is because of non
availability and accessibility of data and the huge informal sector involve in industrial
activity. Such an understanding could help societies and communities assess the
opportunities available to them by maximising productivity of limited, and to more fully
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assess the threat from of the use or misuse of the resources. This would advance positive
radical change in industrial resource efficiency reduction in environmental problems in
developing countries. Specific application of industrial ecology concept in developing
countries might take different forms and depths depending on the scope of the region, the
nature of industrial activities in the geographical location, and the desirable objectives to
be achieved.
Creative identification of opportunities
 Action learning should be used to guide creativity as a way of identifying opportunities.
This involves: (i) observing and reflecting on the consequences of action in the situation
through experience. (ii) forming or reforming understanding of a situation as a result of
experience, (iii) planning actions to influence the situation based on newly formed or
reformed and (iv) acting or trying out the plan in the situation. These steps should be
applied in
 Knowledge systems Local knowledge is an important source of identifying opportunities.
Knowledge and innovation systems should be developed to provide room for a learning
perspective. Methodologies and tools like participatory local appraisal, focus group
discussion, advisory committees and multiattribute elicitation should be used to create
the enabling environment that would bring out technology and insights from lay persons
and experts so that they can learn from each other and develop or renew environmental
management practices.
 Identify initiatives and practices taken by indigenous individuals, which turn to produce
less pollution. Also traditional cultures are often adapted to fragile environments.
 Exploring traditional innovative ways and management system that can improve
industrial production processes and products
 The use of creativity in opportunity identification should be done in three stages. First,
the actor should identify his or her creative abilities. This should be done by carrying a
pre-assessment of his creativity through theory or practice in the context of conventional
learning environment. If the creativity of the actor is not promising, the actor should
acquired basics skills in creativity and innovation to enhance chances of opportunity
identification. Second, the actor should hen consider the environment around and look
for opportunities in the environment to generate ideas for problem solving through an
action learning approach Third, the ideas are assessed and implementable opportunities
and applicable actions are identified for solve the environmental problem.
 Serendipity is a concept that has not gone down well with actors in developing countries.
However with the concrete examples of the concept being explored to identify, actors
should be aware of serendipitous events and get hold of them as they arise. The existence,
nature and attributes of serendipitous events are suitable, particularly in the early stages
of finding opportunities. Despite the difficulties surrounding the concept, it is still a
relatively fuzzy sensitising concept, serendipity appear to be an important component in
finding opportunities from the real world.
 Actors in developing countries are receptive to linear thinking since it appears to give use
a sense of predictability and control. However, in reality most inventor and successful
executive in developed countries rely on intuition for many major decisions as shown in
the example presented in section. Therefore the promotion of dream as a way of
developing ones intuition should be encouraged. Actors should be made aware of the
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potential of dreams in solving problems that they start to pay serious attention to their
dreams. However, care should be taken not abuse what dream can do actors should be
forced in dreaming or believing that all environmental problems could be solve through
dreaming.
Identify opportunities to improve the knowledge and information system of organisations
(industrial, political or traditional) in their decision-making process and exchange of
information among actors with the aim of improving the potential of learning and
innovation. The opportunities here should be identified by joint inquiry of stakeholders
focusing on performance and stakeholders that are in a position of providing
opportunities in their own practices. Networking among different organisations and
departments in order to share information about pollution management goals is a possible
way out.
Context of discovery
The contact of discovery is the environment within which opportunities could be discovered and
it includes the values, factors, the actors and the capability of the actors. The following are key to
the discovery and realisation of opportunities.
 the model proposed on this section has self-efficacy as a key element that drives actors
in the identification of opportunities, but the confidence and the ability to undertake
activities that would realise opportunities in turn, is the result of environmental and
human factors and the way the factors are interpreted. That is to say actors may see the
same environmental factors, or have the same training, but may have differences in their
ability to identify and assess opportunities. Many potential environmental factors affect
the likelihood of initiating activities that would create opportunities. The presence of
environmental experts affects the likelihood of identifying opportunities to deal with
environmental problems. However, ones ability to exploit an opportunity will be affected
by the availability if data suggesting the opportunity, and the interpretation of the
situation.
 The context of discovery is made up of a pool of information and activities. Actors’
should be ware of other activities that take in the context and in one way or the other
create windows of opportunities or create opportunities for the design of solution of
environmental problems. Activities
such as the development of environmental
management systems and undertaking environmental accounting should be undertaken to
explore other opportunities for solving environmental problems.
 After the opportunities have been identified, when put together would form a loose list of
those that realised and those that cannot be realised. The actor should then filter the
opportunities and choose what is implementable and could help solve the problem taking
into account the context features and factors.
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5. DESIGN, IMPLEMENTATION, MONITORING AND EVALUATION
In this chapter, I present a proposal for the design of pollution management strategy. The
strategy and principles are developed based on the insights generated from the previous chapters.
Section 5.1 General Design principles
The need for these general principles emerges from the previous chapters. The general design
principles form the basis for the design of solution. The principles are participation, adaptive
management, communication and integrated environmental management, networking, capacity
building and empowerment of stakeholders, balance context and macro analysis and evaluation
and monitoring. The section concludes by acknowledging the fact that the principles cannot fully
all solve complex environmental problems
Section 5.2 Principles to deal with special circumstances
In this section, I present principles to deal with the special circumstances in developing countries
identified in chapter 3. The principles are based on notion the special circumstances are
constraints to quantitative application of pollution management tools hence a qualitative
application of the tools is much better.
Section 5.3 Tools for design, implementation and evaluation
In section, I review market-based tools, regulatory tools, environmental education and
communications tools and conflict resolution as potential tools for the management of
environmental problems. I also document experiences of the use of these tools and their
relevance to developing countries. I end the section by presenting modalities for the use of these
tools in the pollution management.
Section 5.4 Design and evaluation
In this section, I identify the various phases in the design of solution to environmental problems.
Key issues that require serious attention in the design of solution to environmental problems are
noted. The way tools and actions should be combined to give a near perfect design are proposed.
Actors involved in the design are identified and their roles and responsibility explained. The
sections ends by proposing a two tier evaluation which involve equity test followed by efficiency
test of the designed solution before implementation
Section 5.5 Implementation and Monitoring
Implementation of designed solutions is a major problem in developing countries. In this section,
the problems are identified and measures proposed for effective implementation of designed
solution. In the section ends by proposing environmental audit, state of the environment report
and public involvement in adaptive management as the approaches for monitoring and evaluation
of implemented solution.
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5.1 General Design principles
Based on the conceptual analysis and review of tools that have been done in the preceding
chapters, as well as the constraints discussed in the previous section, I propose the following
design principles as a process approach to help design pollution management strategy in
developing countries (i.e. the principle guide the design process.
5.1.1 Participation of victims and actors interested in outcome
Participation is very important in the design a sustainable pollution management strategy.
Participation involves information gathering, participation in consultation; functional
participation and interactive participation shall be applied in all stages of the design of solutions
Participation in the design of a pollution management strategy should involve the following:
 Actors should be selected to represent the substantive elements of the design process, the
process elements- at what moment active involvement of and functional elements- the
actors, their relevance and stake in the process and power.
 The participation process should result in the articulation and sharing of knowledge and
lessons during the pollution management process, to make use of others knowledge and
experiences in the development of a strategy
 Absent stakeholders and victims of present pollution problems and future victims of
expected pollution problems should participate (in physical presence, direct
representation, and indirect representation) in the design of the strategy since most
pollution problems are of global scale and over long time periods.
 There should be transparency with respect to financial resources, existing policies and
decisions, legal requirements and norms. Actors involved in the design should have free
and easy access to information and their inputs used. What role the actors play in the
decision making process, how decisions are taken and solutions arrived at, how opposing
views to the design process are considers and the possibility for feed back to the design
process all need to be transparent.
 Continuous communication with external stakeholders should be encouraged and used to
assess the day-to-day activities, achievements, goals and failures. Environmental
education and communication tools and techniques (reviewed in section) could be used to
achieve this.
 The participation process should be guided in order to stimulate participants to translate
their wishes and demand into indicator, and used to assess solutions that will be designed
In using integrated n environmental management the following condition need to be considered:
 In using integrated environmental management approach, multiple users and actors
should be involved. That is, participation of interest groups, the private sector, public
sector and civil society is necessary.
 The point of departure of management should be variable with all actors sharing insights
about different problems and opportunities in a decentralised manner. Thus, at the start of
the management process, a common vision does not exist and an open ended process
should adopted to define a common vision
 The main goal in the management process should be to improve understanding and
insights and build consensus on a vision, strategy and actions. I synergy by coordination
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should be created and all the actors in the management process should have some shared
responsibilities.
When environmental problems are urgent and well defined, integrated environmental
management is good approach to use in defining a vision and goal for its management.
Also if the environmental problem is not urgent and scope of the problem poorly defined
integrated environmental management should be used to work out a valid pre-fixed
goals, goals and a vision for finding solution to the problem.
A good process facilitator is need to guide the application of a co-management approach.
The facilitator could be an expert, a manager, representative of absent stakeholders, a
normative observer of a lobbyist. The role things for the facilitator to play a neutral role
and some cases a normative role inn the management process.
5.1.2 Co-management approach
A collaborative management approach considers both local and supra-local interest and visions
in the management of pollution problems with roles in pollution management shared among
actors based on the recognition that each actor or group of actors has a positive role to play in
the management process.
A collaborative management approach aims at an effective integration of solution elements and
knowledge suitable elements from top-down approach and bottom-up approach to solve
pollution problems. The approach involves the participation of multiple actors from civil society,
the public and private sectors.
Pollution management strategy designed should be built on negotiation between social groups
with conflicting interest that normally have unpredictable outcomes. Negotiations should be
used as a platform to create suitable conditions for social learning and decision-making since it is
about power and arguments.
This would help define concrete task to facilitate an integrative decision making process. This is
critical, since actors with conflicting interests must be mutually interdependent and agree to
solve a give pollution problem. The actors should see the clear benefits for negotiation based on
self-interest or see the need to work together. For example with industrial actor’s collective
action such as the construction of a joint plant to treat pollutant or bubble concept of emission
should be explored and promoted
In sight in local knowledge in the form of traditional knowledge and management system is
important since traditional people in their own way understand the ecosystem in which thy live
in spite of the fact that most of their knowledge and management systems are based on trial and
error.
Linkages should be created between the local actors and supra local actors both in civil society
Based on the works of (Pinkerton (1989) and Ostrom (1999) the following preconditions have
been identify to support effective co-management approach
 Favourable preconditions, conditions and mechanisms.
 Actors and stakeholders most predisposed towards co-management
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Best spatial scale such as a small area, small people and relatively small government
bureaucracy
The relationship among people where there is dedication, commitment, trust and respect
and cooperation
In the co-management process, key participants should maintain close control of the
participation process at the local level and also be the conduit to promote particular
values and views to actors at the supra level of decision making
In using co-management approach in environmental management the following condition need
to be considered:
 The focus of management should be on one sector this would help realise the benefits of
the approach
 The actors should be in two main parties. One party representing a broad group of actors
while the other party represents the state and other state own institutions at the local level
 Point of departure of the management should be a common problem perception and
vision on a desirable development goal. This will help avoid conflict and
misunderstanding in the definition and sharing of environmental management roles and
responsibilities between the two actors.
 Institutions involved in the co-management should have concrete institutional
arrangements and management plan
 A good process facilitator is needed to guide the application of a co-management
approach. The facilitator could be an expert, a manager, representative of absent
stakeholders, and a normative observer of a lobbyist. The facilitator should play a neutral
role and some cases a normative role inn the management process.
It is important to use co-management approach when synergy is required in the environmental
management approach.
5.1.3 Adaptive management approach
The ultimate goal of adaptive management is to restore, maintain and/or strengthen human
sensitivities and capacities to respond to feed back from environment at individual, groups,
communities, organisations and institutions levels. The principle adaptive management approach
regards pollution management policies, programmes and strategies as measures that create an
environment for learning and the lessons learnt used to adjust actions to achieve effective or
desired goals and outcomes.
Considering the complexity and interrelationship, which exist in dealing with pollution issues,
there is the need for actors to develop a vision and agree on norms that would direct adaptive
management approach order for it to contribute to sustainable pollution management.
The implementation of this approach requires the following:
 A long-term vision and strategic orientation based on well-informed understanding and
knowledge of the current pollution situation and the opportunities that exist.
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Identify the actors and stakeholders involves in the current situation and will be involved
in the desirable future, define targets and actions for the actors based on the problem and
opportunities and develop indicators to monitor progress
Define a boundary within which the pollution issues would be solved and the boundary
should be respected during the implementation of the pollution management strategy
Institutions and organisations that will adopt an adaptive management approach should
have a polycentric organisational arrangement, be flexible, take a learn and remember,
evolve and adapt, organise and reorganise, approach to solving problems. Institutions
should also have a good communication strategy and be result oriented.
In adopting an adaptive management approach the following are required:
 A well-defined principle, rules and organisational arrangements
that can create a
conducive environment and suitable conditions for dealing with complex pollution
problems. This will make actors learn from management policies and strategies to adjust
practical actions. Lessons learnt should be fed back into policy to adjust policies, plans
operations and responsiveness of actors to contextual changes.
 Actors going to take actions need to have the capabilities and resourced in line with
adaptive management principle.
 The learning process should focus on the ongoing examination of the way organisations
are structured and operate and use that knowledge to define and solve pollution problems.
It is important that the learning process consider the fundamental value system and
established norms to develop a strategy.
 Actors should take particular care about information and should be explicit about their
objectives and expected out comes so that effective evaluation and mo monitoring
programmes could be designed.
 Actors should collect and assess information so that outcomes and impacts can be
compared with expectations.
 Actors should learn from their new understanding of issues to correct mistakes and
change pollution management plans and actions
 Actors should consider uncertainty and lack of understanding of human interventions in
natural systems as experiments from which they learn lessons.\
 Actors should design solutions to test the idea about the behaviour of the ecosystem
being changed through human use. When the ideas solves the problem it should be
validated. If not solved, a learning
In addition to the above, resilience of institutions involved in pollution management and the
biodiversity of the system unit under consideration need to be assessed and resilient policies
developed since adaptive management used techniques that reduce and benefit from
uncertainty.
The assessment of resilience could be done applied by estimating the biodiversity of the context
of the system unit and the time horizon required by the context to maintain its environmental
regulation function and diversity. This assessment process would require an insight into the
historical assessment of environmental changes and ecological processes in the context.
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Resilience of activities that support human beings and biodiversity of the context under
consideration would depend on the estimated expected biodiversity in the future within a specific
time horizon.
Actor should make sure human activities taking place within and outside the context should
ensure that the capacity of the ecosystem adapt to changing conditions through processes of
release and renewal is kept intact. Thus, human activities that cause changes to produce longterm resilience should be encouraged and accepted. It is also important that precautionary
principle should be applied to avoid exceeding the resilience threshold of the context. This could
be reducing human activities that degrade and pollution the environment, maintain and create
buffers and reserves that will go through release and renewal to keep the resilience of the context
intact.
Adaptation of institutions address environmental and social dynamics and demands by
considering critical elements of such an approach are; flexibility in funding, planning and setting targets,
presenting new and inspiring clues for management and institutional development
5.1.4 Networking, building capacity and positive linkages
Pollution management is an intersectoral activity, various actors should be encouraged to initiate
activities that would help them to have a positive attitude towards environmental problems.
With current pollution problems having a global dimension and characterised by human
behaviour that are difficult to change as they are socio-cultural beliefs and consumption patterns.
The following are critical in the application of networks, capacity building and positive linkages
in the design of a solution to pollution problems:
 A shared vision should be created among organisations to let cause committed for them
to excel and learn.
 stakeholders should be empowered to build capacity for actors, and develop an effective
network system so that they can lean the positives attributes of other actors. There should
be connection among all levels of decision making . e Households and insures should
help each other solution pollution problems. This can be in the form of physical flow and
exchange of knowledge on ways to deal with pollution problems.
 the platform for the internalisation and capacity building of all parties and forces to create
a momentum that will help solve pollution problems should be created. This would
provide the forum for parties develop a strategic vision through the management and
learning process that will cover ecological, social and economic dimension and
partnership based on win-win options for pollution management.
 Living an environmental friendly life style is
 Financial, institutional, infrastructure capacity should be improved. The little that is
available maximum benefit should be derived from them.
 Build positive linkages between economic growth and environmental protection such that
the environmental sector should be part of the sectoral organisational structure of
institutions and not a subordinate one. This should be supported by the development of
concrete policies for effective implementation of environmental objectives, programmes
and projects. Environmental concerns should be well formulated and should reflect in the
subsequent projects.
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5.1.5 Balance context and macro analysis
Balance context analysis and macro analysis should be established taking into account problems
and opportunities that exist. Context analysis a process that involves key actors to trust,
commitment and ownership is required to design concrete solutions and define agreement with
actors. Because of the unique characteristics that exist in every
Insights about stakeholders and actors, their values, motivations, norms and relationship in the
context should analysed and used as the basis for judgements and predictions of social,
economic, ecological and institutes in the context and how they react. The use
In carrying out context analysis the following need to be considered as part of the design process:
 Gain insight in key ecological processes and environmental standards in the context and
how livelihood of human being in the context and the sustainability depend on ecological
process in the context.
 Gain insight into the use of resources in the context and identify pollution problems
opportunities in the context
 Understand the social, economic and institutional issues and their interaction
 Define which environmental functions are important which actors in the context and at
which level and identify the actors involved in the different levels of decision making in
the context
It is also important to carry out macro-level analysis so as to predict how a situation can be
expected to changes and what solution can be more effective from a sustainable development
perspective. For macro-level analysis it necessary to understand
 The spatial pattern of the problem and the large scale dynamics of changes that come
about. This is because environmental and economic development of the context in a
way depend upon factors outside the context (e.g. supra level decision makers deciding
to exploit a context with rich natural resources or helping a context to develop with
resources outside the context)
 The driving forces and actors involved so as to help identify strategic orientation and
comparative advantage of the proposed pollution management strategy.
This analysis is necessary because especially for developing countries with limited economic
potential, options for solution to pollution problems often depend on potential beyond the local
context or situation.
In view of the complexity of pollution problems and the complex interactions of factors at
different levels and actors from different sectors, macro-level analyse should be carried through
an action-oriented approach with the focus on the overall insight and the identification of
problems and opportunities. Special attention should however be given to the identification of
opportunities in terms of promising initiatives and innovative actors in the macro environment.
Macro-level analysis will help developed solution based on a large scale picture of potentials and
exploring their comparative advantages. It will also put the context into a broad and long-term
perspective. Understanding a situation and its relationship with the macro environment will help
design a sustainable and effective pollution management strategy.
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A balance should be found for context analysis and macro analysis for the two to reinforce each
other so that sufficient insight for a good strategic design is created is vital for sustainable
pollution management strategy.
5.2 Principles to deal with special circumstances
5.2.1 Justification
In section 3.3, constraints that hamper the effective management of environmental problems in
developing countries were identified. These constraints are related to the quantitative
applications of the tools reviewed in chapter 3 and 4.
The whole methodology adopted in the development of this framework is more a qualitative one.
Quantitative application of some is undertaken where there are no constraints. In that I keep up
with full concepts, theories and use a full soft method instead of a hard but partial methodology.
In this way developing countries would not be crying for assistance to develop sophisticated
equipment and programmes that would allow easy analysis of quantitative data. Focus would
rather be on making the best of out of the interest resources and information
This approach is adopted in the application of the framework in Tema in chapter 6 where not
much quantitative measurements are carried but a quantitative approach such as conducting
selected interviews.
5.3.2 The Principles
Based on the conceptual analysis and review of tools that have been done in the preceding
chapters, as well as the constraints discussed in the previous section, I propose the following
design principles as potentials to help manage pollution problems in developing countries. The
relationship between the principles is shown in Figure 7
Resource Volarization
The resource valorisation strategy constitutes the core element of the strategy and consists of
three main sub components: human resource component, institutional infrastructure component
and financial resource component. The interaction between the three sub components and with
the other two principles will influence the resource valorisation process.
The human resource component is based on the assertion that maximum and efficient utilisation
of a country’s resources is a fundamental prerequisite for sustainable development and the basis
for attracting foreign assistance in pollution management. One of the main challenges that needs
to be addressed here is reversing the outflow of highly skilled manpower from developing
countries to specifically identify the objective need for generation of new skills that are required
for the pollution management process. In other words, effective capacity utilisation should be
used as the basis to determine the need for new skill development.
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Thus checking and/reversal of the brain drain will require taking measures that address push and
pull factors. Possible ways to this can be through:
 Re-orienting the whole education and research programme towards national priorities and
agenda.
 Re-conciling training programmes with national and sectoral needs through prudent
human resource development planning.
 Promotion of national expertise and capacity utilisation.
 Creating a conducive working environment and facility as a basis for national capacity
building in science and technology.
 Establishing an effective incentive and recognition system that is strictly based on
performance and output.
Considering the severity of the ‘brain drain’ problem, the primary focus of capacity building in
developing countries should on valorisation of existing capacities. I argue that the way forward is
to improve institutional infrastructure through better “capacity utilization” and “retooling “ of
government institutions responsible for pollution, reversing the brain drain, reinvigoration of
existing capacities and train personnel in proper use of new pollution management tools. Also it
must be noted that neither government nor donors can promote sustainable pollution
management strategies without a proper institutional mechanism designed to co-ordinate the
decision about different aspects of development required for managing pollution problems.
Furthermore, it is important that national governments, multilateral and bilateral institutions
involved in developing countries should overcome their “bias” against developing countries
experts and recognise the importance of local capacity utilisation in pollution management
activities and encourage the leading participation developing countries’ experts in the
management undertakings. While it is important to encourage the lead participation of
developing countries’ experts, it is equally important to recognise the need for expertise from the
developed world since developing countries and their experts have a lot to learn and gain from
the wealth of knowledge that is generated from other parts of the world. In this context, the
development of an appropriate twining strategy that will facilitate local capacity utilisation and
effective transfer of knowledge and experience in both directions is essential in terms of
promoting management in a sustainable way to deal with this situation.
With the institutional infrastructure component, it is worth noting that since most institutions in
developing countries are new and started with the importation of western institutional structures
during the colonial era, the diffusion of institutional structures may not be unique to developing
countries. The failure to adapt and/ assimilate these institutional structures in societies in
developing countries seems to be a unique feature. As a result, modern institution of governance
in developing countries have the tendency to alienate themselves from society because they
disregard indigenous /traditional forms of grass-root governance systems that have been
functioning for ages and the lack of effort to endogenise western type of institutions. Even the
much promoted ‘good governance’ which is currently being advocated as a solution for
developing countries crisis does not give due consideration for indigenous governance. While the
increasing recognition of the role of civil society in developing countries’ governance is a
positive trend, the proliferation of western style non-governmental organisation has become the
primary actor with peripheral attention given to indigenous and traditional organisations.
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Addressing this institutional crisis is a critical element for promoting sustainable pollution
management. In this case, synthesis of the best elements from the indigenous and western
governance practices and creating a governance system, which provides broader participation by
local community and be responsive to the global environment.
Another major area that requires fundamental reformation is the education system. The key
elements of this reformation are promoting a shift of emphasis from theoretical to a practical,
locally responsive and application oriented structure of education and re-orienting the focus of
research towards the possibility of transforming socially useful indigenous knowledge and
practices into modern system of knowledge. Such an approach would enable educational
institutions in developing countries to generate a new breed of professionals that are well
equipped with the necessary knowledge. In addition the reformation may help enhance the
capacity of societies to identify, process and utilise opportunities and also assimilate the
opportunities in the pollution management process. Recent progress that has been made in
science and technology is transforming material based economy into a knowledge-based
economy. This transformation may have significant contribution to pollution management by
replacing the movement of physical objects with movement of information and by facilitating
dematerialisation of products and services. Recent initiatives such as the ‘African Virtual
University’ project developed by the World Bank and the African Development Forum initiated
by the UNECA are helping to prepare developing countries in such a transformation process.
With regards to the problem of AIDS, the key to the solution lies in information. That is making
information about the problem of AIDS available to the society at large. In this context,
developing countries need to undertake vigorous education and awareness programmes that
utilise the capacity of modern and traditional institutions and mobilise the active segment of the
society. This should include the victims of the virus who have proved to be the most effective
change agent in terms of promoting the change of attitude that enhances the prevention of AIDS
transmission.
The third component is financial resources. With financial resources, there is the need to refocus
the financial mobilisation efforts towards local capital and reversing the capital fight that is
draining financial resources in developing countries. The reversal of capital flight will increase
capital invested in the country and will be taxed to increase potential government revenue, which
can be used to increase funds for institutions responsible for pollution management. There is the
need to ensure effective property security regimes in developing countries through an
independent and efficient judicial system that upholds the rule of law. This should go hand in
hand with a transparent system of administration that ensures public accountability.
In addition, governments should put in place an incentive mechanism that would encourage
nationals leaving abroad to invest capital in their own home country. These measures are
important not only for the reversal of capital flight per se but they also play a key role in
attracting foreign direct investment. Also, an overall reduction in the risk of the domestic
economic environment in developing countries is important. Since this will encourage domestic
saving of the little funds available and also in the long run attract foreign capital which in one
way or the other may lead to an increase in financial resources that are devoted to environmental
activities in developing countries.
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Sectoral Synergy
The promotion of synergy is identified as a potential for the use of pollution management tools in
developing countries. While the promotion of sectoral synergy at all levels is essential, the
sectoral synergy that is critical for sustainable pollution management in developing countries are
the synergy between the public sector, the private sector and civil sector and synergy between
departments involved in pollution management. The main objective of the promoting sectoral
synergy is to overcome the competitive trend between these sectors and to strengthen their
complementarity.
The first step to overcome the mismatch and related shortcomings is to recognise the
complementary role of actors and avoid policy favouritism and / bias towards one at the expense
of the other. Thus the promotion of strategic links between these sectors that are based on the
recognition of the dynamic socio-economic contribution of each sector is a basic requirement for
promoting sustainable pollution management in developing countries. Policy favouritism that
was directed towards the public sector development in the 1970s and the 1980s has significantly
undermined the involvement of the private sector in pollution management in developing
countries. As a result, the private sector is still at its infancy stage. For instance, since the
beginning of the 1990s, an increasing number of African governments have recognised the
critical role of the private sector in Africa’s development. Nonetheless, concrete measures of
overcoming the inertia from the earlier decades and enhancing the participation of the private
sector participating is still lagging behind in most countries.
Another option that can be used to create synergy is to utilise the privatisation practised as the
basis for promoting public-private sector partnership in developing countries. This will
encourage local sector to get involved in pollution management strategies. As discussed in
previews chapters, one of the key objectives of privatisation is to transfer publicly owned
enterprises to private and the restriction of the role of government to the creations of enabling
environment for free competition. For some governments, the principal objective might be the
generation of additional revenue for pollution management activities, or use privatisation as
mechanism to promote socio-equity, enhance the dynamic link between public and private sector
in pollution management strategies though multiple mode of privatisation that broadens the basis
for local participation. A possible way may be to develop a special private sector support
programme that is managed with the participation of private sector as key partner.
A close look at civil society shows that a reservoir of skills and creativity exist within developing
countries. The challenge is to develop a proper mechanism to tap this resource and to use civil
society as a seedbed for generating local strategies for pollution management. The numerous
pollution management initiatives in developing countries that have been launched in recent years
as part of capacity building initiatives in developing countries that have been launched in recent
years as part of capacity building initiatives are based on replicating prototype strategies from
developed countries. While experiences from developing countries may be useful to provide an
insight, institutions responsible for pollution management should realise that an effective strategy
is highly influenced by socio-economic and cultural context. A local pollution management
strategy that is based on the full understanding of civil society in a given country or situation
provides a sound basis for developing a sustainable strategy that is responsive to the specific
socio-economic and socio-ecological signals.
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It is also important to create synergy between the different departments and institutions involved
in pollution management. An important way may be to develop an integrated database and
management system so that the different departments can share information easily. For instance,
the use of a comprehensive information system as a warehouse for information from the different
departments is necessary. Also the different actors involved in a pollution management strategy
should be brought together under one umbrella so that they can report and exchange information
directly without going through the bureaucratic processes in institutions.
With economic and industrial development being the mainstay of the economies of developing
countries, any pollution management strategy under such a situation should be based on
consolidating the forward and backward linkage of the various departments involved in the
pollution management strategy. However, to maintain ecological resources as well as economic
resources, the focus of strategic linkage between departments in developing countries should be
on the promotion of appropriate working systems in departments that are responsive to local,
cultural and ecological conditions. For instance, this may be combining activities at the early
stage of pollution management through bypassing the internal hierarchy and shared information
so that people in the various departments with different knowledge combine with modern
pollution management technologies.
In general, in view of the extremely weak private sectors and technological backwardness in
most developing countries, successful pollution management strategy is not likely to be realised
with the active involvement of the private sector, the public sector and civil society also has a
role to play. Therefore, any pollution management strategy needs to take into account the role of
the three sectors! However, there should be clearly defined goals, objectives and responsibilities
of each sector, all linked together in a common strategy. This can be done through an effective
partnership between the government, the public, and industry and the informal sector especially
where industrialisation, the prime cause of pollution problems, is an essential element of
conscious and deliberate development policy. In the final analysis it is worth noting that the issue
is not about either the government, public, industry or the informal sector. It is rather an issue of
how to develop and strengthen their complementarities in strategic decision-making
Sustainable Policy Reform
The first two principles were developed based on identifying the fundamental factors that
determine the nature and pace of pollution management in developing countries. As such, their
applicability may be limited to developing countries even if the general framework and approach
may provide an insight that could be useful for other parts of the world. The principles provide a
general strategy that can be applied in the process of developing policies for pollution
management in any part of the world. The policy reforms proposed here might be applicable for
all parts of the world. In the context of this research the policy reform has two major components
(I) macro-policy tools and (ii) sectoral policy tools shown in figure 5.2.
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Policy domain
Macro
Sectoral
Concepts






