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G E T T I N G TO G R EEN
A Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness
71608
THE WORLD
BANK GROUP
GE T TING TO GREEN
A Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness
The Pollution Management Sourcebook is intended to be a living document.
Please check the website: www.worldbank.org/environment/pomasourcebook
for the most recent version.
THE WORLD
BANK GROUP
A N D
P E R M I S S I O N S
The material in this publication is copyrighted. Copying and/or transmitting portions or all of this work without permission may be a
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Cover design: Jim Cantrell
Cover images courtesy of: The World Bank Photo Library
Contents
Acknowledgments
Executive Summary
Part I Users Guide
v
1
5
Introduction
5
Objective and Audience
6
Organization of the PoMa Sourcebook
Scope of This Sourcebook
6
13
15
25
27
20
iii
Getting to Green
iv
230
2.4 Judiciary
Role of Judiciary in Pollution Management
2.4.1
242
258
268
278
Acknowledgments
Getting to Green
vi
Executive Summary
Getting to Green
1.1 Introduction
This pollution management (PoMa) sourcebook is intended to provide users with current information on pollution
management, including available policy tools for pollution
prevention and resource efficiency. Part I, the Users Guide,
explains how these tools can be used to manage pollution
and what the advantages and limitations are for different
stakeholders in following such an approach. It makes the
case that positive outcomes will come more quickly if
different stakeholders each apply their own policy tools
towards solving a common pollution problem (even if it is
for very different reasons). These outcomes are also more
balanced with respect to both improved competitiveness
and pollution management.
The PoMa sourcebook builds upon and broadens the
scope of The Pollution Prevention and Abatement Handbook: Towards Cleaner Production (PPAH), published in
1998 by the World Bank Group. At that time, the Banks
approach to pollution had begun to shift away from pollution and waste collection and treatment, and toward a
more holistic approach based on environmental management. As a result, the PPAH emphasized the role of an
environmental agency in setting and enforcing standards
for environmental management1.
1. The PPAH consisted of three parts. Part I provided an overview of pollution management and a set of key policy lessons. Part II focused on policy
implementation, particularly in air and water quality management and
industrial pollution management, and examined basic principles, priority-
setting, environmental funds, and global and transboundary issues. Part III
focused principally on specific good practice guidance regarding acceptable emissions levels and pollutant control technologies for thirty-nine
individual industry sectors.
Getting to Green
Getting to Green
10
http://www.unep.org/padelia/publications/Jud.Dec.Nat.pre.pdf.
Three
cases from Pakistan are presented in this volume, all dating from 1994, the
first of which was Shehla Zia and others vs. WAPDA.
10. During this period, the International Finance Corporation (IFC) has
experienced a sea change in environmental policy, with the sustainability
agenda shifting to become a central pillar of IFCs work in 2000. This is
further reflected in IFCs development and implementation of a new Policy on Social and Environmental Sustainability and Related Performance
Standards in 2006, as well as on the portfolio front. For those performance
standards, see: http://www.ifc.org/ifcext/enviro.nsf/AttachmentsByTitle/
pol_PerformanceStandards2006_full/$FILE/IFC+Performance+Standards.
pdf. As these are dynamic processes, the new versions of the performance
standards are due to become effective January 2012 with updated Equator Principles to follow.
11
The respective goals and challenges of the different stakeholders in this pollution management system are summarized in table 1.
As illustrated in table 1, different stakeholders can have
very different incentives for managing pollution. These
incentives range from maximizing public welfare from a
government standpoint to improving competitiveness and
securing markets for a private sector enterprise, to minimizing environmental risks in a portfolio for a financial
Schematic
Diagram
of a Pollution
Management
System
Figure
1. Schematic
Diagram
of a Pollution
Management
System
Between
government and
industry
relationship not
solely dened by
regulation. In
principle what is
being advocated is
that the
relationship should
be broader e.g.,
regulation,
incentives,
technology
development and
use, etc.
Enterprise/Industry
Pollution
Management
Government
Civil Society
Stakeholder
relations not solely
dened by
pollution
management
Relation between
two stakeholders
re pollution
management
dened by overlap
Points of common
interest re pollution
management for all
stakeholders. In
principle what is being
advocated is that we
should aim to maximize
the size of the box of
overlapping interests
(even if motives are
dierent)
13
Getting to Green
Stakeholder
All Stakeholders
Government
Private Sector
Financial Institutions
and Investors
Judiciary
opportunities for improving energy efficiency and opportunities for switching to more energy efficient machinery.
The timing related to when benefits accrue is also important (the Users Guide returns to this point in the next
section). In the example above, for the individual private
enterprise, there is a first movers advantage, since eventually all their competitors will also shift to the more energy
efficient equipment. This effect could be even more pronounced for a large company that puts an EMS in place
voluntarily, in order to respond to government enacting
and actively enforcing environmental standards. It also
facilitates their company to move towards compliance.
The financial stakes to align incentives for a private enterprise, however, are somewhat higher in the latter case,
as the consequences of non-compliance are a potential
shutdown of the entire company, compared with losing
smaller amounts of money to poor efficiency and hence
affecting competitiveness over a longer period.
The two examples above may suggest that it is only one
stakeholder, namely the government, who takes the
primary role in putting in place environmental management tools. While this is true in most countries, this is
not always the case. Often large companies, particularly multinational companies, have taken on the role of
encouraging the use of pollution management tools by
the government, to develop a more equal playing field
within which they can operate. There are examples of
this with respect to liability legislation in Eastern Europe.
Multinational companies, conscious of their environmental risks and subsequent effects on the potential market,
have also demanded higher standards from their smaller
suppliers. These companies have sometimes worked with
governments to ensure that their tool-use and implementation align with their goals. Civil society has also been the
stakeholder pushing for governments and private sector to
take action in some cases. For example, this is often the
case following environmental disasters.
15
Getting to Green
16
16. A report from Calvert Asset Management Company, Inc. and The Corporate Library found that 65 percent of S&P 100 index firms and nearly
one-fifth of Russell 1000 index firms have a corporate responsibility-related board committee, compared with only four percent of companies in
the Russell 2000 index. Even where board oversight exists, however, companies often appear to view environmental and social issues in philanthropic or marketing terms, rather than as fundamental business risks or
competitive advantages. This report can be found here: http://info.thecorporatelibrary.com/download-free-report-on-board-oversight-of-socialand-environmental-issues/?utm_campaign=UNPRI-press-release&utm_
source=press%20release (accessed on August 23, 2011).
Table 2. Mapping Policy Tools by Stakeholder and in Terms of their Potential to Engage Other
Stakeholders
Government
Tools
for
use
by
Guidance Note
Facilitates
participation among
stakeholders
Allows for
recourse to
justice
Strategic
environmental
assessment (SEA)
Incorporate environmental
considerations, at early stages of
decision making, into policies, plans,
and programs that affect natural
resources
No
Life cycle
assessment
No
No
Targeting legacy
pollution
Yes, if
environmental
liability
legislation is put
in place
Yes, if participatory
approach to land
use planning and
implementation is
chosen
Yes, if law
provides for
recourse to
justice for land
use violation
Industrial estates
No
No
Environmental
licensing
No
Market-based
instruments
No
No
Labeling and
certification
programs
No
No
Green public
procurement
No
No
Environmental
information
disclosure
No
Tools to
encourage raw
material and
resource use,
energy efficiency,
and cleaner
production
Yes, if application
specifically relies on
information dissemination
such as use of
environmental labeling
schemes
No
No
17
Getting to Green
Private Sector
Government
Tools
for
use
by
18
Guidance Note
Facilitates
participation among
stakeholders
Allows for
recourse to
justice
Training and
education
No
Yes, indirectly by
enhancing capacity of
recipients of training
and education
No
Setting priorities
No
Environmental
regulation and
standards,
monitoring,
inspection,
compliance, and
enforcement
Indirectly by
providing
benchmark
(standards) that
should be abided
by
Environmental
impact
assessment
Incorporate environmental
considerations into decision making on
investments and projects
Environmental
management
systems
No
No
Clean production
management
systems
No
No
No
Occupational
health and safety
Yes, if participatory
approach is sought
in design and
implementation of tool
No
Supply chain
management
Yes
No
Stakeholder
engagement
and grievance
mechanisms
Yes
Yes, if participation
among stakeholders is
specifically sought
No
Corporate
environmental
and social
responsibility
(CESR) programs
Yes, if participation
among stakeholders is
specifically sought
No
Financial
Institutions
Tools
for
use
by
Guidance Note
Facilitates
participation among
stakeholders
Allows for
recourse to
justice
Role of financial
intermediaries
in pollution
management:
A risk
management
perspective
No
No
Pollution
management
tools for the
judiciary
Yes
Yes, as direct
objective of the
tool
Public access to
information for an
active citizenry
Yes, indirectly as
Yes, indirectly
important factor in
as a factor in
meaningful participation facilitating access
to justice
Advocacy and
participation in
decisionmaking
for an active
citizenry
No
Ability to
complain and
access to legal
recourse (public
interest litigation
cases) for an
active citizenry
No
Yes, as direct
objective of the
tool
ficient to design tools to enhance access to information,
encourage participation, and allow for recourse to justice.
These tools must also ensure that during implementation,
these aspects are highlighted and encouraged, in order to
realize the tools full benefits.
Getting to Green
For a private firm, the incentives are different, but the final
course of action remains the same, namely engagement
with other stakeholders. The business and environment
literature17 suggests that firm managers might systematically miss profit opportunities
Figure 2. Reinforcement through Multiple Policy Tools by
(for example, opportunities
Different Stakeholders Helps to Facilitate Desired Results
linked with reduced consumpCleaner
tion or reduced use of environproduction
mental resources, or improved
centers
competitive advantage) due to
Regulations and
lack of information-gathering enforcement
Private sector
systems as well as lack of marmanufacturing
Supplier-chain
ket pricing of new performance
criteria, which then leads to
Government
systematic underinvestment.
This same literature shows
Large
that under certain conditions,
Public disclosure
Companies
governments and NGOs can
provide an important stimulus
Credit lines for
Civil
for improvement, for example
energy efficient
Society
by increasing the flow of inforequipment
mation available to managers
to help improve their decisionBanks
making, or by negotiating
mutually beneficial changes in
corporate practice. At the same
time, the emerging literature
In other cases, it has come from self-regulatory institusuggests that environmental performance improvetions, often initiated by the private sector in response to
ments only pay for some firms, or only in certain cases
different stimuli, which have evolved over time to involve
or time frames. Real gains entail a change in the rules of
other stakeholders to act as a check (primarily through
information disclosure) and hence have helped the pollution management system shift to a new equilibrium
17. Berchicci, L., and A. King. 2007. Postcards from the Edge: A Review
towards a green growth pathway.
of the Business and Environment Literature. ERIM Report Series, Reference No. ERS-2007-085-ORG. Available at SSRN: http://ssrn.com/abstract=1088210.
20
18. Ibid.
relying on voluntary approaches. It also shows that changing institutional culture, in this case promoting a culture
of compliance among industry, takes considerable time.
Many governments have also successfully involved communities in the pollution management system to help with
enforcement of environmental standards, and with assuring a check on the private sector, while at the same time
engaging the private sector itself. The PROPER system in
Indonesia (described above) was initially set up on a voluntary, pilot basis in 1995. Today, similar systems, which
rely on using community-friendly coding approaches to
highlight firm performance, are in place in many countries. A recent review by Blackman found that, overall,
polluting plants in the program made significant improvements, thus suggesting that public disclosure schemes
could be an effective strategy to support governments to
enforce environmental standards.20 The literature shows
that there are two underlying theories for the success of
public disclosure schemes. The first suggests that communities and consumers exert pressure for the firms to
clean-up.21The second suggests that plant managers have
more information, thus allowing them to respond better
to cleaning-up pressure.22 Both theories are consistent
with the concept of engaging additional stakeholders in
the pollution management systems (be they communities
or plant managers). Interestingly, a review of Indias Green
Rating project by Powers and others found that plants
located in wealthier communities were more responsive to
GRP ratings.23 One hypothesis for this could be that these
communities were in a stronger position with respect to
seeking recourse to justice, and hence more influence.
20. Blackman, A. 2010. Alternative Pollution Control Policies in Developing Countries. Review of Environmental Economics and Policy 4 (2): 23453.
21. Pargal, S., and D. Wheeler. 1996. Informal Regulation of Industrial Pollution in Developing Countries: Evidence from Indonesia. Journal of Political Economy 106 (6): 131427; Zhang, B., J. Bi, Z. Yuan, J. Ge, B. Liu, and
M. Bu. 2008. Why Do Firms Engage in Environmental Management? An
Empirical Study in China. Journal of Cleaner Production 16 (10): 103645.
22. Blackman, A., S. Afsah, and D. Raunanda. 2004. How does Public Disclosure Work? Evidence from Indonesias PROPER Program. Human Ecology Review 11 (3): 23546.
23. Powers, N., A. Blackman, T. P. Lyon, and U. Narain. 2008. Does Disclosure Reduce Pollution? Evidence from Indias Green Rating Project. RFF
DP 0838, Resources for the Future Discussion Paper, Washington, DC.
21
Getting to Green
22
a country. For example, in a country with poor enforcement regimes and lack of a compliance culture, it may
be better to work with international buyers or through
trade regimes to engage industry and encourage clean
practices, in addition to providing both information and
wastewater treatment facilities in industrial estates, or in
special economic zones. At the same time, a longer-term
agenda needs to focus on improving information dissemination (for example through public disclosure schemes)
and ensuring that national regulations and standards are
appropriate and achievable in strengthening enforcement
regimes.
It is also important to realize that the pollution management system is not static, but is constantly evolving
based on history and current events. Often, disasters have
spurred or resulted in changed paths (such as the explosion in Guadalajara or the chemical explosion in Bhopal).
Litigation also has helped to raise public awareness in
many countries. The impact on health and quality of life,
as well as raising incomes and expectations from citizens
has also influenced these systems. There is therefore a need
to continuously review the system over time, and to adjust
the tools within so that all stakeholders remain engaged
and are restrained by checks and balances. Balance implies
near equal power across all stakeholders. Equally important is to reassess tools so that they remain relevant within
evolving cultural and development contexts. For example,
development of recourse to justice systems in countries
may mean that it is no longer necessary to link EIA procedures with licenses (as is the case in some countries), but
rather to rely on the litigation system instead (as in the
USA context).
