The legal, economic, ethical and ecological

foundations of environmental planning

CHAPTER THREE
PART TWO
Procedures Environmental policy Formulation (Policy Cycle)

– The policy making process

– The law making process of international/Nation

environmental law

– Environmental institutions, policy, laws, regulations,

guidelines and standards of Ethiopia

– From policy to Environmental management

 Environmental policy- Definition

Environmental policy comprises two terms:

o environment and

o policy
 Environmental policy- Definition

• Policy can be defined as a "course of action or

principle adopted or proposed by a government,
party, business or individual“

• Environmental policy: is any (course of) action

deliberately taken (or not taken) to manage human
activities with a view to prevent, reduce or mitigate
harmful effects on nature and natural resources, and
ensuring that man-made changes to the
environment do not have harmful effects on humans
 Environmental policy

Environmental issues generally addressed by

environmental policy include (but are not limited
to):
• air and water pollution,
• waste management,
• ecosystem management,
• biodiversity protection, and the protection of
natural resources, wildlife and endangered species
 Environmental policy

• Thus, environmental policy focuses on

problems arising from human impact on the
environment, which retroacts onto human
society by having a (negative) impact on
human values such as good health or the
'clean and green' environment.
 The need for environmental policy development

To sum up Development and Environment conflict:

• Natural Resources are the basis of economic development

• Human intervention in the natural environment, causes
negative impact on the environment

• Development on the other hand are basis for economic

development and quality of life

• Sustainable Development is the solution for this paradox and

can be addressed in environmental policy of Nations  

• Thus the need for Policy Intervention

 Rationale-The need for policy development

• The rationale for governmental involvement in the

environment is market failure

There are three types of market failure that justify

government action:

• Negative externalities

• The free rider problem and

• The tragedy of the commons

 Rationale-The need for policy development

• An example of a negative externality is a

factory that pollutes the water of a river.
– The negative cost of such action is paid by
society-at-large when they must clean the
water before drinking it and is "external"
to the costs of the factory. Air pollution is
another common example of a negative
externality
 Rationale-The need for policy development

• The free rider problem is when the individual cost of

taking an action to protect the environment is
greater than the individual benefit.
• For example: installing an anti-pollution device on a
car may cost several hundred dollars and only
reduce the air pollution by a little. The rational
individual decision is to not buy the device and
benefit from the actions of others. Such individual
rationality however, can lead to collective
irrationality
 Rationale-The need for policy development

• Finally, the tragedy of the commons is the problem that, because

no one person owns the commons, each individual has an incentive
to try to exploit common resources as much as possible. Without
governmental involvement, the commons may become overused,
producing a worse result for everyone.

Examples of tragedies of the common are

o overfishing and overgrazing

 Traditional decision making process
• The traditional decision-making process of management of affairs
often tended to making short-term gains at the expense of
inducing long-term environmental liabilities

• Alternatives were more often evaluated and considered purely for

economic reasons without after thought as to the long term
consequence of selecting the cheapest but environmentally
unacceptable alternatives.
 Present day decision making process
• This concept is of course, changing with the growing
awareness that economic development and
prosperity are very much dependent on the rational
long-term management of natural resources

• It is therefore, necessary to plan development in a

manner that would make the best use of resources
and minimize the adverse impacts of human action
on the environment
 Tools for effect environmentally sound development;

• Policies

• Regulations
factors that affect the choice of policy design
approach and the design options
 Environmental indicators
• Environmental policies are linked with
environmental indicators

• Environmental indicators supply decision

makers and general public with information as
a support in managing the environment
 Environmental indicators…………
Environmental indicators can either be designed to serve :

 implementation or
 as a guide to planning

• Implementation supporting indicators : are generally retrospective,

showing environmental trends from past to present, and are based on
actual estimates or observation, i.e., they are factual

• Planning supporting indicators: are generally prospective, projecting

environmental trends from the present into the future, i.e., they are
more or less speculative forecasts and are therefore based on certain
assumptions
 Environmental indicators…………
• Environmental indicators are furthermore divided
into three different categories depending on what
stage in environmental processes and
management they are intended to reflect