Societal Transformation
Policy mainstreaming
Adaptive management
Proactive management
Use of economic and market-based instruments
Eco-industrial development
Figure 5.1 showing policy reform areas and concepts that should be considered.
Macro-policy reform
The macro-policy reforms are composed of three fundamental principles. These are placing
emphasis on societal transformation process, policy mainstreaming and adaptive management
concept. One of the major shortcomings of pollution management strategies in developing
countries is their inability to consider pollution management as a societal transformation process
in its broadest sense. As a result, pollution management has been mainly promoted through
control and transfer of technologies. This has led to a misplaced emphasis on technology transfer
and technology control mechanism, which has met a lot of difficulties. In this connection, it is of
primary importance to promote pollution management as a transformational process that
correlates with the socio-economic and socio-ecological context of developing countries.
The principle of mainstreaming used here is based on the recognition of the following two
factors. First is the limitation of considering environmental issues as an ‘add-on’ element in
development policies in developing countries. Currently developing countries tend to emphasis
on complementary measures to mitigate environmental harm instead of altering economic wide
policies to achieve environmental goals. Second, even if most developing countries have
environmental policies and regulations, they may have limited results due to the absence of the
necessary enforcement mechanism. With end-pipe management approach not sufficient to
manage pollution problems in a sustainable way, there is the need to shift emphasis to more
integrated approach of pollution management. Similarly, there is the need for a shift with respect
to the treatment of pollution issues at the micro level. Empirical evidence shows that sustainable
pollution management cannot be achieved through ‘add-on’ approach. It requires the integration
of ecological consideration in every process of designing development strategies. The
mainstreaming principle can be applied by instituting a mechanism of socio-ecological
consistency in all major policies through a strategic impact assessment of policies.
One of the major factors that has contributed to the failure of pollution management strategies in
developing countries is their static perception of governments irrespective of their operational
environment. This has been based on the notion that what has worked for one country or region
should work for another. As it has been seen in the case of developing countries, this notion has
been acting as a source of inertia in terms of making the necessary changes even after the notion
has proved to fail. Overcoming this problem is a key element in developing strategies for
pollution management. This can be achieved through the adoption of the adaptive management
principle in the field of policy and strategy development. Adaptive management is based on the
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basic tenet that a pollution management strategy should be primarily based on the local dynamics
and should have a feedback mechanism that will enable it to evolve continuously in response to
changing internal and external environment. The adaptive process should cover the whole chain
of the pollution management process. Thus, the primary focus in strategy development for
pollution management should not be on how efficiently responsive it is.
Sectoral policy reform
The second dimension is the sectoral policy domain that specifically refers to the industrial
sector since it is the major polluting sector. Besides rectifying the myopic perception of the
industrialisation process, developing countries need to incorporate socio-ecological consideration
into their industrial development strategies. This can be achieved through the adoption of
proactive environmental management and eco-industrial development approach. Developing
countries are placed in an advantageous position that would enable them to utilise the product
and substance assessment tools that has been discussed in chapter 4 as a basis for laying the
foundation for sustainable production and consumption. This in a way may provide the
possibility for developing countries to pollute and at the same time achieve the desired level of
industrial development without causing a significant adverse impact on the natural environment.
The pro-active environmental management approach, as constellation of concepts and tools that
are aimed at improving the environment performance of products, processes and services, can be
adopted and implemented to any scale of industrial operation. The principal objective of this
approach is to minimise and eliminate the adverse environmental impact of any industrial
operation through integrated, preventive, and life cycle oriented approaches. Considering the
current low levels of industrial efficiency and resource utilisation, industries in developing
countries can benefit significantly by adopting the pro-active environmental approach. This will
enable developing countries to develop their industrial sector on a sustainable basis. For instance,
the use of information-oriented approaches may be used as criteria to assess companies’
commitment to pollution problems.
Another approach is to use tools such as environmental reporting and environmental education
and communication. Providing information to the public and the polluter plays a vital role in
pollution management in developing countries since agencies can use information from
stakeholders to help develop effective pollution management strategies. On the other hand
stakeholders should be informed and educated about pollution issues through the disclosure of
information. Information-oriented approaches are an important part of informal pollution
management strategies since the public will provide information, comments and critique that
may influence polluters even of formal regulation is absent. The use of these tools should be
carried by maximum efforts to utilise the evolving information and communication technology
and servicing that is currently being introduced in developing countries.
Another thing is to transform the limitations associated with cultural and social diversity in
developing countries through intercultural negotiation with the aim of reaching step-by-step
consensus about strategies for pollution management. In this regard, environment conflict
resolution tool, which is participatory, offers a possible way out. This will help find solutions to
pollution problems through negotiations and co-operation instead of confrontation since conflict
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in pollution management are inevitable and cannot be totally avoided. This may be done by
establishing a dispute resolution management mechanism in the institutional arrangement with
focus on preventing the diffusion and magnification of dispute that may originate from improper
pollution management or in corrective pollution management decisions. Environmental dispute
resolution even though is important may not be required for all pollution problems because the
actual need is more of potential rather than an actual need.
In the global economic system where markets hold a prominent position as source of signal
(information) economic and market-based tools have a vital role to play in promoting sustainable
pollution management? A more sustainable pollution management strategy can be achieved by
applying different kinds of economic incentives that encourage industries to take proactive
measures to improve their resource efficiency and instituting economic and market disincentives
that force polluting industries to reduce their environmental impact through polluter pays
principles. The design and use of such economic and market-based tools should be guided by the
objective of facilitating a desirable behavioural and operational change at the industry level
rather than being driven by revenue generation for the government. In this context, developing
countries should put the appropriate economic and market-based tools in place as well as the
necessary technical support.
The development of the necessary institutional set-ups for promotion of proactive pollution
management which are of strategic importance for developing countries include:
 Developing the human capacity in the field of preventive pollution management;
 Creating institutions such as National Cleaner Production Centres that can serve as
instruments for capacity building and as information clearing house;
 Introducing policies that provide economic incentives to industries that are taking
proactive actions that impose economic disincentive to those who are lagging behind
 Considering eco-industrial development as the basis for regional planning of industrial
development;
In figure 5.3, the strategic measures of the three principles that can be used to deal with the
constraints in the use of pollution management tools in developing countries are presented.
5.3 Tools for design, implementation and evaluation
In this section, I present tools for the design of environmental management solution. Tools
reviewed here are market-based tools, environmental regulatory tools, environmental education
and communication tools and environmental conflict resolution and management tools. The
application of the tools and their relevance to developing countries is presented.
5.3.1 Market based Tools
Overview of market-based tools
Market-based tools have been one of the major tools used for years in pollution management to
influence environmental behaviour through control and prohibition based on price and market
mechanism. Various discussions exist about what market-based tools include. In this research,
market-based tools are used to identify all tools, which, by means of affecting price structures,
impact positively upon the environment. This definition is in line with that of OECD’s which
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states that market-based tools are ‘those policy tools which may influence environmental
outcomes by changing the cost and benefits of alternative actions open to economic agents. They
aim to do so by making the environmentally preferred action financially more attractive.’
(OECD, 1997).
The use of market-based tools in pollution management has long been promoted by economics
for its unique feature of incorporating environmental concerns directly into the market economy.
This causes market-based tools to have the efficiency properties of the competitive market.
Market-based tools are able to trigger action both among producers and consumers that allow the
achievement of given pollution management objectives at the lowest cost. Market-based tools
change the optimisation of environmental resource used in the economic equation by increasing
the relative price of raw materials and emissions created by processes and products.
The set of market-based tools available for environmental management span a wide range of
options and possibilities. A common element that runs through all is the aim to induce a change
in behaviour of economic agent by internalising environmental cost through a change in
incentive structure that economic agent face. In this section, based on the work of Stavins (2000),
I categorize market-based tools into (i) taxes and charges, (ii) tradable permits (iii) performance
bonds and deposit refund system and (iv) multilateral trading systems.
Charges and taxes
The idea behind taxes and charges is raising the cost of the offending parties will produce an
incentive for them to reduce or cease the practice concerned and in some case raise revenue for
the parties that are affected. That is the higher the cost of polluting, the lower will polluters will
pollute. However, all aspects of the pollution chain need to be taxed. Some issues in an economic
process that are taxable include input factors, emission, production and consumption. However,
current emphasis is only on taxes on input and the emissions ( Verbruggen, 1998).
Charges and taxes are based on the polluter pays principle, according to which the party causing
pollution should bear the cost of the pollution falling on others (Gee, 1997, Winpenny, 1998).
Their use is intended to penalise anti-environmental practices and the use of certain products.
The European Commission (1994) reports that taxes on input factors are preferred to taxes that
intervene directly in the choice of production and consumption. This is with the view that this
will help in eliminating pollutants and at the same time will promote wise use of inputs that have
high pollution potential which attracts the highest taxes and charges.
Before I continue, it is important to differentiate between charges and taxes because they are
rarely distinguished and are often used interchangeably. Two main features may be used to
distinguish taxes from charges. First, charges are payments, which are administratively used of
resources, infrastructure and services and are akin to market prices for private goods. Charges are
compulsory required payments proportionally to services provided by the government, which
directly raise the cost of the offending party. In contrast, taxes are a means of raising fiscal
revenue and are in a way connected to budgets. Thus, taxes are compulsory unrequited
payments to the government, with which specific collective goods are provided that are normally
not related to the payments of the taxpayers.
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Example of charges include pollution charges, which include emission charges, effluent charges,
and product charges, direct user charges, which are mainly utility charges and indirect charges,
which are improvement charges, and fees imposed on beneficiaries of activities such as
environmental clean ups. An example of use of charges is in Thailand where they are used to
address water pollution discharges from households, small industries and large industries
(Phantumvanit et al. 1994). Different taxes include environmental emission taxes, effluent
taxes, differential taxes and input and final product taxes. Taiwan has used product and tax
differentiation to address air pollution from mobile sources between leaded and unleaded
gasoline. (O'Connor 1994).
Economic tax reforms
Favourable market structures that encourage production efficiency should be created and
promoted. This may be by governments undertaking favourable economic tax reforms.Economic
tax reform, is based on imposing taxes on environmental ´ bads´ such as pollution and the
inefficient use of energy and resources with the possibility of achieving multiple gains (Gee,
1997) The following working definition of has been produced as part of a European-wide
program of raising awareness on economic tax reforms. Economic Tax Reform involves the
shifting a large portion of taxation from the value-adding activities of people such as
employment and savings to the value-subtracting use of energy and resources and associated
creation of waste and pollution.
An ETR package includes measures such as removal of subsidies on unsustainable activities,
regulations to promote energy efficiency, investment incentives to encourage eco-efficiency,
adjustment measures for energy intensive sectors, and information campaigns. It is based on
revenue recycling and budget neutrality, resulting in wise use of nature and wider use of people.
Key features of this definition are its comprehensive nature and the complementary measures,
such as subsidy removal. Investment incentives and regulation, the needs for gradual change
over long time periods, extensive consultation, and revenue recycling.
There are three main reasons why ETR is beginning to attract politicians and the public in
pollution management (Gee, 1997). First, the combination of ballooning budget deficits, tax
revolts and declining conventional tax bases is further concentrating the minds of politicians and
policy-makers on tax reforms. Secondly, the distortion effects of current taxes are receiving
greater attention, especially about the distortion caused by subsidizing economic activities that
cause pollution problems, or taxes that encourage unsustainable behavior, such as reckless use of
company equipment. Thirdly, the failure of market prices to capture the full cost of production,
use of goods and disposal of waste in the form of taxes (Gee, 1997). The following are some of
the factors that determine the success of ETR (Gee, 1997).


ETR are very effective at both changing behaviour and generating revenue, particularly if
they involve predictable increases over several years in the form of creating new markets and
innovations with the help of appropriate price signals and incentives.
For particular pollutants, the combination of charges and subsidies can be cost-effective and
politically acceptable to industry. In this case institutional cultures and policy styles will
strongly affect the design and political fate of the tax reform. However, achieving political
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and public support by informed discussion and consultation are essential for reforms which
tax goods of the environment are perceived as’ free’ or ‘cheap’.
To complement the economic reforms suggested above is the use of the polluter pay principle to
deal with certain pollution problems. The basic idea this principle is to internalize external costs
of pollution by requiring the polluter to pay in some manner for the costs of the pollution. The
principle states that the polluter should bear the expenses of preventing and controlling pollution
to ensure that the environment is in an acceptable state, irrespective of whether these costs are
incurred through some charge on pollutant emission or are in response to some direct regulation
leading to an enforced reduction in pollution.
The problem, however, is the polluter pays principle does not easily fit situations where the
product itself becomes the pollutant but focused more on controlling the pollution outputs from
each individual firm within the product chain without regard to the linkages to other stages of the
product chain and the impact of those stages on those individual pollution outputs. This has led
to focus on single production facilities, which turn to ignore upstream and downstream
environmental impacts in the product chain and only shift.
In general, the polluter pays principle is a promising concept for finding a solution to certain
pollution problems in developing countries especially in situations where the polluter is
identified. This will help know who the cause of pollution is and who pays what. However,
problems arise when polluters are not identified. In such a situation, it is difficult to implement
the polluter pays principle, since it is difficult to stretch the polluter pays principles beyond the
pollution generated by individuals and firms in a particular chain of production to deal with the
whole production process. This is because the literal definition of “polluter” and subsequently
who should bear the polluter label is tortured. If the necessary ecological reforms are to take
place, however, law and policy in developing countries require a moral dimension to change
people's attitude towards their environment
Polluter pays principle
With respect to polluter pays principle, OECD member countries first propounded the idea of
polluter-pays principle in 1972 when strict regulations were introduced, and complaints about
high costs and negative effects on competitiveness were beginning to emanate from industry
(0ECD, 1975). At that time, polluter pays principle simply said that polluters should bear the
full cost of meeting environmental regulations and standards and no subsidies were given to help
in this process. It has since evolved to become a broader principle of cost internalisation and
economic policy concept used in relating the expenses of carrying out pollution prevention
measures or pay for the environmental damage that their activities produce. In other words, the
cost of the measures is reflected in the cost of good and services, which cause pollution in
production and consumption.
The basic idea behind the Polluter Pays Principle is to internalize external costs of pollution by
requiring the polluter to pay in some manner for the costs of the pollution. It states that the
polluter should bear the expenses of preventing and controlling pollution to ensure that the
environment is in an acceptable state, irrespective of whether these costs are incurred through
some charge on pollutant emission or are in response to some direct regulation leading to an
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enforced reduction in pollution. However, the Polluter Pays Principle does not easily fit
situations where the product itself becomes the pollutant in a subsequent life cycle stage, where
the product embodies significant pollution from earlier life cycle stages, or where the use of the
product creates pollution indirectly. This makes the Polluter Pays Principle focused more on
controlling the pollution outputs from each individual firm within the product chain without
regard to the linkages to other stages of the product chain and the impact of those stages on those
individual pollution outputs. This has led to focus on single production facilities, which turn to
ignore upstream and downstream environmental impacts in the product chain and only shift
In general, the polluter pays principle is a promising concept for finding a solution to certain
pollution problems in developing countries especially in situations where the polluter is
identified. This will help know who is the cause of pollution and who pays what. However,
problems arise when polluters are not identified. In such a situation, it is difficult to implement
the polluter pays principle, since it is difficult to stretch the polluter pays principles beyond the
pollution generated by individuals and firms in a particular chain of production to deal with the
whole production process. This is because the literal definition of “polluter” and subsequently
who should bear the polluter label is tortured. If the necessary ecological reforms are to take
place, however, law and policy in developing countries require a moral dimension to change
people's attitude towards their environment.
Tradable permits
Tradable permits are tools used to mimic market conditions in other to create market in
environmental quality in which the right to use the environment and dump pollute is assigned a
price and traded. Price assignment in tradable permits involves the definition and allocation of
right to use the environment as a way to ensure a total aggregate use of the environment to a
desired level of environmental quality and specifies the content of individual rights. Pricing
results in the assurance of fewer environmental use rights than demanded, to ensure a rational
use of the environmental functions, because the more it is used the more it cost.
The basic idea of tradable permits is that firms sell or buy ‘pollution permits’ corresponding to
the total amount of tolerable or allowable pollution. It is based on the reasoning that if such
market transactions take place the cost of pollution abatement will be minimised. Tradable
permits system involves determining the volume and nature of effects beforehand upon which
the price for a permit is issued. In most cases the market price of the permits is not known in
advance because the price depends on the interaction between the supply and demand curve, as
well as the way the permits are initially issued. In situations where demand for permits is high,
polluters will be motivated to abate pollution from the source (Verbruggen 1998). Hence, this
tool is suitable in situations where the amount of available environmental space is fixed.
To date, there has been little experimentation with tradable permits in developing countries.
Singapore has been a pioneer in this approach to environmental policy, using competitive tenders
for permits to import and use ozone-depleting substances (specifically, CFCs regulated under the
Montreal Protocol. (O'Connor 1991). An example of tradable permits is tradable discharge
permits which may be divided into credit program, which gives permits only to additional
reduction from the standard, and cap and trade system, which gives permits to all pollution and
tradable emission permits which is the right certificate showing the pollution emission unit in a
certain period (Stavins, 2000).
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Subsidies and environmental funds
Subsidies provide financial assistance to motivate individuals or firms to act more
environmental-friendly by promoting the consumption of environmentally friendly products and
services. Subsidies may also be used to reduce compliance costs in relation to specific
environmental regulations in the form of grants, soft loans, or tax allowances. Subsidies may be
financed through the general budget or through earmarked revenues or revenues collected from
specific charges and re-allocated for specific environmental purposes.
While it is argued that the economic rationale for such schemes is weak, subsides play an
important role in enhancing the acceptability of the taxes and charges in question, since subsides
are used as source of funds for the environmental expenditures. This argument is particularly
justified in developing countries cases where public financial resources that are allocated for
environmental management are very scarce. In such cases, suitably designed environmental
funds can become effective mechanisms for channelling earmarked revenues to help tackle
serious pollution problems.
Environmental funds are programmes which make available loans to finance environmental
protection and resource management measures through public or private sector banks.
Environmental funds of this type are refinanced partly from national budgets and partly from
environmental charges, taxes or fines for violations of environmental legislations. The funds
mostly include an element of subsidy, as they offer loans at interest rates and /or are more
favourable than normal market conditions.
A number of developing countries have established subsidies in the form of environmental funds
to finance certain environmental expenditures. Such funds are best viewed as transitional
mechanisms to mobilize financing to address an accumulated backlog of environmental
problems. Subsidies and environmental funds may also play a useful role where capital for
environmental investments cannot be raised through established financial institutions. An
example of this is in Indonesia where imports of equipment for effluent treatment plants are
subject to a concessionary rate of custom duty.
Environmental performance bonds and deposit-refund systems
Environmental performance bonds and deposit refund systems aim to shift responsibility for
controlling pollution, pollution monitoring and enforcement to individual producers and
consumers who are charged in advance for the potential damage.
Environmental performance bonds are recent market-based tools used as a means of dealing with
uncertainty in activities and projects. It involves an independent analysis used to determine the
social cost of the worst conceivable environmental outcome of an activity or project. Approval of
the activity is then conditional on the party depositing a bond, which is part payment of the
conceivable cost. The bond is fully or partially returned to the party at the end of the activity
lifetime, defined by the longest-lasting conceived consequence of the activity.
Environmental bonds may help ensure that resource extracting companies and potential polluters
take adequate measures to minimize the environmental damage caused by their activities and
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affect clean up activities and restoration of residual damage in the most cost effective manner.
For instance, environmental performance bond can ensure that polluters make available adequate
funds for the cleaning of waste and restoration of damaged environment by parties who fail to
comply with environmental regulations.
Deposit-refund systems, on the other hand, do not require monitoring of the environment to
ensure performance of pollution but it is used to motivate and put a sense of responsibility in
potential polluters by letting them pay a deposit when buying or using goods and receive a
refund if damage has not been done. In most cases, they are used in situations where pollution
sources are numerous and different. In deposit-refund systems, potential polluters pay a deposit
for carrying out transactions undertaken and get a refund if certain conditions are met and there
is proof that a certain type of damage has not been done by the good.
Deposit-refund systems can help to make people and firms more responsible especially when
dealing with dangerous substances. Producers for their own commercial reasons can use deposit
refund systems or governments may use it for environmental reasons. The latter calls for public
intervention to promote the establishment of deposit-refund systems. The use deposit-refund
systems may help to reduce the return of by-products of individual and company’s production
and consumption for recycling or treatment and safe disposal or otherwise to finance their
collection and return by others. This may make the use of deposit-refund systems in developing
countries able to induce labour-intensive waste collection activities in an environment of lowcost, abundant and unemployed labour. In the private sector this may take the form of industrial
and self-regulations. Examples of products in the EU which deposit-refund systems are used are
metals, glass and bottles (Winpenny, 1998).
Multilateral trading systems
In the past two decades, due to globalization and liberalization, international flow of goods and
especially of finance capital have increased sharply. The cost of transactions across national
frontiers-the movement of money, On the whole, the balance of forces seems to point in the
direction of globalization in the descriptive sense of a process of increasing international
resource and goods flow. The most important task has been the creation of international trade
agreements whose tribunals and enforcement measures supersede the legal systems of nations
states and supplant their judicial processes by setting up independent dispute resolution systems
that exist outside the confines of their courts and their laws.
Multilateral trading systems are used to address two main problems associated with imported
goods and exported goods. The first are pollution problems that occur in the consumption, use
and disposal of products as well from the production of goods and associated services. The
second is pollution problems whose effect both from consumption and production are limited to
the country of origin and environmental effects that are felt on an international level by different
countries. To deal with these two classes of pollution problems in international trade, three
categories of tools are identified, (i) ecolabelling (ii) multilateral environmental agreement and
(iii) tools of questionable WTO legality (Cosbey, 1998).
Eco-labelling
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Eco-labelling is a way of making distinction on a product label on the basis of its environmental
merits. Two main types of eco-labels are identified (Cosbey, 1998). Currently, there are
numerous eco-labelling schemes operating worldwide. As a result of the abundance of ecolabelling schemes worldwide, the International Standardization Organization (ISO) developed a
set of standards for environmental labels, the ISO 14020. These standards distinguish between
three kinds of labelling:
 Type 1 eco-labelling – are third party labels which are voluntary, multiple criteria
based, practitioner programmes that award labels claiming overall environmental
performance of products within a particular product category, based on life cycle
consideration (Kuhre, 1997). This means that products fulfilling requirement
decided upon by an independent body are awarded a label to use when marketing
the product. An example is the Nordic Swan.
 Type 2 eco-labelling – are first party environmental labelling programmes where
labels and environmental claims are not certified by any independent body. The
labels are done by producers and marketers as a way of marketing the products
environmental attributes. Claims can be of the type of recyclable, biodegradable or
have a neutral reporting character.
 Type 3 eco-labelling – include third party certified reporting cards providing
neutral environment information based on LCA and environmental performance
indicators on which the consumer can base his/her purchasing decision (Kuhre,
1997). This type of eco-labelling is geared towards professional buyers in the
business and public sector.
 Mandatory labels - are not part of the ISO 14020 labels but are typically eco-labels
administered by government authorities and often have some kind of warning
function. They are mainly referred to as negative labels with the objective to inform
the customer on the health and environmental risks in the product (Davis, 1998).
Examples are labelling of poisons, tobacco and alcohol products.
Effective use of eco-labelling in developing countries requires a comprehensive and continuing
campaign of public education so that the public will be ware of the environmental problems
addressed during the production process of products. In addition, customers have to know that
eco-label product exists and look out for it to make informed choices between products. Critical
issues, such as openness during the design of the system and accessibility to the complex
certification process by foreign producers of countries should be considered during the design
process.
Multilateral environmental agreement
Multilateral environmental agreements (MEA) are used to address mainly production related
processes which have international environmental effect. It is where different countries come
into agreement about matters affecting the environment. With the fact that multilateral
environmental agreements are difficult and take a long time to conclude, the final outcome is
also not an attractive option for severe and urgent environmental problem (Cosbey, 1998). In
most cases there is a delay in reaching MEA between countries. This is often due to difference in
their environmental priorities and in some cases differences in their ecological conditions. For
instance, developing countries that lack supply of clean water will provide more resources for
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dealing with environment problems related to clean water supply and less measures to address air
quality.
Typical example of trade measures in MEA is the Montreal Protocol, used to finance ozonesaving initiatives in countries that are unable to give priority to the issue and also banned the
import of ozone- depleting substances (ODS) and also considered to reduce the production and
consumption of ODS (Cosbey, 1998).
Tools of questionable WTO legality
This category of multilateral trading system is effective in addressing production related
environmental problems. They include trade restrictions, trade sanctions, border tax adjustment
and countervailing duties.
 Trade restriction is used to prevent products entering a country, which are considered
to have environmental problems associated with its production and consumption
according to WTO rules from entering another country.
 Trade sanctions are used o control products with greater economic significance and
greater potential for influencing policy in the exporting countries.
 Border tax adjustment imposed on pollutions that cut across different jurisdictions and
also used as a mechanism to adjust taxes on foreign products that they reflect the same
tax as domestic products.
 Countervailing duties are border tax adjustments based on the assessment of importing
countries and imposed on imported products to bring the price up to their proper level
to prevent dumping of cheap and environmental harmful products.
Although their legality with regards to WTO rule is questionable, two main reasons warrant their
use. First, this category of tools have all been proposed at various times by the environmental
community and they also enjoy strong support by WTO members in spite of the dismal rules
taken by international trade rules. Second is they help to predict how the trade-environmental
debate will evolve in the future since present policy interface between trade and environment are
not clear. That is, in a way, they help to simplify the relationship between trade and environment
and make it more understandable.
The use of market based tools
In discussing the relevance of market-based tools to developing countries, I will consider them
under the classes they are discussed above. First, charges in the form of effluent charges for
water pollution are relevant for developing countries. This is because they take into account
monitoring and enforcement difficulties by differentiating the size and location of polluters. In
order to overcome the problem associated with monitoring and enforcement, the adoption of a
less expensive and simpler methods that do not depend entirely on monitoring are a possible
alternative.
Tax differentiation needs to be given the necessary attention in pollution management in
developing countries in two main areas. First, there is the need to differentiate between taxes on
environmentally friendly and unfriendly products with the latter attraction high taxes. This
differentiation may be done in two main ways. Either through the use of value added tax or
through the introduction of increases indirect tax, and reduction of general tax. With developing
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countries having existing tax system and less extensive monitoring networks. A potentially
effective method is, using tax differentiation to integrate ecotax (taxes on pollutant-containing
production inputs and products that can emit pollution) into the existing tax system with little
collection and enforcement effort (Sterner 1996). With monitoring and environmental
management capabilities relatively low in developing countries, the use of ecotax can help to
avoid the high costs of accurate monitoring technology. This is because the effect of an ecotax is
to generate revenue for environmental improvement and also to reduce pollutant emissions,
which also has a positive environmental effect. The effect of ecotax has tradeoffs related to the
price elasticity of demand for targeted goods which may either be large effect on revenue and
low effect on environment improvement or vice versa. In view of this, it is important to design
ecotax in terms of the object of the tax and the revenue use, so that it could have significant
positive effects on environmental improvement (Huber et al. 1998).
The major advantage of the implementation of an ecotax in developing countries is its ease of
implementation and administration (Blackman and Harrington 1999). This is due first to
monitoring for pollutant emissions required for an ecotax is far easier to achieve. Secondly in
many cases, an ecotax is implemented not by an environmental regulatory body but by the
normal tax administration and, in many developing countries, the level of organizational ability
in the tax administration is higher than that in environmental regulatory bodies. Thirdly, the
specific information necessary to set an appropriate level of ecotax is quite limited.
At the same time, however, it is important to consider the following points in order to implement
an ecotax effectively in developing countries (Blackman and Harrington 1999).
 Political pressure from the industrial groups makes this problematic. In particular, in
developing countries in which local residents' campaigns, environmental NGOs and
other groups are relatively weak, it is quite severe.
 Social acceptance of, and trust in, the tax administration that will oversee the
imposition of the ecotax is needed in order not to undermined its use.
 The regulatory agency needs to pursue the revenue for environmental policy separately
from ecotax to avoid increase in the trade-off between environmental improvement and
potential revenue. Since in developing countries where environmental countermeasures
are not a high priority in budgetary terms, it is easy for environmental improvement to
be sacrificed in exchange for the provision of revenue.
Product charges also need to be strengthened to have a strong incentive impact in developing
countries since in most cases, reduction in waste is in one way due to the consumption of certain
products being discouraged. Thus, prevention through sufficiently high product charges to
discourage consumption and/or encourage reuse and recycling of reusable material may result in
environmental improvement and at the same time may have the potential of ensuring
administrative efficiency since product charges are self-enforced.
Subsidies are also relevant to developing countries because most developing countries which are
dominated by a large number of small unregistered, dispersed firms that cannot be easily
regulated and monitored in relation to pollution. The use of subsidies will assist small firms
especially small ones and those that lack finance to be able to meet capital investment in
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pollution control and compliance to new regulations and prevention strategies. The following
three possibilities may be explored to finance subsidies.
 Finance subsidies from charges on polluters and given in connection with specific
environmental improvement which will make its use more compatible with the polluter
pays principle. .
 Finance subsidies from justified general budgets of governments with the aim of
assisting small firms and also speed up implementation of new environmental
regulations. For instance, general budget for the abatement of non-point pollution,
research and development of new pollution abatement technologies need to be justified
before they are introduced so that there is no diversion of funds to other areas.
 Set up revolution funds to provide additional source of funds for firms undertaking
pollution management actions. With developing countries little experience in the use of
other market-based tools such as charges and taxes, subsidies in the form of refunded
charges for environmental improvement may be indispensable for obtaining the
agreement of the industry of other financial tools.
However, I must note that the use of subsidies in developing countries should be institutionalised
in public policy in the value of economic assets such as shares and infrastructure development,
so that it results in capital gains with little influence on behaviour towards more environmentally
benign activities and practices. With this in mind, the use of subsidies in pollution management
in developing countries should be reduced to the minimum and well targeted so that it is used for
the purpose it is assigned for. In addition, subsidies should be used for a short period in other to
allow for the creation of incentives that would increase firms’ compliance with environmental
standards and also help focus on the improvement of specific environmental outcomes.
Even though tradable permits require substantial data and monitoring, they are relevant for
developing countries in managing air pollution. This because tradable permits allow countries to
construct firms in highly polluted area without increasing pollution levels. With current quest for
economic growth, developing countries require the application of tradable permits so that their
effort of industrialization and economic development is not retarded. For instance, tradable
permits may offer industrial firms in developing countries options to aim at meeting emission,
standards for their activities or buy credit to reduce their emission it may be useful to apply it to
utilities, multinational and large local firms even though they may not be appropriate in mixed
regulatory system.
In general tradable permits have little applicability to developing countries since commodities
are not freely traded in undistorted and competitive market and also because they require a level
of market sophistication and abstraction that do not exist in many developing countries. To
address this, what is needed in developing countries is the concept of earning and trading of
pollution credit among industries of differential abatement cost. This is because production cost
varies widely among developing countries and also the industrial sector in developing countries
is currently undergoing fast growth and structural change and has a wider scope for efficiency
improvement. Based on this assertion it is proposed that developing countries can begin to
introduce tradable permits for large domestic firms and foreign firms as well as public utilities.
Based on the outcome of this application, tradable permits can be considered for point and non-
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point sources of pollution by working closely with local industrial associations and governments
to reduce cost.
With deposit-refund system, even though they are not widely used in developing countries, they
are relevant, especially in solid waste management, to developing countries for several reasons.
First, with developing countries faced with a lot of administrative constraints and limited
enforcement capabilities, deposit-refund systems that have high administrative efficiency by selfenforcement and require less administrative input may be suitable for reducing littering and
waste disposal cost and for conserving material inputs. In addition, the presence of large labour
market creates a low opportunity cost of labour providing opportunity for the use of depositrefund systems since even small deposit would generate an active collection activity that would
have both economic and environmental benefits.
Since in most cases polluters are better of than those affected or those involved in the collection,
deposit-refund systems would have positive distributional implication as long as the deposits are
set at an affordable rate and are extended to include a lot of waste products. Finally, depositrefund systems when imposed can on the import point be decreased and refunded to the final
user or exporter may reduce audit requirement and make their administration simple. A possible
way, for instance, is imposing deposit-refund systems on toxic and hazardous substances that are
imported into the country and the deposit refunded to the final user or exporters of the waste of
the substances of product such as plastics, cans bottles.
Multilateral trading and developing countries
The use of multilateral trading system in developing countries currently posses a number of
challenges and their full potential may be realized if they are able to accommodate international
differences in natural endowment and environmental preferences in the trading system. Thus, a
compensatory mechanism for adversely affected countries should be present in agreements in
which import trade bans are used as their primary means of achieving a given pollution
management objective and at the same time addressing the economic consequences that may
trigger the management of pollution problems even if bans are not introduced.
Another way is to promote the creation of trade liberalization in developing countries since it has
the potential to generate significant changes in the environmental characteristics of production.
The question however is the way to examine the environmental effect of liberalization. For
instance, even though a lot of attempts has been made in the literature to deal with the process of
monetisation of both traded good and non-traded goods production, which often accompanies
trade liberalization. However, there is still the need not to overestimate the economic growth
following liberalization so that displaced subsistence production and the adverse environmental
consequence of such displacement may be fully accounted for.
Multilateral environmental agreements in developing countries should be negotiated in an open,
transparent manner and should include fair and effective dispute settlement mechanisms. It is
also important that WTO rules should be clarified so that its advantages over unilateral trade
measures in addressing trans-national and global environmental problems is clear. In this way
MEAs may offer equal terms of accession and entry into force provisions that may guarantee
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adequate participation by all regions of economic activity, including producers and consumers.
However, care should be taken to include trade provisions in MEAs only if they are necessary to
achieve an agreed upon environmental objective and if the objective is scientifically justified.
There is the need for developing countries to have trade provisions proportionate to the desired
objective of the MEAs so that they are achieved in the least trade restrictive way. Thus, MEAs
may provide for special mechanisms, which will allow developing countries to upgrade their
environmental standards gradually and consistently, particularly when the upgraded standards
are for the purpose of an MEA. What is required from the WTO in this respect is the
development of a set of criteria to give guidance to MEA negotiators so that the use of trade
measures may achieve environmental goals in new or existing MEAs and the exceptional
circumstances in which they are appropriate for use.
Under the current rules of multilateral trading systems, countries can impose requirements they
deem appropriate to protect their environment. This leads to differences in the cost of production
because, in countries with less stringent environmental requirements, companies may have lower
production costs compared to companies in other countries. What then happens is countries with
high stringent environmental requirements turn to dump their waste and pollutant in the
environment of countries with less stringent environmental requirements. In dealing with this,
developing countries require the enforcement of existing environmental requirements with less
stringent environmental requirements so that appropriate standards to levels recognizing that full
harmonization of environmental requirements are unlikely. In addition, developing countries
should provide protection for private investment and intellectual property rights. This action may
provide the atmosphere for the international chemical industry for instance to make new
investments which might incorporate its best technologies, thus reducing the need to use "green
tariffs” that might be imposed by WTO. At the same time, it may provide the opportunity for
developing countries to recognize the contribution that international trade approaches make in
responding to environmental requirements by providing compatible sector- based approaches to
pollution management.
To avoid unnecessary obstacles to international trade and discrimination against imports, ecolabels should be applied to distort trade since it will deny access for affected products and
exporters may find it difficult to compete in the a global market. A possible way out for
developing countries may be to:



Ensure transparency in the development and application of mandatory and voluntary
eco-labelling systems by providing appropriate notice and opportunity for consultation
to domestic and foreign producers alike and by applying the existing rules of the WTO
Agreement on Technical Barriers to Trade so that these systems do not implicitly or
explicitly discriminate against foreign producers.
Ensure that the concept of ecological equivalence is applied in the criteria setting
process of eco-labelling schemes. This requires the recognition of alternative industrial
processes in the definition of product categories, by taking into account the different
factors and conditions existing for foreign suppliers, which may not be relevant for
domestic suppliers.
Allow appropriate time periods for adaptation by trading partners to new or change
eco-labelling systems, and at the same time pursue greater harmonization of eco-
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labelling, convergence of procedures, and equivalence and mutual recognition
approaches, where appropriate.
In general, the adoption of eco-labelling in developing countries requires that governments
ensure that eco-labelling schemes are applied in accordance with existing WTO rules and
principles. This will enable them to be compared and easy movement of the products labelled. In
this case, the only thing that WTO needs to do to is clarify it with an interpretative statement that
its basic trade rules and the technical barriers to trade agreement apply to voluntary and nonvoluntary eco-labelling systems, standards and the specific criteria for the awarding of ecolabels.
5.3.2 Regulatory tools
Overview of regulatory tools
Environmental regulation has been used in the literature in different forms to represent different
aspects of environmental policy. However, in this research I used environmental regulation to
refer to tools which aim at transforming environmental policy regimes together with
transforming economic and technology regimes. The major trend of environmental regulation
regimes with respect to sustainable development is the shift from ‘coercive regulation’ to
proactive ‘ co-regulations’ thereby promoting the precautionary principle. The underlying ideas
with most environmental regulatory tools are to improve economic efficiency, avoid and or
reduce risk to human health and the ecosystems in a justifiable and equitable manner (Luneburg,
1998).
Thus, environmental regulation tools in this context refer to legal and voluntary tools that give
the chance, through which authorities can influence the functioning of other pollution
management tools or the behavioural choices of humans making environmental regulations used
in pollution management based on first, fostering transparency among actors and stakeholder
involvement in pollution management and may also trigger voluntary individual, joint industry
and government involvement. Second, is through industrial shift from reactive to proactive
strategies pollution management and creating partnership between industries and regulatory
bodies. Based on this assertion I categorize environmental regulations into three: (i)
environmental Standards, (ii) international environmental regulations and (iii) domestic
environmental regulations.
Environment standards
Environmental standards are one of the oldest tools used in pollution management to protect the
environment and human health by defining maximum permissible pollution levels. Standards are
established based on guideline values taking into account technical, economic, social or political
consideration when necessary. Since they influence the type and form of standards set (Hen and
Vojtisek, 1998). Due to scientific uncertainties, there is always a safety factor that is
incorporated in the guideline values, which account for the risk involved in the established
standards. However, there is difference in the safety factors due to the varying effect of
pollutants making it impossible to quantify the immediate risk of pollutant when the guideline
value is exceeded.
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Experts of international organisations and governments set environmental standards. For
instance, the World Health Organisations (WHO) sets guidelines for air pollutants and for
drinking water and national governments have established standards for pollutants.
Environmental standards take into account technical, economic, social or political considerations
resulting in variation in the standards set by international organisations and national
governments, eventhough all have the same mandate. This often leads to unrealistic use of
environmental standards aimed at avoiding negative impacts on health and the environment since
some standards exceed others. Yet environmental standards are used to improve environmental
quality and also to protect human health against environmental pollution.
Due to the different aspects of the environment and lack of scientific data (Lindhurst et al 1995)
there are different ways of establishing environmental standards based on some amount of
comprehensive scientific and intellectual input. Three main classifications are used to
systematise environmental standards for the different aspects of the environment (Hens and
Vojtisek, 1998).