Getting to Green
should all be developed at the same time, but rather a process of prioritization and sequencing of efforts would need
to be applied, which would differ by country, organization
and by issue, since different countries and organizations
will have different starting points in terms of environmental governance and institutional contexts. Prioritizing and
sequencing would also prevent overloading the human,
technical, and financial resources of agencies and organizations that are designing and implementing the different
tools. At this stage, the toolkit does not provide particular
advice on sequencing and prioritization of efforts, other
than noting which other instruments must already be
in place before the policy tool in question is effectively
applied. For the most part, these decisions are left to the
discretion of the user. It is intended that experience gained
from the application of this toolkit will be reviewed periodically, and that such constant reappraisal will lead to
inclusion of additional guidance on this subject.
The most strategic level of use of this toolkit is to shift
from individual users using multiple tools (the intermediate case) to multiple users, using multiple tools, coming
together to address critical pollution problems.
4.2.3 Strategic Use: Applying a Systems Approach to
Pollution Management
In this case, a user may want to do the following:
Address a priority pollution issue or significantly
reduce environmental risks, and realizes that they
cannot achieve this goal alone or cannot reach this
goal fast enough through their own actions. They
therefore need information on how other stakeholders tools can also help towards achievement
of the goal. Alternatively, they need information
on how they can engage other stakeholders to
help them through application of the policy
tools that are at their own disposal (for example,
how can a private sector firm engage civil society
through the firms application of its own tools).
Address a priority pollution issue or reduce environmental risks, have already established a dialogue between multiple stakeholders, and want
to map out the pollution management system
together (namely, identify all relevant stakeholders and relevant policy tools that each could
apply) in order to decide how to make existing
tools more effective, or to identify new tools to
be included in the system.
Address a priority pollution issue or reduce environmental risks, so that the outcome is sustainable, namely in the medium to long term, and
ensure that balanced solutions are sought which
simultaneously emphasize economic growth,
improve competitiveness and maximize public
welfare.
Strategic use typically occurs when an organization,
country, or society faces a critical problem that a single
user group cannot solve unilaterally. It also occurs when
a decision is made within an organization, country or
society to make a transformational shift from one level
of operation to a much higher one. The desire for this
shift can occur for many reasons. A private firm may be
interested in shifting to world class status or recognition.
Alternatively, society may demand a shift in quality of life
to a new norm due to rising incomes, or governments may
decide to tackle pollution, as it is limiting growth due to
excessive health costs, or due to a recent environmental
disaster.
The conceptual framework in Section 3 suggests that for
this type of transformational shift, multiple stakeholders
bringing multiple viewpoints to the table are important,
so that ultimately solutions emerge that are balanced in
terms of design. There are multiple ways users can apply
this sourcebook to engage multiple stakeholders. In
increasing complexity, they are as follows:
As a first step, the user should consult table 2 in
the sourcebook to understand how they can apply
their own policy tools to involve other stakeholders, before turning to the relevant policy note on
that tool in the toolkit. This could be through
making information available to the public,
introducing mechanisms into existing tools that
engage multiple stakeholders, or putting grievance redress mechanisms in place. Conflict reso27
Getting to Green
28. EIA is one such tool that has been used, in theory, this way in many
developing countries, namely to provide a formal mechanism for different stakeholders to engage in projects with significant environmental
impacts. Unfortunately, the participation part of EIA is also often the least
effective part of the process in many developing countries, thus suggesting the EIA is not being used to its full potential.
29. For an approach to SEA that emphasizes participatory approaches,
see World Bank. 2011. Strategic Environmental Assessment in Policy and Sector Reform: Conceptual Model and Operational Guidance. Washington, DC:
World Bank.
29
31
Table of Contents
2.1
Governments
2.1.1
2.1.2
2.1.3
2.1.4
2.1.5
2.1.6
2.1.7
2.1.8
2.1.9
2.1.10
2.1.11
2.1.12
2.2.
2.2.1
2.2.2
2.2.3
2.2.4
2.2.5
2.2.6
2.3
Financial Institutions
2.3.1
2.4
Judiciary
2.4.1
2.5
2.5.1
2.5.2
2.5.3
34
45
57
70
77
84
93
107
118
126
142
151
160
173
184
194
205
219
230
242
32 | P a g e
258
268
278
2.1
Governments
33 | P a g e
Strategic
Environmental
Assessment
pollution
prevention.
The
term
SEA
Introduction
Strategic Environmental Assessment (SEA) is a set of
analytical
and
participatory
processes
for
the
highest
strategic
level,
projects
factors.
This
extends
traditional
34 | P a g e
Box 1. Strategic Social Environmental Assessment (SSEA) of the Power Sector in the Nile
River Basin
Uganda and the rest of the Nile Equatorial Lakes (NEL) Region of Eastern Africa have experienced an acute lack of electric
power. Additional low-cost power generation and an efficient regional electricity trade are development priorities. The
World Bank supported the preparation of a Strategic Social Environmental Assessment (SSEA) of major regional power
development options and regional transmission interconnections in the NEL Region. The assessment, which covers Burundi,
the eastern region of the Democratic Republic of Congo, Rwanda, Kenya, Tanzania, and Uganda, proposed a power
development strategy and an indicative development plan to the year 2020.
Bujagali Falls on the upper Victoria Nile in Uganda has long been considered for hydropower development, and in the SSEA
analysis emerged as the highest development priority for Uganda. The SSEA also assisted hydropower development in the
NEL region by addressing the risk of drought over the lifetime of the Bujagali project through a detailed analysis of climate
change and its potential impacts. The analysis shows that with rising temperatures due to global warming, precipitation
and net runoff will both increase, as will the losses due to evaporation and evapotranspiration. Yet, it also finds that climate
change may increase runoff for Bujagali and consequently provide a higher potential for power generation. Furthermore,
Bujagali Energy Limited (BEL), with IFCs financial support, developed the 250-megawatt Bujagali Hydropower Project.
Building on the SSEAs results, the project undertook sectoral and cumulative analyses to strengthen the projects social
impact assessment and its Environmental Impact Assessment (EIA).
The SSEA provided key regional and sectoral information on the environmental sustainability of the Bujagali project. In
reviewing this project, which had not been free of controversy, the World Banks inspection panel stressed, among other
things, the importance of enhancing the integration of the SEAs results in the projects EIA to improve information
disclosure, public consultation, and decision making.
Source: Bujagali Energy Limited environmental documentation at www.ifc.org/disclosure and Inspection Panel 2011.
for
environmental
attract
consumption,
influencing
behavior
policy.
to
seize
opportunities
Incorporating
investment,
and
encourage
promote
savings
exports.
or
critical
35 | P a g e
described below.
economics,
policy
economics,
institutional
SEA
highlights
the
proper
1)
Identification
of
Environmental
Priorities
This
will
industry
interrelationship
and
challenges
local
presented
residents,
when
and
new
the
air
policy
pollution
be
affected
by
with
the
policy.
economic
and
Their
social
to
make
informed
decisions.
This
2)
36 | P a g e
comprehensive
analysis
of
all
potential
3)
4)
potential
responses.
Policy
Recommendations,
Strengthening,
and
Institutional
Capacity
Building
development
benefits
of
opening
Furthermore,
public
participation
monitoring indicators.
5)
Political
Economy
Adjustments
Assessment
This
process
of
Proposed
addresses
1)
the
understanding
on
the
political
and
2)
of
the
SEA
recommendations,
improvement
of
the
environmental
power
differentials
and
of
economic
affecting
particular
society.
focus
groups,
surveys,
and
Mechanisms are
37 | P a g e
3)
this
stage
stakeholders
should
voice
their
conditions
affecting
environmental
and
natural
38 | P a g e
interest
management
in
sound
environmental
management,
policies.
For
instance,
critical
SEA is linked to economic growth, social development and/or poverty alleviation imperatives
Stakeholders select SEA priorities, validate the institutional analysis and endorse the SEA recommendations
SEA Action Plan involves stakeholders in following-up and monitoring
Public Sector
Civil Society
Private Sector
Sector/sub
SEAs objectives, phases, intermediate outputs and expected outcomes are known and agreed
national
in advance
authorities led
SEA public
An intersectoral
plan is
subnational governments
committee to
agreed early
steer the SEA
on in the
process is
process
effectively (not
formally)
established
Source: Own elaboration based on a review of a number of SEAs undertaken or supported by the World Bank.
by
and
planning.
SEA at the
by
policy
donors,
level
mainly
can
in
be
applied
coordination
with
others
particularly
natural
forests,
resource
management,
environmental
management,
39 | P a g e
implement an SEA.
Ultimately,
SEA
governance.
Implementation capacity.
Another prerequisite is
is
The
tool
initial
for
strengthening
governance
conditions
Usually,
government
Assess
organizations
responsibilities.
fulfilled,
that
have
these
institutional
arrangements
like
the
creation
and
institutional
Provide
forum
for
discussion
and
of
stakeholders
gaps
effectiveness
capacity
40 | P a g e
implications
of
these interventions
along with
policy
governance
culture,
by
it enhances
strengthening
environmental
environmental
Political
pressures
can
reduce
the
effectiveness of SEAs
and
environmental
policy
appraisal
assessment
or
tools.
analysis,
For
SEA
reassessment.
Additionally,
SEAs
address
economy
participation,
from
analysis,
poverty
and
and
for
public
social
impact
41 | P a g e
Intervention
Type of SEA
Significant
contribution
(Benefits)
Environmental
priorities
42 | P a g e
In provincial workshops
stakeholders selected
SESA priorities by
ranking a list of
environmental and social
issues identified through
case studies of mining
subsectors and
interviews to key
informants.
National priorities are
the provincial priorities
that happened to be
selected in the four
provinces of Sierra
Leone.
Tourism reform in
Mexico
SEA
Policy for sustainable
development for
tourism and
development of
Mexico clean and
beloved campaign
Improved collection
and dissemination of
data relating to
existing tourism
demand and supply
to facilitate planning
for sustainable
tourism;
Development and
updating of land use
plans;
Strengthened
institutional
framework that
promotes interaction
among all
stakeholders;
Development of
fiscal incentives to
promote innovation
and environmental
sustainability
Government
considered
environmental
quality crucial for
strengthening the
sectors competitive
advantages.
Customer
perception surveys
showed that
environmental
quality, after
security, was a key
determinant in the
selection of
destinations by
tourists.
Environmental reform
in Colombia
CEA
Preparation of
Development Policy
Loan Program and
Technical Assistance
project to
(a) improve the
effectiveness and
efficiency of Colombias
National Environmental
System, and
(b) integrate the
principles of
sustainable
development into key
sector policies,
protecting the most
vulnerable groups
Debate that led to
passage of Air Pollution
Control Bill
Information base as
government
strengthened
governance of regional
environmental
authorities and the link
between national and
local priorities.
National environmental
priorities evaluated
using economic analysis
to assess cost of
current environmental
degradation and
through a
representative national
opinion poll survey.
Multiple focus groups
and stakeholder
workshops were used
to validate findings
continuously.
Capacity gap
and
institutional
assessment
Discussion
Forum / Policy
Dialogue
Political
Economy
Analysis
Scenarios of tourism
expansion were
assessed against
social and
environmental
impacts associated
with those scenarios
Scenarios of tourism
expansion were
assessed against
social and
environmental
impacts associated
with these scenarios
Monitoring and
follow-up of
indicators developed
through the SEA has
resulted in
continuous
improvement of
tourism policy over
time
For the SEA, a high
level mechanism for
inter-institutional
coordination was
established. Later
this mechanism has
been
institutionalized as
the inter-sectoral
Commission for
Tourism
Not used
CEA focused on
capacity and
institutional gaps within
different levels of
government as well as
the sectors legal and
institutional framework
and drew lessons from
selective case studies.
The assessment was
complemented by the
analysis of civil society
organizations to
account for the
demand side of
environmental
governance.
CEA engaged multiple
stakeholders including
the planning,
environment and
several sectoral
ministries. A broader
set of stakeholders
were also consulted
including regional
authorities, the
Congress, NGOs,
academics, and private
sector. Many of the
CEA findings also were
published in the media.
Case studies on specific
priority issues and
institutional
assessment included
political economy
analysis.
A historical analysis
provided insight into
the political economy
associated with current
institutional set-ups.
Not used
43 | P a g e
Sources
Program Document.
Report No. 32248MX (World Bank
2005b)
Evaluacin Ambiental
Estratgica del Sector
Turismo en Mxico.
(Environmental
Resources
Management 2005)
Environmental
Priorities and Poverty
Reduction (SanchezTriana and others
2007).
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
44 | P a g e
Life Cycle
Assessment
Introduction
assessments
of
products
was
end-of-pipe
solutions),
to
preventing
product
development
and
purchasing
45 | P a g e
impacts,
of
product
system
46 | P a g e
1)
study
boundaries,
2000).
and
its
major
system
2)
of
outputs.
environmental
inputs
and
software
specialized
for
LCAs
of
waste
management.
3)
Life
cycle
impact
(LCIA)
is
the
procurement decisions.
4)
environmental
(GWP).
performance,
when
selecting
47 | P a g e
different environmental
for
understand.
employees
with
impacts
provides
sufficient
more
environmental
particularly
different suppliers.
true
when
results
for
different
many
audience.
stakeholders
with
different
perspectives.
employees
without
environmental
48 | P a g e
be
performed
by
LCA
experts
and
Initiative
of
UNEP/SETAC
(2005) is
currently
http://lca.jrc.ec.europa.eu/lcainfohub/toolL
ist.vm); SimaPro and GaBi are among those
number
transportation
management
of
production
modes,
processes.
and
A
processes,
wastesubstantial
perspective
environmental
and
many
impacts,
different
and
there
types
are
of
other
49 | P a g e
debate
contributes
awareness
among
to
increasing
stakeholders
environmental
as
well
as
to
competing options;
50 | P a g e
site-dependent
modeling
of
environmental
Union
often
call
for
life-cycle
The
Integrated
Product
Policy
(DG
environmental
of
the
life
cycle
more
comprehensive
environmental
assessment
by
The
Sustainable
Consumption
and
products
of
negative
effective;
impacts
the
minimize
to
(SEA)
and
51 | P a g e
Japan.
development
of
European
eco-design
52 | P a g e
Copenhagen.
http://www.norden.org/da/publikationer/
publikationer/2007574/at_download/publicationfile.
DG Environment, European Commission. 2000.
Developing the foundation for Integrated Product
Policy in the EU, by Smith, D., and F.
Berkhout. Executive Summary.
http://ec.europa.eu/environment/ipp/pdf
/ipp_devrep.pdf.
Ekvall, T. 1999. Key Methodological Issues for Life
Cycle Inventory Analysis of Paper
Recycling. Journal of Cleaner Production 7 (4):
28194.
Ekvall, T., G. Assefa, A. Bjrklund, O. Eriksson, and
G. Finnveden. 2007. What Life-Cycle
Assessment Does and Doesn't Do in
Assessments of Waste Management. Waste
Management 27 (8): 98996.
ENDS (Environmental Data Services). 1991. Problems
with Life-Cycle Analysis Highlighted by Conflict
Over Nappies, by ENDS Report No. 198.
London.
EU (European Union). 2005a. Thematic Strategy on the
Sustainable Use of Natural Resources, by the
Commission of the European Communities.
COM (2005) 670 final. Brussels. http://eurlex.europa.eu/LexUriServ/LexUriServ.do?u
ri=COM:2005:0670:FIN:EN:PDF.
. 2005b. Thematic Strategy on the Prevention and
Recycling of Waste, by the Commission of the
European Communities. COM (2005) 666
final.
Brussels.
http://eurlex.europa.eu/LexUriServ/LexUriServ.do?u
ri=CELEX:52005DC0666:EN:NOT.
. 2005c. Directive 2005/32/EC of the
European Parliament and of the Council of 6
July 2005: Establishing a Framework for the
Setting of Ecodesign Requirements for
Energy-Using Products. Official Journal of
the European Union 48: 2958. http://eurlex.europa.eu/LexUriServ/LexUriServ.do?u
ri=OJ:L:2005:191:0029:0058:EN:PDF.
. 2008a. Sustainable Consumption and Production
Action Plan, by the Commission of the
European Communities. COM (2008) 397
final.
Brussels.
http://eurlex.europa.eu/LexUriServ/LexUriServ.do?u
ri=CELEX:52008DC0397:EN:NOT.
. 2008b. Directive 2008/98/EC of the
European Parliament and of the Council of
19 November 2008: On Waste and Repealing
53 | P a g e
54 | P a g e
Databases
Australian LCI database. Centre for Design, RMIT
University.
Available
at:
http://simapro.rmit.edu.au/lca/datadownl
oads.html
Ecoinvent database. Swiss Centre for Life Cycle
Inventories. Ecoinvent Centre, Dbendorf,
Switzerland.
Available
at:
www. ecoinvent.org.
European Reference Life Cycle Database. European
Commission, Directorate General Joint
Research Centre (JRC). Available at:
http://lca.jrc.ec.europa.eu/lcainfohub/.
Japan Environmental Management Association for
Industry
(JEMAI).
JEMAI
database.
Available
at:
http://www.jemai.or.jp/english/index.cfm
(in Japanese).
National Risk Management Research Laboratory's
Life-Cycle Assessment web site. Available at:
http://www.epa.gov/NRMRL/lcaccess/.
PROBAS database. Umweltbundesamt (German
Environmental
Protection
Agency).
Available
at:
http://www.probas.umweltbundesamt.de/
php/index.php (in German).
SPINE@CPM database. Competence Center in
Environmental Assessment of Product and
Material
Systems
(CPM),
Chalmers
University
of
Technology,
Gteborg,
Sweden.
Available
at:
http://www.cpm.chalmers.se/CPMDatabas
e/
U.S. Life Cycle Inventory Database. National
Renewable Energy Laboratory. Available at:
http://www.nrel.gov/lci/. NREL, Golden,
Colorado.
Scientific journals
Journal
55 | P a g e
Discussion lists
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
56 | P a g e
Targeting Legacy
Pollution
Introduction
operators.
It
is
often
evident
as
57 | P a g e
surface or groundwater.
environment,
in
proximity
to
communities
or
the environment.
58 | P a g e
redeveloped
the
sources.
(see
box
1).
In
such
cases,
Risk assessment examines each component to determine if the levels are significant and then reaches a judgment as to the
overall level of risk posed. Risk management is the process of evaluating alternative actions to reduce the risk(s) and
selecting among the options. The risks associated with implementing different options also need to be taken into account.
59 | P a g e
pollution.
with
specific
target
populations
or
ecological
different pollutants.
the remediation.
receptors identified.
In
The
outcomes.
European).
land-use
planning
systems
may
be
weak
in
involve
developing countries.
60 | P a g e
the
government
through
different
unknown);
the
and
pollution
local
and
communities
other
groups;
affected
by
academics;
the problems.
This step
objectives.
Preparation stage.
group.
61 | P a g e
controls.
Remediation
regulatory requirements.
Technical options.
factors,
some
of
which
are
specific
to
62 | P a g e
Containment
Excavation and
disposal
Physical or
chemical
treatment, in-situ
or ex-situ
Soil vapor
extraction
Bioremediation
Phytoremediation
Groundwater
treatment
63 | P a g e
contaminated
facilities
at
material
reduced
in private
costs.
treatment or
Other
government
64 | P a g e
CHARACTERISTICS
This will involve discussions with relevant parties without necessarily admission
of liability by any of those associated with the source of pollution in order to find
practical options. Collaborative clean-up approaches would typically include
actions by the private sector, encouraged by financial incentives such as tax breaks
or planning exemptions; by local governments, such as provision of infrastructure
(for example, disposal sites); with inputs from community or non-governmental
groups. The test for government support for actions under this approach is
whether they can achieve public benefits in a cost-effective manner.
This form of collective solution may apply particularly in the case where the original
site or source of pollution was a large industrial facility belonging to a government
entity that no longer exists. In such cases, a process of redevelopment that
generates enough revenue to cover the remediation costs may be a good solution
for all parties. Where development land is in demand, typically in urban fringes
where old industrial areas are being transformed into commercial and residential
uses, it may be possible to recover the costs of the remediation.
The government may, in effect, create value by relaxing some of the relevant
planning or environmental requirements by, for example, accepting site-specific
environmental standards. This may be suitable where the public good can be
shown to justify the deviation from the normal requirements but must be subject
to transparent and effective review.
In order to kick-start a brownfields redevelopment, the government may finance
some of the most urgent interventions, with a view to attracting private sector
funding for subsequent stages, where the risks are then lower.
Where the need for intervention is urgent, and administrative and legal actions are
not being effective, the government may undertake the most urgent remediation
works using its own funds and recover the costs (with administrative overheads)
from the responsible party.
This approach, which draws on the concept behind the U.S. Superfund model,
would require significant legislative and administrative capabilities. It would be
appropriate for countries where there is a large number of legacy or other
hazardous sites and where a multi-year program of interventions can be justified.
In practice, it must be considered unlikely that the full costs could be recovered for
all cases.
In cases where there is no prospect of recovering any of the costs from the polluter
or a successor body, the government may be forced to take action because of the
seriousness of a particular case. Governments should establish the necessary
legislative and administrative framework to undertake such projects, in order to
ensure that the necessary interventions are identified and carried out as effectively
as possible.
In such cases, given the competing demands on public funds, a careful costeffectiveness analysis must be carried out to determine the sequence and timing of
priority actions, with the objective of initially removing the most immediate threats
to health and environment.
65 | P a g e
toxicology/public
confidence is bolstered.
health;
risk
assessment;
Remediation Funds.
company
or
through
similar
legal
66 | P a g e
problems.
The
classic
economic
approach
to
evaluating
reduction levels.
improvement
resources
specific
sites.
low
is
achieved
pollutant
with
the
concentrations
in
the
67 | P a g e
sources.
powers
to
develop
and
then
implement
68 | P a g e
http://www.worstpolluted.org/2009report.html.
CABERNET (Concerted Action on Brownfield and
Economic
Regeneration
Network),
Sustainable
Brownfield
Regeneration:
CABERNET Network Report, CABERNET,
http://www.cabernet.org.uk/resourcefs/42
7.pdf
CF (Common Forum), General questionnaires on
Contaminated
Land
Management
in
Europe,
CF,
http://www.commonforum.eu/questionnai
rescf.asp#
CIRIA (Construction Industry and Research
Information Association), The Portal for
Contaminated Land Information in the UK,
CIRIA,
http://www.contaminatedland.org/.
CLU-IN (Hazardous Waste Clean-Up Information),
Contaminated Site: Clean-Up Information,
CLU-IN, http://www.clu-in.org/.
DEFRA (Department for Environment Food and
Rural Affairs), Defra is the UK Government
Department Responsible for Policy and
Regulations on the Environment, Food and
Rural
Affairs,
DEFRA,
http://www.defra.gov.uk/environment/qu
ality/land/contaminated/.
EUGRIS (European Ground Water and Contaminated
Land Information Service), Portal for Soil
and Water Management in Europe,
EUGRIS, www.eugris.info/.
EU Joint Research Center, Derivation Methods Of
Soil
Screening
Values
In
Europe,
http://eusoils.jrc.ec.europa.eu/esdb_archive
/eusoils_docs/other/EUR22805.pdf
ICCL (International Committee on Contaminated
Land),
Management
of
Excavated
Contaminated Soil Summary of the
Questionnaire, presentation by Reinikainen
J. at the 9th ICCL meeting, Helsinki.
http://www.iccl.ch/download/meeting_hel
sinki_09/B_Reinikainen.pdf and completed
questionnaires
at:
http://www.iccl.ch/meeting_helsinki.html
Ionescu-Heroiu, M. 2010. The Management of
Brownfields Redevelopment: A Guidance
Note. Working Paper 55009, World Bank,
Washington,
DC.
http://wwwwds.worldbank.org/external/default/WDS
ContentServer/WDSP/IB/2010/06/14/0003
33037_20100614004032/Rendered/PDF/550
090WP0P118011PUBLIC10brownfields.pdf
Landcare
Research,
Risk
Assessment
for
Contaminated Sites in New Zealand,
Landcare
Research,
http://contamsites.landcareresearch.co.nz/.
Netherlands, Ministry of Housing, Spatial Planning
and Environment, www.vrom.nl/.
NRC (National Research Council). 1983. Risk
Assessment in the Federal Government:
Managing the Process. Washington, DC:
National
Academies
Press.
http://www.nap.edu/catalog.php?record_i
d=366#toc.
. 2005. Superfund and Mining Megasites: Lessons
from the Coeur dAlene River Basin.
Washington, DC: National Academies Press.
http://books.nap.edu/catalog.php?record_i
d=11359.
Sittig, M. 1994. World-Wide Limits for Toxic and
Hazardous Chemicals in Air, Water, and Soil.
Park Ridge, NJ: Noyes.
Sydney Olympic Park Authority, Site Remediation,
Sydney
Olympic
Park
Authority,
http://www.sydneyolympicpark.com.au/e
ducation_and_learning/history/site_remedi
ation.
US EPA (United States Environmental Protection
Agency), Regional Screening Levels, US
EPA,
www.epa.gov/region09/superfund/prg/.
,
Superfund,
US
EPA,
http://www.epa.gov/superfund.
WHO (World Health Organization), Guidelines for
Poison
Control,
WHO,
http://www.who.int/ipcs/publications/tra
ining_poisons/guidelines_poison_control/e
n/index.html.
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
69 | P a g e
Land Use
Planning
Introduction
to
the
different
socioeconomic
activities
Therefore, by
areas
from
development
due
to
allowances.
In
relation
to
pollution
these
provisions
should
be
included
in
the
zoning
code
are
prepared
by
planning
70 | P a g e
through
land
the
permit-issuing
process
for
3)
described below.
1)
or
cultural
values,
for
of
existing
pollution-control
their
allows
unnecessary
expansion.
with
and
measures
costly
that
urban
allow
transfer
of
an
integrated
approach
to
the
use
mechanisms in place.
6)
of
installed
infrastructure
and
transit
2)
71 | P a g e
7)
1996).
boundary
territories
and
inside
economically feasible.
noise, air
farms,
8)
9)
or
large
farm
pollution,
operations,
sun radiation,
energy
physical,
penalizing
general
operations
that
exceed
these
transportation and
communications,
of
infrastructure,
conducting
and
public
requirements.
environment.
ones
techniques
and
materials,
like
the
most
valuable
mechanism
for
pollution
and
quality
of
the
legal
and
socioeconomic
jurisdiction.
that
are
72 | P a g e
Comfortable
and
are
produced
in
Traffic
and
congestion
patterns,
broadly
such
government,
communicate
very
the
advantages
strong
of
citizen-participation
For instance, a
their
environmental
environmental problems.
jurisdiction
without
externalities
regard
can
for
lead
negative
to
larger
73 | P a g e
incorporate
and
effectively
apply
the
Policy makers should define the land use plan and its
national
governments
perspectives
housing.
and measures.
estates.
Environmental
and
Standards,
and
construction
Monitoring,
Regulation
74 | P a g e
Inspection,
Compliance
of
utilities,
infrastructure,
or
the
was
subsequently
passed
special
anti-violence
and
setting.
programs,
to
the
create
multiplication
maintaining
communitys sentiments.
oversight,
encouraging
public
to
give
greater
autonomy
and
Allen,
75 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
76 | P a g e
Industrial Estates
Introduction
relocation
voluntary
participation
environmental
programs,
performance
rating
as
and
well
as
public
of
industrial
facilities
from
densely
environmental effects.
77 | P a g e
urbanized
regional
(Schlarb 2001).
regions,
and
accelerating
of
exchange
preferential
investment
incentives
such
as
market
may
be
constrained
by
exemptions,
subsidies.
and
various
other
estate
as
manufacturing
and
service
community
businesses
of
Prerequisite Factors
located
integration
78 | P a g e
of
environmental
and
industrial
pollution
ambient
industrial
effective
abatement
environmental
estates
to
instruments
and
quality.
achieve
for
improved
However,
their
for
potential
environmental
as
management,
It is good
The promotion of
Synergy
between
industrial
and
environmental
policies.
depends
estates
Selection of industries.
significantly
on
the
industries.
More
environmental
management
and
enforcement
mandates
onto
such
ill-equipped
79 | P a g e
the
effectiveness
of
industrial
estates
as
an
located
industrial estate.
within
the
estate
and
environmental
regulators.
From the
For industrial
80 | P a g e
of
industrial
common
shining
strong
such
pollutants of concern.
estates
and
enforcement
by
regime
providing
to
overcome
industrial
facilities
examples
of
and
for
proper
environmental
environmental
Third,
environmental
be
estate
environmental
regulations
of
area.
the
regulations
This
targets
is
have
regulators
only
the
significant
generally
need
provider
benefit
been
not
for
recognized
as
are
not
strictly
benefits
regulator
controlled.
that
to
may
Hence,
result
monitor
the
from
environmental
pollution
magnitude.
Limitations.
81 | P a g e
Denmark.
must implement.