Linking the environment into a chain of effects starting from human needs to activities,
environmental stress and quality and the negative values effect on both human and the
ecosystem
The nature of the pollutants in the environment such as chemical substances, noise,
biological substances
Establishing environmental standards for different compartments of the environment
such as water, air and soil
The effect that the standards address such as health, environment and materials.
There are two different approaches for establishing environmental standards: Substance-related
approach and integrated risk assessment approach (Hens and Vojtisek 1998). substance-related is
mainly used in setting health standards related to pollutants. With this approach, adverse effects
of pollutants on organisms are determined by experiments and models and the results used to
established guidelines. The limitation of this method is that it provides little and partial
information on the impact on the ecosystem since the approach is used for only a limited number
of substances which are considered to be pollutants but environmental effects are not caused by
one substance but group of substances. Moreover, effects on single species in a laboratory are
often different from the interactive effect on and in ecosystems. In addition, this approach
defines environmental quality in terms of concentration of substances such as heavy metals,
nutrients or hydrocarbons. This is not appropriate since other features, like biological diversity
also determine environmental quality (Hens and Vojtisek 1998)
Integrated risk assessment, on the other hand, takes into account both relevant experimental and
practical data into consideration so that it is possible to develop and/or adopt standards for
appropriate pollution management aimed at reducing or eliminating risk in other to maintain
ecological function. An important aspect of this approach is to monitor and verify whether
management aims are being based on existing technology. The idea here is once risk is defined,
it is possible to develop and adopt standards for appropriate pollution management aimed at
reducing or eliminating the risk. In this case, a lot of scientific data is used to make this approach
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practical as possible despite the fact that the approach does not take into account the socioeconomic realities of life but rather concentrates on conserving ecological functions.
Based on the work of Field (1997), I classify environmental standards into the following three
categories:
 Ambient standards – these are the average concentrations uncertain period of time for a
target pollutant in the environmental media like air, water and soil. They are set in
accordance with geographical location and concentration of population, and nature of the
pollutant. This makes ambient standards for average concentration to vary from one place
to another and also from one pollutant to another.
 Emission standards – they indicate the amount of emissions permissible for each polluter.
Emission standards can be formulated in various forms such as the amount of pollution
during a certain time period and technology standards, emission concentration in
environmental media, emission amount per unit of energy consumption, emission per unit
production and emission abatement or recycling rate. Emission standards are based on the
outcome of pollution abatement by polluters such as industrial pollution levels.
 Technology standards – they regulate production technologies and abatement technology.
Technology standards may help polluters to control technologies and methods. There are
different regulations based on different types of technology standards. Typical examples
include production regulation for vehicle gas processing technology, and input regulation
to use fuel energy with certain percentage of toxic elements.
It must be noted that the above typology of approaches does not correspond strictly to reality, but
it helps to clarify concepts and possible situations and also shows that environmental standards
are not without ambiguities and shortcomings. In an attempt to structure the way environmental
standards are determined, OECD (1985) identifies the following four types of criteria that should
be used to assess environmental standards:
 Environmental criteria are used to determine the standard’s effectiveness in reaching
its objective of ensuring health, safety, biodiversity and improved economic activities.
 Technology criteria is used to determine how technologically feasible environmental
standards are in terms of its enforcement and development.
 Economic criteria evaluates the cost and benefit of the environmental standards
 Political criteria are used to determine constraints and opportunities with the use of
environmental standards in society.
The use of environmental standards in controlling pollution appears to be useful in curbing the
amount of pollutants released into the environment. The problem, however, is that there is a lot
of dynamics involved and patterns of and among pollutants are yet to be known and it will be
wrong to represent them by standards of individual substances. This calls for the need to use
alternative approaches that will be able to determine the dynamics and patterns between
substances and human (Stara, 1984, Mumtaz et al. 1993).
International environmental regulations
International environmental regulation use here refers to public regulations, agreements and
declarations stipulating what countries should do and not do in other to tackle pollution problems
that transcend national boundaries such as air pollution. In the context of this research,
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international regulation is made up of international law, soft laws, scientific cooperation, and
leadership role of countries (Desambre, 1998).
There are two main approaches to making international laws. First, authority for regulation is
delegated to a committee and/or organization. International law of the delegatory type involves
empowerment of representatives of the participating countries to make decisions on regulation
through voting. In most cases, decisions taken through this approach are binding on actors and
do not require rectification. This arrangement thus allows the policy to quickly make available
environmental information. However, the law agreed on is with the consent of participatory
countries and countries, and those who do not agree with the majority decision, may decide to
opt out. A major problem with this approach is the free riding of countries that are not members
of the decision or countries that decide to opt out of actions taken by the other.
The second approach is convention which is the most common approach to international law. In
this, the initial convention is first negotiated and then followed by the use of protocols,
amendments and ratification by member countries at their own standards. The result is country
practices that come into operation due to country practices and obligations play a major role in
shaping international environmental regulations. A unique feature of the convention approach is
they are negotiated when circumstances change. This has made convention a flexible approach to
international environmental policy-making because of dynamic change in both the knowledge
and understanding of environmental problems which are taken into consideration. This has
helped in the gathering and sharing of information as well as monitoring the environment.
Typical example of convention is the 1987 Montreal Protocol on substances that deplete the
Ozone layer (Desambre, 1998).
Soft laws often contain no legally binding obligations but countries are required to declare what
they intend to do by adopting codes as way to label and document their intentions and used as a
way through which changes in behaviour of countries involved may be influenced through
regular amendment of the codes. It is generally a way where countries collective intentions are
used to address international environmental problems and sometimes set principles about the
way in which they intend to do so without accepting binding obligations. A typical example of
this approach is the Rio declaration on environment and development, which urges all countries
to conserve, protect and restore the health and integrity of the earths’ ecosystem, but not stating
the way countries should do so. The result of this is countries take voluntary actions as well as
interpret declarations differently in order to change their behaviours in order to comply with the
international declaration (Desambre 1998).
Scientific co-operation is used as a way of providing scientific evidence to countries in other to
reduce or remove the uncertainty involved in dealing with environmental problems. It is based
on the consensus and evidence presented by scientists, which, in turn, is used to persuade
countries that are reluctant to participate in international initiatives towards environmental
problems. In most cases , the processes which create the convention are set up through
international scientific co-operation in environmental research and monitoring. An example of
scientific co-operation is the development of the Framework on Climate Change instigated by
the World Meteorological Organization (WMO) and the United Nations Environment
Programme (UNEP). Scientific co-operation in one way or the other includes some elements of
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scientific collaboration either through the setting up of independent scientific bodies associated
with the treaty organization or calling for increased country efforts in research, the co-ordination
of research efforts and sharing of information (Desambre 1998).
Leadership role of a country or countries on environmental issues are also used as a persuasive
method to get other countries to take action to protect the environment. In most cases leadership
role, taken by countries, is in response to domestic pressure led by environmental, scientific and
industrial organizations about environment problems. Pressure from these organizations helps to
discover environmental damages through investigation, which contribute to enhancing public
awareness of environmental problems. Leadership roles provide positive contribution and moral
support to other countries by helping them to take initiatives and actions that are similar to the
actions taken by the leader. For instance, US leadership role action in the depletion of the ozone
layer has attracted other countries to take actions to prevent the ozone layer by adopting similar
policies and show possible actions to protect the environment (Desambre 1998).
Another aspect of international relations that is explored to deal with pollution issues is
international assistance. This is mainly in the form of establishing a funding mechanism and
technology transfer programme to help meet obligations developing countries are expected to
undertake for the protection the global environment. Developed countries and major international
organizations such the World Bank and IMF are the major players here. An example is the
Global Environmental Facility (GEF) that provides funds to address issues of global warming,
biodiversity, international waters and ozone depletion so that countries can afford to fund
environmental management actions.
Domestic regulation
Domestic regulation is characterised by national bans, regulations notes and licences, which
governments use with the notion of transforming society to conform to environmental objectives
agreed upon by politicians. The rationale is to categorically make clear things and activities
which people should do and not do. Here the focus is on the impact created by pollution
problems on society and the environment making governments to force society to change
behaviour by passing a decree.
In actual fact, domestic command and control regulations have been the preferred means of
achieving environmental objectives by altering the individual and company behaviour due to the
theoretically high degree of precision and effectiveness associated with its use. This is made
possible because national legislatures prescribe a certain form of behaviour of individuals and
organisations that governments are responsible to monitor and enforce for full compliance. It is a
process of monitoring and enforcement which articulate an environmental pollution objective in
the form of legal bills that are passed. The legal bills passed provide governments the
opportunity to explicitly state what burden may be imposed on the environment and what
interests are to be given priority, and also decide on bans, regulations and licenses depending on
the pollution problems at hand.
Voluntary agreements
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Voluntary agreements are forms of actions, which aim to persuade actors in society to change
their behaviour and encourage them to persuade each other to change their behaviour. In this
research, I define voluntary agreements to cover a broad array of voluntary approaches, in order
to embrace all voluntary commitments of industries and governments undertaken to pursue
actions leading to the improvement of the environment. Voluntary agreements provide a forum
within which individuals formalise mutual arrangements and at the same time represent their
own interests as they see fit. The key concept used here is the recognition of individual rights and
obligations towards each other governed by an ethical code and enforceable by law. The
characteristics of a number of voluntary approaches differentiated by several typologies have
been developed (Salisbury and Weiderkehr, 1995; Storey, 1996;).
In this study, I use a simplified version of a typology by Borkey and Leveque (2000),
distinguishing between three types:
 Unilateral commitments - consist of environmental improvement programmes set up by
individuals and firms themselves and communicated to their stakeholders. The parties
themselves determine the definition of the pollution targets, as well as the provisions
governing compliance.
 In public voluntary schemes -participating firms agree on standards related to
performance, technology, and management developed by public bodies such as
environmental agencies. The scheme defines the pre-conditions of individual
membership, the standards to be complied with the firms, the monitoring criteria, and
evaluation of the results.
 Negotiated agreements, sometimes referred to as covenants, are contracts resulting
from negotiations between public authorities and industry. The industry and the public
bodies jointly define the content of the contract.
The goal of voluntary agreement is focused on achieving environmental benefits beyond what
the law requires. There is agreement between parties about pollution management targets and
specific pollution stream with the ultimate aim of prevention and reducing the pollution. The
approach helps parties in finding solutions to pollution problems and takes concrete steps
alongside existing environmental regulations. This tool builds on the consensus among
stakeholders in order to achieve environmental compliance creating a platform for governments
and industries to jointly take concrete steps towards pollution management while the details of
regulations are still evolving. Hence, the focus is on voluntary action and consultation between
government, industry and the public and not on the legal enforcement of regulations.
The practical effectiveness and efficiency of voluntary agreements depend on a clear
interpretation of the agreement and set out clear responsibilities of all the parties involved and
also information on and monitoring of compliance parties’ involved with the agreement. The
main advantage of environmental regulations is that there is a long-standing experience with its
use in different areas of public concern which, in turn, makes regulations to use existing
organisational structures and institutions to provide a promise to the achievement of pollution
management goals.
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Use of regulatory tools in the framework
The establishment of appropriate standard is often the most complex, difficult and confusing task
for many environmental agencies in developing countries. It requires (i) reviewing the criteria
and standards utilized on other countries; (ii) adjusting them to the local and national situation
(iii) mandating the standards through legislation and promulgations; (iv) and enforcement and
monitoring to ensue compliance. In particular, the formulation of appropriate standards to serve
as the basis for planning and design of development projects in developing countries still remains
a difficult task. This is because the values assigned to these standards are very influential for
determining the cost of development projects.
While recent attention has been drawn to appropriate technology, little has been done to prepare
appropriate environmental standards. I proposed that preparing appropriate standards through the
analysis of the evolution of representative environmental standards in developed countries
together with appropriate local economic indices might be a way out. Since with such
information, developing countries officials may understand the economic and quality
relationship and be able to choose more appropriate through cooperation.
Another way to use standards is to integrate health standards with environmental standards. This
is due to the fact that a detailed record of the data used to establish the standards is required and
integrating may help share data between environmental standards.
In developing environmental standards both the substance related approach and holistic approach
are needed. This will help replace the restorative attitude of the substance-related approach with
effective and efficient approach to prevent further pollution of the environment. It is also
important that the use of environmental standard should be based on transparency and its use
discussed among stakeholders so that they are aware of the socio-economic impact and effects.
Another potential way is to develop and use local technology standards. Technology standard
attempts to control production technology and pollution-reducing technology and this can
achieve an environmental target if facilities are maintained and utilized properly. However, it is
necessary for the regulatory organization to have detailed information relating to pollution
technology and the polluters are required to have the ability to operate this equipment correctly.
Fulfilling these requirements may be difficult for developing countries. However, with less
extensive monitoring networks, less than perfect environmental management capacity, and
comparatively simple implementation, the use of a technology standard alongside the use of
other pollution management tools may be more appropriate approach.
The opportunity offered by the use of domestic regulations in developing countries is mainly in
instituting proceeding against polluters in order to recover the cost of remedial action taken to
put an end to pollution. At the same time it tries to reduce emission through agreements with
companies and trade organizations in an attempt to change human behaviour. It must be noted
that this change can only come about if parties involved are interested in the change and at the
same time willing to claim their legal rights. This has given private regulations little room for
technical details, making it less suitable as a means of tackling pollution problems, which require
detailed technical analysis and needs to be resolved as a matter of urgency (NSCGP, 1992).
Voluntary agreements are therefore only able to tackle pollution problems within a specific
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framework, and in most cases consider intra generational sustainability and not inter generation
sustainability. A possible way to deal with this may be to complement voluntary agreement with
domestic command and control regulations since direct public regulations consider both inter and
intra generational sustainability concepts.
With many pollution problems such as ozone depletion occurring across national boundaries and
cannot be addressed by a countries action alone since individual countries are often unwilling to
bear the environmental problem alone, especially when actions taken are undone by lack of or
inadequate environmental management actions taken by other countries. This is because
countries are not prepared and willing to take collective actions to protect the environment but
rather benefit from the actions other countries have taken. In such a situation, international
environmental regulation may be used taking into account the following issues:
 The involvement of all possible countries interested in the issues or those who are
willing to take strong regulatory actions.
 Limit participation to only those around and affected by the environmental problems if
the treaty is geographically bounded
 Negotiation of multi issue treaties so that different priorities of countries and other
related aspects may be considered.
In the academic literature, several limitations of environmental regulations in developing
countries have been identified and often taken to outweigh the benefits. I would group them into
two. First, problems associated with monitoring and enforcement of regulations to ensure that the
diverse range of issues behind the use is well understood before enforcement can be effective.
The second limitation has to do with the tendency of private regulations to identify and deal with
pollution of the environment rather than the causes. This has made private regulations to
emphasise end-of-pipe solutions for existing technology and work practices. What instead may
be done is to promote alternative strategies such as pollution management systems, technological
innovation, training personnel, adapting appropriate managerial approach and information
diffusion that will lead to tackling the causes of pollution problems. Also, government should
encourage the development voluntary agreement by providing incentives such as tax relief for
organizations and institutions.
Due to the lack of well-developed institutional structures and inefficiencies in economic
environment in developing countries, environmental regulations may play a vital role in
pollution management since it may deter some industries and people from polluting because of
sanctions associated with regulations. Also, the use of environmental regulations with other
tools for pollution management cannot be ruled out since in one way or the other it may leads to
pollution reduction since some pollution problems require the use of environmental regulations.
However, their effectiveness will depend on the pollution problem in question to be addressed
and the legal, judicial and social system in the context considered.
5.3.3 Environmental education and communication
Overview
Currently there is no one agreed definition of environment communication. According to Leal
Filho (1998) environmental communication “ is a modality of communication concerned with
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environmental matters and which takes the particular characteristics of environmental issues into
account including their complexity with the ultimate aim of providing information which is
clearly understood, unambiguous and scientifically accurate. The modality referred to here deals
with disseminating environmental information and communication environmental issues to the
public through different media such as written and vision. Thus, environmental communication
is the sharing of information, insights and opinion on environmental issues, trends, conditions
and solutions using any means of communication ranging from inter-personal methods to means
of mass communication so that it is easy to understand and scientifically sound.
Following the Environmental Stakeholder Initiative (ESI) approach, environmental
communication can be of a rather informative nature such as environmental reports or
consultative and participatory nature such as stakeholder participation and political lobbying for
achieving environmental improvement (Grafe-Buchem and Hinton, 1998). In this section, I
concentrate on informative and consultative environmental communication tool that is mainly a
“one way process” with an option of giving feedback. An important environmental
communication tool based on this approach is environmental reporting.
Environmental Reporting
Environmental Reporting, a tool used to communicate environmental information to the public,
evolved through the adoption of the National Environmental Act (NEPA) in the USA in 1969.
The idea of environmental reporting as a means of communicating environmental information
and the potential role of such reports in policy formulation and monitoring provided the impetus
for recent important developments. This is evident in the Stockholm conference in 1972, which
drew attention to providing environmental, social, cultural and economic information to be easily
accessible in order to avoid environmental problems than controlling them. However, recent
developments in environmental communication takes its root from the Earth Summit in Rio de
Janeiro, 1992, where the provision of relevant information in a readily accessible form is
considered as a key to achieving sustainable development by expanding it to encompass social
and economic issues. However this task is far from easy which has resulted in the evolution of a
number of competing and or complementary models of environmental reporting.
Environmental reporting is used to describe the state of the environment and communicate
information on conditions on the current trend and future trends in environmental quality and the
state and the use of resources and show their potential social and economic implications. Thus,
environmental reporting describes the policies, programmes and actions being taken at different
levels to deal with effects on the environment, development and use of natural resources and
outline actions required to address weaknesses in current environmental management policies.
As noted by Nelson (1995) “Environmental reporting is the way government authorities and
institutions use to provide information about the state of the environment and sustainable
development strategy”.
Environmental reporting is the disclosure of information about a company’s environmental
status, performance and initiatives to a variety of stakeholders through different communication
channels (Richardson 1996). To be more specific, environmental reporting should explains a
firm’s environmental management system and try to identify people who are responsible for
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implementing the environmental programmes and at the same time show level of awareness of
employees and explain measures taken to improve environmental performance.
Environmental reporting has taken a different turn recently such as companies preparing
environmental report even when there are no legal requirements. This is due to the growing
number of stakeholders who value the environment issues and want to know the effect
companies have on the environment. Two main classes of driving forces are behind this change.
First, is governmental pressures in the form of defining activities companies should implement in
order to improve the quality and extent of environmental information. The second are market
forces in the form of green customers, environmental associations and the mass media which
influence the form and content of environmental report (Azzone 1996).
No matter what driving force is behind, environmental reporting seeks to provide a framework to
account for the condition of natural resources and the environment, and to document the effect of
change on health, economy and lifestyle. It is a method by which the ecologically sustainable use
of natural resources can be measured in order to; (i) provide warning signals to decision makers
about changing environmental conditions to facilitate policy and institutional change (ii) identify
knowledge research also sensitize the public about decisions and actions (iii) encourage and
ensure, accountability of public agencies for their decisions and initiatives (Mitchell, 2000).
However, there are several guidelines issued by Non-Governmental Organisations (NGOs), and
the United Nations Environmental Programme (UNEP), which provides a potential format for
environmental reporting. This has resulted in governments and companies developing their own
reports to achieve an effective communication of their environmental activities internally and
externally producing a wide variety of environmental reports. An overview of the information
necessary for the production of a ‘good’ environmental report include (Clausen 1996):
 An overall description of the institution’s activities.
 Information about environmental policy and guidelines which will help in the analysis
and evaluation of environmental problems.
 Description of the relationship between production and environmental issues in the
form of programmes and objectives.
 Communication with target groups together with opportunities for reader feedback.
Currently there is the debate about the subjects environmental reports should address. For
instance. UNEP has presented a list of subjects that environmental reports to be effective (UNEP,
1994). However, it is important to note that institutions perception about environmental issues,
where these issues are placed in their management agenda and how they are prepared to handle
environmental issues coupled with the identification of all stakeholders and the information they
want (Kolk, 1999) need to be considered.
Different structures have been carried out to present environmental reports so that it reflect both
the underlying structure of the environment and the inter-relationship within it, on one hand, and
the needs of the users on the other. In the light of this, it is argued that the DPSEA model
eventhough not formally used. It is recommended for environmental reporting since it recognizes
broad and close factors that drive changes in the environment. The DPSEA model consists of
elements that should be addressed by environmental reports (Briggs, 1998):
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


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
Driving forces (D) - the underlying factors such as economic development which leads
to pressure on the environment.
Pressures (P) – comprise the actions and activities associated with human use of the
environment.
State (S) - refers to the measurable condition of the environment per se; for example
the extent and quality of its various resources and media.
Effect (E) – represents the wider consequences of changes in the environment
Actions (A) - relate to actions taken to protect the environment.
The general trend of environmental reporting shows two distinct sets of information, qualitative
information, describing past and present environmental initiatives and plans, and quantitative
information; which provides solid evidence of an institution’s environmental claims (Azzone et
al 1996). Thus the way information is presented in environmental reports can make it extremely
difficult or impossible to assess the environmental performance of firms. There is the need for
standardization in environmental reporting as a key for improving external communication,
making it possible to compare environmental performance eventhough good environmental
reporting does not necessarily mean good environmental performance.
The role of environmental reporting lies in bridging the gap between science and the wider
community and in integrating social, economic and environmental issues. In this way,
environmental reporting is used to increase public understanding, education and decision
capacity about complex matters related to the environment, social and economics. It also aims to
provide a more complete picture of how environmental quality is related to socio-economic
activities and how socio-economic activities influence environmental quality. The following
four main types of environmental reporting are identified (Mitchell, 2000):




Comprehensive environmental reports which are in the form of national and city
reports,
Sectoral environmental reports addressing different sectors of the environment,
Issue-based environmental report addressing issues such as global change ad waste and
Indicator-based which are mainly concerned with environmental quality such as air
quality, water quality
In spite of the interest in using environmental reporting, there are no definite rules about the
form, structure, and style and content that environment reports should take, but according to
Kolk (1999) ‘environmental reports should strive for understanding, completeness, reliability,
comparability, conciseness and relevance.’ However, there are several guidelines issued by NonGovernmental Organisations (NGOs) and the United Nations Environmental Programme, which
provides a potential format for environmental reporting. Companies and institutions are left to
develop their own practical tools and methods based on these guidelines in order to achieve an
effective communication of their environmental activities internally and externally.
In most cases, the content of environmental reports are influenced by who is producing it, the
area for which it is being produced, the intended audience, the particular environmental issues
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that are of concern and availability of data. This is because of the amount of information and
data involved in producing environmental reports. Key tools used in the preparation of
environmental reports in order to deal with amount of information and data are indicators. It is
crucial to define an agreed set of environmental indicators, as well as new technologies that will
be used in environmental reporting.
Indicators and indicator systems
Indicators and indicator systems are becoming one of the most powerful tools used in pollution
monitoring. Indicators can be used in variety of ways. However, in the context of this research, I
will limit myself to indicators that provide information on environment with special reference to
pollution. They are used to reduce and simplify environmental information for pollution
management. An environmental indicator is defined here as “a measure which describes the state
of, or trend in, the environment and the factors affecting it in terms which are relevant to and
readily usable by the decision–maker (Briggs, 1998)
Currently, there are no standard procedures to identify relevant indicators used in different places
to measure information about the environment. This is due to the diversity and variation of
environmental problems. No particular set of indicators is equally applicable in all cases but will
depend on the context of the pollution problem considered. The result of this is a variety of
indicators used in different phases of pollution management depending on the level of
aggregation of data, level of detail of information and whether or not they relate to any goal,
target or objectives. The following are some of the features of ‘good’ indicators that may be used
in pollution management (Bergquist 1998).
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


Indicators must be based on the known and consistent relationship between the
characteristics, which are measured, and the conditions which they are intended to
indicate so that they are reliable and easy to interpret so that it can be communicated
effectively to users.
Indicators should be relevant to the needs of the user and sensitive to the characteristics
of the particular prevailing conditions. That is environmental indicators should be
determined by the prevailing condition, which will lead to the choice of a particular
indicator that will either show the development trends in the form of social dynamics,
environmental dynamics, institutional changes or economic trends reflecting the
purpose for which it is developed.
Indicators need to be practicable. Method required to process data must be available
and the cost involved in defining the data required by the indicator must be affordable
and acceptable.
Indicators should enhance appreciation and understanding of how and why an
environment is changing and also be able to influence decisions taken by decisionmakers.
Environmental Education
The search for alternative ways to promote sustainable development triggered the need for
environmental education in order to train people in different aspects of the environment to have a
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comprehensive and holistic view of the environment. As noted by Filho (1993), “the use of
environment education as tool for pollution management has only been recently acknowledged
by international organisations, which use it as a tool to foster environmental awareness among
people in all areas and at all levels of work.”
The International Union for the Conservation of Nature (IUCN) defines environmental
educations to be ‘ The process of recognising values and clarifying concepts in order to develop
skills and attitudes necessary to understand and appreciate the inter-relatedness among man, his
culture and his biophysical surroundings’. However, with its use in creating environmental
awareness more recently, Filho (1998) has defined environmental education as ‘a process
directed towards increasing the general level of public concern about environmental dynamics as
well as fostering awareness of the need for public participation in order to promote
environmental conservation’.
Environmental education is used to help people to interpret the environment and to stimulate
them to:
 Appreciate the environment and acquire skills to understand the economic, technological,
planning and political processes which affect their use of the environment.
 Understand some of the processes of the physical world, and to gain a basic knowledge
of the ecological principles and relationships between organism and the environment.
 Develop some insight and concern into other people’s environment, life style and
problems
 Acquire a basis on which to make informed decisions about environmental issues that
affect them and society at large, and to develop the willingness to do so.
Environmental education is very important as noted by UNDP for fostering responsible and
effective participation in the framing and monitoring of decisions on the quality of the
environment. However, the question lies in how it should be integrated in pollution management
strategy to achieve best results. I argue that there should be a partnership between institutions
working in education and communication and environmental management fields. The following
should be considered when environmental education is integrated with other pollution
management tools (Filho 1996).
 Definition of current environmental problems that may be solved by implementing a
certain pollution management strategy
 Identification and selection of suitable measures through which the problem or its
consequence may be reversed
 Selection and adoption of an environmental communication and education strategy
aimed at showing the public what needs to done and by whom and when in order to
cope with the new situation, thus reducing the inconvenience that might result from the
environmental strategy implemented.
Major areas of concern for environmental education are educational institutions, projects and
community education. Even though efforts are made to improve the use of environmental
education in these areas, little is done in the context of its application in environmental
management, although this situation is gradually changing. The main focus of environmental
education is on its use as both a requirement (WCED, 1987) and a tool for sustainable
development (Schneider, 1993).
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Use of environmental education and communication tools
Environmental reporting is a new tool that is currently used in developing countries and its
adoption is faced with a number of bottlenecks. Although there has been major improvement in
its adoption, there is still a lot to be achieved. Due to variation in environmental impacts, a range
of different requirements exists for the production of environmental reporting. However, no
matter the requirements used in environmental reporting it is proposed that effective use and
adoption would first require the identification of key environmental aspects and issues by experts
and the people concerned. This may be done through the establishment of
government/organizational position on environmental issues, prioritizing environmental aspects
and reviewing significant aspects for the purpose of reporting or through the use of new
technologies for environmental reporting.
Another important issue that should be considered is the development of environmental
performance indicators. This should be done by taking into account significant factors that cover
operational performance, management performance and environmental conditions to describe the
performance, the environmental aspect and impacts. The operational performance indicator
should include input indicators such as renewable and non-renewable resources and out
indicators on non-product release and product performance and services. Management indicators
should provide information about environmental policies, procedures and tools and also
information about the functional area in terms of training and awareness, purchasing
performance and stakeholder communication and involvement. Environmental condition
indicators should provide information on the state of the environment (ecological resources and
socio-cultural resources).
Based on the environmental indicators defined, reporting objective should be specified,
measurable targets are set, time lines and best practice measure in environmental performance
evaluation are set with the aim of continuous improvement. Due to the unavailability of data in
developing countries, environmental indicators should be defined after a framework for
measurement including data collection, collation and evaluation has been developed. In
situations where environmental indicators have been developed, governments and organisations
need to review their commitment in the context of the state of the environment reporting or
cooperate reporting.
An appropriate mechanism needs to be developed for monitoring and data collection of the
environmental aspects performance indicators identified. This may require aligning monitoring
periods, quality control and data reliability. In situations where data already exit for some
indicators, data aggregation and transcription should be developed to meet the reporting
requirement set by the objective. The data collected should be analysed to determine trends,
benchmarking and reporting on compliance. Also, the establishment of effective communication
and reporting strategy to present and disseminate results and information to the public giving
consideration to stakeholder requirement and its relevance to the reader. Possibilities include
presenting clear and targeting massages, quantify information, encouraging feedback which may
be used to improve the communication value of environmental reports.
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In carrying out the above issues, a bottom-up approach needs to be adopted so that there is wide
public involvement. Since this may call for changes in mechanism of environmental reporting by
requiring institutions to be more responsive and participatory approach towards environmental
reporting and the definition of indicators. With the role of environmental reporting being to
improve environmental management by helping to inform and direct policy not only to provide
information to the public, their effective use require that the relationship with policy practice is
clear and information about how environmental reporting feeds back into policy is known. With
available data scattered across institutions and departments, and some of low quality and often
incomplete, the use of environmental reporting in developing countries will require improvement
in data availability, quality and consistency.
Environmental education has been used in developing countries for some time but in the context
of environmental management, it is not well established even though it adoption is increasing. In
situations where it has been used, little has been achieved of it as a tool for environmental
management. In order to improve this situation, developing countries need to make
environmental education a priority in their national policy and also enhance the leadership role of
environmental institutions by building appropriate structures. For example, national governments
prepare acts, policies and national strategies on EE that highlight a number of opportunities such
as support for on-going teacher professional development.
In addition, NGOs, public institutions and private institutions have to work together to ensure
that environmental education is a priority at local and national levels. This may be done by
integrating environmental education into programmes in order to help improve authority and
resource allocation to coordinate all environmental education and at the same time ensure
consistency in approach and support for environmental education as well as also leverage private
sector and civil society resources so that long term cross sector partnership may be strengthened.
The Integration may done by establishing genuine partnerships between institutions working in
the field of education and communication, as well as among those working in the field of
environment management. In this way, parties involved in pollution management may feed on
their experiences and at the same time be able to deal with a wide range of situations and work in
a variety of context. Another way is to integrate environmental education into on-going policies
of countries in order to increase the cooperation and collaboration between environmental and
educational institutions. This may mean adopting a statutory requirement so that stakeholders
engage in activities such as green banks, eco-farming and eco-harvesting which have the
potential to result in greater recognition of the role of NGOs and civil society since they call for
community participation in debates and actions programmes aimed at education and training for
environmental management
Developing countries also need to re-orient their approach to education by institutionalising
environmental education in the formal education system. This may be done through the infusion
of environmental education into the official curricula and/or through the development of
instructional materials and training programmes. The current and on-going reform of many
national curricula in developing countries provides a crucial window of opportunity to
incorporate environmental concerns. For instance, environmental education may be infused into
the existing curricula in primary and secondary schools, whiles at the tertiary level, new subject
areas that focus on practical learning are introduced. However, I stress that the introduction of
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environmental education in schools must include: the existence of clear and well-communicated
polices, the political will and availability of sufficient resources for implementation, revision,
proper preparation of teachers through in-service training, network for exchange of expertise
between teachers and adequate assessment and incentives for teacher development
Environmental education materials should be made available in local languages, different age
groups and also cover most of them relevant to the country since this may stimulate human
minds to question prevailing development patterns, lifestyles and governance system and at the
same time provide the opportunity to present their views. Methods and approaches such as
learning by doing, carrying environmental outdoor activities and adopting innovative approaches
such as environmental clubs, legal groups, taking into account the local needs and capacities of
area are proposed. There are also opportunities to promote appropriate environmental messages
and principles through better use of local and regional resources, including libraries, distance
education facilities, information networks and databases, to equalize the geographic availability
of environmental education resources as well as the broadcast media which is well established.
It is also important that non-formal environmental education activities be carried alongside
formal environmental education programs at curricular or extra curricular levels through
channels such as mass media, and traditional media. Historically, traditional media have often
played a role in the communication and promotion of new ideas, apart from its traditional role of
preserving and teaching established values. Today, despite advances in the modern form of mass
media, many people in developing countries still relate more readily and easily to traditional
media, which are closer to their local cultures, and are often more interactive and participatory
than the regular forms of mass media. This is an area environmental institutions need to tap, by
recognizing the value and power of using and adopting traditional media such as story telling,
songs, and drama to take environmental messages to the public and as a compliment to the mass
media. In doing this, the environmental information passed on to the public should be objective
and have a long-term perspective.
5.3.4 Conflict resolution tools
Overivew
Environmental conflict resolution is based on the principle that human being have different
values and the divergence of these values often leads to miscommunication, misunderstanding
and conflicts among relevant stakeholders concerning the potential causes of pollution of current
or proposed activities. Thus conflict exist and will always exist be it positive or negative conflict
as a multifaceted confrontation of diverse environmental values, social values and business
values with varying degree of issues. That is environmental conflict management refers to the
various forms of direct contact between the parties involved in conflict in order to reach an
agreement on the environmental conflict issues (Bingham, 1986). On this basis I identify
environmental conflict management as the process which serves to bring together the conflicting
aspirations and demands of stakeholders and a mechanism for dealing with conflicts that arise
from finding solutions to pollution problems among various stakeholders and interest groups.
In finding a generally acceptable and environmentally sound solution to a given environmental
conflict the following have to be considered (Asselt and Wubben 1998).
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