The
most
often
cited
example
of
of
land
developers,
thus
leaving
been
carefully
designed,
planned,
and
strategic
environmental
assessments,
82 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
83 | P a g e
Environmental
Licensing
Economic
planning
process
Introduction
Environmental licensing is a tool that a public
Territorial
and land
use
planning
Pollution
control
environmental
process
in
protection
order
to
into
the
achieve
and
licensing
84 | P a g e
transparent
should
be
process.
carried
Environmental
out by
public
opportunities,
improving
infrastructure,
and
Industrial
developments
(manufacturing
mining)
Infrastructure
projects
electric
housing projects)
Urban
power
(roads,
plants,
constructions
airports,
settlement
(shopping
and
centers,
university campuses)
The cornerstone of environmental licensing is an
environmental assessment that enables a public
necessarily
applied
environmental
when
preceded
by
(1)
insignificant
sources
of
pollution.
85 | P a g e
4)
installation
license
construction;
and
authorizing
Application process.
project
(b) an operating
project
license
operations,
upon
authorizing
5)
Mandating
of
technical
conditions
on
the
impacts
of
pollution
projects;
and
(4)
legal
framework.
In some
countries,
like
6)
projects
1)
2)
unnecessary
and
the
increases
in
monitoring
bureaucracy.
related
potential
environmental
impacts,
control techniques.
3)
characteristics
86 | P a g e
Figure 2 gives an
3)
1)
2)
The
questions:
environmental
authoritys
analysis
of
the
1)
pays principle.
2)
87 | P a g e
3)
4)
5)
6)
adequate?
the
Development, 1992)
UN
Conference
on
Environment
and
improved?
6)
7)
8)
9)
irreversible
damages
to
the
Advantages.
environmental
and
public
health
standards,
manner.
Limitations.
Environmental
licensing
most
1)
military
4)
environmental
5)
2)
3)
88 | P a g e
projects,
emergency
catastrophes,
measures
land
for
tenure
impact.
Environmental
licensing
interacts
with
other
An EIA
project.
licensing process.
89 | P a g e
1993.
Trading
schemes
combined
with
largely
funded
by
the
company
during
the
Environmental
Impact
90 | P a g e
overcome
(www.e-seia.cl/informacion_seia/usuarios_externos/
select_doc. php?id_doc=42).
Multi-jurisdictional
assessment.
approach
to
environmental
interests
of
different
levels
of
different
authorities
may
apply
distinct
of
environmental
assessment:
(1)
jurisdictions;
(2)
harmonization
through
bilateral agreements between governments or projectbased agreements; and (3) substitution of federal
authority to take the pace of local governments when
a project is subject to federal review.
References
and
Resources
Environmental Licensing
on
91 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
92 | P a g e
Market-Based
Instruments /
Economic
Incentives
if
properly
designed
and
Introduction
This note provides guidance on the use of marketbased instruments (MBIs) for pollution control. MBIs,
by implementing an explicit or implicit price on
emissions, create financial incentives for pollution
control. These instruments use market signals to affect
the behavior of both consumers and firms towards
pollution. MBIs are also called economic incentives
(EI) for pollution control and include pollution
charges or levies, taxes, subsidies, and tradable
permits.
adopt
low-cost
technological
or
process
93 | P a g e
Taxes.
Direct
Instruments
Emission fees;
Tradable
permits
Indirect
Instruments
Taxes;
Subsidies
Emissions
standards
Technology
standards
public
and
private
transportation
by
substitution,
although
this
effect
seems
small.
Moreover,
implementation
of
these
tools
has
the
Thai
Government
introduced
become
There
is
evidence
from
Santiago,
Chile,
that
94 | P a g e
products
successfully
particularly
affecting
the
population.
Decision
this
the
poorer
makers
part
may
of
find
believed
to
implemented
pose
in
relatively
Latin
low
America.
others 1999).
Subsidies.
95 | P a g e
tool.
returned.
implemented
appropriate
solid
and enforcement:
Deposit-refund systems.
This
scheme
instruments
has
for
been
discrete,
96 | P a g e
especially
since
dimensions
of
two
of
the
environmental
most
important
regulations
are
Public Sector
Set up clear
rules
Problems
Institutions
Monitoring
Performance
Environment
Enforcing
Compliance
Development vs Environment
Political resistance
Weak Regulatory Institutions
Lack of Fiscal and technical resources
Small scale firms or plants
Departments
Regulators
97 | P a g e
MBIs
Charge
system
Strengths
Charges proportional to
pollution
More complex to
coordinate with
different sources of
pollution
Monitoring and
enforcement are
costly
Front-end charge
(deposit) combined with
refund payable when
quantities are turned in
for recycling.
Participation by
households
Enforcing compliance
Institutional integrity
must be very high
Difficult to enforce
because of the
voluntary nature of
the scheme
High cost of
implementation
Multiple sources of
pollution
No need to identify an
abatement level
Works even when
monitoring data
unavailable
Easy to manage
Generate revenues
Do not always
incentivize adoption
of abatement
technologies
May affect nontargeted activities
Politically difficult to
accept
Distributional
impacts can be
distortive
Taxpayer gets part of
the pollution burden
Deposit
refund
Taxes
Subsidies
Monitoring data on
pollutant must be
available
Enforcing compliance
Incentive to actually
change system
Tradable
permits
Flexibility in their
application
Cost savings for the
regulator
Less efficient units of
production are likely to
stop operating
98 | P a g e
Weaknesses
Monitoring data on
pollutant must be
available
Enforcing compliance
Institutional integrity
must be very high
Major regulatory
requirements
Consistent legal
framework
Political resistance
of
units of production.
pollution
control
instruments,
and
CAC
MBIs
pollution
MBI
will
effectively
requires
institutions
achieve
effective
for
systems
monitoring,
and
for
and
an important issue.
very
ineffective.
Monitoring
and
enforcement
are
conducted
related
to
199294
external
clearly
sources
stressed
of
pressure
that
and
99 | P a g e
inspections
the
control.
dominate
and
better
explain
100 | P a g e
MBIs
Charge
system
Application in
Developing Countries
China
Colombia
Ecuador
Malaysia
Mexico
Philippines
Deposit
refund
Taxes
Brazil
Chile
Kenya
Mexico
Thailand
Subsidies
Kenya
Mexico
Tanzania
Tradable
permits
Chile
Mexico
Singapore
Colombia
Ecuador
Jamaica
Korea
Brazil
Chile
Colombia
Ecuador
Mexico
Sri Lanka
Taiwan
Venezuela
comprehensive
the
emission
charge
system
in
101 | P a g e
developed countries.
102 | P a g e
103 | P a g e
104 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
105 | P a g e
APPENDIX
Details of Studies proposing quantitative evidence
MBIs
Study
Country
Issue
Key Findings
Wang and
Wheeler 1996
Water pollution
Wang and
Wheeler 1999
Wang 2002
Wang and
Wheeler 2005
Seroa da Motta
2006
Brazil
Determinant
of Environmental
Performance
Coria 2009
Costa Rica
Fuel expenditure
Alpizar and
Carlsson 2003
Costa Rica
Transport Mode
Charge
China
system
Subsidies
Taxes
106 | P a g e
Labeling and
Certification
Introduction
and
certification
are
two
tools
that
with
costs.
Effective
labeling
and
towards
socially
responsible
and
107 | P a g e
some
represent
products
such
as
refrigerators
and
air
short-term
solution
to
difficult
regulatory
its cost.
implementation of labeling.
problem.
Labeling
can
become
preferences
quality.
production
impacts
environmental
108 | P a g e
relating
to
environmental
techniques,
associated
with
and
certification
emissions.
particular
programs
Unlike
product,
give
manufacturers
that
meet
minimum
emission
activity.
2004)
and
standard
industry.
and
the
Additionally,
Eco-Management
there
are
sector-specific
on
in
information.
diffusion
Environmental
Management
Systems
companies.
Similar
to
mandatory
environmental
environmental
certification
can
also
labeling,
address
regulators
compliance
of
environmental
Companies
and
are
certification
frequently
companies
history
Environmental
with
more
into
visited
an
likely
by
irregular
to
adopt
voluntary
standards.
codes,
guidelines,
and
provides
recognition
for
lead
battery
109 | P a g e
the
country
in
commitment
order
to
to
comply
develop
an
with
their
own
environmentally
Preparation &
Launching
Phase
Steps
Issues to consider
Assignment of
responsibilities
Clear assignment of who is responsible for defining criteria, certifying products, and
generally administering the program
Selection and
determination
of product
categories
Development
of criteria,
standards, or
guidelines
Negotiation
Phase
Once product categories are selected, the next step is the establishment of
requirements that an applicant must meet to be approved by the eco-labeling program.
For example, if a labeling program is developed to overcome trade barriers, then the
countrys labeling requirements should be consistent with labeling requirements in
other countries. Criteria for granting an eco-label to a product or service can be limited,
or without limits, as to the number of products that will qualify for the label. The group
responsible for setting the criteria may include scientific and technical experts from
both government and the private sector.
Feedback and comments from interested stakeholders should be included before
finalizing the list of criteria. This list should be periodically reassessed.
Certification
and licensing
The awarding process includes testing and compliance verification, applicant licensing,
and monitoring (with periodic reexamination every 2 to 5 years).
Applicants usually have to pay an application fee, the cost of verification, and an annual
fee for use of the eco-label; these fees depend on annual product turnover.
Role of government.
implementation
of
labeling
and
growth
has
110 | P a g e
made
both
tools
attractive
for
organizations).
stakeholders
through
development
and
Involving
all
wide
steps
implementation
range
of
of
program
brings
about
program.
supporting
(SMEs)
in
small
the
and
medium-size
certification
process.
enterprises
National
governments can facilitate the development of a thirdparty certifying body and consulting companies that
will reduce the costs for companies. Government
should stimulate private sector support, because
industry and commercial awareness, interest, and
direct involvement are essential to program success
(see box 3).
111 | P a g e
environmental,
and
social
Therefore,
few
have
claimed
programs
policies.
direct
involvement
in
the
selection
and
Weaknesses
Stakeholder participation
Negotiating detailed award criteria takes places between
public and private experts and a number of other
stakeholders.
(continued)
112 | P a g e
Strengths
Weaknesses
Reward leadership
Eco-labeling programs reward environmentally ambitious
companies with public recognition, thus encouraging
companies to take a pro-active approach towards the
environment.
Size matters
Environmental certification programs focus on management
structure, and the required changes may not be compatible
with the management styles of small and medium
enterprises.
Sources: GEN 2004; Gerstenfeld and Roberts 2000; OECD 2003; and UNEP DTIE 1998.
113 | P a g e
See box 4.
environmental
information
disclosure
and
enforcement
programs;
and
licensing,
LCA,
regulations
and
goods
that
meet
the
specified
for
refrigerators,
air
certain
products
conditioners,
including
distribution
scheduled
to
become
mandatory
for
color
consumer
colors
according
to
their
environmental
The
114 | P a g e
program
led
to
improved
environmental
performance,
and
the
number
of
compliant
Energy Star.
GreenLabel.
web site).
the
significantly
for
including
equipment,
department increased
expanded,
major
introducing
appliances,
office
labels
Centre
for
Science
and
Environment,
from 18% to
an
89%, and
115 | P a g e
116 | P a g e
SEC
(Singapore
Environment
Council).
http://www.sec.org.sg/awards/greenlabel.
SEPA CEC (State Environmental Protection
Administration China Environmental
United Certification Centre Co., Ltd).
Labelling.
SEPA
CEC.
http://www.sepacec.com/cecen/labelling/.
SMK. Kompas voor duurzaam ondernemen
(Compass for Sustainable Business). SMK.
http://www.smk.nl/ (in Dutch).
Sterner, T. 2003. Policy Instruments for Environmental
and
Natural
Resource
Management.
Washington, DC: RFF Press (now part of
Earthscan Publications).
UN. 2010. Trends in Sustainable Development: Towards
Sustainable Consumption and Production. New
York: UN Department of Economic and
Social Affairs.
UNEP
DTIE
(United
Nations
Environment
Programme Division of Technology,
Industry and Economics). 1998. Voluntary
Initiatives. Industry and Environment Review
21 (12). Paris: UNEP DTIE.
US EPA (Environmental Protection Agency) and US
DOE (Department of Energy). 2010.
http://www.energystar.gov/index.cfm?fuse
action=qhmi.showHomesMarketIndex.
Zeng, S. X., C. M. Tam, V. W. Y. Tam, and Z. M. Deng.
2005. Towards Implementation of ISO
14001 Environmental Management Systems
in Selected Industries in China. Journal of
Cleaner Production 13 (7): 64556.
Zhao, J., and Q. Xia. 1999. Chinas Environmental
Labeling Program. Environmental Impact
Assessment Review 19 (56): 47797.
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
117 | P a g e
Environmental
Information
Disclosure
decision-making
processes.
States
shall
Introduction
available.
development
environmentally
and
access
to
environmental
information
is
to
environmental
information
in
Rio
Declaration
on
Environment
and
Conference
on
Environment
and
118 | P a g e
judicial
and
to
and
access
Effective
environmental
management
programs.
pollution
control,
in
way
that
traditional
performance.
oversight.
Research
have
generated
or
environmental
activities
collected
may
some
also
information.
practical.
Providing
The
rights
disclosure
information
on
to
the
approach
a
public
for
involves
polluters
releasing
environmental
1)
potentially
harmful
pollutant
releases
(this
from
the
United
Nations'
Rio
Protocol,
119 | P a g e
international
2)
organizations
began
assisting
1)
and
performance
rating
2)
3)
Environmental
4)
Performance
Rating
and
Philippines,
and
Ukraine
handled;
have
5)
6)
7)
8)
How
the
EID
will
and
be
implemented
by
whom,
administratively
e.g.
early stages.
Preliminary Objectives.
establishing
an
EID
is
for
the
1)
systems
information system;
citizen
groups,
operated
and
government-owned
installations.
2)
start
from
the
existing
these
objectives,
and
details
Unless
or
should
of
management,
120 | P a g e
parties;
3)
4)
operation
should
be
transparent
and
objective.
effectively
provides
incentives
for
local
information
emissions.
is
available
about
pollution
from
and
dissemination
of
environmental
legislation)
legally
justifies
public
and
information
timely
held
by
access
to
environmental
public
authorities
upon
relevant
environmental
information,
121 | P a g e
draw setbacks.
disseminate
at
reasonable
intervals
up-to-date
such
immediately.
maintaining
harm
is
disseminated
an
EID
program
varies
and
is
of
data
collection
and
disclosure,
etc.
issues
and
mitigate
potential
disclosure
strategies
for
environmental
122 | P a g e
accurate
emissions
information
can
be
readily
industry,
environmental
organizations,
labor
tool
Traditionally,
applied
the
regulate
their
within
introducing
pollution
be
for
pollution
environmental
regulators
command-and-control
pollution
or
control.
have
approaches
discharges
creating
to
to
amounts
price
for
collected
electronically
on
computerized
123 | P a g e
data
about
releases/transfers.