Technological aspect- helps to point out the presence of a feasible technology to solve
or prevent the pollution problem in question and the context in which it is considered.
Legal aspect- involves the interpretation of the relevant pollution related environmental
standards by the parties to the conflict in terms of their definition, the type of standard,
and who are the users and how the standards are used
Financial aspects- How financial liabilities are assigned to the parties involved in the
conflict
Social aspect- The codes of behaviour such as power and socialisation pertaining to the
parties involved in the conflict as well as the governance structure of the parties.
Based on the work of Glabergen (1995), I identify classical approach and alternative approach as
the two fundamental approaches to environmental conflict management.
Classical approach
Classical approach to environmental conflict management is based on two main concepts, the
principle of self-interest and the principle of enlightened self-interest (Asselt and Wubben,
1998). The principle of self-interest deals with the use of external stimuli such as rewards
(subsidies) and punishment (levies) to resolve environmental conflicts. The ideas is, the use of
external stimuli will deter and reverse the attitude of organisations and individuals to be more
responsible towards the environment and the same time safe guard it for their economic interest
alone. On the other hand enlightened self-interest entails convincing organisations and
individuals involved in an environmental conflict about the benefits they will get if they take a
responsible attitude towards the environment. Enlightened self- interest emphasizes economic
efficiency and takes a pro-active approach to dealing with environmental crises.
In applying the classical approach, environmental conflicts are resolved under three main
institutional procedures. Political, administrative and judicial procedures (Asselt and Wubben,
1998):
 In administrative procedure, bureaucrats take decisions regarding some kind of
environmental conflicts because of the power and authority invested in them. In some
cases, administrative structures share or delegate power to people who will be affected
by the decision. The whole process is routine.
 With political approach, decision-makers are elected and are not specialist in resource
and environmental management but receive advice from experts to aid them to deal
with competing values and interests in conflicts. In the political approach public
participatory approaches are adopted in order to include the public in decision-making
and also hear from the public about their needs, aspirations and preferences. For
instance, in a democratic government, decisions are passed to constituents.
 The judicial approach involves the use of litigations and courts to resolve
environmental conflicts. Decisions taken in this approach is followed by the
enforcement of sanction. The judicial approach places much emphasis on facts,
precedents, procedures, guidelines and arguments. A major drawback to the classical
approach is that participants do not work together but rather apart in attempt to resolve
environmental conflicts.
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Alternative approach
Alternative approach which is sometimes referred to as mutual gain approach is based on using
organised direct contact through the emphasis on cultural and face-to-face elements of
environmental conflict that deal especially with interdependent behaviour. The idea here is to
share ideas about the potential benefits of resolving conflict together through mutual agreement.
The approach acknowledges the interest and concern of parties involved in managing the conflict
through joint fact-finding to arrive at a common ground. In addition it focuses on building long
term relationships between parties through face-to-face interaction and consultations before
decision are taken. Thus, alternative approach helps to understand issue-based and generalinterest controversies that affect people beyond those directly involved in the conflict and at the
same time help promote a socio-cultural and environmental policy change towards
environmental problem solving beyond the limit of the conflict at hand.
The following four main types of alternative approaches to environmental conflict management
(Asselt and Wubben, 1998):
 Public consultation is used to allow parties involved in environmental conflicts to meet
and share experience and information and also ensure that many perspectives are
considered and the conflict management is open to the public to ensure that parties are
satisfied with decision taken and plans adopted.
 Negotiation is a forum on which the parties involved in an environmental conflict are
meet and discuss relevant matters directly with each other with the aim of coming to an
agreement. Here the parties involved in the conflict are willing to meet and examine the
conflict at hand. The parties involved in the conflict negotiate among themselves
without the help of external assistance
 Mediation and arbitration on the other hand is similar to negotiation but in this case
there is a neutral third party. With negotiation, the third party has no power to influence
decisions taken but is employed to act as a facilitator who develops or suggests
strategies for parties to reach an agreement. The third party in the case of arbitration
has power to make a decision, which may or may not be binding.
Classical approach
Alternative approach
Defensive
Financially and legally inclined
Legalist solutions
Autonomous
Pro-active
Culturally and socio-economically inclined
Long term feasible solutions
Participatory
Figure 5.2 General characteristics of the classical and alternative approach (modified from Asselt and
Wubben, 1998)
Two main characteristics of the alternative approach to environmental conflict management are
identified (Mitchell, 2000). First, giving more attention to interest and needs rather than position
and precedents by adopting a persuasive approach to environmental conflict management than
coercion. Second, putting emphasis on constructive communication and improving the various
parties understanding of the conflict instead of negative criticism and preoccupation with
justifying or defending individual interest. This will be, concentrating on the achievement of
long-term settlements through shared commitment, effective sharing and use of information and
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greater flexibility. These characteristics even though may be realised with problems, in some
situations they require the satisfaction of preconditions such as considering conflicting interests
by parties involved to be inclusive before the approach will be effective in environmental
conflict management.
Use of conflict resolution tools.
The use of a particular approach will depend on the conflict at hand as well as the history of the
relationship among the parties in the conflict, particularly their willingness to come together to
find a long-lasting solution to the conflict, the transfer of information, the role of stakeholders
are central. However, currently the alternative approach is widely used and sometimes its
effectiveness is improved by combining it with the classical approach. The alternative approach
used in pollution requires a long-term negotiation and dialogue with parties involved and they
must have access to free information (Glasbergen, 1995). The approach that is currently
promoted in developing countries is the alternative approach and is more relevant through the
following ways.
First, the effective implementation of alternative environmental conflict approach requires the
identification of the role of negotiators and organization of environmental conflict management
(Asselt and Wubben, 1998). That is identifying all the affected parties and their representation in
the management process so that the management outcome is not challenged for reasons that they
are not represented. Even though it may be difficult to identify and represent all parties in some
cases, the number and type of affected parties represented is a major determinant for successful
conflict management. Also, it is necessary that the various parties accept that there is a problem
and have agreed on the components and dimensions of the problem and accepts the fact that they
are in the best position to identify and settle the issues causing the conflict through direct face-toface discussion. It is important that the process is defined, a timeframe agreed upon for the
conflict management process and the circumstances in which the parties work together need to
be spelled out.
Second, there is the need to disseminate information about the conflict among the various parties.
In dong this care should be taken to control information since there is the tendency that parties
will be attempted to use it for personnel gains instead of environmental gains. The whole
environmental management process should be transparent, with a well-structured communication
between the parties involved so that a compromise between the diverse knowledge of the parties
on pertinent issues will be arrived at so that there will not be problem with the environmental
conflict management process.
Environmental conflict management should be integrated into general business management of
the different parties. By this management will regularly question itself about the impact of
business decision on the environment, as well as assess the consequence of current future and
future environmental issues on business decisions. In general, the prevention of environmental
conflicts should be top priority in the management process because resolving the conflict is often
expensive and in most cases a mediator familiar with pollution issues is necessary to facilitate
the process. This may be done through a structured and permanent dialogue between the parties
and may help prevent environmental conflicts. In this way environmental conflict management
becomes more about the prevention of conflicts than by solving them.
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During conflict resolutions mediators, not only must they refrain from taking positions that side
with one party or another as part of their commitment to neutrality, but they must also assess
whether the fundamental assumptions structuring the conflict management process are
detrimental to any party’s interest. The fundamental assumptions should be made so sufficiently
open that parties either can work together to change them and/or knowledgeably assess their
risks. This is critical to determine whether sufficient incentives will exist for all parties such that
the conflict management process will be worthwhile in the first place.
Finally, using a synergy of different tools is a good way to solve most pollution problems in
developing countries. A useful mix of market-based tools, regulatory tools, communication tools
and conflict resolution tools would help in the development of a well coordinated, focused and
sequential solution to pollution problems.
5.4 Design and evaluation of solution
Based on the work of Levei and Weiss (1998), I identify four main phases in pollution
management processes: (i) the preparatory phase (ii) the planning and selection phase (iii)
Implementation and enforcement phase and (iv) monitoring of outcomes for achieved pollution
targets. Here I focus on the first two phases while section 5.5 focuses on implementation and
monitoring of designed solution.
5.4.1 Introduction
The focus of this section is the design of solutions, implementation of the solution and evaluation
the solutions. As shown in figure 5.3, it is the meeting point of options identified from problem
analysis and those from opportunity analysis necessary for the pollution management design.
The design process follows problem analysis and explanation and opportunity analysis and
discovery. The idea is to turn all the knowledge and insights acquired in the analysis filter them
and turn them into practical actions. Since the analysis encompasses physical and social
elements, the design of solution contains a mixture of physical and social elements.
The potential options for solutions originating from problem analysis and opportunity analysis
could be developed into potential plan elements. When put together, the tools and options would
be potential building blocks for the solution and not the solution itself. For a solution to rise the
options and tools have to be selected and combined in the design process into a plan. Thus the
first step in design is to take stock of all problems and opportunities which could be potential
plan elements. It is important not to reject tools and options for solution unless they are evaluated
with reference to the criteria that are relevant to the context.
In doing this, the selected options and tools should be able to solve the priority pollution
management task at hand. This may either be short-term options and tools to solve urgent
problems and/or option and tools that provide long-term solutions. In all this, the selected option
sand tools should be based on a long-term vision and strategy for pollution management within a
changing society. One of the main tasks here should be to consider changes and adjustments to
options and tools from problem analysis and opportunity analysis for them to contribute to the
solution. In doing this it is important to define the actors and stakeholders so that changes and
adjustments would be made to suit the actors.
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Problem
explanation and
analysis
Opportunity
discovery and
realisation
Design of solution, implementation, evaluation
and monitoring of solution
Figure 5.3 Problem and opportunity analysis as inputs for design of solution
The options for solutions identified and selected in the pollution analysis should tells us about
things that we have to change to stop pollution and also tells us who should be involved in
setting up a pollution management policy. The implementable options from the pollution
problem-oriented analysis should focus on the physical management options in the pollution
problem analysis, the way actors can explore their social, regulations and culture to solve the
problem, corruption abatement options and also the motivation of the actors in terms of financial,
legal and social internalization. On the other hand, options for solution coming from the
opportunity analysis should tell us the potentials that are available and those we should explore.
Possible opportunities for solutions surfacing from the opportunity-oriented analysis include
corruption abatement opportunities, context related opportunities.
5.4.2 The design process
The preparatory phase
The design process start with putting the chosen problems and opportunities into socio-economic
and ecological context so that key issues such as the environmental media and the risks
associated with the pollution problems and the opportunities are considered along side the
pollution management goal. The aim here should be to reach a consensus among actors as to
what is and will be pollution problem and opportunity in relation to the situation at hand.
Participation in this phase has to be geared towards putting chosen problems and opportunities
on the public and political agenda for legitimate control and there is a sense of ownership of
pollution problem among actors.
Priorities should be set with actors and their interrelation should be demonstrated. Even though
the type of pollution issues the actors are involved may vary, the pollution management strategy
should be defined based on a combination of scientific information and best judgements.
Because of the highly abstract and conceptually oriented activities involved in processes of
integrating information and knowledge from a wide range of input areas, interdisciplinary
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experts should play a key role in this phase. Also, tools used should be based on available
scientific, economic and other technical information as well as incentives for innovation,
evaluation and research.
The following key elements should be addressed in the design process:
 First, the tools and options selected should be based on analytical insight of the pollution
problems and the opportunities that are present. It is also important that the analytical
vision is updated continuously and consistency maintained. In addition, there is also the
need to ensure coherence between all the components in the pollution management
strategy. A possible way to define actions within a framework of a coordinated policy so
that there is synergy between approaches and measures and also focusing on critical
social groups, environmental functions win-win options, innovation and creating policy
windows.
 key issues of sustainable development such as spatial planning and sectoral policies
should be integrated in the design of the solution. This may help to create coherence and
focus, ensure coherence between elements of the framework and set priority for every
pollution management task
 It is important that the solution that is designed consider the responsiveness of the public
sector, recognition and anchoring of social and political diversity. An important task here
is to build onto and strengthen social actions and available social forces and economic
initiatives of civil society and the private sector
 it is important that actors and stakeholders should focus on the adaptation of tools and
options to rapid changes in environmental quality. This is because pollution management
is a dynamic societal process that involves a continuous change of multiple variables and,
for it to be sustainable, society must continuously upgrade its capacity for sensing,
processing and accumulating opportunity-oriented information dynamic adaptive
mechanism. In a nutshell, the effectiveness of any pollution management strategy is a
function of its adaptive mechanism to the continuously changing variables.
The planning and selection phase
This stage is the selective combination of tools and options in a number of possible ways in the
form of draft plans. The draft design plans should first be subjected to an informal preevaluation. This would help know how the various plans developed satisfy human health human
security, material and non-material welfare and the intrinsic value of nature. The pre-evaluation
would act as a check on the design plan so that other elements required to improve the draft
design to make it complete. If the raft design is not improved, it has to be re-evaluated until the
desired design is achieved. It is important that the design process is guided by the aim of the
design not the mans of the design. Since if the means guide the design, the focus of the design
would be lost.
In this phase, policies are defined to solve the pollution problems, which may either be shortterm measures to solve urgent problems and/ measures that provide long-term solutions. In all
this, the problems and opportunities associated with the policies are analysed for the most
appropriate. It is important, however that, the policies selected should be based on a long-term
vision and strategy on pollution management within a changing society.
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Other activities should include determining the pollution management tool in every stage of the
strategy to use by striking a balance between proponents and opponents of proposed measures
with the focus on adapting the option and strategy appropriate to the situation at hand.
Clarification of environmental action planning process by identifying the appropriate structure
and content for pollution management plan, what decision-making process should be used to set
pollution targets and select action and their links to official planning processes. The institutions
that will be involved in preparing the pollution management plan should also be identified and
focus established.
Implementation and enforcement phase
In this phase various organisations should be enabled to implement pollution management
policies and tools through the provision of support in terms of means and capacity. This phase
should receive less political attention than the previous ones as the major political debates may
have been concluded. Implementation of a pollution management strategy should be carried
through the cooperation of relevant stakeholders, and conflicts that may arise should be resolved
by a legally constituted and independent system initiated by all. This may allow public
institutions to divorce their decisions from personal stake in an outcome. The focus here should
be to match outcomes of decisions taken with intent in such a way that they are appropriate.
Typical issues that should be considered in the implementation phase are:
 The contextual dimensions, establishing the legitimacy of the action to or programme to
be implemented and also establish processes and mechanism needed to carry out the
pollution management function.
 The structure, culture and attitude of organisations responsible for implementing the
management function should be identified and their responsibilities assigned and
participation secured. An implementation plan may then be prepared taking into account
socio-economic and institutional factors.
Monitoring and Evaluation of outcomes for achieved pollution targets
This phase involves monitoring all other phases especially the implementation of pollution
management policies and tools in order to see whether the perceived pollution or environmental
quality problem is solved. If not solved, adjustments are made to improve the efficiency of the
implementation plan. The adjustments are presented as feedback to other pollution management
phases, which may generate insight into the relevance, effectiveness and efficiency of the
pollution management methodology.
Monitoring and evaluation pollution management strategies should be carried out as on going
process for all phases in other to help understand the actions and decisions taken. A possible way
is to review pollution management targets and establish realistic indicators for the collection of
data on baseline conditions, results of decision and actions taken as well as monitoring the
internal issues of organisations and actors.
Monitoring results should be evaluated by comparing actual results to the targets identified in the
pollution management strategy. Possible issues that may be considered in the evaluation are
timeframe, clarity and cost and the evaluation resulted which should be presented in the form of
who, how and when to make changes to pollution management policies and programmes. Also a
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reporting system should be established for all responsible actors and also provide a system of
accountability for all responsible parties on how well goals and targets established in the
pollution management strategy can be achieved. The evaluation results need to be communicated
to the public sector, the private sector and civil society and their reaction reported to the
implementing institution(s).
Evaluation of the planned designed should form an informal role in the various stages of the
design process but should be most visible at the end of the design when the plan is about to be
implemented. In this framework, the solution evaluation should be carried using a two-tier
approach as proposed in proposed in problem analysis in chapter 3. The idea is to address equity
issues such as protection the weak and sustainability before address efficiency. Equity issues
should be addressed by using a Save Minimum Standard Approach while efficiency should be
evaluated using Multi-criteria Analysis Approach.
It is believed that the proposed framework developed might hopefully facilitate successful
responses to pollution problems by providing guidance for interpretation in a way that better
enables the selection and use of appropriate combination of tools and options for effective
pollution management efforts. I must note that the opportunity-problem-in-context framework
developed here is not a panacea but serves as a generic strategy and needs to be adapted to the
pollution management goal and the local specifics of each country or region.
5.4.3 Actors involved in the design, implementation and evaluation of solution
The second is to take a process approach to the interactions between relevant stakeholders and
organisations to articulate societal and cultural preferences, goals and transform them into
actions to influence environmental quality in a desirable manner. Addressing these issues
requires that pollution management solution be designed for different class of stakeholders who
perform various functions. In this respect, and based on the institutional structure in most
developing countries such as Ghana, I proposed that a pollution management framework should
be designed for four broad categories of stakeholders: (i) national public institutions (ii) district
and regional public institutions, (iii) the private sector and (iv) civil society. The involvement of
the four categories of stakeholders in pollution management largely depends on the pollution
management goal.
Figure5.3 presents the proposed pollution management function of the four categories of
stakeholders. The main function of the public sector is to develop and put in place the necessary
national policy measures while the regional and district public offices develop local policies
using the national polices as guidelines. Despite the fact that the public sector and the civil
society would be involved in the formulation of both national and regional or district level
policies, the public should carry related research, provide environmental experts and help in
environmental auditing and monitoring activities. The civil society should be implement
community environmental activities and conduct community level environmental research and
monitoring activities in other to provide early warning signals.
However, with pollution problems being the result of human interference with natural
environment (Glasbergen, 1995), I argue that the degree of political complexity and
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environmental complexity of the pollution management task at hand will in a way influence the
extent each of the stakeholders should be involved and also the type of management approach to
adopt. For instance, a pollution problem that has high environmental complexity and high
political complexity may require a top-down management approach, since a lot of specialised
skills for analysis and conceptualisation is required. On the other hand a pollution problem that
has a low environmental complexity and low political complexity may require a bottom-up
approach.
Sector
Proposed pollution management function
National
 Establish national legislation and justice regarding pollution
management and also create co-ordination and policy coherence
between sectors and regions.
 Develop national legislative framework, regulations and quality
standards, control, prevention and enforcement mechanism.
 Carrying out strategic planning at sectoral and national levels
 Providing expertise and training for the other sectors
Municipal/district
Private
Civil society
 Establish regional and district legislation and justice regarding
pollution management and also create co-ordination and policy
coherence between sectors and regions.
 Develop regional and district legislative framework, regulations
and quality standards, control, prevention and enforcement
mechanism based on national guidelines.
 Carrying out regional and district planning at project and
community levels.
 Carry out industry related research and provide environmental
expertise and also develop environmentally sound technologies.
 Co-management, co-decision making, carry out monitoring
activities and environmental auditing as well as implementing other
pollution management activities.
 Advocacy, lobbying, awareness raising, carrying out
environmental education and getting pollution management issues
on the political agenda.
 Co-management, co-decision making and implementation of
community level pollution management activities and functions.
 Carry out community level environmental research and monitoring
and provide early warning signals.
Figure 5.3 showing proposed pollution management functions to different institutions
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5.4.4 Evaluation of the designed solution
The main idea at this stage of the design is make sure the solution designed is sustainable by
address both equity and efficiency aspects of sustainability. To effectively achieve this the
designed solution need to be first tested to make sure equity issues are addressed and then the
efficiency assessed. The two assessment should be carried out as follows:
Equity test
After the potential a solution has been designed, equity aspect of the strategies should be
addressed before efficiency assessment is carried out. Evaluation based on equity should b
carried out taking into account the following key issues:
 Do the present usage of resources have adverse consequence for the present poor
 Do the present usage of resources have adverse consequence for future generation
 Decision regarding pollution problems are they take taken at the lower possible authority
level
 Determine how the precautionary principle could be applied and if there is any violation
of principle
 There is mechanism for the redistribution of taxes and the imposition of sustainability
oriented taxes
 Determine whether there are path dependent traps that prevent the adoption of adaptive
management approach
To carry out the equity assessment actors should jointly and creatively formulate new ideas and
at the same time focusing on the concrete pollution situation. If the strategy addresses all these
issues, it means equity has been addressed in the strategy and then an efficiency assessment
should the carried out. However if more than one of the issues are not addressed the strategy
should be redesigned. In this way, issues that not address equity would not be considered in the
open market where most assessments efficiency oriented.
Efficiency assessment
Efficiency assessment should then be undertaken with the environmental playing a major role.
This is because the environment is not only future generation and nature protection but also the
efficient allocation of amenity functions of the environment. Here cost benefit analysis that
involves the application of shadow pricing methods should be used (see section 3.) to determine
the strategy with the best discount rate.
The efficiency assessment should be done by creating a matrix using the following final variable:
 Environment - physical and chemical aspects such as non-biological resources,
degradation of the environment by pollution, conservation of biodiversity, quality of soil
and water bodies, level of renewable and non-renewable resources, climate change
 Economic, investment cost, expected income, health cost
 Social-cultural, impact on human health, impact on cultural values, impact on human
development, impact on economic activities
Depending on the context and the task, the final variables should be further subdivided to
identify specific subcomponents of environmental, economic and socio-cultural that had better
identify the potential problem that will come about as a result of implementing the strategic
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action. It is important that any positive impact identified during the assessment process is an
external plus and should be given scores since the whole idea of the model is to identify potential
problems that will result from a proposed activity.
The criteria that should be used in assessing the components are presented along side their scale
of measurement:
 Importance of the policy (IP) Importance of the policy in terms of spatial advantage and
the human interest is will affect
 Magnitude of Cost (MC) The magnitude of the benefit and cost of that will result from
the implementation of the solution. The scales are: 0 for no change in cost/ status quo, -1
for normal cost, -2 for significant cost and -3 for major cost.
 Status (S) This refers to whether the solution can be changed and is the measure of the
control over the effect of changing policy, plans or programme. It also defines whether
the policy, plan or programme is a temporary or permanent document. 1 for temporary
status, 2 for permanent status
 Cumulative effect (CE) This is the measure of whether the implementation of the solution
will have a single impact on the final variables or whether there will be a cumulative
effect over time, or a synergistic impact with other conditions. 0 score should be used for
no change/not applicable, 1 for non cumulative effect and 2 for commutative or synergic
effect
Using the assessment criteria to score points and produce a matrix for the proposed solution. The
matrix will comprise of cells showing the criteria used, set against each defined component with
the scores as shown in figure 3.4.
The score given to magnitude of benefit MB should multiply the score given to IP. This is
necessary because the two criteria are considered in the model to critical to the planning of
strategic actions and each has the tendency to change the total score obtained for an alternative
strategic action.
The scores of Status (S) and Cumulative effect (CE) are added together to provide a single sum.
This is necessary because even though S and CE are important, the individual scores cannot
influence the overall score but either important is fully taken into account.
i.e. final assessment score for a strategic action FAS= (IPXMB)+S+CE
The solution (s) with the highest FAS score is selected for implementation.
No claim is made for the sensitivity of FAS values however, conditions that that act as markers
for a change in FAS values are defined as follows:
 The solution would produce no change or is of no importance the current situation or
represent a status quo or the solution is not applicable
 The solution would cause slight problems to the finial variables but those problems can
be addressed easily.
 The solution would cause significant problems to the finial variables but those problems
cannot be dressed easily.
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
A strategic action that would cause a major problem to the final variable and cannot be addressed.
Design solution (s)
Equity check
No
yes
Efficiency test
Implementable solution
Figure 5.4 evaluation of designed solution
5.5 Implementation and monitoring
A major problem facing pollution management in developing countries is the implementation of
policies and programmes.
Mitchell (2002) identifies tractability, lack of clarity of goals,
commitment of those responsible for implementation some of the problems are presented in
section 3. In addition, other obstacles such as lack of
To deal effectively with problems associated with implementation of a pollution management
strategy the, it is important to understand the context and the different policies situation that exit
and determine which conditions are dominant. If there are moderate changes in the context,
resources and available information, there is collaboration and understanding among actors
concerning goals and responsibilities, a systemic and explicit pre-programming of procedures for
implementation should be adopted.
On the other hand if the change occurring in the context is major, there a lot of uncertainty that
characterise the context, there is no understanding actors concerning goals and responsibilities,
institutions are not structured, then implementation that will allow adjustment to changing
circumstances, events and decisions is proposed.
In order to consider the effectiveness of an implementation plans the following should be used
(Mitchell, 2002):
 Attention should focus on the contextual dimensions such as historical, economic and
institutional and the state of biophysical resources
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




The policy or programme to be implemented should receive political commitment,
statute, financial and administrative support
Actors responsible for implementation should have a positive individual or organisation
attitude and culture
Pollution management functions of actors should be clear. These that can be perform as a
stand-alone and those that can be integrated, those that deal with policy issues and project
issues should be made clear.
The number and type of actor (organisation or individual) responsible for performing
management function should be known the mode of governance (centralisation or
decentralisation) made clear.
Process and mechanisms should be put in place to address mismatches, overlap and
underlap that will arise in implementing the management function and structures deigned
as part of the solution.
5.5.1 Monitoring and evaluation of implemented solutions
Activities of stakeholders and actors should be evaluated and monitored so that management
tasks are performed to specification. Success and failures from decision and actions related to
pollution management should be measured, recoded and documented.
Monitoring and evaluation can be done in many ways. No matter the way adopted, it is usually
done to documents environmental condition and establish baseline trends and cumulative
effects, to educate the people about environmental conditions as well as provide information for
decision making(Mitchell, 2002). Thus monitoring focuses on describing environmental
conditions in terms of source and sink functions and explaining the cause and effect relationship.
The following are three approaches that are critical to monitoring and evaluation. These
approaches have been discussed in detailed in section 5.3. Here I would like to show how their
use it link to monitoring and evaluation of solutions
Environmental auditing - is a systematic process of evaluating environmental performance. In
this case environmental audit will be to evaluate whether the implemented solution has
effectively addresses environmental problems identified.
State of the environment report - is where environmental reports are prepared to provide
information on the ecosystem conditions an trends, their significance and social responses.
These report can be comprehensive (national, regional, municipal, district), sectoral (forest,
agriculture, water, soil), issue-based (climatic change, waste management) or indicator based
(air, soil and water quality). It is as way of providing early warning signals to different target
audience.
To use these two approaches effectively in monitoring and evaluation, a variety of indicators
should developed. Base on the work of Bergquist (1998) the depending on the level of
aggregation of data, level of detail of information and whether or not they relate to any goal,
target or objectives. Indicators developed should (Bergquist 1998).
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





be based on the known and consistent relationship between the characteristics, and
the conditions which they are intended to indicate
be reliable and easy to interpret so that it can be communicated effectively to users.
be relevant to the needs of the user and sensitive to the characteristics of the
particular prevailing conditions.
be determined by the prevailing condition, which will lead to the choice of a
particular indicator that will either show the development trends in the form of
social dynamics, environmental dynamics, institutional changes or economic trends
reflecting the purpose for which it is developed.
Indicators need to be practicable. Method required to process data must be available
and the cost involved in defining the data required by the indicator must be
affordable and acceptable.
Indicators should enhance appreciation and understanding of how and why an
environment is changing and also be able to influence decisions taken by decisionmakers.
This information would help decision makers and policy makers to facilitate policy and
institutional changes , encourage, and ensure actors and accountable for their decisions and
initiatives, identify gaps and areas that need serious and immediate attention and finally to
education the public about the implications of their decisions and actions.
Public involvement in adaptive management
Public participation and adaptive management have been identify in section 5.1 as key design
principles. In this section I identify monitoring and evaluation as key attributes of adaptive
environmental management. I agree with Shindler, Cheek and Stanky (1999) admit that they
pose challenges especially with regards to public involvement.
The process that one follows for monitoring and evaluation can be viewed as an adaptive
management process. A cycle of design, implement, monitor, and evaluate occurs repeatedly
over time. In a sense, monitoring and evaluation is one half of the adaptive management cycle. In
another sense, the four adaptive management components can be used to describe a monitoring
and evaluation process, and shown as a cycle of a continual loop (Fig. 51).
/<----- Monitor<----\
|
/|\
\|/
|
Evaluate
Design
|
/|\
\|/
|
\-->Make Decisions-->/
Figure 5.6 Adaptive management components shown as a cycle of continual loop
The whole monitoring and evaluation process should be developed a with public involvement.
Here outcomes of the implemented solution, the process of implementation and the context
related to public involvement are important. The way task are handled and th willingness of the
various actors involves in the implementation to work together to set targets and create the
necessary organisational structures for the implementation of the solution need to be assessed.
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This would help determine whether the necessary initiatives that can encourage a collaborative
approach to implementing the designed solution are in place.
Design monitoring and evaluation to give actors the opportunity to learn from unexpected
outcomes (Shindler, Cheek and Stanky,1999). For this to happen, the expected outcome of a
monitoring and evaluation process should be clearly identified and document. This would
make it easy to differentiate between expected outcomes and what actually happen and
determine whether the implementation of the designed solution has been a success or not.
The effective of public involvement in monitoring and evaluation can be assessed against the
following attributes (Shindler, Cheek and Stanky,1999):
 All affected parties or interested actors should be involved in the monitoring and
evaluation so as to achieve broad representation. The key issue should be how affected
parties or actors interested in the outcome of the implementation of the solution have the
opportunity to participate in the decision making process.
 Commitment and good leadership of key agencies to public participation. There should
be personal and interactive involvement instead of impersonal forms of communication
such as briefs
 Different participatory tools should be used in monitoring and evaluation. This will allow
for flexibility in the monitoring and evaluation process . This would help pay special
attention to local situation and needs, the target of the solution and effectiveness of the
monitoring and evaluation process.
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Organisational planning strategies should be used in the design of the participatory
process. The monitoring and evaluation objective should be clear and
To achieve effect monitoring and evaluation through participation, there is the need to
understand contextual factors
such as management setting, community characteristic,
organisations as well as the attitude and skills of, and among, actors.
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6. OVERVIEW OF THE OPiC FRAMEWORK
In this chapter, I present an overview of the framework developed. What I have done her is t
bring issues from the previous chapters, as components of the framework and developed them
into implementable task. I present the task under three main heading. Task required for problem
analysis, task required for opportunity analysis or option identification and task required for the
design, implementation and monitoring of solutions.
6.1 Problem explanation and analysis
A model for problem analysis for existing facilities and a model for analysis for proposed
activities. The model has the following components:
Final variable
 Identifying the discrepancy between facts and values that we see happening (actual
pollution problems) and/or should be the case (desired level of pollution). The two should
be expressed in the same term for easy comparison in assessing pollution problems. The
facts about pollution problems and the effect chain of the pollution problem should be
drawn considering that every fact has its perfect mirror on the norm side.