The
Committee
Philippines.
of
Access
to
Information. A
group
of
Development
Authority
(LLDA),
the
sector
representatives,
and
an
NGO
124 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
125 | P a g e
Setting Priorities:
Defining a Strategy
within a Broader
Framework
Introduction
and
that
development,
poverty
reduction,
and
face
countries
(alongside
biodiversity
poverty
development priorities.
reduction,
economic
growth,
and
126 | P a g e
economic
development
and
poverty
reduction
policies.
sector strategies.
sets
of
priorities.
This
diffusion
2)
of
Productive
sector.
agencies/ministries
by
such
productive
as
sector
ministries
of
priorities
management,
that
influence
pollution
influence
the
as
action
through
development
environmental assessment.
environment-sector
environmental
institutional
example,
activities).
portfolio
Furthermore,
many
worldwide
face
agencies
and
financial
such
capacity
constraints
resources,
staffing,
(for
and
3)
pollution
plans.
the
management,
Pollution
pollution
management
application
of
and
strategic
and/or
economic
development.
Poverty
127 | P a g e
reduction objectives.
methodologically-sound
below.
Furthermore,
coverage
priorities
(environment
differ
in
sector
their
and
approach
to
setting
sectoral
productive
sectors), and in their timescale (short-term, mediumterm, and long-term priorities). Priorities for pollution
within
these
processes
to
prioritize
pollution
and
concessional
financing
from
both
128 | P a g e
level.
Existing
national
strategies
or
to be the PRSP.
region
to
be
affected
by
the
policy.
Their
Analysis/profile
to
Country
integrate
Environmental
environmental
considerations
into
linked
to
growth
and
poverty
alleviation;
ii)
(NEAP).
Assessment
and
of
environmental
policies
National
prepared
Environmental
mostly
by
Action
Plans
environmental
Analytical
public
work
is
intertwined
with
129 | P a g e
the
(such
the
demonstrate
the
environment
economic
sector
importance
or
of
mainstreaming
as
ecosystem
valuation
and
cost
of
framework
and
organizational
responsibilities
Cost
of
environmental
degradation
the
damage
caused
to
several
environmental
and
macroeconomic
undermine
indicators
130 | P a g e
(COED,
CBA,
social
and
economic
development
processes;
provide
basis
for
integrating
quality of life.
services).
Macroeconomic
indicators.
The
use
of
Comparative
looking
at
is
systematic
mainstream
pollution
and
for
Assessment.
way
Risk
environmental
131 | P a g e
alternatives;
alternatives.
Multi-Criteria
and
Analysis
method
for
(MCA).
ranking
is
the
Bank 1998).
setting priorities
common
132 | P a g e
economic
denominator
for
comparing
Figure 6. Simple Decision Tree to Identify Tools that could be Used in Setting Priorities
environmental
quantitative
Data
requirements
and
environmental
Environmental
degradation
tools.
See
Regulation
Guidance
and
other
Note
on
Standards,
Monitoring,
objective
the
assessment
of
the
state
of
Inspection,
and
Compliance,
and
133 | P a g e
decision-making
setting processes.
process,
prioritizing,
or
backed
mandate
from
government
and/or
agency
or
environmental
and
political
factors;
development
Collaboration
across
broad
set
of
environmental
collaborative
priorities
approach
to
requires
ensure
that
a
all
134 | P a g e
of
a
the
agreed-upon
collaborative
priorities.
approach
would
135 | P a g e
Box 1. Use of Risk Assessment to Identify Priority Pollutants and Pollution Sources in
Zaporizhya (Ukraine)
The city of Zaporizhya is one of industrial pollution hot spots where large polluting industries are surrounded by residential
areas, and where privatization was made without proper attention to past and present environmental impacts. Many
pollutants are regulated but, with dozens of heavy-polluting industrial enterprises, it is difficult to define which pollutant
source is more hazardous and should be controlled as a priority.
Risk assessment methodology was selected because it takes into account pollutants and sources, as well as the spatial
distribution of the affected population the latter not being taken into account by current regulations. Technical
assistance on human health risk assessment was provided first by US EPA (200406) and later supported by the World
Bank (200710). The bulk of research work and analysis was done by the Marzeev Institute of Hygiene and Medical Ecology
(Kyiv).
To carry out risk calculations, information on the location of sources, emissions levels, weather conditions, terrain
characteristics, and the location of affected populations were needed. Several significant obstacles were identified from
the onset: i) communication and information exchange among stakeholders were limited; ii) databases of city and
government departments were not compatible, and spatial information was rarely available; iii) information on pollution
sources and emission volumes was inaccurate and outdated; and iv) information on affected populations often was
missing or required verification.
City authorities organized stakeholder meetings to disseminate the results of risk assessment and a special Web site was
launched for information dissemination and communication. This was an important step in the consensus-building
process, which was not easy. Too many stakeholders were involved: city administration, regional departments of
Ministries of Environmental Protection and Public Health, owners and managers of enterprises, developers, and the public.
The driving force behind the Zaporizhya effort to combat air pollution was city authorities headed by the mayor. The
mayor created and led a special working group that helped secure stakeholder participation and reviewed the results of
risk assessment. This working group became a forum where the need for pollution reduction and priorities were discussed.
As a result of this effort, the health risks (carcinogenic and non-carcinogenic) to particular population groups were
calculated for 144 substances emitted by Zaporizhya enterprises. Later, the list of 54 priority substances was compiled.
High-risk areas were mapped and affected groups of population identified. The municipality is developing prevention
measures, and risk-mapping results are used by development planners. Furthermore, the city ordered calculation of risks
by enterprises seeking renewal of emission permits. Several enterprises launched their own health risks assessment
studies to ensure compliance and prioritize their environmental protection investments. Several enterprises have already
drafted action plans to reduce risks to human health from pollution. Other municipalities in Ukraine (Kyiv, Rivne,
Druzhkivka, Cherkasy, and Ladyzhyn), following Zaporizhyas example, are implementing risk assessment techniques to
minimize health risks to their residents.
Source: Alexei Slenzak
136 | P a g e
RNAL/
TOPICS/ENVIRONMENT/EXTEEI/0,,cont
entMDK:20781069~menuPK:2770701~pageP
K:210058~piPK:210062~theSitePK:408050,00.
html/.
Bonvoisin, N., J. Dusik, A. Jurkeviciute, and B. Sadler.
2007. Final Draft Resource Manual to Support
Application of the UNECE Protocol on Strategic
Environmental Assessment. Kiev: United
Nations Economic Commission for Europe &
Regional Environmental Center for Central
and
Eastern
Europe.
http://www.unece.org/env/eia/sea_manu
al/documents/
SEAmanualDraftFinalApril2007notags.pdf/.
Croitoru, L., and M. Sarraf. 2010. The Cost of
Environmental Degradation: Case Studies from
the Middle East and North Africa. Washington,
DC: World Bank.
Department for Communities and Local Government.
2009. Multi-Criteria Analysis: A Manual.
London:
Eland
House.
http://www.communities.gov.uk/documen
ts/corporate/pdf/ 1132618.pdf/.
137 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
138 | P a g e
Table 1: Comparison of Selected Tools that Could Be Used in Different Processes for Setting Priorities
Tool
What is this tool?
Tools that help in prioritizing issues
Cost of
Uses economic valuation to measure
environmental
the lost welfare of a nation due to
degradation
environmental degradation. Such a
loss may include loss of healthy life
and well-being (premature death,
absence of clean environment),
economic losses (reduced soil
productivity), and loss of
environmental opportunities
(reduced recreational value for
beaches, forests).
What is the lost welfare as a result of
environmental degradation?
Natural capital
Uses economic valuation techniques
and ecosystem
to measure value of services
accounting
provided by ecosystems. Ecosystem
accounting seeks to integrate value
of these services into national
accounts.
How much do ecosystem services
contribute towards welfare?
Macro-economic
Wealth Estimates measure a
indicators
country's total wealth as composed
of produced and natural capital, and
human resources. Adjusted Net
Saving is an indicator of the
sustainability of an economy.
Advantages/strengths
Limitations
139 | P a g e
Tool
Comparative risk
assessment
140 | P a g e
Advantages/strengths
immediate feedback on an annual
basis about the direction of the
economy.
ANS particularly useful for
resource-rich countries.
Possible to compare several
pollutants in terms of their health
risks.
Differentiates actual risk from
potential exposure.
Limitations
Tool
Advantages/strengths
otherwise might be difficult to
compare.
Limitations
regarding methods used within
CBA, such as contingent
valuation.
141 | P a g e
Environmental
Regulation and
Standards,
Monitoring,
Inspection,
Compliance, and
Enforcement
compliance
quite
often
requires
use is
Introduction
Environmental regulation and standards refer to the
142 | P a g e
environment.
The
kinds
of
permits
that
Standards
have
typically
been
expressed
in
designed
Environmental Standards.
and
used
to
control
or
prevent
are
explicit
environmental
health
agreement
problems.
on
Standards
environmental
quality
conventions
(for
example,
Basel
143 | P a g e
the problem.
consistent and
clear,
but the
development of
and
participate
for
or
consideration
of
both
environmental
and
other
stakeholders
within
significantly
in
authorities
and
civil
problem
society
the
society.
always
should
design
and
Avoiding
seems
an
environmental
good
policy.
Monitoring. The monitoring of activities or agents
It has also been argued that if a standard is set to
internalize
avoid
environmental
costs
and
144 | P a g e
for
leads
Adequate
to
monitoring
biased
diminishes
results,
as
the
some
need
important
proper
balance
balance
in
the
of
Furthermore, in some
not
sought
development
is
standards,
be
standards
of
should
adequately
between
addressed
in
unless
non-compliance
has
other
145 | P a g e
the effect their particular action has upon the firm and
solution
depends
more
on
how
coordinated
the
particular
compliance
is
practices.
inspection
is
standardization
with
direct
process,
through
regulation
than
voluntary
on
and
instruments
in
146 | P a g e
Timelines.
Best
practices
discharges.
economically feasible
this
has
come
with
technology.
differential
Local Knowledge.
147 | P a g e
agents
are
in
compliance
with
applicable
148 | P a g e
box 4).
Programa
de
www.PROFEPA.gob.mx).
(PROFEPA,
Industria
Limpia,
creates
In such
situations
of
complementarity.
to
commitment
to
achieve
This
has
led
to
similar
shortcomings.
that
treatment).
149 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
150 | P a g e
Environmental
Impact
Assessment
environmental
standards
by
identifying
if
the
impacts
to
comply
with
standards.
Introduction
management
through
EIA facilitates
its
link
to
range
of
policy
environmental
assessment
process
would
assessment
report,
including
151 | P a g e
the
administrative
countries.
environmental
and
design
of
mitigation
measures;
and
process
that
helps
decision-making
incorporate
processes
are
2005).
conditions
have
generated
various
environmental
multi-lateral
Bank
ten
Nature of EIA.
defined
sustainability
introduced
152 | P a g e
EIA
as
for
one
of
its
through
positive
or
negative
lists
in
by
the
legal
opportunities
for
framework
public
without
input
(for
providing
example,
Colombia).
153 | P a g e
Public
is
and
government decisions).
responsibility
shared
by
sectoral
Participation
and
Public
Disclosure.
supervising
in
example,
EIA
preparation.
For
example,
the
EU
directive
was
modified
to
(EC
2009);
public
hearings;
and
creation
of
154 | P a g e
One major
countries
is
increased
public
discussion
and
hearing
technical
report
focused
on
preparation
of
is
conducted;
however,
NGOs
often
to
public
involvement.
An
overall
regulatory
be
established.
This
framework
is
an
requirement
from
public
hearing
to
public
public
discussion
could
focus
on
allegedly
required
capacity
includes
knowledge
of
Management Objectives.
over-emphasized
for
achieving
environmental
of
environmental
policy
including,
155 | P a g e
framework
environmental
the
broader
impact
of
an
toolkit
integrated
of
environmental
responsible
authorities.
For
example,
in
limiting
to
Time-Intensive Process.
the
responsible
authoritys
ability
coupled
with
an
absence
of
baseline
with
other
policy
tools
and
mechanisms
for
value
to
the
environmental
planning
and
156 | P a g e
provides
an
important
avenue
for
recourse.
Furthermore,
public
participation
is
enhanced
SEA
extends
the
application
of
157 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
158 | P a g e
2.2.
159 | P a g e
Environmental
Management
Systems
traded
companies,
public-private
national
and
sub-national
levels
(such
as
Introduction
An environmental management system (EMS) is a
tool to implement a structured program of continual
improvement in environmental performance. An EMS
follows procedures drawn from established business
management practices and principles of quality
management systems. The concept is straightforward.
If their management commits to, and supports, EMS,
then large companies, small and medium-sized
enterprises
(SMEs),
and
privately
owned
160 | P a g e
in
its
intent.
It
should
provide
an
to
understand
the
social
and
improvement
structured
in
program
environmental
of
continual
performance.
An
EMS
must
implementation,
include
cycle
monitoring,
and
of
planning,
management
The
planning
stage
involves
stays on track.
the
Bank
Group,
and
other
international
financial
these
and
policies.
Almost
in
parallel
with
the
sustainable.
These
organizations
generally
161 | P a g e
its
workers,
regulators,
local
communities,
and
communication
the
general
requires
public.
some
The
Effective
level
of
162 | P a g e
of
pollution
by
avoiding,
prevention
the
overall
environmental
it,
irrespective
of
their
level
of
environmental maturity.
Eco-Management
and
Audit
Scheme
therefore
also
means
of
demonstrating
that
the
before
implementing
the
management
system;
organization
demonstrate
standard.
will
decide
how
to
163 | P a g e
have
performance.
resources
boundaries.
an
(International
These
mechanisms
Accreditation
include
Forum,
IAF)
that
limited
knowledge
Furthermore,
to
regarding
SMEs
dedicate
to
how
have
their
limited
environmental
appropriate
Multilateral
MLA).
such
and
managers,
Recognition
as ISO
Requirements
17021
for
Arrangement,
(Conformity
bodies
providing
administrators, and
certification
body.
An
assessment
audit
auditors
enterprise
of
the
infrastructure
is
less
available
or
considering
relevant standard.
often
perceive
164 | P a g e
environmental
management
as
organization
national bodies.
performance.
3)
in
terms
of
environmental
improvement
4)
its
environmental
of
5)
overall
performance,
including
and
quality-based
management
Management
procedures
communication,
reporting
systems
for
require
document
internal
systems
similar
and
audit
non-conformances,
types
record
and
and
as
of
control,
inspection,
implementing
Staff.
necessary:
1)
Obtain
an
EMS
and
documenting
the
and
maintain
management
commitment.
2)
running
what
really
matters
for
the
165 | P a g e
Costs.
impacts,
and
achieve
continual
will
allow
management
to
Compliance Awareness.
Support.
Local
business
support
risks.
Adoption
of
an
EMS
can
enable
166 | P a g e
Economic Performance.
Multinational
area.
measures
contractors
waste
economic
to
the
Simple,
low-cost
disposal.
performance
housekeeping
Quantification
improvements
of
due
corporations
and
with
suppliers
operations
or
environmental
trade
barrier
(see
box
1).
The
Changes
in
Environmental
Attitudes
and
167 | P a g e
training
and
internal
communication
on
Time Commitments.
too
commitment
in
corporate citizen.
to
continual
improvement
much
documentation.
However,
the
data
community,
prevent
and
address
community
create
positive
social
change.
Finally,
Financial advantages
make
commitment
to
specific
environment
commitment.
land).
This
may
increase
the
Conversely,
poor
environmental
168 | P a g e
production
addressing
are
all
organization-wide
aspects
of
the
concepts
organizations
surrounding communities.
Public Involvement.
performance.
169 | P a g e
Zimbabwe.
company
allocated
amount.
identified
water
serve as a resource.
In
operating
response,
conservation
two
the
sugar
company
measures.
The
http://www.smetoolkit.org/smetoolkit/en/content/
en/279/Creating-an-Environmental-ManagementSystem-EMS-.
of
funded
projects
and
takes
on
170 | P a g e
(International
Accreditation
Forum),
International Accreditation Forum, Inc.,
IAF, http://www.iaf.nu/.
A
Handbook,
EEA,
http://www.eea.europa.eu/publications/G
H-14-98-065-EN-C/.
EMAS (EU Eco-Management and Audit Scheme),
EMAS Toolkit for Small Organizations,
EMAS,
http://ec.europa.eu/environment/emas/to
olkit/.
171 | P a g e
Assessment
and
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
172 | P a g e
Cleaner
Production
Introduction
UNEP
DTIE
Nations
Environment
pollution
prevention,
and
eco-
product
design,
and
then
moving
to
173 | P a g e
Examples
Conduct a CP assessment.
worker
while
improving
industrial
efficiency,
the CP assessment.
benchmarking
of
performance
and
174 | P a g e
those
applied
to
internal
operations
challenges
in
data
collection,
analysis,
When
corporate
beyond
implemented
the
within
immediate
total
confines
of
the
CP
performance objectives.
control, can get the quickest results, and see the direct
or
sell
outside
their
own
operations.
These
175 | P a g e
Champion.
consultants,
representatives
from
shop
floor,
participate
implementing
problem
Companies
environment is essential.
When
the
unit
stymies
making
CP
performance.
in
identifying
changes
in
opportunities
process.
and
clear
performance targets.
generally to CP.
176 | P a g e
categories,
and2010.
thus cannot be seen as separate
Source: Prindle
organization-wide
of
system
that
tracks
units
performance measurement.
considers
critical
to
its
overall
177 | P a g e
making
physical
and
environmental
CP
investments
Companies
have
provide
found
into
bottom
that
line
value.
well-crafted
CP
account.
These
co-benefits
are
summarized in figure 2.
CP
investments
provide
reputational
value.
178 | P a g e
accomplishments
that
increase
efficiency-driven
CP
brings
top-line
benefits:
uptake of CP:
Perception
of
risk
of
implementing
rates
associated
with
projects,
high
179 | P a g e
CP
projects
to
improve
energy
180 | P a g e
181 | P a g e
Nations
Industrial
Development
Organisation
United Nations Environmental Programme (UNEP)
National Cleaner Production Centre (UNIDO
NCPC)
UNIDO and UNEP have joined forces to
help introduce Cleaner Production in
developing countries and countries in
transition. The UNIDO/UNEP Programme
for National Cleaner Production Centres
(NCPCs) is a unique program of capacity
development to help achieve adoption and
further development of the Cleaner
Production concept at the national level.
www.unido.org/index.php?id=o5133
http://www.unep.org/resourceefficiency/
Home/tabid/214/language/frFR/Default.aspx
US Department of Energy Office of Energy
Efficiency and Renewable Energy
Best Practices Case Studies
http://www1.eere.energy.gov/industry/be
stpractices/case_studies.html
The U.S. Department of Energy (DOE) Save
Energy
Now
Program
http://www1.eere.energy.gov/industry/sa
veenergynow/
182 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
183 | P a g e
Targeting
Occupational
Health and Safety
Introduction
Occupational
of
Health
adopted
definition
184 | P a g e
control measures.
equipment.
185 | P a g e
Advocacy
for
behavior-based
safety
has
also
of
Geller 2004).
improving
occupational
health
and
safety
systems
promote,
enable
System
complete
employees
training.
effectiveness
facilitate,
comes
and
from
and
the
managers,
(b)
behavioral
success
include
(a)
multilevel
teams
for
the
environment
as
186 | P a g e
to
support
safe
behavior
and
having
149
employees
and
medium-sized
in
management system.
relation
to
the
costs
associated
with
the
adequate training.
training
from
the
or
It is a good
government,
Management
Commitment
and
Employee
Involvement. The manager or management team leads
the way by setting policy, assigning and supporting
responsibility, setting an example, and involving
employees.
have
an
occupational
health
and
safety
187 | P a g e
likelihood
of
accidents
and
unsafe
working
conditions.
motorcycles
applications,
wear
crash
helmets).
Where
such
for
insurance
and
other
audits.
businesses
include
their
not carry
proper
occupational
sometimes
health
and
fail
safety
to
within
and
188 | P a g e
and
economic
legal
work-related
benefits,
and/or
to
satisfy
safety
management
hazards,
should
there
are
be
directly
commercially
these
and
systems
discrimination,
improve
reduce
staff
performance
workers
compensation
businesses
successfully.
These
other
structures
189 | P a g e
is technically possible.
Many
(OHSAS)
compliance.
18001:2007,
the
American
National
governments
have
established
national
from
requirements
of
clients
that
have
their
lack
of
compliance
with
government
own
to
occupational
health
and
safety
190 | P a g e
China.
After
introducing
these
practices,
191 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
192 | P a g e
193 | P a g e
Sustainability in
the Supply Chain
Introduction
coordination
and
collaboration
with
partners
of
inputs,
the
processing
integrate
major
intermediaries,
third-party
service
and
management aims
suppliers,
business
of
completed
goods
and
services
to
194 | P a g e
consumer
awareness
and
increased
Primary Source
Primary
Distribution
Labor Use
Processing
Processing
Energy Efficiency
Pollution Prevention
Biosecurity
Social Impacts Such as Indigenous People,
Displacement
Retailer
(Final products)
Water Use
Manufacturing
Supply
(Intermediate
products)
Loss of Biodiversity
Consumer
Secondary
Forest Conversion and Land Use
Distribution
Sustainable Use of Living Resources
involved
sourcing,
in
the
planning,
is
thus
becoming
an
integral
195 | P a g e
monitoring;
Plan
supply
chain
partners
and
to
improve
the
related
supply
(available
chain.org/).
services;
to
chain
SCC
improvement
members
at
activities
http://supply-
and
5)
196 | P a g e
PLAN
Environmental
Cost Accounting
Environmental
Life Cycle
Analysis
Design for
environment
principle
SOURCE
Environmental
Management
Systems (EMS)
Environmental
auditing by 3rd
party or buyer
Certification
MAKE
RETURN
DELIVER
Pollution
prevention, for
example,
substitution,
product
modification,
recycling
Environmental
management,
e.g., ISO14001
Green logistics
Reverse logistics
activities for post-sale
products and materials
Remanufacturing
process to clean, repair
and restore durable
products for resale
Recycling to reuse
materials
or
(for
materials,
have
short
supply
example
chains
smallholder
processing
and
which
may
agricultural
manufacture
of
197 | P a g e
supply chain.
Downstream
enterprises
requiring
knowledge,
greater
power,
operations
defining
and
sharing
of
alternatives,
implementation
and
of
resulting
with
in
multiple
greater
tiers
of
industry
joint
selected
sustainability initiatives.
198 | P a g e
and
chain.
operations.
potential
suppliers.
However,
in
development,
compliance
environment.
with
firms
legal
As part of E&S
typically
and
assure
regulatory
Firms may
include
contracts
E&S
with
performance
requirements
their suppliers.
in
Often such
requirements.
Where
appropriate,
the
firm
can
develop
the
capacity
to
meet
requirements.
Requiring
Certification
for
Established
E&S
Standards
199 | P a g e
Enviro-Mark (web-based).
A firm may
represent
environmental
a
and
substantial
social
contributor
issues,
this
to
being
supply
chain
management
policy
and
procedures.
With regard to E&S sustainability of supply chains, it
E&S Reporting
reporting requirements.
Capacity Building
Requiring E&S
or
of
otherwise
E&S
seek
third
performance,
party
use
of
200 | P a g e
Finally,
in
certain
sectors,
aspect
outlined below:
reputation.
Market Demand
aware
concerned
of
and
with
the
E&S
E&S
of
establishing
Legislation
Environmental
and
and
and
maintaining
Regulatory
Requirements
social
legislation
and
July
producers
where
sustainable
of
promoting
enterprises
voluntary
source
sustainably,
sources.
commodity
The
and,
proliferation
standards
2006;
Waste
Electrical
subsequently
pass
and
on
Electronic
to
their
As market
As noted
Assessment
of
supplier
use
of
resources
201 | P a g e
supply chain.
Cost
into the supply chain involves costs for the firm and
chain
market
sustainability
requirements
in
day-to-day
Defining Boundaries of Responsibility A firms position
operations
through
contracting,
sustainability.
Chain of custody
202 | P a g e
Cleaner Production
Corporate
Environmental
Responsibility Programs
http://www.duurzamehandel.com/en/idhpublications
and
Social
Internet Sources
A leader in
Professionals
(CSCMP)
services
its
for
provides
members
resources
through
and
mentoring,
Founded in
Sedex, the
organizations
make
dramatic
and
rapid
203 | P a g e
www.supply-chain.org
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
204 | P a g e
Stakeholder
Engagement and
Grievance
Mechanisms
outcomes
through
early,
ongoing
direct
stakeholder
Introduction
impacts
expectations
or
may
benefits.
These
require
project
open
and
constructive
relationship
with
or
projects
management
of
its
from
decade
means
of
meeting
mitigation,
last
short-term
The
has
seen
fundamental
and
identification
of
new
business
Definitions
The following terms are often found in the literature
on stakeholder engagement:
and
representatives,
their
national
formal
or
local
or
informal
government
205 | P a g e
Stakeholder Mapping:
projects stakeholders.
Grievance:
1.
Initiated
Early,
Continues
through
Project
Completion
resolve.
2.
Interaction with
affected
by
project.
Stakeholder
timetable,
responsibilities.
engaging
systematic
stakeholders,
3.
budget,
and
allocation
of
including
consultation,
relations,
information
These
engagement,
terms
external
have
been
used
loosely
and
approach
grounded
in
business
206 | P a g e
Inclusive
inadequate.
5.
6.
trustworthy.
Proactive
7.
Grievances Managed
Effective stakeholder
shows,
participatory
can be analyzed.
comic
books,
expert
monitoring,
presentations,
and
mock-ups.
stakeholders.
Stakeholder Consultation
between
the
project
This is a dialogue
(including
third-party
determining
who
your
This
project
relationships
over
time.
For
projects
with
Information Disclosure
means
being
forthcoming
with
207 | P a g e
stakeholder
facilitating
from coercion
they
legitimate
can
be
informed
participants
during
relationships
mutually
is
important
acceptable
and
must take
community
to
outcomes.
place
with
representatives;
positive
and
negative
impacts
to
develop
informed opinions.
Grievance Management
A grievance mechanism
Indigenous
companys
and
their
customary
lands
under
use,
integrate
process
the
of
various
stakeholder
elements
of
early
many
affected
countries,
as
with
many
financial
stakeholders
in
monitoring
any
regulatory
or
procedural
requirements
for
broader
and
quality
company
communication
208 | P a g e
with
of
communities.
Such
Management Functions
Increasingly, good
engagement
its stakeholders.
activities
into
companys
Reporting to Stakeholders
is
to
consultations
business
important.
stakeholder
relationships,
The
same
engagement.
follow-through
principle
Once
applies
209 | P a g e
210 | P a g e
Grievance Mechanisms
Procedure
Is
Formalized
Grievances
are
stage.
stakeholders.
The
system
provides
learning
Proportionality
it
grievances.
creates
opportunities
for
companies
and
of
the
and
environmental
cultural
improvements.
attributes
and
as
well
subgroups
as
are
traditional
addressed
appropriately.
The grievance
understandable.
Methods
site.
for
The
mechanism
achieving
this
can
must
be
include
211 | P a g e
and
where necessary.
physical
protection
of
complainants,
affected community
Redress Mechanism
oversight;
1.
know
managing it.
who
can
raise
grievance,
where
or
Staffed
and
Budgeted
Appropriate Protection
The
company
A grievance mechanism
2.
The
share
the
harm.
their
concerns
freely,
with
212 | P a g e
options.
3.
Regardless
of
the
outcome,
all
For a
5.
Grievance Mechanism
ownership.
management,
become
In
In
involved
these
in
cases,
the
investigation.
communities.
complex
and
controversial
issues,
Benefits
of
Stakeholder
Engagement.
has
benefited
Projects
that
both
apply
projects
and
stakeholder
213 | P a g e
relevant stakeholders.
the
promoting
as
information.
mechanisms
for
holding
the
company
overall
cost
of
stakeholder
project
development
support,
and
by
reducing
Stakeholder engagement
degree
Risk Management
to
which
stakeholder
engagement
is
Stakeholders often
Companies need to
preexisting
project
measures.
expectations
has
adequate
are
from
mitigation
the
outset
enables
yet
dynamic
environment
with
ISO Certification
214 | P a g e
Organizational
and
are
staffing
and
and
Social
budgeting
Environmental
Corporate
National Laws.
project
innovative
proponents
to
develop
Equator Principles.
through
the
voluntary
participation
of
several
215 | P a g e
Stakeholder Engagement
mandate
that
communities
be
and
environmental
management
system.