Develop a norm chain based on current environmental policies and regulations. In
general, terms, the pollution situation should be taking into account how the normative
observers value the practicality of the content and legitimacy of the environmental
policies and regulations.
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The ultimate norms for pollution are desired economic, ecological and human health
levels from which standards should be set for different pollution problems. The standards
should be the maximum allowable standards or the desired technologies that may help
prevent pollution. On the left is the impact of pollutants on final variable such as
economy, ecological and human health. This could be poverty and loss of income due to
polluting of river becoming unsuitable for fishing.
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Determine the impact on final variables such decline of performance on environmental
functions and human beings in the form of measured concentration of emissions of
environmental parameters such as water, air and soil quality parameters. The main
elements are the levels of pollution, human exposure to pathogens and chemicals, disease
and toxic effects, contamination of food, soil pollution, and odour nuisance.
Environmental capacity block
 Explained in physical terms environmental capacity, based on the notions that normative
observers have norms and polices. The explanation should be done either by taking into
account the desired environmental and health levels of local situation (the focus here
should be on what the person feels is right to do or the way people related with the
environment to analyze pollution problems as well as ways to stop pollution). It could
also be dome by measuring physical parameters of the pollution problem so that the level
and kind of services available for use of energy and raw material within the desired
standards employed.
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Use environmental utilisation, carry capacity and limited acceptable change, to analyse
environmental functions. This could be out levels of allowable emission of pollutants
with the view to creating a balance between demand and supply of environmental
products and taking into consideration the signification and regulatory processes of the
environment.
Understand the intrinsic capacity of the ecosystem as well as the spatial context and
time horizon, by assessing different areas within the ecosystem that used for different
purposes but consistent with social and ecological goals.
Measure the self-renewal capacity of the different areas using qualitative and sustainable
indicators to see whether it is high self-renewal, low self-renewal or no self-renewal.
This would help determine the potential of the ecosystem to regenerate, the degradation
situation of the ecosystem, identify areas for effective investment that will protect the
environment and the need for protective measures.
Qualitatively assess, the environmental function provided by the context and the time
required for environmental regulations processing functions and the survival of
biodiversity, capacity of the ecosystem of the environment to cope with stress, reduce
organization and complexity of biodiversity, reduce level of energy and nutrient cycle.
Use qualitative indicators in the assessment.
Get to know the historical and current state of the environment such as the ecological
processes (economic carrying capacity, levels of acceptable change, the capacity to
absorb pollution) and interactions with human activities in the context.
The activity block
 Define a geographical boundary for the assessed area.
 Determine the activities such as manufacturing, transportation, farming taking place in
the context and the ones that are the main caused of pollution problems. The source of the
materials used for production.
 Identify storage, transformation processes, and waste and product output as component in
the activity block of the activity model. Assess raw materials produced within the
defined geographical area and leaving those produced outside area.
 Use qualitative LCA to analyze the pollution problems associated with activities that take
place in the different components of the block. Do this by observing impacts of
production processes both upstream and downstream in the production process. Use
criteria such as type of resources used, type of emissions, reusability, degradability,
purchase of resources and utilities, in-house production processes and waste management
systems, life span of the product among others should be assessed qualitatively the
impact of the product and service in within the defined boundary.
 Investigate all stages of assessment that falls within the defined boundary. Stages that fall
outside the defined boundary should be assessed (i.e. resource extraction to waste
management in the defined boundary should be investigated). The assessment should
cover both impact assessment and improvement assessment of energy use and solid waste
production to develop policies.
 Where possible undertake physical measurements of products, use of products and the
impact of the product through the development of technology or provision of services
with the goal to promoting sustainable production processes through more efficient use of
resources and the pollution emitted at every stage of the production processes.
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Assess the responsibility of actors in very stage of production process.
Assess the information on effect on human being and the environment of products and
services made available to the public to see whether it provides the basis for consumers to
live an environmentally friendly lifestyle concerning what products they have buy and
how they have to live.
Social context block
 Identify the actors who physically pollute the environment their options and motivation
and the underlying factors. Partly determined by other actors, in an actor-behind actor
pattern and by the surrounding environment, which co-determines the actor’s actions?
The extent of the actor field generally depends on the pollution management goal and the
responsibility of the actors.
6.2 Opportunity discovery and realisation
Opportunities arising from problem analysis
Opportunities could arise because of the present and analysis of existing environmental problem.
The following are some of the ways these opportunities could be realized:
 Identify opportunities that come with the environmental problem analysis, focus on
options generated from the motivation of actors, the explanation of the physical
properties of the problems, and examine windows of opportunities that the actors’
institutional arrangements present.
 Develop policies or explore the possibility of making actor’s causing environmental
problems to bear majority of the responsibility of the environmental impacts of their
products. That is the actors’ be involved in physical management of their activities and
the impact of the activities through the development of technology or provision of
services.
 Identify ways in which actors could ld under take eco-designs to improve product design
and improve production process by utilizing existing their knowledge about products,
ideas and technologies from developed with local raw materials and upgrade indigenous
and existing processing technologies to provide new opportunities for product
development.
 Identify prudent economic tax reforms to encourage actors’ to carry environmentally
sound production processes. Actions such as removal of subsidies on unsustainable
activities, regulations to promote energy efficiency, investment incentives to encourage
eco-efficiency, adjustment measures for sensitive sectors (e.g. energy), and information
campaigns could help to realize opportunities.
Opportunities arising from concepts
Identify which concepts that will generate windows of opportunities to solve the environmental
problem: This could be
 Identifying ways in which cleaner production could be adopted and supported so that
actors achieve optimum resource (energy and raw material) consumption per unit product
through improved production efficiency.
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A resource flow analysis approach should be used be used in a qualitative manner to
understand the various resources flows in area and the result used for planning. Collect
information about the type of resources that are coming into a particular geographical
area, the type of finish product produced and waste management. Such information could
help societies and communities assess the opportunities available to maximise
productivity from limited resources and assess threats from of the use or misuse of the
resources.
Creative identification of opportunities
Explore the creativity of actors and stakeholders in the context and see if there are any
opportunities to solve the environmental problem
 Actors should, observing and reflecting on the consequences of action in the situation
through experience, forming or reforming understanding of a situation because of
experience, planning actions to influence the situation based on newly formed or
reformed and acting or trying out the plan in the situation. These steps should be applied
in
 Identify local knowledge systems by using methodologies and tools like participatory
local appraisal, focus group discussion to help bring out technology and insights from
laypersons so that they can learn from each other and develop or renew environmental
management practices that sustainable.
 Identify initiatives and practices taken by indigenous individuals, which turn to produce
less pollution. In addition, traditional cultures are often adapted to fragile environments.
 Exploring traditional innovative ways and management system that can improve
industrial production processes and products
 Actors should identify his or her creative abilities. Carry out a pre-assessment of your
creativity through theory or practice in the context of conventional learning environment.
If the creativity of the actor is not promising, the actor should acquired basics skills in
creativity and innovation to enhance chances of opportunity identification. the actor
should then consider the environment around and look for opportunities in the
environment to generate ideas for problem solving through an action learning approach
Third, the ideas are assessed and implementable opportunities and applicable actions are
identified for solve the environmental problem.
 Actors should be aware of serendipitous events and get hold of them as they arise and
also rely on intuition for many major decisions and be should pay serious attention to
their dreams since it has the potential of dreams in solving problems.
Context of discovery
Having identifies opportunities, implementable opportunity actions and associated tools selected
to solve the environmental problem. Put all the opportunities identified into social and ecological
context and consider key issues such as the environmental media, their feasibility, benefits,
consequences, cost and impact and associated risk associated alongside the pollution
management goal in order to identify the implementable opportunities. Assess the applicability
of the opportunities taking in account context factors such human and environmental factors,
self-efficacy and interpretation frames. Guide the implementable opportunities with the
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pollution management goal identified according to the views and interpretations of the
stakeholders as well as the interrelation between the tools demonstrated. The aim here is to reach
a consensus as to what is and will be the implementable opportunity-oriented tools in relation to
the situation at hand.
Consider the implementable opportunities identified from the
comprehensive analysis in the development of a solution to a pollution problem.
Actors should learn to acquire insights about the way their interaction with the environment,
learn from their interaction with other actors, learn from their experiences with respect to
strategies adopted to manage environmental problems and all these insights to identify
opportunities to improve upon activities and the design of solution to environmental problems.
Certain routine activities already taking place in developing countries can assist in the
identification of opportunities. For instance, traditional accounting system already exist in
organisations and institutions in developing countries and actors should develop an
environmental accounting system such as eco-balance based on the strength of their accounting
and environmental information database. This will provide the opportunity to utilise local
knowledge and resources in more sustainable way. Actors should also use the value chain to analyse
their different activities to identify strength, weakness, opportunities and treats that exist in the company.
Actors in the context should develop a passion or obsession for the development and
identification of opportunities this would help with the formulation of ideas that would create
window of opportunities. Actors then would try to identify opportunities might result from
changes in the context and the problems associated with the identification.
6.3. Design, implementation, monitoring and evaluation of solution
Figure 6.1 illustrates the link between the various chapters. Here various component in the
design, implementation, monitoring and evaluation of solution. The tasks identified and
elaborated in the preceding sub sections include:
 Options for solution coming from environmental problems for proposed activities and
opportunity analysis
 Options for solution coming from environmental problems for existing activities and
opportunity analysis
 Identify tools and actions that can be used to design a sustainable solution
 Identify actors and their institutional arrangement in the design process
 Pollution management process to adopt in the design process
 Implementation, monitoring and evaluation as key components of design
Options for solution coming from environmental problems for proposed activities and
opportunity analysis
This stage involves the formulation of possible solutions and the use of implementable options
and tools. As may be seen from figure 5.3 it is the meeting point of options identified from
problem-oriented analysis and those from opportunity-oriented analysis necessary for the
pollution management design.
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The pollution management strategy should combine all options from the problem-oriented
analysis with those from the opportunity analysis, filter them and turn them into practical actions
for the stakeholders. In doing this, use selected tools to solve pollution management task. This
may either be short-term options and tools to solve urgent problems and/or option and tools that
provide long-term solutions. Select option and tools based on a long-term vision and strategy for
pollution management within a changing society. One of the main tasks here should be to
consider changes and adjustments to options and tools for them to contribute to the solution and
suit the actors.
Conceptual basis for the development of the framework (Chapter 2)
Context of analysis
Context Of causes
Context of Opportunities
Problem analysis
(Chapter 3)
Opportunity analysis
(Chapter 4)
Context of design and
implementation
Design and implementation of
solution
Figure 6.1 General Overview of the Opportunity-Problem-in-Context framework
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Opportunities
from concepts
Option discovery
Opportunities arising from
problem analysis
arising
Creative identification
of opportunities
Design
Implementable options
Design, implementation, Monitoring and evaluation
Normative context
Impact on ecological, human health, economic and nonmaterial welfare, by using EA tools
Problem analysis
Decline if performance on environmental function
Emissions
Desired
ecological/
human
health, economic/ non-material
welfare,
Desired function
performance
Acceptable emission
End-of pipe
treatment
Waste
Storage and
transportation
Transformatio
n processes
Environmental capacity
Product output
Figure 6.2
Industrial Actors
Ecosystem
Social Context
Physical context
An overview of the OPiC framework for existing activities
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The options for solutions identified and selected in the pollution analysis should tells us about
things that we have to change to stop pollution and also tells us who should be involved in
setting up a pollution management policy. In figure 5.3, the options from the pollution problemoriented analysis serve as input to the pollution management strategy. The implementable
options from the pollution problem-oriented analysis should focus on the physical management
options in the pollution problem analysis, the way actors can explore their social, regulations and
culture to solve the problem, corruption abatement options and also the motivation of the actors
in terms of financial, legal and social internalization. On the other hand, options for solution
coming from the opportunity analysis should tell us the potentials that are available and those we
should explore. Possible opportunities for solutions surfacing from the opportunity-oriented
analysis include corruption abatement opportunities, context related opportunities.
Identify tools and actions that can be used to design a sustainable solution
The following is overview of tools for pollution management. Use the tools should promote good
governance, build bridges between different actors involved in pollution management and
address private sector growth and free trade.
Select the tools and options based on analytical insight of the pollution problems and the
opportunities that are present. It is also important to update the analytical vision continuously
and maintain consistency.
There is also the need to ensure coherence between all the
components in the pollution management strategy. A possible way to define actions within a
framework of a coordinated policy so that there is synergy between approaches and measures
and also focusing on critical social groups, environmental functions win-win options, innovation
and creating policy windows.
Useful tools from section 5. That could be implied in pollution management in developing
countries includes the following:
 Market based tools- such as tradable permits
 Regulation
 Environmental Education and Communication
 Conflict resolution
Pollution management process to adopt in the design process
Integrate key issues of sustainable development such as spatial planning and sectoral policies
within the pollution management goal. This may help to create coherence and focus, ensure
coherence between elements of the framework and set priority for every pollution management
task
Participation is very important in the design a sustainable pollution management strategy. Apply
participation, which involves information gathering, participation in consultation; functional
participation and interactive participation in all stages of the design of solutions. Consider the
following condition in the use of participation:
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In using integrated environmental management approach, multiple users and actors
should be involved. That is, participation of interest groups, the private sector, public
sector and civil society is necessary.
The point of departure of management should be variable with all actors sharing insights
about different problems and opportunities in a decentralised manner. Thus, at the start of
the management process, a common vision does not exist and an open ended process
should adopted to define a common vision
The main goal in the management process should be to improve understanding and
insights and build consensus on a vision, strategy and actions. I synergy by coordination
should be created and all the actors in the management process should have some shared
responsibilities.
When environmental problems are urgent and well defined, integrated environmental
management is good approach to use in defining a vision and goal for its management. If
the environmental problem is not urgent and scope of the problem poorly defined, use
integrated environmental management to work out valid pre-fixed goals, goals and a
vision for finding solution to the problem.
Use a process facilitator to guide the application of a co-management approach. The
facilitator could be an expert, a manager, representative of absent stakeholders, and a
normative observer of a lobbyist. The facilitator need to play a neutral role and in some
cases a normative role in the management process.
Co-management process
Use co-management approach to design a solution to pollution problem built on negotiation
between social groups with conflicting interest that normally have unpredictable outcomes.
Negotiations should be used as a platform to create suitable conditions for social learning and
decision-making since it is about power and arguments and has potential to help define concrete
task to facilitate an integrative decision making process. This is critical, since actors with
conflicting interests must be mutually interdependent and agree to solve a give pollution
problem. The actors should see the clear benefits for negotiation based on self-interest or the
need to work together.
In sight in local knowledge in the form of traditional knowledge and management system is
important since traditional people in their own way understand the ecosystem in which thy live
in spite of the fact that most of their knowledge and management systems are based on trial and
error. Consider the following conditions in using co-management approach in managing
pollution problems:
 The focus of management should be on one sector this would help realise the benefits of
the approach
 The actors should be in two main parties. One party representing a broad group of actors
while the other party represents the state and other state own institutions at the local level
 Point of departure of the management should be a common problem perception and
vision on a desirable development goal. This will help avoid conflict and
misunderstanding in the definition and sharing of environmental management roles and
responsibilities between the two actors.
 Institutions involved in the co-management should have concrete institutional
arrangements and management plan
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Use a process facilitator to guide the application of a co-management approach. The
facilitator could be an expert, a manager, representative of absent stakeholders, and a
normative observer of a lobbyist.
Adaptive management process
In dealing with complex pollution problems Use adaptive management approach to solve
complex pollution problems since this would help restore, maintain and/or strengthen human
sensitivities and capacities to respond to feed back from environment at individual, groups,
communities, organisations and institutions levels. The principle adaptive management approach
regards pollution management policies, programmes and strategies as measures that create an
environment for learning and the lessons learnt used to adjust actions to achieve effective or
desired goals and outcomes.
Actors and their institutional arrangement in the design process
Elements of pollution, which comprises attributes, and nature of the technology, which require
management, the normative, social and cultural characteristics of the actors responsible for
pollution problems and the way evaluation and monitoring activities, are undertaken.

The design of a solution to pollution should consider the responsiveness of the public
sector, recognition and anchoring of social and political diversity. An important task here
is to build onto and strengthen social actions and available social forces and economic
initiatives of civil society and the private sector
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Those actors should focus on the adaptation of tools and options to rapid changes in
environmental quality. This is because pollution management is a dynamic societal
process that involves a continuous change of multiple variables and, for it to be
sustainable; society must continuously upgrade its capacity for sensing, processing and
accumulating opportunity-oriented information dynamic adaptive mechanism.
Pollution management should have four broad categories of stakeholders: (i) national public
institutions (ii) district and regional public institutions, (iii) the private sector and (iv) civil
society. The level of involvement of the four categories of stakeholders in pollution
management largely depends on the pollution management goal and scale of the problem.
Figure5.3 presents pollution management function of the four categories of stakeholders.
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Sector
National
Proposed pollution management function
 Establish national legislation and justice regarding pollution management and create
co-ordination and policy coherence between sectors and regions.
 Develop national legislative framework, regulations and quality standards, control,
prevention and enforcement mechanism.
 Carrying out strategic planning at sectoral and national levels
 Providing expertise and training for the other sectors
Municipal/  Establish regional and district legislation and justice regarding pollution management
district
and create co-ordination and policy coherence between sectors and regions.
 Develop regional and district legislative framework, regulations and quality standards,
control, prevention and enforcement mechanism based on national guidelines.

Private
 Carry out industry related research, provide environmental expertise, and develop
environmentally sound technologies.
 Co-management, co-decision making, carry out monitoring activities and
environmental auditing as well as implementing other pollution management activities.
Civil
society
 Advocacy, lobbying, awareness raising, carrying out environmental education and
getting pollution management issues on the political agenda.
 Co-management, co-decision making and implementation of community level
pollution management activities and functions.
 Carry out community level environmental research and monitoring and provide early
warning signals.
Figure 6.3 showing proposed pollution management functions to different institutions
Design evaluation
After designing a solution based on the insight gained from pollution problem analysis and
identification and opportunity discovery and realisation, a two tier evaluation made up of an
equity test and efficiency assessment should be undertaken to determine how the solution is
sustainable.
Equity test
Equity test should be undertaken to protect the basic needs of the poor as well as protect nature
and future generations. It should be undertaken before an efficiency assessment is undertaken.
This can be done through the following:
 Address equity aspect of the proposed solution. To carry out the equity assessment actors
should jointly and creatively formulate new ideas and focus on the concrete pollution
situation. Carry out equity assessment taking into account; the present usage of resources
has adverse consequence for the present poor and future generation. Also consider
decision regarding pollution problems are take taken at the lower possible authority
level; the precautionary principle could be applied, there is mechanism for the
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redistribution of taxes and the imposition of sustainability oriented taxes and determine
traps that prevent the adoption of adaptive management approach.
If a strategy addresses all these issues, it means equity has been addressed in the strategy
and then an efficiency assessment should the carried out. However if more than one of
the issues are not addressed the strategy should be redesigned. In this way, do not address
issues that not address equity in the open market where most assessments efficiency
oriented.
The result of equity test should be accepted by the public and other actors involved in
the design of the solution or have interest in the solution.
Efficiency test
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Efficiency assessment should be undertaken with the environmental playing a major role.
Use cost benefit analysis that involves the application of shadow pricing methods to
determine the strategy with the best discount rate.
Assess final variable such as physical and chemical aspects of non-biological resources,
degradation of the environment by pollution, conservation of biodiversity, quality of soil
and water bodies, level of renewable and non-renewable resources, climate change,
investment cost, expected income, health cost, impact on human health, impact on
cultural values, impact on human development, impact on economic activities
Components could be subdivided to identify specific subcomponents of environmental,
economic and socio-cultural depending on the context and the pollution problem. This
would help identify the potential problem that will come about because of implementing
the strategic action.
Assess actions using Importance of the policy (IP), Magnitude of Cost (MC), Status (S)
and Cumulative effect (CE) (see section 5. for details about the criteria and their scale of
measurement) score points and produce a matrix for each strategic action. The matrix
should comprise of cells set against each defined component with the scores gained.
The score given to magnitude of benefit MB should multiply the score given to IP
because. The two criteria are critical to the planning of strategic actions and each has the
tendency to change the total score obtained for an alternative strategic action.
The scores of Status (S) and Cumulative effect (CE) should added together to provide a
single sum. This is necessary because even though S and CE are important, the individual
scores cannot influence the overall score but note is taken of their importance. That is
final assessment score for a strategic action FAS= (IPXMB) +S+CE. (see section 5. for
details)
Select the solution with the highest FAS score as the implementable action and formulate
project(s).
Implementation, monitoring of design
Implementation and enforcement should receive less political attention be carried out through the
cooperation of relevant stakeholders, and conflicts that may arise should be resolved by a legally
constituted and independent system initiated by all. This may allow public institutions to divorce
their decisions from personal stake in an outcome. The focus should be on how to match
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outcomes of decisions taken with intent in such a way that they are appropriate. Consider the
following typical issues in implementation of a designed solution:
 The contextual dimensions, establishing the legitimacy of implementable action and
establish processes and mechanism needed to carry out the pollution management
function.
 Identify the structure, culture and attitude of organizations responsible for implementing
the management function, assign responsibilities assigned and secure participation. An
implementation plan may then be prepared taking into account socio-economic and
institutional factors.
Monitoring of outcomes for achieved pollution targets should be undertake, especially the
implementation of pollution management policies and tools in order to see whether the perceived
pollution or environmental quality problem is solved. If the problem is not solved, adjust design
(presented as feedbacks to other pollution management phases) to improve the efficiency of the
implementation plan. This may generate insight into the relevance, effectiveness and efficiency
of the pollution management methodology. Monitor and evaluate pollution management
strategies for all phases in the solution designed in other to help understand the actions and
decisions taken. A possible way is to review pollution management targets and establish realistic
indicators for the collection of data on baseline conditions, results of decision and actions taken
as well as monitoring the internal issues of organizations and actors. Evaluate monitoring results
by comparing actual results to the targets identified in the pollution management strategy.
With implementation of designed solution, consider issues such as timeframe, clarity and cost in
the evaluation process. Present the evaluation results in the form of, who carried out the
evaluation, how it was undertaken and when it was undertaken, in order to make changes to
pollution management policies and programmes. Also a reporting system should be established
for all responsible actors and also provide a system of accountability for all responsible parties
on how well goals and targets established in the pollution management strategy can be achieved.
Communicate evaluation results to the public sector, the private sector and civil society and their
reaction reported to the implementing institution(s).
Use the adaptive management process to monitor and evaluate implemented solution. That is
create a continual loop with the four components (design, monitor, evaluate and make decisions)
of adaptive management process and it describe the monitoring and evaluation process.
6.4 Applicability
The OPiC framework is generic and its applicability is scale and context dependent. Use can be
made of the framework in developing countries and some cases developed countries. Apart from
its core application to design solution to pollution problems, it can also be use in the following
ways:
OPiC can be used to for the management of we forest
 OPiC can be used to identify problems and opportunities within a geographical location
and that and in the formulation of a strategy for the sustainable development the area. The
challenge would be to add other elements of sustainable development and focusing on
issues that affect or promote sustainable development of the area.
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OPiC can be used for strategic planning and research. For example, insight gained on
problems and opportunities of various disciplines and the linkages of these problems and
opportunities could be useful in the development of a strategic plan for sustainable
development
Development of solution to environmental problems caused by industries. For example
Like any other framework, OPiC is not something to be applied rigidly as if it were a
mathematical formula with only one way of doing it. People have to adapt the framework
to address the issue under consideration.
The structure of the framework could be simplified and the process component
elaborated.
It can be used to design solution to problems on regional, municipal, district and local
levels
It can be used to design solution to a particular pollution problem in a specific area. For
instance, water pollution problem in location.
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7. APPLICATIONS OF THE OPiC FRAMEWORK IN GHANA
This chapter present a study carried out in Tema, Ghana to test the OPiC framework. The study
was undertaken with undertaken the limited financial resources of the researcher, the limited
time for the study and the unavailability of information and data. The ideas is to develop a
solution to pollution problems in and around the Chemu lagoon in Tema, Ghana.
7.1 Ghana in general context
In this section i present the socio-economic background of Ghana and the current ddevelopment
strategies adopted. The section also an overview of the pollution problems in Ghana and
examines the national environmental policy.
7.2 Pollution Management in Ghana
Here I looked at the developments in Pollution Management in Ghana, Institutions involved in
pollution management, National Environmental Policy, Assessment of pollution management
tools used in Ghana
7.3 Tema Case Study: Pollution problem analysis and explanation
Here pollution of the Chemu lagoon is identified as an existing pollution problem in Tema. The
pollution levels in the Chemu lagoon in Tema, Ghana is analysed and explained. The root
cause of the pollution problem and the actors involves are also identified and explained. The
section concludes by establishing that there is pollution problem in Tema city with solid waste
and water pollution as the major problems.
7.4 Tema case study: Opportunity discovery and realisation
Identify opportunities that exist in Tema with focus was on implementable opportunities for communities,
industries, private sector, public sector and civil society. The context of the opportunities are analysed
7.5 Tema case study: Design of solution
In this section I design a solution to the pollution problem in and around Chemu Lagoon. Identify the
actors and the roles and responsibility of these actors. Possible tools that would support the
implementation of the designed solution are presented.
7.6 Conclusion and Lessons learnt
In this section, I presents lessons learnt from the case studies and point the necessary areas of the
framework that require future research.
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7.1 Ghana in general context
7.1.1 Socio-economic background
Ghana is located in the central-southern area of the West African sub-region along the Gulf of
Guinea. Ghana shares boundaries with Cote d’Ivoire to the West, Burkina Faso to the North and
Togo to the East. The Greenwich meridian cuts through the country from North to South. The
country lies between latitudes 4º 30’ to 11º N and longitudes 1º 10’ E to 3º 15’ W with a
coastline of 550 kilometres (Hens and Boon, 1998).
Ghana covers an area of 23.9 million hectares, spanning two major ecological zones. High forest
is confined to the Southwestern part of the country, while savannah woodlands cover the North
and coastal areas. The country has natural vegetation ranging from dense rain forest in the South
tailing off to savannah and grassland in the North.
Climate is tropical with high mean annual precipitation in large parts of the country, except in
the extreme North where savannah climate with quite dry conditions prevails. Rainfall ranges
from 900 mm in the coastal savannah to 2100 mm in the forest belt. The highest precipitation
occurs in the extreme southwest, reaching 3000 mm per year. The rainfall pattern in the Southern
part of Ghana is bimodal with a major peak in June/July and a minor one in September. The
driest period comes between October and February (Hens and Boon, 1998).
The country is also endowed with mineral resources: particularly gold, bauxite, diamond,
manganese, limestone and iron ore. In addition, Ghana has abundant resources in forestry,
agricultural crops and fisheries. The country also has a relatively well-developed energy system
based on hydroelectric and thermal power with a fairly sophisticated and extensive industrial
infrastructure. Water is fairly abundant in Ghana, although seasonal shortages are quite common.
Water shortages are primarily due to poor management and inadequate use of available
technologies.
Ghana’s population as at 2000 was about 18.5 million. The current level of Ghana’s population
is a result of persistent high birth rates and declining mortality rates. Currently birth rate is
estimated at 45 births per 1000 people while the death rate stands at 13 deaths per 1000 people.
The fast growing population has resulted in a high ratio of dependants to working population.
Children under 15 years of age account for almost half (47 %) of the total population (Ghana
Statistical Service, 2000).
Ghana had been under a quasi-military regime since 1982. However, in 1992 there was a
transition to multi-party democratic governance. This shift in governance saw the intensification
of true multi-party democracy that has been consolidated by the change of government in 2000.
Overall, the last decade has witnessed the emergence of democratic institutions, such as a free
and liberalized press and organs for addressing serious frauds and lapses in human rights and
administrative justice, all of which are necessary for the institutionalization of good governance.
The political party that is currently in power is the National Patriotic Party (NPP).
The Ghanaian economy is highly dependent on agriculture, which accounts for around 35.9% of
GDP; the service sector accounting for 29.9% whiles the industrial sector contributes 24.9% to
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GDP. An estimated 85% of the population earns their livelihood directly or indirectly from
agricultural production (UNDP& ISSER, 2001. An Accelerated Agricultural Growth Strategy
(AAGS) has been formulated which is designed to increase the pace of the sector’s growth from
the current rate of 3-4 % to 5-6 (MoF, 2002).
Industries establishments in Ghana are overwhelming concentrated around the coast and the
government is fostering attempts to boost the manufacture of consumer goods in the northern
part of the country.
7.1.2 Development strategy
Ghana began the spiral of long-term economic decline in the 1960s due to low investment, low
and falling efficiency of resource use and declining exports. Between 1960 and 1982 real per
capita income fell at an average annual rate of nearly 2 percent while annual inflation rose from
6.2 percent to 123 percent. In response, the Economic Recovery Programme was initiated to
reverse the country’s downward trend. A process of sustained growth with focus on economic
liberalization and stabilization, social development, long-term growth, poverty reduction, gender
balance and regional integration was started. In response, real GDP growth averaged 4 percent
annually while inflation dropped to 20 percent during 1992-94. However, the performance of the
economy slipped from 1992 when large fiscal imbalances resulted in heightened inflation and
currency depreciation (MT&I, 1992).
Another development strategy document that guided the socio-economic development of Ghana
is Vision-2020. This document was in reaction to the need to ensure long-term growth to avoid
the drastic drop in living conditions by addressing poverty in an integrated manner and
improving the management of the economy to place the nation on a path of sustainable growth.
As a result, the economy was characterized by: (a) market-determined and private sector oriented
policy framework, (b) the state divesting controlled enterprises and restructuring of public sector
administration, (c) largely agrarian setup with low manufacturing value-addition, (d) low savings
and investment (e) dependence on two commodities for foreign exchange earnings, (f) high debt,
both external and domestic (g) low private sector response to economic frameworks and
incentives (
Currently, the government has replaced the Vision 2020 documents with Ghana Poverty
Reduction Strategy Programme (GPRS) as the official policy framework for poverty reduction
between the year 2002 and 2004. The replacement is based on the notion that the Vision 2020
document did not have specific costs targets and all stakeholders were not considered making its
implementation difficult. The GPRS document even-though finalized, represents comprehensive
policies to support growth and poverty reduction based on the notion that the economy of Ghana
should be managed effectively to enable wealth creations, improved governance and reduce
regional income inequalities.
The Government has also decided to take advantage of the Enhanced Highly Indebted Poor
Countries (HIPC) initiative so that its debt service payment to bilateral donors would be
suspended. In light of this government has started the implementation of some policies, which
will serve as triggers so that the full benefits of the Enhanced HIPC will be realized. Improved
macroeconomic stability and the substantial external assistance associated with the HIPC
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Initiative has provided the Government with a window of opportunity for implementing the
reform agenda that it developed during the preparation of the Ghana Poverty Reduction Strategy
(GPRS).
Ghana is among 35 Sub-Saharan African Countries selected to benefit from The African Growth
and Opportunity Act (AGOA) passed by the US Congress in 2000. This means the US market is
now open to Ghanaian business to export duty free and quota free pf wide range of products to
the US.
In general, following key trends and factors have influenced the design of strategic frameworks
for national development in Ghana:



The pain and memory of past economic downturn and the transition to multi-party
democratic governance
The resultant economic liberalization and market-based stance of economic policy
which has yielded a fragile stabilization as the economy is still prone to
destabilization by external economic factors
Increasing population, unemployment, demand on social services and a fall in
living standards, relative peace and stability
Poor natural resource management resulting in loss of forest cover and general environmental
degradation
7.2 Pollution in Ghana
The present pollution issues and problems in Ghana are closely related to the economic and
industrialisation programmes pursued in the country since the attainment of independence in
1957. After independence, a number of industries were set up in various parts of the country to
develop natural resources. In the process of exploiting these natural and agricultural resources in
the industrialisation programmes, adequate care was not taken to guard against the depletion of
the resources (GEPA, 1991). As a result a host of environmental problems comprising of various
forms of air, water and soil pollution were experienced. Major producers of pollution in the
country were the mining, mineral exploitation and processing, textile, food processing,
petroleum refining and handling industries (GEPA, IBID). Table 6 depicts the major types of
pollution in Ghana and their sources.
Most of the industrial establishments in Ghana are located around Accra and Tema metropolis,
which covers less than 1 percent of the total inland area of the country. The concentration of
industries has given rise to noise, smoke, and carbon monoxide emission, municipal and
industrial wastes.
The operation of mining and manufacturing industries give rise to various types of pollution as
shown in table 6.1 Atmospheric pollution associated with industrial activities in Ghana result
mainly from combustion processes of industrial machinery and vehicular fleet. The atmospheric
pollutants tend to be in the form of dust, odours and gases which contain varying amounts of
oxides of sulphur, nitrogen, carbon and hydrocarbon (GEPA, 1994).
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Type of Industrial Pollution
/Pollutants
Air Pollution
Dust
Heavy metal (As, Me, Cy, Fe)
Fluoride,
Smoke
Asbestos
Antimony oxides
Sulphur oxides
Nitrogen Oxides
Oxides of carbon
Hydrogen fluorides
Hydrocarbons
Water Pollution
Color
Turbidity
Alkalinity
Biological Oxygen Demand
Chemical Oxygen Demand
Acidity
Discarded petroleum products
High Temperature
Pesticides
Noise
Domestic noise
Industrial noise
Vehicular noise
Source
Mining, manufacturing, wood processing industry
Mining industry
Steel industry
Exhaust and stack emission of industries
Cement-asbestos product plants
Aluminium production
Oil refinery, gold mining, aluminium production
Oil refinery, gold mining, steel production
Combustion furnaces in general, aluminium production
Oil refinery, aluminium production
Textile
Paint Works, mining
Manufacturing industries
Textile industry, soap and laundry industry
Breweries, textiles, food processing,
Oil refinery Paint Works.
Automobile assembly plants, paint works
Oil refinery, textile, food, ferrous and ferrous industry
Household
Mining and manufacturing industries
Transport industry
Figure 7.1 Type of pollutants and their sources in Ghana
The main industrial water pollution sources are from the food processing industries, the textile
industries and the mining industry. Minor source of industrial pollution include industries
manufacturing soap and detergents, wood, cement, rubber, plastics and steel. Most of the
wastewater from industrial establishments is discharged in to the environment untreated. This
has resulted in the destruction of the environment.
Industries in the country also produce various types of solid waste. Typical among these are. For
example, the food processing industries generate organic solid waste, building and construction
industries generate metal scraps, dust particles and asbestos tailings, the textile and garment
industries generate wax, cotton fluff, feints off cuts and floor wastes. The paper and printing
industry also generate paper cuttings and trimming and exposed photographic films. The metal
and metallurgical industries generate ferrous, non-ferrous and miscellaneous wastes (GPE,
1994).
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7.3 Pollution Management in Ghana
7.3.1 Developments in Pollution Management in Ghana
In 1974, the Government of Ghana established the Environmental Protection Council (EPC),
which became the first governing body in Sub-Saharan Africa to focus on issues of
environmental management. The EPC was primarily an advisory and research organization
expected to co-ordinate activities of other bodies concerned with environmental matters. It had
no power to enforce measures for improving the environment but rather served as a meeting
point for bodies that actually exercised power with regard to the various sectors of the
environment.
EPC facilitated the co-ordination of environmental programmes and activities in the country
(EPC, 1991). However, long before the establishment of the EPC, many legal enactments
existed in the country and empowered various official bodies, which actually exercised executing
powers with regard to environmental care and protection. These powers were however widely
scattered among the bodies involved pollution management and no one of them could be said to
have enjoyed exclusive control of the whole of the environment or even of significant portions of
it (Hens and Boon, 1998).
After the establishment of EPC in 1973, there was the need to introduce a systematic procedure
for evaluating the environmental effects of development projects (Abrokwa-Ampadu and
Ampadu-Agyei 1987). In light of this, Ghana’s Investment Code was legalized to regulate
investment in four key sectors of the economy, namely, manufacturing, construction, agriculture,
and tourism in 1985, The Investment Code requires investors to show sufficient evidence that
their proposed project(s) would not have any deleterious effect on the environment. Another
significant development with implication for environmental management is the development of
the National Environmental Action Plan in 1991 (EPC, 1991).
Under the guidance of the EPC the National Environmental Action Plan was elaborated and
published in 1991. However, it was after the Rio Earth Summit in 1992 that Ghana realized that
their economic prosperity actually depends on the maintenance of a high quality of the
environment. In, 1993 the National Environmental Action Plan (NEAP) was approved for
implementation and a National Environmental Policy (NEP) was defined.
In 1994 the EPC was re-structured and re-named the Environmental Protection Agency. The
mission of the GEPA is to co-manage, protect and enhance the country’s environment and to
contribute to the solution of global environmental problems. GEPA is the main stakeholder in
environment related activities in the country and is tasked with the collection, analysis and
dissemination of environment related information. GEPA is also involved in training and
education programmes aimed at a better understanding of the environment and processes that
affects the environment.
7.3.2 Institutions involved in pollution management
The main post-Rio institutions established to facilitate the formulation and implementation of
policies related to pollution management are the National Planning and Development
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Commission, the Ministry of Environment and Science (MES), the Environmental Protection
Agency (EPA) and the District Assemblies (DAs). The link between these institutions is
presented in figure 6.1. The involvement of so many agencies in the implementation of the
country’s policies and programmes on pollution clearly calls for effective co-ordination,
monitoring, evaluation and control (EPA, 1994).
The National Development Planning Commission (NDPC) was set up under the National
Development Planning Law of 1989 to formulate and advise government on comprehensive
national development strategies and to ensure that the planning and development strategies and
programmes are effectively carried out. Within its mandate, the NDPC clearly has a significant
role to play in the monitoring, evaluation and control of national development programmes,
including environmental policy and actions (EPC, 1991).
In 1993, the Government established a Ministry of Environment, Science and Technology
(MEST) now MES to co-coordinate the implementation of Agenda 21. MES therefore set up a
National Committee for the Implementation of Agenda 21 (NACIA 21), which also co-operate
with other relevant Ministries and Government Departments. MES is responsible for the policy
formulation, planning, programming and monitoring actions by agencies and departments under
it. The ministry of Environment and Science co-operate with the Ministry of Food and
Agriculture, the Ministry of Works and Housing, Ministry of Local Government and Rural
Development, Clearly, an effective implementation of the policy and programmes requires a
good degree of co-ordination amongst these institutions (EPA, 1994).
Ghana Environmental Protection Agency (GEPA) is given full mandate and responsibilities for
regulating the environment and ensuring the implementation of Government policies relating
thereto (EPA, 1996). GEPA has ten regional offices across the country. GEPA key objectives are
to:
 Ensure that the implementation of environmental policy and planning are integrated and
consistent with the country’s desire for effective, long-term maintenance of
environmental quality;
 Provide technical assistance to the District Assemblies to enable them meet their
responsibilities for managing the local environment;
 Work in partnership with stakeholders; to guiding development with the aim of
preventing, reducing and as far as possible eliminating pollution and nuisances; initiating
and pursuing formal and non-formal environmental education programmes;
 Collect, collate and disseminate information and promote as well as support research
programmes needed to ensure sound environmental management and use of natural
resources;
 Apply the legal processes in a fair, equitable and efficient manner to ensure responsible
environmental behaviour in the country and continuously improving EPA’s performance
to meet changing environmental trends and community aspirations (EPA, 1996).
GEPA is scientifically supported by a wide array of national institutions. GEPA also co-operates
with government agencies, the DAs and other bodies and institutions through inter-sectoral
networks in seeking solutions to environmental problems in areas which the partners have
responsibility. The reason is prior to the establishment of EPA, these institutions were in
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existence with mandates in certain aspirates of the environment. Some of the institutions EPA
co-operate with are Forestry Department, the National Standard Board, Centre for Scientific and
Industrial Research, Ghana Standards Board, Geological Survey Department support EPA
through research activities.
The government’s policy of decentralization of administration to the district assemblies (DAs)
accords the district assemblies a central role in the implementation of the NEAP (EPC, 1991).
The role of the DAs in environmental management in the country has been defined as: “District
Assemblies will be the organ through which national policies and programmes on the
environment will be translated into action at the local and district levels. Their members and
action programmes will serve as vehicles for creating awareness at the grassroots level of the
complex interaction between development and environment in order to ensure improved quality
of life for the broad mass of the people” (EPA, 1996). In order to achieve this, the DAs have set
up District Environmental Management Committees (DEMCs) to monitor and co-ordinate
environmental protection and improvement activities at the district level. Community
Environmental Committees (CECs) have also been established as the organs through which the
environmental programmes of the District Assemblies are carried out.
There are a number of international and local NGOs are assisting Ghana in a variety of ways to
implement its environmental policy, programmes and projects. Typical examples international
NGOs working in Ghana include the World Bank, the United Nations Programme for
Development, World Vision International, Concern Universal, Action Aid and Friends of the
Earth.
A key principle that runs through all the institutions involved in pollution management is
participation of individual and communities in decisions-making has been identified as a key
sustainable environmental management. Thus, government recognizes community management
as one of the best approaches to environmental conservation, as stipulated in the national
environmental action plan.
National Development
Planning commission
Ministry of Environment
and Science
National Committee for
implementation of Agenda 21
Environmental Protection Agency (EPA)
Research Institutions
 Geological Survey Department
 Ghana Standards Board
Meteorological Services Department
 Council of Scientific and Industrial Research
 Remote Sensing Centre
Municipal and District Assemblies (MDAs)
 Regional Environmental Office
 District Environmental Management Committee
 Community Environmental Committee
Figure 7.2 Institutions involved in environmental management in Ghana.
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7.3.3 National Environmental Policy of Ghana
Ghana has a National Environmental Policy (NEP) which is enshrined in a National
Environmental Action Plan (NEAP). The aim of the National Environmental Policy is to
improve the surrounding, living conditions and the quality of the citizenry of Ghana. The policy
also seeks to ensure reconciliation between the country’s economic development and natural
resource capital and also to make the environment the key element of Ghana’s economic and
social development (C.A. Biney, 2000.).
The specific objectives of Ghana’s National Environmental Policy are to:
 Maintain ecosystems and ecological processes essential for the functioning of the
biosphere;
 Ensuring sound management of natural resources and the environment;
 Adequately protect humans, animals and plants, their biological communities and habitats
against harmful impacts and destructive practices and preserve biological diversity;
 Guiding development in accordance with quality requirements to prevent, reduce, and as
far as possible, eliminate pollution and nuisances;
 Integrate environmental considerations in sectoral structural and socio-economic
planning at the national, regional, district and grassroots levels;
 Seek common solutions to environmental problems in West Africa, Africa and the world
at large (EPA, 1996).
The government of Ghana has a adopted the following principles for the effective
implementation of the NEP:
 Optimum sustainable yield in the use of resources and ecosystems;
 Use of most cost-effective means and incentives to achieve environmental objectives;
 Delegation of decision-making and action to the most appropriate level of government;
 Polluter pays for the cost of preventing and eliminating pollution and nuisances caused
by him;
 Public participation in environmental decision-making and international cooperation.
The environmental policy of Ghana has seven policy orientations, each with its own objectives,
guiding principles and strategies. An action plan and institutional framework for implementing
activities that are in line with the aims and objectives of the NEAP have also been detailed. The
environmental policy of Ghana was developed to guide all environmental-related activities
which are undertaken or must be undertaken by the Environmental Protection Agency and other
sectors.
The policy also contains statements about dissemination of environment related information for
educational purposes to increase the awareness among the public in environmental related issues.
Also the need for research activities in environmental related fields is recognized. The policy
covers management of environmental resources, prevention and control of pollution, actions to
be undertaken in specific areas, development of appropriate scientific and legal instruments for
environmental control, environmental education and monitoring program and international cooperation.
242
The NEAP takes a holistic view of the natural, human-made and cultural recourses and their use
and abuse and seeks to integrate, into a coherent framework covering existing and future plans,
policies and investments related to environmental sustainability. The overall goal is to improve
and enhance the health and quality of life of all Ghanaians and to promote sustainable social and
economic development through the sound use of natural, human-made and cultural resources and
the environment as a whole. (EPA, 1996).
The environmental policies of Ghana emphasize the importance of community participation in
environmental management programmes. As a matter of fact, it is based on implementation
modalities at the local level. Currently, the municipal and district assembles have developed
local action plans whiles a few are still going through such development. Furthermore,
community participation and the environment are one of the cross-sectoral policy components of
the environmental policy if Ghana. Nevertheless, the environmental policy of Ghana does not
have an explicit reference to local resource and environmental management approaches that are
based on indigenous and traditional practices, as the principal mechanism of management
activities at the local level. The government has to realise that efficient environmental
management will require more than mere participation
The government of Ghana has also indicated its commitment to using the preventive approach to
environmental protection efforts in the country. As a signatory to a number of international
conventions and protocols related to environmental protection, the government of Ghana is
making efforts to bring these conventions, protocols and agreements into the domestic legal
require for maximum effect. The policy tools that are used by the government of Ghana to ensure
the implementation of the principles in the environmental policy statement are depicted in figure
7.3
The guidelines in figure 7.3 focuses on the preparation and adoption of regulations and policies
for industrial operations in the country. However the problem is the guidelines focus on the
promotion of pollution control and similar end-of-pipe measures. This is not adequate. It is
necessary that the guidelines for policies and regulations are widen to include pollution
prevention tools and measures.
Policy Tools
 Environmental education and research-improving the scientific base of environmental
policy, among other things, through appropriate research programmes.
 Environmental Assessment-The assessment of potential impact of certain public and
private projects on the environment and the integration of the environment into national
practice
 Environmental Standards- Establishment and implementation of appropriate standards
and guidelines so as to ensure an acceptable level of public health and environmental
protection
 Environmental regulations- harmonization of appropriate legal instruments. Thus,
Prepare and adopt regulations and for environmental pollution control
 Environmental communication-Improve access to information on the environment.
 Adopt incentive system for resource use in all industries
Figure 7.3 Industry-related Environmental Policies and Regulations Guidelines Source: (Ghana’s
Environmental Action Plan Vol. 1, 1991)
243
7.3.4 Assessment of pollution management tools used in Ghana
From figure 6.2, the environmental policy tools that are currently used to address industrial
pollution problems in Ghana are EIA, Environmental Management Plans, Environmental
Standards, Environmental Regulations, Environmental Education and Voluntary Environmental
Measures.
Environmental Impact Assessment
The administrative procedure in an EIA in Ghana is expected to take a total period of 90 days
from the time an application is submitted to the GEPA. However administrative and technical
difficulties may delay the issue of the permit. After obtaining the permit, the new industrial
establishment is expected to regularise the permit within 24 months by the submission of and
environmental management plan. If the new industrial establishment is unable to satisfy this
condition, GEPA has the legal right to cancel the provisional environmental permit. On the other
hand, if the permit has been regularised, GEPA undertakes an evaluation of the positive and
negative impacts of the new development during operation in a post audit. The post audit allows
for compliance enforcement as well as learning from mistakes and improvement in the EIA
process and practice. In some cases, the post audit may not be undertaken because of inadequate
staff at GEPA.
Even though the present EIA legislation has made industrial establishments to be more
environmentally committed, in reality however, the environmental performance of industries in
Ghana leaves much to be desired. For example, industrial establishments in Tema are
continuously polluting water bodies in the country. This is mainly due to weak and nonfunctioning legislative enforcement and monitoring framework on the environment. Despite the
fact that EIA is a proactive environmental procedure, in Ghana it has been more of a bureaucratic
and documentary requirement rather than practical means of reducing the environmental impacts
of industrial operations. Inadequate monitoring and transformation of documentary
environmental measures into practice have caused the present situation.
Environmental Management Plans
The preparation of environmental management plans in Ghana is geared towards end of pipe
solution. A major requirement is for companies to build or install end of pipe equipment and
machinery to pre-treat industrial effluent, filter air before discharge into the environment. This
approach is expensive and represents additional investment cost which industries are not willing
to make. This has result in low submission of EMPs by industries. For instance, in 1997 for large
to medium scale industries, only 30% submitted their EMPs, 40% are yet to do so while 30%
were either not sure or unconcerned (Abakah, 1997). This situation clearly shows that the use of
EMPs in dealing with pollution management in the country has not been very effective even
though it has to some extent created industrial awareness to monitor the environment.
Environmental standards
The GEPA has published some environmental quality guidelines for all industries in the country.
These guidelines have been based on localised research studies on acceptable levels for pollutant
discharges. At present, there are guidelines on ambient noise level and ambient air quality and
surface water quality but no guidelines on soil and groundwater such as petroleum products. The
guidelines developed are more voluntary in nature because monitoring of emission of pollution
244
levels of industrial establishment is presently done on a periodic and random basis by GEPA.
The problem is the lack of equipment by the environmental quality department of GEPA to carry
out its monitoring activities. This has resulted in some emissions and discharges of industrial
establishments exceeding levels given in the guidelines.
Industrial establishments are first asked to institute remediation actions if their emission and
pollution levels exceed levels given in the guidelines. After several warnings, the industrial
establishment is closed or the matter referred to the National Attorney Generals Department for
prosecution.
Environmental regulations
The legislative framework for industrial environmental violation and legal prosecution in Ghana
has been invested in the GEPA legal department. However, at the time of writing this
dissertation, no industrial establishment in the country have been prosecuted at the law courts.
Another problem is government could not prosecute government owned industries or
departments in case of breach of environmental directives from the GEPA. This constitutes
double standards, as government owned industries are not held legally liable for environmental
degradation and pollution caused by their activities.
The legislative framework for addressing environmental problems in the country is still in the
process of development making it able to promote industrial pollution management
in the
country since industries are not motivated to change their actions towards the environment.
Environmental education
There has been remarkable level of environmental awareness among the populace especially the
rural community in the country. In many industries in Ghana, environmental training is yet to be
offered for employee. A survey carried in 15 industrial establishment revealed that 7out 15 do
not have qualified officers to handle only environmental issues and problems only. In most cases
industries obtain outside assistance and consultancy to handle environmental issues and
problems.
GEPA undertakes formal and informal environmental education for people. Teachers of first and
second cycle institutions have been trained on environmental issues which have been integrated
into the educational curriculum. Formal education is also organised in the form of courses for
people employed in organisations.
The Council for Scientific and Industrial Research and the universities in the country have been
undertaking and facilitating human resource development on the environment. For example,
Council for Scientific and Industrial Research has assisted the department of Geography and
Natural Resources of the University of Ghana to run environmental related courses. Presently the
University of Development Studies in Northern Ghana offers a full time undergraduate program
in Environmental Studies. Also, NGOs, CBOs and the non-formal education division of the
ministry of Education carry out informal educational programmes on environmental issues for
individuals and communities that are not literate.
245
Voluntary Environmental measures
Industries in the country are currently responding to persistent public and GEPA demands to
control the level of pollution. Industrial establishments in the country are undertaking some
voluntary environmental measures to manage pollution problems. Currently, the environmental
measures instituted by industrial establishments are at the end production processes, which even
do not function optimally. A typical measure is monitoring their own pollution levels without the
request of GEPA. Normally, GEPA undertakes periodic checks depending on complaints
received from the populace and the inhabitants living around the immediate environs of the
industrial establishment.
The present increase in pollution problems in country and the way current pollution management
policy tools have not been very efficient and effective in addressing pollution problems in Ghana
do imply that there is the need for a new approach to the use of the existing tools and the
introduction other potential tools.
There is growing concern among the general public about industrial waste and pollution and their
effect on the environment and human health (GEPA, 1994). Current pieces of evidence show that
efforts so far made to towards the management of the adverse effects of industrialization and its
related environmental problems have been inadequate and ineffective.
7.4 The Tema case study: Analysis and explanation of pollution problem
The problem-oriented analysis of Tema starts with the fact that the Tema city is polluted and
there are no concrete measures taken to control and prevent pollution.
7.4.1 Final variable components
The pollution problem analysis consist of research into the chain of facts (effect chains) and the
chain of values (norms chain). Regarding the bottom up direction of the former and the top down
direction of the later, the final variables their end and the start points respectively (see figure
5.1).
The present study will consider reduce poverty, Conserve biodiversity, Human health, Socio
cultural welfare as the desired state and levels.
The effect chain of pollution in Tema is explained as follows. The final variables are at the top
and the affected people are at the bottom. Water bodies within and around the city of Tema have
been suffering from serious pollution as the city intensively expanded during recent decades.
Currently, the Chemo lagoon does not support any fish
Major causes of pollution are domestic and industrial wastewaters that are discharged into the
Chemu lagoon directly or via sewer outlets. Besides, there are other sources of pollution such as
waste from hospitals and animals. All these sources of pollution creates different effects on
different medium which end up affecting human beings non-material welfare and economic
welfare. As control and remediation of the various medium require a bit of time, the pollution
problem continuous down to other medium with different actors and having different effects.
246
The Chemu Lagoon in Tema contains chemical substances with high potential to reduce the
production of fish. This has resulted in low harvest by fishermen that in turn affect the economic
welfare of the fishermen. The population economic welfare is affected because the few fishes
will be caught and sold at very high prices. With the fishermen, they will use more inputs in the
production system. Although high prices may seem to be a positive fact for the population
(consumers), it is also necessary to consider that there is a higher risk for the fished caught
around the lagoon to be infected with toxic substances which may eventually give them diseases.
They may even end up being more expensive than buying clean and less risky fish.
Tema inhabitants, especially people with low incomes, consumed vegetables irrigated with
polluted water thereby affecting the health of the population. This further affects the economic
welfare of the inhabitants of Tema because of the expenses that have to be made during the
treatment of diseases contracted.
Tema is faced with air pollution problems from industries, which end up affecting the health of
the population, and down along the chain also negatively affects the economic welfare of the
population when treating the health effects caused.
Pollution of the Chemu lagoon also affects biodiversity, in the last years, several species of the
Chemu lagoon and other coastal areas around Tema have disappeared.
We have already seen, in general terms, how the pollution situation in Tema would be; in other
words, the facts side (effect chain). Now I want us to consider the value chain and at the
sometime making comparison with the facts. Facts, I follow the opposite direction of the effects
chain, which means top down. Thus, I start from final variables at the top of the figure 5.5
(norms chain) making comparison between what should be the situation at any specific level,
according to norms and regulations, and what it the reality. To easily recognize the
discrepancies between facts and values, a summary is presented in table 6.1, which gives an
overview without caring about the exact causalities. Besides, in order to find out the significance
of each point of discrepancy, all of them are forward analysed following the assigned order.
Facts
Values
Impact on health, economy, social welfare and Desired ecological and human health, economic and
biodiversity
non-material welfare
Levels of pollution (water, air and noise)
Acceptable levels pollution (water, air and noise)
No treatment of pollution before or after Treatment of pollution after and before discharge into
discharge into the environment
the environment
There are other sources of pollution
There are no other sources of pollution
Figure 7.4 Discrepancies between facts and values
Having finished with the comparison, I go deeper into the analysis of every element of the
problem block. For the purpose of coherent interdisciplinary research, it is extremely important
to first get an overall grips on the whole problem black before considering the details, element by
elements. It may be a bit repetitive to mention some aspects, however it should be considered
that I started from the whole picture, and now go into the analysis of each element, including the
247
facts and values to see the discrepancies between them. Another aspect is that, some information
may be necessary for the analysis of more than one element.
Parameters
To determine whether there is pollution in Tema, the following are the parameters used to
measure water, air and noise pollution in Ghana:
 Water- PH, Conductivity, Turbidity, Dissolved Oxygen, Temperature, Salinity, Total
Dissolved Solids, Ammonia, Sulphates, Phosphates, Nitrates, BOD5 , Feacalcoliform,
potassium,
 Soil - Chromuim, Nickel, Zinc, Copper, iron, Manganese, Total Cyanide, Total Arsenic,
Lead, Total Cadmium, Mercury, Benzene.
 Air- Sulphur Dioxide (SO2), Nitrogen Oxides (Measures as NO2), Total Suspended
Particulate, Particulate matter (PM10), Smoke and Carbon Monoxide (CO).
 Noise- Residential, domestic or private recreational areas, educational (schools) and
health (hospitals and clinics) facilities, Commercial areas, entertainment spots, points of
public assembly and places of worship (churches and mosques), light industrial areas and
predominantly heavy Industrial areas
Water pollution levels
Water samples were collected to determine the level water pollution in the Chemu Lagoon in
Tema. Although, it may seem to be that there is an arbitrary comparison between facts and norms
independent of the time and its application, this was made by taking the standard of water bodies
as points of reference only, in other to see the degree of pollution that the Chemu River in the
city of Tema has been facing for a long time and would be its eventual situation regarding the
law.
Regarding the BOD parameter it is one of the basic parameters in which the limits are exceeded
by factors above the maximum permissible excess. Therefore there is discrepancy between facts
and norms. Analyses of samples taken from the Chemu lagoon showed that there is a clear
change in Dissolved Oxygen. The recreation capacity of the Chemu Lagoon is weak and the
recovery processes would require longer time. From the concentrations, there seems to be a
discrepancy between facts and norms. With Coliforms, the situation of discrepancy between facts
and norms related to this parameter is quite evident from the concentrations.
Base on comparisons made between samples collected and the current permissible levels for
water pollution laid down by the Environmental Action Plan of Ghana, bearing in mind the
limitations, there is a clear discrepancy between what should be according to the norms and what
the facts actually are because more than one parameters is and concentration of chemicals that
are present in the environment can jeopardise the health of the population.
248
Parameter
Acceptable
Levels
Actual Levels
PH
Conductivity (ms/cm)
Turbidity (NTU)
1
8.13
2.860
61
2
8.22
0.424
37
3
9.31
42.100
40
4
8.3
1.6
74
5
7.90
0.094
10
Temperature
Salinity
Total Dissolved Solids (mg/l)
Ammonia (mg/l)
Sulphates (mg/l)
Phosphates (mg/l)
Nitrates (mg/l)
BOD5 (mg/l)
Faecal Coliforms CFU/100ml
Potassium (mg/l)
Chromium (mg/l)
Nickel (mg/l)
Zinc (mg/l)
Iron (mg/l)
Copper (mg/l)
Manganese (mg/l)
Total Cyanide (mg/l)
Total Arsenic (mg/l)
Lead (mg/l)
Total Cadmium (mg/l)
Mercury (mg/l)
Benzene(ug/l)
28.9
0.14
300
0.80
530
1.000
0.002
36
1110
9.5
0.01
0.01
0.09
1.3
0.45
0.2
0.8
0.06
0.4
0.035
0.001
43
29.5
0.01
400
7.20
870
3.300
0.255
300
2300
7.70
0.01
0.01
0.2
1.0
1.1
1
0.75
0.75
0.4
0.01
0.005
16
36.5
2.71
280
1.00
1220
0.064
0.015
600
1780
5.5
0.04
0.01
0.9
1.0
0.7
0.5
0.65
0.4
0.9
0.046
0.01
29
31.7
0.04
220
2.60
1020
4.340
0.044
900
2500
8.6
0.1
0.01
0.5
1.2
0.7
0.9
1.3
1,6
0.04
0.05
0.025
34
29.1
0.09
500
0.80
460
5.280
0.80
1225
1980
5.8
0.05
0.01
0.5
1.7
0.7
0.5
0.9
1.2
0.5
0.06
37
6-9
0.750
75
<3oC
0.00
1000
10
300-2000
2.0
0.
50-200
400
2-20
0.5
0.5
5
2.5
0.1-2.5
1.0
0.5
0.1
0.5
0.05
50
Table 7.5 Showing water quality analyses of the Chemu Lagoon in Tema (Source: field data)
The table 6.1 show the mean measurement of water quality parameters of the Chemu lagoon.
Looking at the figures of all the parameters, there is a clear discrepancy between the water
quality (facts) and how it should be (norms). Therefore there are discrepancy between the facts
and the norms for all the parameters. (Explain values each site with regards to the GEPA
permissible limits.
Soil pollution levels
Due to lack of data, samples were taken to determine the extent of soil pollution caused by heavy
metals in the Chemu lagoon, which is necessary to compare the facts with the limits.
Concentration of soil pollution parameters taken in Tema is presented in the table below. The
concentration of chemicals and metals in soil sediment was well below GEPA and Worldwide
limits for Toxic and Hazardous Chemicals in soil. The concentration of the parameters compared
249
to the guideline values are far bellow the norms in other words and based on the is analysis, for
the underlying parameters there is on discrepancy between the facts and the norms.
Parameter
Chromium mg/kg
Nickel mg/kg
Zinc mg/kg
Copper mg/kg
Manganese mg/kg
Total Cyanide mg/kg
Total Arsenic mg/kg
Lead mg/kg
Total Cadmium mg/kg
Mercury mg/kg
Benzene(ug/l)
Actual Levels
1
72.1
35.0
654.0
192.9
164.6
25
67
65
21
9
43
2
80.8
29.1
277.3
51.8
337.8
56
67
45
41
12
16
3
67.5
22.0
265.2
74.1
544.2
132
12
39
23
31
29
Desired Levels
4
79
31
470
87
302
10
53
29
13
25
34
5
85
42
638
129
565
54
34
48
9
23
37
Table 7.6 Showing soil pollution levels of the Chemu Lagoon in Tema (Source: field data)
Air pollution levels
The major causes of air pollution in the study are mainly from large-scale manufacturing
industries.
Vehicles especially large truck, which convey goods from industries and the seaport also
contribute to the air pollution problem. Results of air quality assessment at within the study area
are presented in table 6.2. The result shows that the parameters measured in within acceptable
limits.
.
Parameter
Smoke (Ringlemann No)
Solid Particles (mg/m3)
Sulphric acid (mg/m3)
Actual Levels
1
1
90-125
47
2
1
118
54
3
3
102
92
4
2
121
123
5
2
98
80
Fluorine compounds (mg/m3)
4.9
3.1
1.9
7
1.2
Hydrogen Chloride(mg/m3)
25
11
5.6
8
5
Chlorine (mg/m3)
13
10
8
13
55
Hydrogen Sulphide (ppm)
1.9
1.5
0.9
1.3
1.4
Nitric acid (mg/m3)
141
67
16
29
56
Carbon monoxide (mg/m3)
640
201
130
450
460
Particulate matter (mg/m3)
68
49
50
31
49
1=industrial area, 2= commercial area 3=residential area
Table 7.7 Results of the air quality assessment of Tema (Source: field data)
250
Acceptable
Levels
.2
200
120
10
200
100
5ppm
1000-200
1000
70
Noise levels
Noise levels within Tema at the time of measurement are lower than the EPA recommended
ambient noise levels. The results of the noise level assessment of Tema are summarized in the
table 6.5.
Description of area of noise reception
Actual levels dB
(A)
Day
Night
infrequent 57
46
Residential areas with low or
transportation
Educational and health facilities
Areas with some commercial or light industry
Areas with some light industry (public assembly)
Predominantly commercial areas
Light Industrial areas
Predominantly heavy industrial areas
56
61
63.1
76
71
72
48
57
61
66
61
69
Acceptable levels
dB(A)
Day
Night
55
48
55
60
65
75
70
70
50
55
60
65
60
70
Table 7.8 results of the noise level assessment (Source: field data)
From the assessment, noise problem is not from industries but from communities. Noise levels
during the day in all areas of noise reception are slightly above the acceptable levels. Noise
levels during the night are below the acceptable levels. Hence there is a discrepancy between the
norms and the facts during the day no discrepancy during the night.
Solid waste
Solid waste generation in Tema is estimated at 660 tonnes of domestic-type of refuse about 700
tonnes of industries refuse ( =) . The problem with solid waste in the environs of Chemu lagoon
is not the production of refuse but its the collection and disposal. About two-thirds of refuse
generated in commercial and residential areas do not reach designated disposal sites. Even
though there is no acceptable level for solid waste, it taken that the desired level is proper
collection and disposal. However, because of the indiscriminate disposal of solid waste in the
Tema it is considered in this can be considered there is a discrepancy between the desired level
of solid waste management and the actual solid waste management in Tema.
Health Impact of pollution
The people who use work or live around the Chemu Lagoon or use it for fishing are at risk to be
affected by either getting infected by pathogen through the stomach or getting some skin or
urinary tract infectious diseases. The people can also be affected with chemicals through
contact and inhalation.
The exposure to polluted environment is a fact, which has a discrepancy with how it should be
with acceptable levels of exposure, where the risk of getting infected or contaminated would be
251
much lower. However, I do not have enough bases to affirm whether the norms in terms of heavy
metals are really exceeded or not. To do this, there is the need to know the concentration
chemicals that can jeopardise the health of the population and the level of exposure of people,
the routes of absorption effects that are being caused by the underlying chemicals and the
sources of the chemicals. To answer these questions require toxicological studies, which is
beyond the scope of the research.
There were found micro organisms that indicated contamination by lack of hygiene and
inadequate disinfections. Contamination by bacteria salmonella was found on some of the
products especially vegetables been cultivated in Tema with polluted water. A bacteria study on
fish and vegetables coming from Tema showed that 70% of the samples analysed were in bad
hygienic and quality condition.
Contamination of food is from the use of polluted water, improper hygienic conditions at market
places and houses. It is therefore right to say that pollution of Tema is an important fact for
having bad quality of agricultural products such as fish and vegetables, even though other
factors may play an important role as well. It is necessary to point out this situation to avoid
blaming just the closest cause for this problem, which may be misleading for finding adequate
solution to pollution problems in Tema.
Environmental pollution is the main cause of health problems in Tema. It was estimated that %
of diseases are caused by contaminated water consumption and diarrhoea are the main causes of
mortality in Ghana. Lack of knowledge of potential health risk and the economic conditions of
the population seem to lead people especially those with low income, to continue consuming
these products. Some of the factors that account for disease in Tema include: high rates of faecal
Coliforms in the Chemu river, the presence of salmonella on some vegetables produced and sold,
presence of mosquito and typhoid fever.
All the above-mentioned points are contributing factors that impact on the health economic and
social welfare of people living in Tema. Hence there is a discrepancy between facts and the
norms.
7.4.2 Physical context and environmental capacity of Chemu lagoon, Tema
It is difficult to explain the pollution problems in Tema in scientific and physical terms.
However, I try to explain the situation from the views of actors and myself. The environmental
capacity that exists in Tema in the context of this research is declining and gradually destroying
the ecology that exists in Tema and its environs.
The desired environmental and health levels proposed are justified taking into account the local
situation in Tema. All the people living in Tema interviewed feel the have the right to enjoy good
health and pollution free environment. However residents of Tema and industries do not take
measures to keep the environment clean. They do not give the necessary attention to the
environment as they do to economic social and health issues.
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The parameters that exist in Ghana are national parameters. The present physical parameters that
exist in Ghana, which is applied in Tema, do not specifically take the different industries
operating in Tema to establish specific standards that will measure the levels of energy and raw
material use in the Tema. There is currently no database on the number and type of industries in
Tema, The amount of energy used and the type of raw materials used.
Currently Tema has no local regulations and policies regarding pollution management. Policies
and regulations implemented national in context.
The Council for Scientific and Industrial Research should carry out research into pollution
problems in Tema with the view to developing an integrated model that help will explain the
pollution problem and also model the environmental processes.
Even though human carrying capacity that exists in Tema falls under the physical and scientific
explanation of pollution problems, it was not considered because it is extremely difficult and
does not fall within the scope of this research.
From a qualitative analysis point, the relationship between pressure on the environmental
function from human interventions in the form pollution generation and the environmental
capacity is a transition with the level of human pressure. Thus, the current density of people and
industries in Tema can live and operate in the area in a sustainable way if effective pollution
management strategy and proper planning schemes are put in place.
The lagoon has a low self-renewal because of the high level of pollution. Thus the ecosystem of
the lagoon would a long time to get back to its original state. The industrial activities taking
pace in the environ of the Chemu lagoon Get to know the historical and current state of the
environment such as the ecological processes (economic carrying capacity has been taking place
for some time and has resulted in the reduction of the capacity of lagoon to absorb pollutants.
This has lead to the reduction of fish species in the lagoon and subsequently affected the
livelihood of people who rely on the lagoon. The extend of a pollution of the lagoon has also
resulted a decrease in the regulatory function of lagoon such as treating wastewater.
7.4.3 Activity in the environs of Chemu lagoon
Industries located around the Chemu lagoon get their production input outside Tema. 70% of
the inputs are imported while the remaining are obtained from other parts of the country.
Transportation of these inputs to the industries are done by trucks. These truck in most cases are
over loaded resulting in some of the inputs falling of the trucks and contaminating soils and
water. The main emissions that result from the transportation of input of production to the
industries are CO2 So2.
All the industries have warehouses for the storage for production inputs and products. However,
these warehouses are not kept properly resulting in wastage and leakage of inputs and products
which are disposed off in the
253
The main industrial production activities that take place in the environs of Chemu lagoon
include Petroleum refinery, Food Cannery, Textile Manufacturing, Chemicals Paint, Super
Paper Products, Dyeing, Cocoa Processing, Aluminium processing and Steels works,. All these
production activities used large amount of raw material and energy in their production process.
70% of energy produced in Ghana is used by the industries with aluminium processing company
using the highest amount.
During the production process large amount of unused resources in the form of solid waste and
materials that can be reuse such as plastics, cloth and metal are produced. Wastewater which is
produced in significant quantity by the industries even though could be reused are discharged
into the Chemu Lagoon and ultimately into the sea.
The industrial discharge the effluents directly into the lagoon without treatment, even though by
law, they are required to treat their effluents to meet acceptable standards before discharge.
Currently no end-of-pipe treatment. Only 20% of the industries have constructed wastewater
treatment plant. The industries have well established environmental management system to deal
with pollution problems. The industrial do not give the attention to environmental issues as they
give to economic and social issues. North withstanding this, industries engaged I oil refinery,
food processing .
Solid waste is produce in large quantities by the industries. The waste are all put together
making the reusability of some its components such as plastics, metal and paper impossible. The
industries do not have a system in place where solid waste could be sorted and reused in the
production process or used by other industries.
99% of the product of the industries are used outside Tema. A large amount is exported and the
rest used by other industries in their production processes.
Industrial activities taking place in the environs of Chemu lagoon effect on human being and the
environment of products and services made available to the public to see whether it provides the
basis for consumers to live an environmentally friendly lifestyle concerning what products they
have buy and how they have to live.
7.4.4 Social context of chemu lagoon
The social causes of the pollution problems in Tema is analysed based on the action-in-context
principle from which the primary actors who are behind pollution of Tema are identified to be
industries and the community. The secondary actors influence the activities of the primary actors
and they include Tema Metropolitan Assembly, Environmental Protection Agency. Tertiary actor
was identified to be pressure groups, NGOs, CBOs and research institutions.
In analysing the social causes of pollution, I try to explain the actions of actors not with own
value and perception but that of the actors. For this purpose, we collected information through
interviews from the actors to know as much as possible the underlying causes of pollution.
Supplemented with literature review, I try to put myself in the place of the actors and propose
possible tools that could be used to management the pollution problem. The information
collected is supplemented with literature review.
254
Industries as Primary Actors
There are two groups of industries in Tema that can be referred to as polluters. The first group
consists of firms that produce a great deal of air soil and water pollutants and the second group
involves industries that produce more pollutants of one of the three media and relatively less of
the other two. In all cases however, the two groups have to satisfy the requirements of the
Environmental Protection Agency of Ghana
The major source of pollution is from Oil Refinery, Food Cannery, Textile Manufacturing
Chemicals Limited, Bridal Trust International Paint Company Limited, Super Paper Products
Company, Nestle Ghana Limited, West Coast Dyeing Company, Cocoa Processing Company
Limited, Aluworks Limited, Ghana Aluminium Products Limited and Wahome Steel Limited.
Industries in Tema are polluting the environment because Ghana Environmental Protection
Agency which is responsible to see to it that industries prevent and control pollution are not
carried out effectively although there are environmental regulations in place. Also Ghana
Environmental Protection Agency authorities do no have clear deadlines for the submission of
environmental management plans making industries not to be under pressure to take steps to
manage pollution problems.
All the large firms interviewed claim they have knowledge about the pollution issues related to
their firms operation. However the issue is most of the firms do not have qualified personnel and
separate department that will help them deal with pollution issues related to their firms activities.
Firms that have environmental management plans do not implement the plan because they do not
have a well-established management system that will deal with both external and internal
pollution. 25% of large firms interviewed have Wastewater Treatment Plants
Small and medium size industries lack knowledge about pollution issues related to their firm.
75% of the small and medium size firms interviewed in Tema does not know any specific issue
relating to pollution even be in the position to manage it. 50% of them generally do not want to
know about pollution management tools because they do not have adequate personnel who can
apply lack the responsibility of using their tools. All SMEs interviewed claim they discharge
their wastewater without treatment directly into the sewer ending up in the Chemu Lagoon.
There is no umbrella organisation responsible for industrial pollution issues in Ghana. The
Ghana Chamber of Commerce which represent industries in the country not have a department
concerned about pollution issues concerning industries, the Environmental Protection Agency
and Ministry of Science and Environment have a reduce scope.
Despite the fact that some attention has been given to pollution management at the national level,
industries in the study give low attention to pollution issues making them to fall on external
consultants for advice on pollution issues when the need arise. There is no proper co-ordination
among the various institutions involved in the management of pollution in Tema especially
among industries, EPA and municipality. This is a way is due to lack of proper communication
among institutions concerning possible ways of dealing with pollution issues.
255
There is a general lack of environmental awareness among employees of industries. Industries
interest is concentrated in making profits rather than environmental issues. The uncertainty about
the lack of environmental awareness or knowledge makes it difficult to differentiate what is right
and does not need to reduce their pollution, who is misinformed or who is well informed but
does not have enough willingness to do something. If measures to reduce pollution could
represent savings in cost or some economic advantages, they may do something. Some of the
firms do not have knowledge about environmental issues therefore we cannot expect them to be
aware of threatening environmental problems for Tema. Most of the major polluters think they
are not polluters as it is considered.
Environmental cases are not considered seriously even though they are given the necessary
attention. For instance industries are not prosecuted or fined for pollution the environment. If this
is done it will serve as a strong motivation for industries to start thinking seriously about
environmental issues especially if the industry is punished when found guilty or responsible for
pollution.
Preventive approach to pollution is promoted in Ghana but the government has not taken steps to
introduce new pollution management tools such s clean technology and life cycle assessment to
industries. It is only recently that the government announced the establishment of a cleaner
Production Centre in country to help promote the concept in industries. Also government has not
created the necessary environmental for industries to undertake voluntary pollution management
measures.
The study reveals that planning of measures for pollution management and obviously the
implementation of those measures imply spending money. Most of the industries can afford to
pay for these things. However they are not prepared to do it.
Due to the features of Tema as an industrial city, both urban legal and illegal urban settlement
have sprung up. Thus the demand for space is higher than the capacity of the city in physical
terms. Besides there afro old industries which started operating a long time ago when
environmental issues were not as now, and they have been growing little by little trying to gain
space as much as possible, making it them to have little space especially for wastewater
treatment plants.
Based on the underlying causes of pollution in Tema, potential pollution management tools
envisaged for industries include Environmental education and communication, Environmental
Management System and Auditing, Precautionary principle, Extended producer responsibility,
Environmental Accounting, Product development, Process Improvement concepts,
Environmental Regulation and Products, materials and substance assessment tools. All these
tools could be quiet useful in dealing with pollution from industries.
However, the use of a tool or of group of tools will depend on the pollution problem in question,
the socio-economic environment, and the size of the industry, the financial position of the
industrial and the availability of qualified personnel to use these tools
256
Tema Community as primary actors
The people living in the Tema community pollute the environment. However compared to the
industries, the level of pollution from the community is minimal. Tema has well developed
drainage system compared to other cities in the country. However, the community sewerage
treatment plant constructed is not currently used because of both technical and social problems.
This has made parts of Tema especially where the low to medium income level people live, there
are signs of pollution in the form of visible domestic wastewater been discharge to the
environment and solid waste disposed off at open places.
Communities in Tema are major polluters in terms of noise and organic pollutants in water. For
example it is reported that communities in Tema are responsible for 65% of the BOD in the
Chemu Lagoon (EPA, 1998).
The underlying cause of communities in Tema polluting the environment is the attitude of people
living in Tema. Also, Tema Municipal Assembly do not have in place the necessary
infrastructure development for proper disposal of domestic waste.
Possible tools that could be used to create a change in the attitude of residents to be
environmentally responsible and also management pollution problems include: Environmental
Conflict Resolution, Environmental Communication and Education. Market Based tools could
also be used by EPA and Tema Municipal Assembly as a corrective measure.
Tema Metropolitan Assembly as Secondary Actors
Tema Municipal Assembly is the secondary actor because they have been given the mandate to
help management pollution in the municipality and also able to influence the activities of
industries. The position of Tema Metropolitan Assembly is to clean up the environment after
industries and the community discharge pollutants. It is established that industries treat
especially their wastewater before discharge into the environment. To some extend the
environmental regulation of Ghana gives assemblies and municipalities.
The current attitude of authorities in the municipal requires a change. This is because their
current attitude does not have enough influence on the primary actors for them to have a shift in
their attitudes towards finding solution to environmental problems. This is reflected in the fact
that the municipality do not comply with the some of the provisions laid down by the
environmental action plan of Ghana. Some of the provisions include:
 Under PNDC law 207, municipality have the central role to play in the implementation of
the environmental Action Plan of Ghana;
 Water Company of Ghana has been given power under section 14, to make regulations
among other things to prevent pollution of water. As far as can be ascertained, this
provision has not been used;
 Municipal assemblies are responsible for the development of, improvement and
management of human settlements and the environmental in their municipality. There are
also responsible for monitoring the impact of projects on health and environment as well
as responsible for the enforcement of legislations and making bye-laws;
257

Municipality do not have a stable environmental management committee as stipulated in
the environmental action plan because of the structure, which change as political
authority change.
The in ability of the municipality to comply with these provisions is that they do not have a
strong environmental management committee. Also at the municipal level, there are other
priorities issues such as economic that are given more attention. The municipal assembly is in
charge of the economic and non-material welfare of the population. However, the authorities
frequently see environment and socio-economic issues as two different and separate fields
without linkages.
In spite of the fact the Tema municipal assembly has the mandate to management pollution; there
are no proper institution structures in place that will help in carrying out this duty. For instance
the environmental department of the municipality is not well staff with environmental personnel
and there is also inadequate logistics and equipment for
Other identified underlying causes to the weaknesses of the municipal assembly to address
pollution problems as well as create a shift in authorities attitude to develop and implement
strategies for pollution management include:
 The lack of finance to develop and implement a strategy towards pollution management;
 Lack of pressure on the municipality by the media and NGOs and lack of public
participation. Lack of capacity building programmes such as adequate training of
personnel and the provision of equipment, which are most cases attractive to employees.
Based on the underlying causes of pollution in Tema the following are the possible tools that can
be used to management pollution include, Industrial ecology, Environmental Education and
communication, Environmental Conflict resolution. Market based tools, Economic tools-use to
determine the economic and environmental benefits of project to the municipality. In whatever
form the tools are used it is important to link environmental and socio-economic issues.
Environmental auditing may used for the municipality to have an evaluation about the role the
municipality is currently playing on pollution issues. This could be
 External audit of state of the Environment Report in the form of a comprehensive
appraisal of environmental conditions in the area and also provide an initial baseline data
which can be updated in the future with data from monitoring and data obtained from
other agencies.
 To carry out an internal audit of Tema Municipal Assembly through a systematic and
objective evaluations of its environmental performance, gather information about the
staff awareness, attitudes and values and a description of the areas for which information
is available or needed, training needs to be encourage, to which resources need to be
directed and barriers need to be overcome, and those which can easily be developed using
existing structure.
Ghana Environmental Protection Agency as Secondary Actors
Ghana Environmental Protection Agency is the institution responsible for the national
environment and the coordinator of all activities relating to the environment. GEPA is the
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authority responsible to perform monitoring, inspection and ensure law enforcement in cooperation with other law enforcement agencies and also request co-operation from any
governmental ministry or other institutions on behalf of the government. However, GEPA has
not lived up to expectation due to the underlying causes:
 Lock of appropriate coordination among both externals institutions and internal
organisational departments within GEPA;
 Inadequate finance, equipment and personnel to undertake pollution management
assignments;
 Lack of concrete and strategic plans and strategies for pollution management in the
country
 Low remuneration of staff and political influence on pollution management decisions
taken
 Over dependent of GEPA on international and donor organisations to determine and
decide environmental management plans and strategies.
GEPA could avert to the use of pollution tools depending on the nature and type of problem,
however, based on the underlying causes of pollution in Tema, possible tools that could be used
to manage the pollution problem include: Economic Reforms and Polluter Pays Principle,
Environmental Impact Assessment, Environmental Regulation and standards, Financial and
Market-based Tools. Considering the pollution situation in Tema, it is however important that
the underlying aim of using a particular tool should be to create a shift in authorities attitude as
well as the development and implementation of a strategy for pollution management.
Pressure groups, NGOs and CBOs as Secondary and Tertiary Actors
In recent years, religious groups, professional associations and community-based groups are
especially concerned with the promotion of pollution management practices in the Tema
Township. These groups are able to gain easy access to grassroot level to engage community
members in development activities. The groups play valuable role by sensitising the local
population in pollution issues and engaging in pollution management projects and programmes.
Pressure groups, NGOs and CBOs are considered tertiary actors because thy may influence
authorities attitude and/or help them directly through building capacity for pollution
management, programmes on environmental education and information and indirectly be having
influence on public opinion and the media. However, in the case of acting on primary actors they
are considered as secondary actors.
The problem identified with pressure groups, NGOs and CBOs working in the field of pollution
in Tema is they focus on controlling pollution instead of identifying the source of pollution and
taking a preventive approach. Also when serous demands about pollution about pollution issues
are raised they do not get to the top of the political agenda for decision makers to take action on
the issue. In Tema and at the national level priorities are given to other issues and environmental
issues are normally secondary or not priority.
There is the need to find mechanisms to change the attitudes of authorities so that they include
environmental issues into the political agenda with the help of Pressure groups, NGOs and
CBOs. The task should be to convince the political authorities that pollution
issues are
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important, affects lots of people; causes serious damage, need urgent attention and can be solved
with the help of political measures. Possible tools that could be used are environmental value
identification tools and
environmental education and communication to demand from
authorities, communities and industries a better attitude toward pollution issues.
Research and Academic Institutions as Tertiary Actors
We consider research institutions as potential actors with active participation towards the
solution of pollution problems because they have professionals from almost all the disciplines
that may be needed and also have laboratories and equipment that can be used. Research
Institutions are considered tertiary actors because they play an active role in the formulation and
definition of policies and strategies for the government. For instance, the Science and
Technology Policy Research Institute of Council for Scientific and Industrial Research advice
the ministry of science and Environmental on science and technology policy issues.
Research Institutions working in or have the potential to work in Tema have not done enough to
management pollution in the area. This is due to the fact that, there is a general weakness in the
public administration system especially the environmental sector. The result of this is the
inadequate co-ordination among the various research institutions. This is further reflected in the
lack of a well document strategy for pollution management. For example the water research
institute of the Council for Scientific and Industrial Research is responsible to carry our research
in water pollution while the Zoology Department of the University of Ghana is responsible to
carry out research on the effect of pollution on wildlife. However, there is no coordination
between the two institutions about sharing of information about work done and/or exploring the
possibility to work together on a pollution problem that require their input.
Possible policy tools that could be used to do something about the situation is to build financial,
and institutional capacity in research institutions and also explore the possibility of using
decision supports tools.
7.5 Tema case study: Opportunity discovery and realization
Attempt is made in this section to identify the opportunities that exist in Tema, which could be
explored to deal with pollution issues. Interviews were organised with actors and focus group
discussion held with key experts to
The opportunities identified here are from both my point of view and that of the actors.
7.5.1 Opportunities arising from concepts
The normative observer and the actor both identified the following opportunities from concepts
related to environmental management that can be applied in Tema by industries to deal with the
pollution of the Chemu lagoon area:
 Tema is the main industry city of Ghana. It has different types of industries ranging from
small scale to large scale. Tema has the potential for an industrial park as a way to link
industries together and close the material loop that exist so that the waste of one industry
is used as the resource of another industry
 Resource flow analysis
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The presence of industries in Tema provides an opportunity for the industries to improve
industrial processes and reduce raw material and energy used and waste generation in
production processes. Improve production processes through improvement in product design
to use less and sustainable resources.
Improvement production processes by using technology and services from developed countries
and local that reduce wastage in the production chain
Tema is one of the cities in Ghana that has relatively developed road networks and
drainage system. Despite the fact that these drainage systems are not well maintained,
their presence provide the opportunity for better disposal of wastewater and sold waste.
The presence of international companies in the study area gives it the opportunity for the
transfer of technology within companies and from companies outside areas. This
opportunity provides the introduction of new production processes, which turn to use
resources wisely.
The industries have wastewater treatment plant
There is the opportunity to raise environmental awareness among industries in Tema
through capacity building or environmental educational programmes. This could be done
with authorities taking an environmentally friendly broad base approach to industrial
growth. This has the potential to contribute to the national economy and create more
employment opportunities.
There is also the opportunity to influence positively pollution issues. Most of the
industries in Tema have branches in developed countries. There is the potential for
branches to share environmental experiences and experts with their counterparts in Tema
to help deal with pollution issues.
Employing process improvement and product development policy tools can help realize the
industrial opportunities that exist in Tema. Other possible policy tools that can be used are
Cleaner Production, Environmental Management Systems and Environmental Reporting and
Resource follow Analysis
7.5.2 Opportunities arsing from problem analysis
The institutional system in Tema is decentralised. The Tema Municipal Assembly is the
administrative head offering the opportunity for the adoption of local policies and legislations.
Tema Municipal Assembly is mandated to implement local pollution management plans in the
municipality and develop local programmes that will help manage pollution problems.
Currently, the decision making process in organisations in Tema considers other stakeholders
like the community, private sector and non-governmental organisation. Even though this process
is not very effective there is the potential for it to significantly contribute to sharing and
exchange of pollution related information among actors with the aim to improving the potential
of joint learning and innovation.
This will make actors focus on performance and be in a position of providing pollution
management opportunities in their own practices. Networking among different organisations,
businesses and departments in order to share information about pollution management is a great
opportunity that exists in the study area. Potential policy tools that would help identify
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organisational opportunities in Tema include: organisational innovation and networking and
institutional analysis. The presence of other institutions such the GEPA, Social Welfare
Department and Municipal Economic Planning Departments at the Municipal level could
provide the opportunity for carrying pollution management goals.
Tema is a relatively well developed and a planned city with the potential to develop a very
effective wastewater and solid waste management system. Because of the infrastructure
development nature and availability of social amenities in Tema, professionals do love to work
in the city. This has attracted professionals from all disciplines who are prepared to work or stay
in the city or both.
From the problem analysis carried out in section, the actors identified to be involved in the
pollution problem of the Chemu lagoon operate from international to local levels to form a
network. the following windows of opportunities for positive change within this network that
the actors’ institutional arrangements present are presented in table 7.1
ACTORS
OPPORTUNITIES FOR SOLUTION
Improve upon their institutional arrangement as take advantage of the
industries in the environ to manage the pollution problem in the lagoon.
Here, there is the potential for industries
to develop
effective
environmental management systems to deal with environmental problems
Organise forum to protect against the pollution of the lagoon by industries
Tema Community
which
Form a monitoring team to monitor the activities and pollutant release by
industries in the environs of Chemu lagoon.
Pressure
groups Educate
(NGOs, CBOs etc.)
EPA could develop policies that would bring actors polluting the lagoon to
bear the environmental impact of their activities. Some of these policies are
imposing tax on actors that pollute the lagoon so that they are encouraged to
EPA
undertake environmentally sound production processes.
Actions such as removal of subsidies on unsustainable activities, regulations
to promote energy efficiency, investment incentives to encourage ecoefficiency, adjustment measures for sensitive sectors (e.g. energy), and
information campaigns should be undertaken too realize opportunities.
Develop municipal level legislations and policies to stimulate pollution
management and control of the lagoon aimed at environmental and
economic benefit of the lagoon
Tema Municipal
Take steps to acquire assistance from the government and donor agencies
Assembly
to undertake restoration of the lagoon to that people who depend on the
lagoon for their source livelihood and industries that uses it as their sink
Adopt new national policy statement and approaches that are geared
towards the promotion of civil society and traditional institutions in
environmental management
Industries
Research
institutions
Carry out research into the physical and social causes of the pollution
problem of the Chemu Lagoon and also propose innovative ways of
dealing with the problem.
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Table 7.5 : Actors and opportunities available for the development of solutions
7.5.3 Creative opportunities in Tema
Good environment for learning because of the presence of different industries and institutions
from different parts of the world.
There are a lot of untapped potential of women’s in the study. Some them are the utilisation of
women’s group in decision making regarding pollution problems. This would get women wellinvolved and informed about pollution issues in Tema. Thus the potential for women to organise
themselves to deal with pollution issues is readily available but not fully exploited. Also the
potential of women to response to growing awareness of pollution problems is exist in Tema.
An opportunity, which could avert this situation, is the establishment of an industrial park off the
Tema city. This would reduce the number of people moving into Tema and there by reduce
pollution.
There is an office of Ghana Association of Civil Mediators and Arbitrators in Tema, which is
established mainly to carry out alternative dispute resolution in Tema. This office has the
potential to deal with community based pollution problems and also supplement the judiciary
system that exists in Tema in dealing with pollution issues.
There is also the potential for positive institutional changes towards the promoting of traditional
institutions in pollution management. Tema has a community of elders and the chieftaincy
institution could also be exploited to play a role in the pollution problems. Eventhough the Ga
tribe are the traditional custodians of Tema, the city has diverse culture of people coming both in
within Ghana and out side Ghana.
7.5.4 Context of discovery
Analysis of Tema revealed the following about the context:
 the self-efficacy of the actors is low even though some have the ability to undertake
activities that would realise opportunities available. The main problem identified by the
actors and the normative observer is the environmental training of the actors are not
practical oriented and they find it difficult to translate theoretical understanding to
practical solutions. Hey also lack the ability and imitative to
 Actors should from the their activities and that of other actors. The insight should geared
towards identifying or adopting ways to improve their production processes and
 The actors are not aware the other activities taking place in the context. The focus is on
their activities and is not aware of the pool of information and activities around them.
They do not see data suggesting the opportunity, and the interpretation of the situations
are often short term and unsustainable.
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All the opportunities identified in Tema were put into social and ecological context and
considering key issues such as the environmental media, their feasibility, benefits,
consequences, cost and impact and risk associated with the use of policy tools.
Taking into account the economic, political and legal situation in Ghana and
supplemented with interviews conducted in Tema and discussions held with experts and
environmental decision making people revealed that, it is high time industries in Tema
introduce process improvement and product development techniques to reduce the
amount of resource waste generated.
With traditional accounting system already existing in organisations and institutions in
Tema, actor should develop an environmental accounting and management systems
based on the strength of their accounting and environmental information data. This will
provide the opportunity to utilise local knowledge and resources in a sustainable way.
Actors should develop a passion or obsession for the development and identification of
opportunities and always be ready to formulate new ideas to pollution problems
Based on interviews conducted with the various actors, a consensus was reached as to
what is and would be the implementable opportunity-oriented tools in relation to the
situation at hand.
Taking the above issues into consideration and filtering the opportunities, the following tools are
identified to help realise the implementable opportunities that exist in Tema to solve the
pollution problem faced by the Chemu lagoon:
 Industries should apply the Extended Producer Responsibility, Cleaner Production
concepts as way reduce and manage the pollution that result from their activities
 Actors should use Life Cycle Assessment, Environmental Management System and
Environmental Auditing, Conflict Resolution Management and environmental accounting
as tools to help improve their environmental performance and management.
 Possible tools that could be used to unlash these untapped opportunities include: gender
analysis which can be used to determine the under utilised innovative capacity of women,
conflict resolution and environmental education based on promoting positive religious
taboos and cultural tradition and also education about pollution management in
anticipation of pollution problems.
7.6 Tema case study: Design of solution
In this section I proposed solutions, evaluate the solutions and select the most sustainable one
for the pollution of the Chemu lagoon. Actor that are involved in the implementation of the
selected solution are identified and roles and responsibilities assigned.
7.6.1 Proposed actions for solutions
Putting the chosen problems and opportunities of Tema into socio-economic and ecological
context a consensus among all the consulted actors as to what is and would be pollution problem
and opportunity in relation to the situation at Tema was reached. The following were identified
by actors (i) Ministries (ii) Tema Municipal Assembly and related public institutions, (iii)
Industries (iv) Civil society (v) Environmental Protection Agency) and the normative observer
as actions that should undertake to deal with the pollution of the Chemu lagoon pollution.
Ministries
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Ministries of Environment and Science in consultation with the Ministry of Local government
and Rural Government should review the current national Environmental Action Plan. In doing
this, a participatory approach should be employed. They should create co-ordination and policy
coherence between sectors and departments under their jurisdiction. The ministries should also
define concrete strategies to deal with the pollution problem in Tema. Necessary steps should be
taken to introduce polices at improving production processes and better product development.
The Ministries of Environment and Science should carry out strategic planning at sectoral as well
as national levels and provide pollution management expert as well as train staff of other
ministries.
The research institutions of the Council for Science and Industrial in cooperation with national
and international institutions should carry our research on all industries in Tema to provide a
technical and scientific information base. Research into pollution issues should focus on the
links between water, air, noise and soil pollution as well as solid waste including sociogeographical analysis. Thus, they should carry out research to have an update and accurate data
about pollution issues. Possible tools that can be used are pollution modelling programmes and
the monitoring of air, water and soil quality.
Tema Municipal Assembly
Tema Municipal Assembly should develop municipal level pollution management policy and
also create co-ordination and policy coherence between sectors and departments. This would
make the development of local environmental management plans elaborated with objectives, task
and means clearly defined. Tema Municipal Assembly should collaborate with GEPA office in
Tema to develop concrete action plans using the National Environmental Policy as guidelines.
They should provide feedback to make sure that the Ministry of Science and Environment
develop appropriate and practical national policies. Tema Municipal Assembly should also
develop municipal level legislative framework and regulations, quality standards for pollution
and enforcement mechanism based on national guidelines.
Tema Municipal Assembly, GEPA office in Tema should be enabled to implement pollution
management policies and tools through the provision financial and human capital. The Municipal
Chief Executive who is the political head should be involve and also have support for the
development of an implementation plan. The structure, culture and attitude of Tema Municipal
Assembly should be identified, understood and responsibilities assigned to secure full
participation of actors especially the industries and community.
Develop pollution database, which should be updated continuously and consistently maintained.
This would provide the necessary information required to provide analytical understanding of the
pollution problems and the opportunities that are present Tema. Environmental Department of
Tema Municipal Assembly should collaborate with GEPA to develop and maintain a database of
pollution problems for Tema. In addition industrial establishments in Tema should be made to
develop and maintain a database of pollution issues of their activities and the necessary measures
taken to deal with the pollution problem should be clearly spelled out.
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integrate spatial planning and within the pollution a management goal. With the city divided into
communities, the pollution management gaol for each community should be considered
separately at the local level but however, falls under the general pollution management goal of
the municipality. The municipal should also mainstream environment issues into their
development planning and programmes. This would help tackle pollution issues from all angles
of sustainable development.
Commission for Pollution Management
The Pollution Management Commission should identify the institutions and actors that will be
involved in the preparation and implementation of the pollution management plan. The
Commission should also define clear and long-term policies about how to solve the identified
pollution issue and also identify appropriate pollution management tools for every stage of the
strategy developed. The content of all pollution management plans; strategies and assigned
responsibilities should be made clear to all the actors and institutions involved so that there is no
overlap in responsibilities.
It is proposed that a Commission for Pollution Management should be created for Tema with the
following main objectives:
 To develop and implement a general strategy for pollution management in Tema and also
assign responsibility to actors and stakeholders;
 To co-ordinate activities, projects or programmes of actors towards common objectives,
especially those with responsibility for environmental management which should be
complementary;
 To ensure appropriate implementation of the strategy, including continuous assessment of
each actor as well ass seeking solutions to possible barriers;
 To establish and/or strengthen links and agreements with other national and international
institutions through capacity building programmes;
 To play a motivating role for actors and also reduce political influences based on concrete
objectives and goals to be achieved by actors.
Members of the commission should include representatives of: Ministry of Science and
Environment, Tema Municipal Assembly, Tema community, NGOs and CBOs working in
Tema, research and academic institutions, Industry and the Environmental Protection Agency.
The representatives would act as source of information to and from the commission. Figure 6.6
shows the institutional links of the involved actors in pollution management in Tema may have
better coordination and efficiency.
Ministries of Science and Environment, Local Government and Rural Development, Trade and Industry
EPA Tema Office
Tema Municipal Assembly
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Proposed Tema Municipal Commission for Pollution Management
Civil Society, NGOs, CBOs and
community members
Industry
Figure 7.5 Showing a pollution management strategies for Tema.
Industry
The industrial sector should be involved in the formulation of both national and municipal level
policies. Industries, which are the major cause of pollution in the area, should develop pollution
database and provide environmental experts. The development of the data should be based and
reflected in the understanding of both senior and lower staff. Company based voluntary pollution
management initiatives both for external and internal pollution problems should be promoted and
supported. The main objective here should be to implement capacity-building programmes for
the environment and also implements environmental education programmes.
Civic Society, NGOs and CBOs
The residents of Tema should initiate and implement community-based pollution management
activities. Where possible NGOs and CBOs should conduct community level environmental
research and monitoring activities for less complex pollution problems such as solid waste and
sanitation. This would provide early warning signals and draw the attention of Tema Municipal
Assembly and GEPA to pollution problems within the municipality. Concerned citizens should
also carry out independent community level environmental research and monitoring of industries
and development projects in the municipality. This would act as a check on the environmental of
industries and TMA.
CBOs and NGOs working in Tema should educate the community members about pollution
problems, the opportunities that they have to deal with pollution and the benefits of having a
pollution free environment. They should also assist in the implementation of community level
pollution management activities.
Actors should builds onto and strengthens social actions and available social forces and
economic initiatives of civil society and the private sector. Actors should focus on the adaptation
of tools and options to rapid changes in environmental quality
Opinion leaders, the Member of Parliament and assembly members of the various communities
within Tema should get pollution management issues on the political agenda so that the
necessary action is taken to solve the problem.
A Monitoring committee from the commission should be formed and tasked to monitor the
outcomes of the municipal pollution management targets and strategy developed. Along side, all
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actors should monitor their pollution management activities to see whether they have been well
implemented and results have been achieved. If favourable results in terms of solving the defined
pollution problem are not achieved, adjustments are made to improve the efficiency of the
implementation plan. .
Monitoring and evaluation of pollution management strategies should be carried out on all
pollution management targets. Local realistic and sustainable indicators should be developed the
Commission to measures environmental and socio-economic condition of individuals and
organisations in Tema. Monitoring and evaluating report should be made available to actors and
presented in way that they all understand. Pollution monitoring and evaluation reports should be
presented in the print media for the possible reaction from public and civil society
The involvement of the different institutions in pollution management largely depends on the
pollution management goal. Figure 5.3 presents the proposed pollution management function of
the four categories of stakeholders.
Institution
Ministries
EPA
Tema
Municipal
Industry
Proposed pollution management function
 Carrying out strategic planning at sectoral and
national levels
 Review the current national Environmental
Action Plan
Create co-ordination and policy coherence
between sectors and regions.
 Providing pollution expert and training for the
other sectors
Introduce pollution prevention policies
Possible tools