ISO 14001.
standard
that is
framework
for
sound
and
certification
by
independent
for
responding
to
receiving,
documenting,
communications
from
and
external
consider
externally
communicating
216 | P a g e
AccountAbility.
2011.
AA1000SES
Stakeholder
Engagement Standard.
http://www.accountability.org/standards/
aa1000ses/index.html
ADB (Asian Development Bank). 2006. Strengthening
Participation for Development Results: A Staff
Guide to Participation and Development.
Manila, PH: Asian Development Bank.
http://socialimpact.com/forconsultants/downloads/strengtheningparticipation.pdf
Business for Social Responsibility. 2003. Issue Brief:
Stakeholder Engagement.
http://www.bsr.org/en/ourinsights/reports
Darby, L. Social, Ethical and Environmental
Disclosure An Introduction to Current
Trends and Thoughts for the Future.
Cardiff,
UK:
Centre
for
Business
Relationships, Accountability, Sustainability
&
Society.
www.brass.cf.ac.uk/uploads/caseedld0203.
pdf
Dialogue Matters. Wye, UK: Dialogue Matters.
http://www.dialoguematters.co.uk/index.asp
Equator Principles Association. 2011. London, UK:
Equator
Principles
Association.
http://www.equatorprinciples.com/index.php/membersreporting/members-and-reporting
Grayson, D. 2009. Stakeholder Engagement and
Corporate Responsibility. Cranfield, UK:
Cranfield University School of Management.
www.som.cranfield.ac.uk/som/p13903/thin
k-cranfield/stakeholder-engagement-andcorporate-responsibility
Herbertson, K., A. Ballesteros, R. Goodland, and I.
Munilla. 2009. Breaking Ground: Engaging
Communities in Extractive and Infrastructure
Projects. Washington, DC: World Resources
Institute.
http://pdf.wri.org/breaking_ground_engag
ing_communities.pdf
Grievance Mechanisms
CAO
(Office
of
the
Compliance
Advisor/Ombudsman).
2007.
Building
Consensus: History and Lessons from the
Mesa de Dilogo y Consenso CAOCajamarca, Peru. Washington, DC: Office of
the Compliance Advisor/Ombudsman.
CAO
(Office
of
the
Compliance
Advisor/Ombudsman). 2008. A Guide to
Designing
and
Implementing
Grievance
Mechanisms
for
Development
Projects.
Washington, DC: Office of the Compliance
Advisor/Ombudsman.
EBRD (European Bank for Reconstruction and
Development). 2005. Independent Recourse
Mechanism. Addressing Local Community
Concerns About EBRD-financed Projects.
London,
UK:
European
Bank
for
Reconstruction
and
Development.
http://www.ebrd.com/downloads/researc
h/policies/irml.pdf
ICMM (International Council on Mining and Metals).
2009. Human Rights in the Mining & Metals
Industry: Handling and Resolving Local Level
217 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
218 | P a g e
Corporate
Environmental
and Social
Responsibility
Programs
Introduction
The term Corporate Environmental and Social
Responsibility (CESR) has multiple definitions and
many
synonyms
Responsibility
Corporate
including
(CSR),
Corporate
Corporate
Citizenship,
or
Social
Accountability,
simply
Corporate
philanthropy;
as
component
of
and
environment,
activities
through
on
society
transparent
and
and
the
ethical
behavior that:
219 | P a g e
stakeholders;
of behavior;
and
is
integrated
organization
and
throughout
practiced
in
the
its
relationships.
Adopting strategic approach to CESR does not mean
anti-bribery and
anti-corruption
measures;
clean and alternative
technologies;
community
development and
investment;
corporate
governance and
ethics;
corporate
philanthropy and
employee
volunteering;
fair and ethical
trade;
that for
220 | P a g e
sustainability
by
the
efforts
to
be
companys
core assets
and
expertise.
the
supported
1)
should
be
taken
into
consideration
when
strategy.
At
integration,
this
stage,
engagement
particularly
with
with
senior
senior
221 | P a g e
2)
the firm.
4)
firm.
5)
3)
Define
CESR
Design
Parameters.
Before
to
222 | P a g e
an
organizations
public
relations
and
6)
range
and
implementation,
of
partners
communication
including
and
and
in
NGOs
subsequent
reporting.
The
CESR
dialog
and
engagement
effective
learning
resources
for
companies
between
programming
with
the
local
community.
7)
programs
embody
the
idea
that
for
by
the
companys
core assets
and
expertise.
CESR
reporting
and
communicating,
223 | P a g e
companies
invest
in
addressing
key
competitiveness,
and
higher
224 | P a g e
demonstrable
environmental
and
social
performance.
Employee Motivation
profile,
Access to Investment
In some
Table 1. Comparative Analysis of Different CESR Tools for Creating a Business Case
Strategy
Materiality
Assessment
ISO 26000
PRI
CERES
OECD
UN Global
Compact
Equator
Principles
GLN
GRI
BSR
SA 8000
Management
Consultants
DJSI
FTSE4Good
Bovespa
Sustainability Index
Source: AccountAbility Web site.
Implementation/
Planning
Integration
Global
Learning
Accounting
Benchmarking
Risk
Assessment
responsibilities.
implementation.
different groups.
1)
Global Compact.
2)
3)
225 | P a g e
226 | P a g e
potential partner.
and
building
the
capacity
of
the
local
with
the
communities
to
ensure
the
Chile.
its
parameters.
The
mining
company
and
guidelines
for
how
the
social
United
States.
Ford
Motor
Company
selected
AccountAbility,
AccountAbility:
Setting
the
Standard for Corporate Responsibility and
Sustainable Development, AccountAbility,
http://www.accountability.org.
(Strong
focus on stakeholder engagement standards.
Based in the UK, USA, China and Brazil.)
Boston College Carroll School of Management,
Center for Corporate Citizenship, Boston
College Carroll School of Management,
http://www.bcccc.net.
BSR, BSR: The Business of a Better World, BSR,
http://www.bsr.org. (USA thought leader
and consultant for CSR also based in Europe
and China.)
MIT Sloan Management Review, Sustainability &
Innovation, MIT Sloan Management Review,
http://sloanreview.mit.edu/sustainability/.
(Together with Boston Consulting Group the
MIT based think tank focuses on research
based around sustainability)
SNV (Netherlands Development Organization),
SNV:
Netherlands
Development
Organization,
SNV,
http://www.snvworld.org. (Since 1965,
Dutch development organization present in
35 emerging market countries with the aim
for the private sector to reduce poverty)
SustainAbility,
SustainAbility,
SustainAbility,
http://www.sustainability.com. (Started up
by the influential John Elkington. Focus on
CESR as a strategy for shared value. Offices
in London, USA, India and China)
WBCSD (World Business Council for Sustainable
Development), wbcsd: Vision 2050,
WBCSD,
http://www.wbcsd.org.
(Established
since
1992
by
Swiss
entrepreneur. Advocate for sustainability in
the private sector.)
227 | P a g e
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
228 | P a g e
2.3
Financial Institutions
229 | P a g e
Environmental
and Social Policy
for Financial
Intermediaries
for FIs, and outlines ways FIs can reduce E&S impacts
to
improve
their
business
sustainability
and
an
environmental
and
social
Introduction
The objective of this Guidance Note is to inform
financial intermediaries (FIs) and other interested
parties about the role of FIs in reducing pollution and
managing other adverse environmental and social
(E&S) impacts of their financing activities. This Note
presents an overview of E&S risks and opportunities
230 | P a g e
requirements.
clients
or
financing
activities
will
meet
the
The
subsequent
monitoring)
of
the
clients
E&S
E&S covenants.
corrective
appropriately mitigated.
actions
as
conditions
of
(first
or
231 | P a g e
requiring
periodic
reports
from
clients
and
at
the
individual
transaction
level,
and
To
monitor
E&S
countries.
corrective
actions
and
ongoing
the
from
ESMS
ESMS
coordinators
232 | P a g e
officer
could
responsible
have
for
assistance
day-to-day
233 | P a g e
Resource
Management
Waste Management
Human Capital
3)
or
environmentally
preferable
4)
Market devaluation.
required
by
environmental
devaluation of assets.
5)
Poor reputation.
following channels:
1)
Disruption of operations
A clients operations
community
and
operational
delays
or
such
as
high
communities,
staff
or
turnover,
changing
protest
by
environmental
products or services.
Management
of
E&S
Risks
to
Financial
Legal issues.
should
described below.
234 | P a g e
take
into
consideration
1)
Liability risk
4)
Reputational risk
contamination.
If
the
FI
is
principal
image
in
the
broad
public,
including
its
E&S risks.
2)
funds or do business.
faces
with
increased
costs
of
complying
Market risk
235 | P a g e
Forestry operations
Breweries
Software development
Cement manufacture
Consulting firms
Dairy operations
Service industries
Food processing
Technical assistance
Share registries
Hospitals
Stock broking
Hotel/tourism developments
Retail banking
Metal plating
Textile plants
development opportunities.
addressed
through
mitigation
measures;
and
Implementing an E&S
236 | P a g e
sustainability.
Challenges. Understanding and managing E&S risks
New Business Opportunities. Implementing an ESMS
is
ESMS
energy
the
important
for
risk
production
management.
and
distribution,
For
Competitive Advantage.
example,
in a
survey
conducted
by
the
implementation of ESMS.
advantages.
business;
particularly
investors
and
lenders,
237 | P a g e
disclosure,
tools.
land
These
use
include
planning,
respond
incorporating
or
technologies
into
to
promoting
their
global
drivers
by
E&S
standards
or
lending
or
investment
management
FIs
information
market-based
Environmental Licensing,
Planning,
Market-Based
Land
Use
Instruments/Economic
238 | P a g e
policyreview.nsf/Content/SafeguardPolices
Update/.
Organisation for Economic Co-operation and
Development, Guidelines for Multinational
Enterprises, Organisation for Economic Cooperation
and
Development,
http://www.oecd.org/dataoecd/12/21/190
3291.pdf/.
Social Accountability International, SA 8000 Social
Accountability
Standard,
Social
Accountability
International,
http://www.sa-intl.org/.
Socioeconomic Data and Applications Center,
Environmental
Sustainability
Index,
Columbia
University,
http://sedac.ciesin.columbia.edu/es/esi/.
United Nations, United Nations Global Compact,
United
Nations,
http://www.unglobalcompact.org/.
United Nations Environment Programme, UNEP
Statement by Financial Institutions on the
Environment
and
Sustainable
Development,
United
Nations,
http://www.unepfi.org/
signatories/statements/fi/.
World
Bank.
2010.
Smart
Growth,
Firm
Competitiveness,
and
Pollution
Management:
Guidance
Note
on
Environmental
Management
Systems.
Washington, DC: World Bank.
World Business Council for Sustainable Development,
Financial
Sector
Statement,
World
Business
Council
for
Sustainable
Development,
http://www.wbcsd.ch/plugins/
DocSearch/details.asp?type=DocDet&Object
Id=MTc3/.
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
239 | P a g e
240 | P a g e
2.4
Judiciary
241 | P a g e
Role of Judiciary
in Pollution
Management
Introduction
environmental
laws
they
can
be
Prevention, control,
242 | P a g e
2
Rylands v. Fletcher, 3 H. & C. 774, 159 Eng. Rep. 737 (1865)
revd in Fletcher v. Rylands, L.R. 1 Ex. 265 (1866), affd in
Rylands v. Fletcher, L.R. 3 H.L. 330 (1868).
3
See RESTATEMENT (SECOND) OF TORTS 519 (1977).
243 | P a g e
schools
abnormally dangerous.4
environmental law.
pay
the
treaties
for
the
and
damage
in
they
cause
non-binding
to
international
in
providing
instruction
on
instruments.
instruction
in
acceptance
as
law
a
schools,
topic
first
worthy
of
gaining
specific
workshops
institutions
in
international
developed
are
also
actively
environmental
involved
law.
The
to
educate
several
judges
important
about
resources
Nature
of
(IUCN)
has
an
Academy
244 | P a g e
Mediation
is
intended
to
facilitate
solutions.
Network,
and
International
Network
for
evaluate
summary
no
difficult
or
to
observe
(i.e.
atmospheric
the
strength
trial
consensus
of
involves
is
reached,
their
case,
non-binding
anonymous
The
that
Court-annexed
arbitration
means
parties
typically
exchange
written
245 | P a g e
to
further
neutral evaluator.
inform
its
participation
on
relatively
of
small
but
increasing
number
funds
specialization
to
of
pay
judicial
for
training
officers
and
for
for
banks,
and
foundations,
but
Regardless
246 | P a g e
of
whether
judges
have
had
three
of
UNEP
Volumes
of
Training
UNEP
Manual
Compendia
on
International
Information
Network
(GLIN)
http://www.glin.gov/search.action
public
original
languages.
Each
document
is
recent
GLIN.
judicial cooperation.
several
regions.
increasing
Judges
in
expertise
of
judges,
increase
networks.
professional
information
and
other
environmental
law
and
provide
assistance
on
Several
(CEL)
is
network
of
experts
in
http://www.iucn.org/about/union/commissions/cel/ (last
visited January 31, 2010).
6
http://www.iucn.org/about/union/commissions/cel/cel_wor
king/cel_wt_sg/cel_sg_judiciary/ (last visited January 31,
2010).
7
http://www.inece.org (last visited January 31, 2010).
8
George (Rock) Pring and Catherine (Kitty) Pring, Specialized
Environmental Courts and Tribunals
at the Confluence of Human Rights and the Environment, 11
Oregon Review of International Law (2009), George (Rock)
Pring and Catherine (Kitty) Pring, GREENING JUSTICE: CREATING
AND IMPROVING ENVIRONMENTAL COURTS AND TRIBUNALS, WRI: The
Access Initiative (2009).
247 | P a g e
of
cases,
of
judges
environmental
1.
2.
3.
4.
and
avoiding
marginalization
may
be
available
cases
if
to
the
handle
non-
environmental
whose
diversion
might
alleviate
Id.
Id. referencing Report of the Federal Courts Study
Committee, reprinted at 22 CONN. L. REV. 733
(1990).
10
248 | P a g e
resolving
Bangladesh.
environmental
disputes
fairly,
249 | P a g e
Transparency
and
accountability
of
the
judiciary
250 | P a g e
11
in
both
civil
and
common
law
potential
defendants
significantly
administered.
in
and
training
highly
and
technical
otherwise
courts
Decision-Making
in
and
Access
to
Justice
that
no
longer
handle
complex
specialized
courts
because
their
decisions
251 | P a g e
itself
in
the
technical
details
of
post-graduate
training
judiciary is needed.
for
the
252 | P a g e
253 | P a g e
254 | P a g e
Global
IUCN
IUCN
Environmental
Law
Programme,
http://www.iucn.org/about/work/pro
grammes/environmental_law/
Academy of Environmental Law,
http://www.iucnael.org/
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
255 | P a g e
256 | P a g e
2.5
257 | P a g e
Promoting Active
Citizenry
Public Access to
Information
and
responding
to
inquiries,
pollutions
negative
effects
on
the
environment.