Strategic
environmental
assessment
 Strategic
environmental
assessment
 Environmental regulations
 Environmental Reporting
 Market-based tools
 Environmental education
 Environmental auditing
Develop municipal level pollution management  Environmental auditing
policy and also create co-ordination and policy  Environmental education
coherence between sectors and regions.

Geographic
information
 Develop municipal level legislative framework, system
regulations and quality standards for pollution.
 Environmental reporting
Develop municipal level prevention and
enforcement mechanism based on national
guidelines.
 Carrying out municipal planning at project and
community levels
Industries should develop pollution database and  Environmental management
carry pollution related research
systems
and provide environmental expertise and also  Environmental reporting
develop environmentally sound technologies
 Environmental accounting
 Co-management, co-decision making, carries  Cleaner production
out monitoring activities and environmental Extended
Producer
auditing as well as implement other pollution Responsibility
management activities.
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Civil
society
 CBOs and NGOs should educate the community  Environmental education
about pollution problems and the opportunities  Environmental Conflict
that they have to deal with pollution.
Resolution
 Opinion leaders and assembly members should  Environmental communication
get pollution management issues on the political
agenda.
 The communities should assist in the
implementation of community level pollution
management activities
 Carry out community level environmental
research and monitoring of industries and
development projects in the municipality
Figure 7.6 Showing proposed pollution management functions to different institutions
7.6.2 Principles to deal with special circumstances: an illustrative case.
In section 5.1 I proposed principles to deal with special circumstances in developing countries. In
this section, I use the principles as benchmark to evaluate existing pollution management
strategies in Tema, Ghana.
Resource Valorization
Ghana is not an exception of developing countries experiencing brain drain. The quest for
foreign education was identified as one of the major root causes of brain drain in Ghana. The
government send students to developed countries for training; most of who do not return and the
few that return becomes discontented with the system at home and thus become ineffective in
their work.
Another issue is the movement of scientists and engineers from government institutions to
private companies due to better remunerations. A survey carried out from June to December
2002, revealed that the Council for Scientific and Industrial Research, the Governments brain
house lost 80 scientists to private companies. The matter is of great concern to institutions in the
country in terms of education and research activities since the problem affects all institutions in
the country and needs to be addressed immediately.
A survey of the universities in Ghana shows that they have been slow in introducing pollution
management courses into their curricula. In situations where it has been done, most institutions
offer courses with curricula patterned after those of the industrialized countries and do not
respond to local needs. For instance, the course structure of the master programs in
environmental science and engineering at the University of Ghana and Kwame Nkrumah
University of Science and Technology respectively are not towards local pollution problems.
The government is currently recognizing the role of civil society and the private sector in
pollution management. Communities, NGOs and traditional rulers as players in most decisionmaking related to the environment. They are now key stakeholders in decision-making and
implementation of programmes and projects in the country. However, a critical area that is yet to
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be explored fully in the country is the use of indigenous technologies and practices to manage
pollution problems.
Human resource management in the Ghanaian civil service is based on a number of
administrative rules and regulations that have served government since independence. This
tactical management approach, entangled with procedures that serve public authorities for shortterm decisions has not been very effective. In this respect, the Government of Ghana needs to
promote a human resource management strategy that replaces the tactical approach that is
currently dominant with a strategic management approach. The strategic management approach
will lay the necessary foundation for developing a dynamic working environment for highly
trained professionals. Such an approach also has the potential promote a higher recognition and
value to national expertise as compared to foreign expertise. In this context, the government
should promote and support the demand for competitive pay for Ghanaian nationals that are
participating environmental related development project financed international agencies.
The government has also changed the educational system in the country by introducing the
Senior Secondary School system to replace the General Certificate Education (GCE) system.
This system has helped to change the focus of science and technology especially environmental
education from tertiary level to reach basic and secondary levels. The district assemblies have
provided support to the provision of infrastructure for science and technology education.
Currently environmental studies are taught as a subject in both basic and secondary schools in
the country. Also, another area that the SSS system places a lot of emphasis is practical and
applied oriented approach of science education. Steps are currently been taken by the
government to improve the knowledge base of the country. The use of computers is currently
been introduced in basic and secondary schools in the country. Employees of environmental
related institutions are been trained on how to use computers. Computers are also used for audiovisual learning purposes at the African Virtual University on the University of Ghana campus,
and at the Distance Learning Centre at Ghana Institute of Management and Public
Administration, Accra. The government has also established a national ICT centre to co-ordinate
ICT activities and at the same time taking steps to connect all schools in the country and research
institutions involved in pollution management in the country. It is believed this will provide the
foundation for the transition towards a knowledge-based economy.
GEPA institutional structure is similar to western agencies making it not difficult for it to
recognize the potentials of traditional institutions in pollution management. Equipment for
measuring pollution parameters at GEPA are inadequate and the few that they have are not in
good condition. For instance, this study has revealed that GEPA has only one noise and air
measuring equipment. Human resource at GEPA even though multidisciplinary lack expertise in
risk assessment and is made up of only 120 professionals (1.7% with PhD, 55.8% with Masters
degree and 42.5% with Bachelor degree). This human resource is inadequate looking at the task
GEPA has to undertake. The inadequate human resource at institutions is also attributed to the
bureaucracy involved in recruiting professionals. Fro example, GEPA has to seek approval from
the ministry of finance before recruiting new professionals and this often take a long time there
by frustrating personnel who later go in for other jobs.
Since HIV/AIDS was reported in Ghana in 1986, steps are been taken to educate the public about
the menace. However, recent level of awareness of HIV/AIDS is reported to high and accounted
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for over 4% of deaths reported (National AIDS/STD Control programme, 1999). State
intervention has focus on transmission through heterosexual contact, mother-to-child and
infection through blood transfusion even though some weaknesses have been identified
(Kwankye 2000). Despite the fact that there is a National AIDS Control Programme centre at the
Ministry of Health, the government has set up a Commission HIV/AIDS which is the Apex body
responsible to provide vision and strategic direction of the nation’s policy on HIV/AIDS and set
priority for the national AIDS agenda with the help of NGOs. Currently a draft national policy
aimed to use multiple strategies to limit the spread of the disease while making sure that the
rights; privileges and responsibilities of the persons living with HIV/AIDS are upheld, as
required by the Constitution on AIDS is under review (UNDP& ISSER, 2001).
With financial resources, the Government has always relied on foreign donors to finance
pollution management. Government budget allocation to institutions responsible for environment
has been small. For instance, 2002 national budget allocation for the ministry of science and
Environment was 9% (MoF,2002.). Currently the government is developing a policy framework
that will help it increase its internal revenue generation. The government has put in place a
Domestic Content Bill to make companies exporting their product to return money back into the
country to boast the economy (MoF, 2003). Another major step taken to increase financial
resources in the country is government’s effort to create wealth in the country. A presidential
committee has been set up to help people help people value property in financial terms and use
as a collateral for funds. The government has also tightened its taxes system by widening its tax
net to cover sectors such, as landlords who were formally not pay taxes. With all these measures
been taken, the institutional structure in Ghana is not transparent and also does not ensure public
accountability.
Sectoral synergy
The National Science and Technology Policy (NS&T) of Ghana contain a number of strategic
provisions that imply the importance of promoting sectoral synergy. For instance the NS&T
identify the formulation and implementation of plans, programmes and projects to accelerate the
country’s development and giving due attention to environmental protection. Also the NS&T
provide a framework to create favorable and supportive relations between sectors and also
identify a number of strategic elements under each sectoral programme. Some of the strategic
elements such as strengthening networks, collaborations and links with other sectors has the
potential to promote different levels of synergies between some of the sectors.
The policy also draws attention to build a national capacity for vocational and technical skills
and also accelerate efforts to increase environmental scientists and engineers through science
education reforms.
The national science and technology policy identified agriculture, environment and natural
resources as priority sectors in relation to pollution management. The idea is to encourage and
support science and technology intervention activities that promote sustainable environmental
management and also incorporate environmental policies and regulations to cover all industrial
activities. On the other hand, the Environmental Action Plan of Ghana identifies environmental
concerns of the country under the Mining, Industry and Hazardous Chemicals: Marine and
271
Coastal Ecosystem, Human Settlement; land management and Water management. Policies have
been developed for each sub sector by their mother ministry. The polices of these sector rightly
emphasis the importance of identification, improvement and promotion of environmentally
friendly technologies. However, they do not have in place concrete mechanisms that will create
synergy between them.
NS&T and the sectoral policies have strategies that are cross-sectoral and can be utilized as a
basis to foster sectoral synergies between some of the major strategic sectors. Such an effect can
be more strengthened if the Ministry of Science and Environment, which is the parent institution
responsible for pollution problems, takes the necessary step to establish a center that will
facilitate the implementation of provisions that promote sectoral synergy. A critical step in this
direction will be the establishment of a presidential commission on science and technology by
the Government of Ghana to promote the strategic linkage
between the various sectors
responsible for pollution management in the country.
GEPA has four divisions with twelve departments that work together on a daily basis. Most of
the divisions and departments work with other departments out side the GEPA. For example, the
environmental law department of GEPA works with the national Attorney-General’s department
to prosecute industries which fail to comply with environmental regulations and directives from
GEPA. Some pollution management activities are fully carried outside GEPA. As shown in
figure 6.2, there are other institutions such as the Council for Scientific and Industrial Research
and Ghana Standards Boards which are involved in pollution management. There is currently no
co-ordination between theses institutions and departments. The only networking that exists is an
inter-sectoral committee made of industrial environmental pollution stakeholders the police and
Attorney-General’s department to handle various cases of industrial environmental pollution.
Public-private sector synergy in pollution management leaves much to be desired. The
government is taking steps in promoting sector partnership on pollution management issues. One
of such steps is government has provided favourable environment to especially the private sector,
NGOs and civil society through on going economic transformation in the country to be more
concern about pollution problems. Despite that private sector response to pollution problem is
below the pass work, there has been some improvement in the last years. Private companies are
now developing environment management plans; carry out environment educational programmes
in their companies and also contributing financially to environmental education and research
programmes in the country. NGOs and Civil society are also involved in environmental
education and awareness creation. For example, in 2002, there were 69 functional NGOs
working in the environmental sector and registered with GEPA.
Sustainable policy reform
The environmental policy statement of Ghana was prepared in 1992 and has since not been
updated despite the fact that it contains some key policy elements. The environmental policy as it
is, contains policy elements that imply the importance of mainstreaming socio-ecological aspects
in development programmes. Two cross-sectoral policy components with a mainstreaming effect
in the environmental policy of Ghana are identified. One deals with the importance of
incorporating environmental cost and benefits in development planning process and the other
deals with carrying out Environmental Impact Assessment (EIA) of projects.
272
There are cross-sectoral policies on environmental education, environmental research,
environmental monitoring and information systems that can contribute to mainstreaming effort in
the policy domain. While the policy recognition given to the integration of socio-ecological
factors is encouraging, most of it is still limited to the project development level. Thus, it is
important to expand the scope of environmental mainstreaming effort to macro development
policies through strategic environmental impact assessment. Implementation of national
environmental accounting may provide the basis for facilitating the mainstreaming effort at
macro-level.
The environmental policy of Ghana also contains sectoral policies, which give directions that
may ensure the promotion of sustainable industrial development the country. For instance, the
environmental action plan of Ghana provides policy directions for the control of hazardous
materials and pollution from industrial waste. This sectoral policy emphasizes the importance of
pollution prevention and waste minimization as the primary approach to pollution management.
Even though the environmental policy of Ghana is guided by a preventive approach, the
guidelines for policy and regulation explicitly aim at the promotion of only pollution control and
similar end of pipe measures. To improve the situation, steps are been taken to institute and
adopt a grassroots approach to pollution issues since it has been recognize to play a vital role in
the planning and development of pollution management strategy.
The industrial sector in the country has not fully adopted a proactive approach to pollution
management. Industrial establishments in the country do not pay serious attention to socioecological issues in their development strategy. Industries in Ghana are yet to fully adopt
proactive approach to environmental management. GEPA is currently not using market-based
tools to deal with pollution problems as evident in the assessment of tools in section 6.2.4.
However, it important economic and market based tools are used as continuous incentives to deal
with pollution issues.
The government through GEPA is negotiating with the World Bank and UNIDO to established a
cleaner production centre in the country. The government of Ghana has taken practical steps to
develop a national capacity in the field of cleaner production. For example, a national capacity
building programme on cleaner production was carried and based on the outcome, plans for the
establishment of a National Centre for Cleaner Production in the country is being finalized. The
center will be hosted by GEPA and will be part of the international cleaner production centers
programme, jointly coordinated by the United Nations Industrial Development Organization
(UNIDO) and United Nations Environmental Programme (UNEP). The focus of this project is on
building technical capacity for industries to implement pollution prevention and waste
minimization projects (UNIDO, 1999).
The government of Ghana has adopted an environmental desk approach to mainstream the
environment into government policy. Thus, an environmental desk is established Ministries,
Departments and Agencies to: assist them address environmental concerns, ensure in
coordination of sector activities to guarantee sustainable development and ensure the integration
of national environmental policies in sector policies and programmes. Presently, the government
273
has set up thirty environmental desks in various ministries and department a way to provide
access to environmental information and also provide the public information about initiatives
taken by the various ministries and departments in relation to pollution management (MoF,
2003).
Notwithstanding the fact that Ghana has an environmental policy and regulation, there have been
limited results in managing pollution problems due to the ineffectiveness of the necessary
enforcement mechanism. The aims of the national environmental policy even though clearly
stated, has not been translated into concrete actions, deeds and programmes. Also, the national
environmental policy is not legally binding on the government.
The current approach to pollution issues in Ghana requires a shift of emphasis to more integrated
approach of pollution management. With the view to influencing sustainable pollution
management in the country, the government is considering an eco-industrial development
approach as the major strategy for industrial development. A typical example is the free zone
enclave near Tema, developed by the Ghana Free Zones Board.
Ghana currently do not have a database of the type and quantity of hazardous waste generated
and there is clearly no defined government policy in regards its collection, treatment and
disposal. The government is also developing a policy that facilitate the development of a national
management plan for the disposal of Hazardous waste and the disposal of domestic waste in the
country (UNIDO, 1999).
Principle
Resource
Valorization
Sustainable
Policy Reform
Elements of principle
Ghanaian situation
 Reformation of educational
institutions
 Strategic management
 Government institutions
 Provision of physical infrastructure
Promote expertise and capacity
utilization
 Refocus financial resource
mobilization
 Environmental education is been
introduced in informal sector, schools and
universities
 Environmental awareness programmes
are being initiated
 No effective incentive and recognition
system based on performance
 Working environment and facility not
conducive
 Inadequate financial resources located to
pollution management
Mainstreaming environment into policy
 Low implementation of policy reforms
 Environmental policy is towards
pollution control than prevention
Environmental Impact Assessment is the
main policy tool
Lack of adaptive management and
learning process approach
 Policy mainstreaming of macro
policy tools
Adaptive management approach for
macro policy tools
Proactive management approach for
Sectoral policy tools
Use economic and market-based
tools in Sectoral domain
Promote eco-industrial development
 Take a learning process approach
 Public-private-civil synergy
Private sector involved in pollution
274
Sectoral
synergy
 Recognize complementary role of
actors
 Avoid policy favoritism
 Utilize privatization to develop
partnership with Public, private, civil
sectors
 Tap resources of civil society
Integrate database and management
system
 Strategic linkage based on better
working systems in institutions
management
Low synergy among institutions involved
in pollution management
 Sector policies are formulated separately
and are not linked
 Civil societies and NGOs involved in
pollution management
 No comprehensive database and
management system for pollution.
 No serious networking between units in
institutions
Figure 7.7 showing a summary of the proposed measures illustrated in Ghana.
The perception and attitude of Ghanaians towards environmental issues in the country calls for a
radical change. There is no significant concern for environmental problems especially pollution
problems amongst the people of Ghana. In the face of all of these, current policies do not place a
lot of emphasis on societal transformation as a way to solve environmental problems. For
example, taking an adaptive approach to social activities and economic market conditions and
learning process to help transform negative attitude and perception of Ghanaians.
Based on the overview done on Ghana’s current environmental policy and strategy elements, the
current state of the Ghanaian pollution management strategy with respect to the principles for
pollution management in developing countries proposed in chapter 5 is summarized in table 6.3.
7.7 Lessons learnt
Pollution problems in Tema Municipality are caused by point and non point sources and from the
simplest approach, there would be no problem solving the pollution problem. From the pollution
problem analysis, the use of part of Problem in Context Framework makes it possible to see the
situation point by point taken from a causal chain versus the norms chain. Bearing in mind that
there is lack of information about the current level of pollution in the area however, is there is the
possibility for some basic parameter of pollution given by law would be exceeded
in most
cases.
It is not a simple task to get industries meet acceptable levels of pollution because industries
would not be obliged to carry pollution management measures if it is not been required by the
Environmental Protection Agency. They do not see the economic benefits that will be derived
from undertaking sustainable pollution management measures. Industries do not have the
motivation to have a shift in their attitude towards compliance and voluntary actions. It is
important that environmental policy of Ghana give serious attention to the route to compliance
and not simply the realization of compliance.
This analysis show that pollution problem explanation towards possible solution in the Tema
Municipality is not as simple as it seems. The critical factor that makes solving pollution
problems complicated is to get industries with acceptable levels of pollution. Even if the
industries meet all legal requirements in their project implementation, pollution problem will not
be totally solved. Also the economic factors may not have immediate solution since the
Environmental Protection Agency and Municipals Assembly, which are in charge of pollution,
275
are public institutions, which may not have the necessary financial capacity to implement
pollution management strategies.
The framework is usefully in analyzing the opportunities and problems related to pollution issues
and the design of a pollution management strategy for Tema. Its characteristics allow us to find
possible solution to pollution problems if even it has not occurred. The social causes of the
pollution problems, the analysis of opportunities that exits and the identification of possible tools
for each actor help tackle the situation from different angles towards its solution. However, it is
difficult to identify opportunities in the real world. In certain cases, opportunities identified were
also identified in the problem analysis even though under difference circumstances.
The development of the frameworks makes it possible to identify pollution problems and
opportunities point by point even though it is difficult to identify opportunities. Bearing this
mind and the lack of information and based on the available data, the following were also found
from the study:
 Some of the possible tools for pollution management appear to be feasible from both the
opportunities and problems analysis. This has led to identification of both long-term and
short-term tools that will help transform institutions, industries and people to have
positive attitude to pollution issues and help industries embark on sustainable production
processes.
 The problem analysis part of the cornerstone looked at the actors polluting directly and
the other actors that may influence their attitudes only. In trying to analyze the pollution
problem from a classic cause-effect approach, the possibility to get to the roots of the
problem is low, because it will end at the causes of the problem since other actors will do
something to change the situation without asking why the primary actor caused the
problem.
 In analyzing opportunities and problems from the point of viewers, it is difficult to first
drop my own values and knowledge and trying to be in the place of the actors. This
created the situation where my views do not get close to the reality of the actors but
mislead by my appreciation of the situation
 On the other hand, a problem found as result of the application of the cornerstones is the
level of subjectivity that the methodology implies under the conditions in which the study
was carried out. I try to see the opportunities and problems from the actors view but we
see the same situation in different way. However, it is better to see the opportunities and
problems from the actor’s viewpoint since in the end they will be the ones that really
contribute or not to the solution of pollution issues in Tema.
 In carrying out the physical analysis of the pollution problems in Tema, it was difficult to
quantify the actual production and utilization levels, due to the practical difficulties in
measuring the factors involved in determining the perspective of actors.
The framework can be applied in parts. That is for example the three principles proposed for
dealing with special circumstances can be used to develop a policy framework through which
environmental management can be improved.
I must admit that it is difficult to identify opportunities in the real world. However, efforts should
be made to do that since there is benefit in exploring opportunities. Further research in the area
276
of opportunity discovery and realisation is needed. With the creativity aspect of opportunity
identification, this is difficult to apply because most of the actors are interested in short term
solutions and not experienced in the approaches that will result in this. Tutoring and training in
this aspect is required for effective.
The framework has the potential of identifying major problems in the
SUMMARY
OPiC is the name for Opportunity and Problem in Context Framework. It consist of principles
and task for the management of environmental problems. In the summary, I present how and
why I develop the framework.
This study was carried out to help consider opportunities and problems in the development of
solutions to environmental problems within a sustainable development perspective. My point of
departure is most frameworks for environmental management are geared towards problem
explanation and analysis’s with little or no attention to opportunities that exist in the context
within which the problem is being analysed.
This study was based on the objective of using existing theories, concepts and principles applied
in environmental management to develop a framework that has both an opportunity
(improvement that are no directly linked to the problem) and problem driven approach.
In this book chapter two present the conceptual basis and generating building blocks for the
development of the framework (i.e problem explanation and analysis, opportunity discovery and
realisation and design of solution). I examine monodisciplinary, interdisciplinary approach and
transdisciplinary approaches to environmental management. Systemic theory, evolutionary
theory and causal chain theory as key theories for the development of a framework for pollution
management. I therefore proposed a combine use of this theories and present an insight to how
they can he used in pollution management. The concept of governance is reviewed an it the link
between governance and corruption is explored while the principles of subsidiarity reviewed for
277
potential building blocks. The concept of sustainable development is examined with special
attention the precursors, the varied conceptualization held in the scientific community, natural
capital as a condition for sustainable development and its complementarities and substitutability
in an attempt to be operationalise the concept in pollution management. At the end of this
chapter, I synthesise the various theories, concepts and principle and makes proposals in the form
of building blocks for the development of a sustainable strategy for pollution management
developing countries. The key building block for the development of the framework proposed
are
In chapter 3, I review tools and method for problem explanation and analysis. The tools
reviewed are Problem in Context framework, Environmental Assessment tools, Environmental
Functions, Life Cycle Assessment, Economic Assessment.
I also looked at special
circumstances such as corruption, institutional and physical infrastructure constraints, human
resource constraints, financial resources constraints, socio-cultural resources constraints and
mismatch between sectors that help explain and analyse pollution problems in developing
countries. I was Problem-in-Context since it puts the interaction between people and
environment in their right contact. I use LCA and Economic to broaden the activity component
of PiC. At the end of this I proposed a backbone for pollution problem explanation and analysis
which has the following key points:
 The physical context of the problem should be understood by understanding the
functions of the environment and the capacity of the ecosystem to cope with stress
 Qualitative LCA approach should be applied in analysing the activities that are
undertaken by actors
 Options and motivations as well as underlying factor that make actors to take certain
decisions or actions should be identified and analysed
In chapter 4, I discuss how options identified from analytical tools such as Problem-in-Context
and Life Cycle Assessment and normative concepts such as cleaner production, Industrial
ecology can be used to identify opportunities to solve environmental problems. I also explore
the possibility of using action learning to generate opportunities. I identify action learning as
the pillar for identification of creative opportunities and explain how positive use of knowledge
systems, the concept of creativity, concept of serendipity and the concept of dreams could be
exploited to identify opportunities that will contribute to solve pollution problems. The context
of opportunity is identified as very important in the identification for the opportunities and
propose activities and tools such as environmental management system, environmental
accounting tools that in one way or the other contribute to the identification of opportunities
taking into account their relevance and application in developing countries. I also argue that
human factors, environmental factors, self-efficacy, interpretation frame and critical elements in
the recognition and assessment of opportunities and developed a model to explain opportunity
recognition and evaluation using cognitive factors that affect the perception of opportunities and
their proposed antecedent. At the end of the chapter, I present the backbone for opportunity
identification and discovery which is opportunities arising from problem analysis, concepts and
creativity should be considered in the context they are discovered and filtered to arrive at
implementable opportunities.
278
In chapter 5, I first present two sets of principles. One for the design of solutions and one to deal
with the special circumstances in developing countries identified in chapter 3. S The design
principles are precipitation by victims and actors interest in the result, adaptive management, comanagement approach and balance between context and macro situations. Resource volarization,
sectoral synergy and sectoral policy reform are identified as principles to deal with special
circumstances in developing countries. The use of these principles depends on the context and
the problem. design and evaluation of solution to environmental problems is presented. Marketbased tools, regulatory tools, environmental communication and education and conflict
resolution tools are identified as tools for design of solution. A useful mix of the tools would
help in the development of a well coordinated, focused and sequential solution to pollution
problems. The design process is explained and propose a two tier approach that involves an
equity test and efficiency testis proposed to evaluate designed solution before implementation.
National, municipal/district, private sector and civil society are identified as actors i in the design
process and their management functions explained. State of the environment report,
environmental audit and adaptive approach are identified as key approaches to effective
evaluation and monitoring of implemented solution.
In chapter 6, I present a overview of the framework which is made up of the insights generated
from chapters 2 to 5. Here present the framework in the form of task to deal with environmental
management. The Chapter ends with the presentation of different ways the framework can be
applied and proposed areas that require further research.
This chapter present a study carried out in Tema, Ghana to test the OPiC framework. The section
starts with the socio-economic background of Ghana and the current development strategies
adopted. The section also an overview of the pollution problems in Ghana and examines the
national environmental policy and assess pollution management tools used in Ghana. Pollution
problem analysis and explanation of Tema is undertaken and pollution of the Chemu lagoon is
identified as a problem and root cause of the pollution problem and the actors involves are also
identified and explained. Industrial ecology is identify identified as opportunities in Tema that
can be realised to deal with the pollution problem. The chapter ends with the development of a
solution to pollution in Chemu Lagoon in Tema. The solution identified … a the key actors and
management functions and roles assigned. It was learnt from the case study that all aspect of the
framework can not be applied at the same time or need not be applied. What is most important is
designing a solution to solve the problem under consideration.
279
ABOUT THE AUTHOR
David Tsetse had his General Certificate of Education Ordinary Level in 1989 and Advance
Level in 1991 at Dormaa Secondary School. He studied Geology at the University of Ghana and
graduated with a BSc(Honours) in 1996. From 1996 to 1998 he worked as a project Geologist
with Johannesburg Consolidated Investment, an exploration company in Ghana and was
responsible for gold exploration activities in the Prestea areas of the Greenstone belt in Ghana.
In 1998 he started a MSc Environmental Engineering degree programme at the Technical
University of Denmark and graduated in 2000. From 2000 to 2002 he worked as a consultant
with now Santa Consult Limited, an environmental engineering and management firm with
branches in Ghana and Denmark. During this time he was involved in carrying out a number of
environmental impact assessments of road, terminal and interchange construction projects
funded by the government of Ghana and multi-lateral donor agencies, ( ) implemented by the
Department of Urban Road and Ghana Highway Authority.
He has also been environmental consultant to Shell Ghana Limited, Sahara Energy Limited and
Total Ghana Limited in the areas of soil and groundwater investigation, environmental reporting,
decommissioning of installations and environmental impact assessment and management.
From 2002 to 2004 he worked as Environmental Research Scientist at the Science and
Technology Policy Research Institute of the Council for Scientific and Industrial Research,
Accra, Ghana. Here, he was involved in a number of national and international policy analysis
and providing inputs for policy formulation in the environmental and industrial sectors.
In October 2004 he was contracted by Catholic Agency for Overseas Develop (CAFOD) as an
Environmental Health Engineer and seconded to the ACT/Caritas Darfur Emergency Response
Programme in Sudan. Here, Dave was involved in assessment, design and implementation of
water and sanitation systems for over 250,000 internally displaced people in South and West
Darfur, Sudan.
He still works at Science and Technology Policy Research Institute of the Council for Scientific
and Industrial Research, Accra, Ghana as Environmental Research Scientist/consultant and is
involved in advising the government institutions and private companies on policy issues related
to environmental planning and management.
Dave is happily married to …. and blessed with four boys.
280
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