Introduction
principles
such
participation,
information
empowers
citizens
to
make
of
access
and
(access
justice).
Such
to
information,
principles
are
258 | P a g e
for
access
to
information;
public
toolkit,
The
Open
Society
Institute
Access
to
information.
these
registers
inventory
potentially
hazardous
259 | P a g e
reports.
Many
education.
emergency
warning
systems,
and
dedicated
Scores
are
through
applied
to
questionnaires
different
information
and
user
community
report
card
incorporates
the
CRC
is immediate.
260 | P a g e
and
Media Training.
democracy
environmental
local
entities
to
implement
information
and
promoting
matters
and
transparency,
consequences
of
261 | P a g e
Many information
capacity
262 | P a g e
to
implement
such
systems
fully.
changes
in
FOI
laws
and
the
process
for
to
information,
not
just
documents.
Ideally,
minimal cost.
with
citizens.
Capacity-building
collect,
analyze,
and
disseminate
information to the public. Information must be up-todate, in a format that is easy to understand, and
263 | P a g e
Access to Information
Proactive Government
+
Information that is useful
+
Information that is widely disseminated
+
Timely response to public requests
+
Information is free to the public
to information. They
training,
promote
awareness
of
best
on
knowledge
and
best
practices
from
Since
pollution
governments
is
within
trans-boundary
an
affected
in
nature,
region
are
certain
change
in
the
behavior
of
challenge
to
implementation.
Financial
governments
instructions
for
how
to
the
publish
public
guidelines
may
or
request
264 | P a g e
265 | P a g e
266 | P a g e
https://www.infomex.org.mx/gobiernofede
ral/home.action.
JME (Japan Ministry of Environment), Water
Environment Partnership in Asia (WEPA),
Japan
Ministry
of
Environment,
http://www.wepa-db.net/index.htm.
Morse, J. 2006. Freedom of Information Laws Benefit
Government and Public. USINFO (Bureau
of International Information Programs).
http://www.america.gov/st/washfileenglish/2006/December/20061214160102aje
srom0.1726038.html.
OECD (Organisation for Economic Co-operation and
Development), Welcome to PRTR.net,
OECD, http://www.prtr.net/.
Petkova, E., N. Henninger, C. Maurer, F. Irwin, J.
Coyle, and G. Hoff. 2002. Closing the Gap:
Information, Participation and Justice in
Decision-Making
for
the
Environment.
Washington, DC: World Resources Institute.
Scorecard, Scorecard: The Pollution Information
Site,
Scorecard,
http://www.scorecard.org/.
TAI (The Access Initiative), The Access Initiative,
TAI, www.accessinitiative.org.
, Findings, TAI, http://accessinitiative.info/.
UNDP (United Nations Development Programme),
Governance in Post-Conflict Situations:
Access to Information, UNDP,
http://www.undp.org/oslocentre/docs04/
Access%20to%20Information.pdf.
, Media and Accountability: Promoting
Access to Information through Media
Development,
UNDP,
http://regionalcentrebangkok.undp.or.th/p
ractices/governance/MediaandAccountabili
ty.html.
UNECE (United Nations Economic Commission for
Europe),
Introducing
the
Aarhus
Convention,
UNECE,
http://www.unece.org/env/pp/.
UNEP (United Nations Environment Programme),
Rio Declaration on Environment and
Development,
UNEP,
http://www.unep.org/Documents.Multilin
gual/Default.asp?documentid=78&articleid
=1163.
State
of
Environment
Gateway,
http://www.grida.no/soe .
UNITAR (United Nations Institute for Training and
Research), United Nations Institute for
Training
and
Research,
UNITAR,
http://www.unitar.org/.
UNOCHA (United Nations Office for the
Coordination of Humanitarian Affairs),
Coordination,
UNOCHA,
http://ochaonline.un.org/ToolsServices/tab
id/1083/Default.aspx.
US EPA (United States Environmental Protection
Agency), EPA TRI: International TRI, US
EPA,
http://www.epa.gov/tri/programs/interna
tional/index.htm.
World Bank. 2004. Social and Development Notes:
Participation and Civic Engagement (No. 91).
Washington,
DC:
World
Bank.
http://siteresources.worldbank.org/INTPC
ENG/11433801116506267488/20511066/reportcardnote.pd
f.
, Citizen Report Card and Community Score
Card, World Bank,
http://web.worldbank.org/WBSITE/EXTE
RNAL/TOPICS/EXTSOCIALDEVELOPME
NT/EXTPCENG/0,,contentMDK:20507680~
pagePK:148956~piPK:216618~theSitePK:4103
06,00.html.
World Resources Institute. 2003. World Resources
Report 20022004: Decisions for the Earth:
Balance, Voice and Power. Washington DC:
World Resources Institute.
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution Management
Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
267 | P a g e
Promoting Active
Citizenry
Advocacy and
Participation in
Decision Making
Introduction
laws
and
policies
(such
as
permitting
268 | P a g e
When
systems
are
accessible,
the
public
has
making process.
of
public
participation,
and
prompt
known,
easy-to-reach
locations.
Electronic
include
full
environmental
impact
269 | P a g e
Wide perception that Aarhus Convention is a regional instrument, not a global one.
270 | P a g e
EIA
Diagnostic tools
Stakeholder Analysis
P ress conference,
radio
Focus group, town
hall
P assive
Consultative
P ower shared with citizens
Advisory Council
External
Water Association
Diagnostic tools.
process.
Some forms of
New
271 | P a g e
numbers
of
citizens
quickly.
These
forms
of
The
National
Pollution
Prevention
Roundtable
increase
participation
provide
transparency,
Consultative
public
forms
hearings
and
of
participation.
workshops.
Here
citizens
identified,
reaching
public
support
is
generated
and
the
policy
objective.
This
enables
are
community
information).
collaborative
fostered.
partnerships
Citizen
report
between
cards
and
groups
272 | P a g e
public
participation.
Participating
in
task
public
meetings;
information
Citizens
on
should
the
subject
have
being
thorough
workshops;
Participation is not
273 | P a g e
for
equal
and
fair
representation.
financial
resources.
Capacity
and
must
be
permitted
to
represent
executive bodies.
discussions,
institutional
Public
participation
can
also
increase
increase
capacity
awareness
and
and
strengthen
complement
more
simply
setting
up
mechanisms
for
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strategic policies.
regular
citizen
participation
and
Indonesia.
that
were
identified
were
attributed
to
watershed
and
increased
water
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The
planning,
assessment
and
publishes
environmental
data
through
open
and
closed
consultation
periods,
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permits?
The
site
offers
clear
Env&Social-Responsibility.pdf.
UNECE (United Nations Economic Commission for Europe),
Introducing
the
Aarhus
Convention,
http://www.unece.org/env/pp/.
United Kingdom Environment Agency, Whats In Your
Backyard,
http://www.environmentagency.gov.uk/homeandleisure/37793.aspx.
World Resources Institute. 2003. World Resources Report
2002-2004: Decisions for the Earth: Balance,
Voice and Power. Washington DC: World Bank
and World Resources Institute; New York: UNDP;
Nairobi: UNEP.
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
277 | P a g e
Promoting Active
Citizenry: Public
Access to Redress
and Legal
Recourse
Introduction
This Guidance Note presents tools that government
policy makers and leaders may use to engage citizens
and promote public action on matters relating to
pollution by providing public access to complaint
mechanisms, and by providing public access to legal
recourse. Appropriate complaint mechanisms provide
the public with avenues for seeking redress of their
278 | P a g e
These
approaches
include
legal
monitoring
and
enforcement,
and
international networks.
access
to
information
and
public
citizens
to
effectively
use
complaint
and
alternative
dispute
mechanisms.
Comprehensive
systems
providing
access
to
decisions,
the
monitoring
and
underrepresented
stakeholders
are
better
geographic
location
and
physical
279 | P a g e
Environmental
Impact
regulations.
further
For
Assessment
information,
(EIA)
see
the
Many
established
governments
are
program
investing
to
train
in
public
judges
on
280 | P a g e
Legal frameworks
Ghana Judicial
Services
Legal aid
Australia EDO
Chemical Weapons
Working Group
International networks
ELAW
access
to
justice
for
poor
and
vulnerable
approximately
half
were
successfully
group
has
also
advised
lawyers
and
281 | P a g e
information.
environment.
Earthjustice
monitors
US
efforts.
groups,
providing
free
legal
services
(see
In
an offense.
chemical
citizen
and
groups
282 | P a g e
involved
in
monitoring
warfare
and
toxic
materials.
As
partnerships,
and
collaborative
efforts
across
public
expertise,
citizen
these
groups
help
promote
interest
lawsuits
that
compelled
the
efforts
by
Worldwide
the
Environmental
(ELAW)
resulted
Law
in
Alliance
government
legal recourse.
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Table 1. Summary of Means for Promoting Active Citizenry through Redress and Legal
Recourse
Category /
Resources
Legal
frameworks
Example
FOIA, EIA
Description
Laws that
guarantee
the public's
right to
participate in
decisionmaking.
Application
National,
provincial, and
regional levels.
Pros
Legally binding,
enforceable right to
legal redress.
Cons
Laws can be
weak, lack
administrative
rules and
operational
policies. Wide
exemptions.
Good practice
Laws should provide
citizens adequate
grounds for redress and
include administrative
rules, operational
policies.
Training
programs
for
judges
Initiatives to
enhance
government
officials
ability to
implement
laws and
build citizen
awareness of
rights.
Means to
resolve
conflict
outside the
formal legal
system.
Workshops,
certificate
programs.
Ensures broad
implementation of laws,
wide use by citizens.
Government
partnership with civil
society organizations
and universities to
create and implement
programs.
Includes
negotiation,
mediation,
neutral evaluation
and arbitration.
An affordable, accessible
and faster means for
resolving disputes.
Alleviates court
backlogs, increases
access to justice for
poor.
Australia
EDO;
Earthjusti
ce;
governm
ent
programs
Programs or
groups that
provide lowcost or free
legal
assistance to
citizens.
Free legal
services,
government
incentives (tax
breaks, subsidies)
for participating
attorneys.
No "checks and
balances",
sometimes used
by people who
are not trained in
the collection of
evidence. Nontraditional
approach may be
inappropriate for
some cases.
Increase in legal
cases contributing
to backlog in
courts.
Chemical
Weapons
Working
Group
Programs or
groups that
monitor laws
and inform
citizens of
policies and
industry
compliance.
Partnerships
that promote
citizen
engagement
in legal
matters.
Informed citizens
alert government
of possible
violations of law.
Enhances industry
accountability,
transparency. Alerts
authorities to public
health threats, early
warning.
Can be viewed as
threatening to
industry and
government.
Mutually beneficial
relationships between
citizen groups, industry
and government.
Collective support.
Action based on
common strategies and
shared legal and
scientific experiences.
Broad public support.
www.greenla
w.org
Capacity
building for
government
and citizens
www.ecolexec.org
Alternative
dispute
resolution
www.adrcen
ter.com/inter
national/adraccess-tojustice.html
Legal aid
http://www.
edo.org.au
Citizen
monitoring
and
enforcement
http://www.
cwwg.org/Lin
ks.html
International
networks
www.elaw.or
g
284 | P a g e
Ghana
Judicial
Services;
Alternati
ve
Dispute
Resolutio
n Center
ELAW
http://www.ibcperu.org/doc/isis/11311.pd
f
CWWG (Chemical Weapons Working Group).
Chemical Weapons Working Group,
Chemical
Weapons
Working
Group,
http://www.cwwg.org/index.html
Earthjustice,
About
Us,
Earthjustice,
http://www.earthjustice.org
ELAW (Environmental Law Alliance Worldwide).
2005. Impact Newsletter. Eugene, OR:
ELAW.
. www.elaw.org/
Foti, J., with L. de Silva, H. McGray, L. Shaffer, J.
Talbot, and J. Werksman. 2008. Voice and
Choice: Opening the Door to Environmental
Democracy.
Washington,
DC:
World
Resources Institute.
Futrell, S. The Evolving Role of Citizens in
Environmental
Enforcement.
Environmental
Law
Institute.
http://www.inece.org/4thvol1/futrell.pdf
Henninger, N., E. Petkova, C. Maurer, and F. Irwin,
with J. Coyle and G. Hoff. 2002. Closing the
Gap: Information, Participation and Justice in
Decision-Making
for
the
Environment.
Washington, DC: World Resources Institute.
International Environmental Law Research Centre,
http://www.ielrc.org/content/n0401.htm
Judicial Service of Ghana, Court-Connected ADREnhancing Access to Justice in Our
Communities, Judicial Service of Ghana,
http://www.judicial.gov.gh/index.php?opti
on=com_content&task=view&id=141&Itemi
d=158
Muralidhar, S. 2003. Alternative Dispute Resolution
and Problems of Access to Justice. Nairobi,
Kenya: IELRC (International Environmental
Law
Research
Centre).
http://www.ielrc.org/content/n0401.htm
UNDP (United Nations Development Programme).
2004. Access to Justice Practice Note. New
York:
UNDP.
http://www.undp.org/governance/docs/J
ustice_PN_En.pdf
. 2008. Legal Empowerment of the Poor:
Making the Law Work for Everyone. New
York:
UNDP.
http://www.undp.org/legalempowerment
/report/Making_the_Law_Work_for_Every
one.pdf
UNECE (United Nations Economic Commission for
Europe). 2006. Your Right to a Healthy
Environment: A Simplified Guide to the
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World
Aarhus
Convention
on
Access
to
Information,
Public
Participation
in
Decision-making and Access to Justice in
Environmental Matters. Geneva: UNECE.
Bank
Inspection
Panel.
http://web.worldbank.org/WBSITE/EXTE
RNAL/EXTINSPECTIONPANEL/0,,menuP
WRI
K:64132057~pagePK:64130364~piPK:6413205
6~theSitePK:380794,00.html
(World Resources Institute). 2003. World
Resources Report 2002-2004: Decisions for the
Earth: Balance, Voice and Power. Washington
DC: UNDP, UNEP, World Bank, and WRI.
This guidance note is part of World Bank Group publication: Getting to GreenA Sourcebook of Pollution
Management Policy Tools for Growth and Competitiveness, available online at www.worldbank.org
286 | P a g e