1) Pressure indicators
2) State indicators (or environmental quality
indicator, effect indicator)
3) Response indicator
 indicators
• Pressure indicators : give quantifiable information on causes
of environmental problems
(e.g. emissions, use of raw materials, products, energy), or
manipulations in the landscape (e.g., industrial activities or
expansion of cropland)
• The state indicators: give information on the actual state of
the natural resources or environmental quality
 The state indicators given the quality of the environment in
relation to the effects caused by human manipulations
• Response indicators: measure the response action taken by
society to deal with actual or potential environmental hazards.
conceptual tool for environmental planning of OECD activities
(OECD, 1991)

OECD, Organisation for Economic Co-operation and Development

an international organization helping governments tackle the economic,
social and governance challenges of a globalised economy.
environmental indicators in the
environmental planning process
Procedures in formulation of Environmental Policy and
Environmental policy cycle
 Situation Analysis and Identification of Policy Issues (problem
definition)

 Formulation of Policy Vision, Goals, Objectives and Guiding Principles

 Policy Formulation: Solutions development, Solutions comparison,

Policy selection

 Implementation: Supporting Institutions, Laws, regulations, guidelines,

Standards

 Policy analysis: Monitoring, Evaluation and Review

 Environmental Policy Cycle

Situation Analysis
and Identification of
Policy Issues
(problem definition)
Monitoring
Evaluation and
Review

Formulation of Policy
Vision, Goals,
Objectives and
Guiding Principles

Implementation
Institutions, laws,
regulations,
guidelines, standards

Policy Formulation
Solutions development
Solutions comparison
Policy selection
Environmental Policy Cycle
 Situation Assessment **

Assessment of Environmental Issues for Policy

formulation
• Unsustainable conversion of land to urban uses,
• Extraction and depletion of natural resources, including diminishing
green spaces and loss of biodiversity, improper management of soil
and water, mineral and Energy Resources and the Atmosphere
which lead to air pollution and climatic change
• The disposal of urban wastes and pollution (air, water, soil, thermal,
light, noise).
• Aggravating natural or man-made hazards.
• Through other issues like transportation and traffic congestion, fire,
etc..
 Policy Vision, Goals and Objectives
• The eventual success of a policy depends upon establishing :
• Clear Vision, goals and Objectives
• Must be consistent
• Must flexible enough to change over time

• In simple terms the objectives must:

Identify the present conditions and situation
Indicate what are the goals to be achieved
Identify the barriers to achieving the goals
Identify what is needed from other agencies and the private sector
Determine how success will be judged and measured
Identify what steps are required to achieve success
 Policy Formulation: Options
• Having defined the problem and objectives, policy options must
be formulated and evaluated
• More than one solution has to be considered for policy adoption.
• The objectives may be realized in many different ways.
• Best practices from other jurisdictions may be considered, and all
other possible solutions need to be considered.
• By evaluating the options it may be possible to identify the one
that best meets the goals that have been established and at the
same time is the best fit for local circumstances.
• Many types of evaluation methods are employed. These include
cost-benefit analysis, multi-criteria analysis, economic impact
etc.
 Policy is not enough
• Society must perceive the environmental threat as a real
problem

• Society must afford to deal with the environmental problem

• Mechanisms of enforcement of policies must be in place

• Monitoring and evaluation procedures in place

• Economic incentive/disincentives
 Policy implementation
• The most carefully crafted policy that is widely
accepted by those it affects can struggle
because of improper implementation:

1. Policies must not face insurmountable external constraints. By

this is meant that the policy must not exceed the jurisdictional
or constitutional limits of the agency.

2. In implementing the policy there must be an adequate time

frame and resources. The policy may be appropriate, but may fail
because its implementation took longer or was more expensive
than budgeted.
 Policy implementation……..
3. The implementing agency must have adequate staff and
resources to carry out the policy. A growing problem with
environmental legislation is that the agencies do not have
the means to ensure guidelines and standards are enforced.

4. The premises of policy and theory must be compatible. At

one time public ownership was seen as a valid policy
alternative. Today it may be a valid option in theory in some
circumstances, but is not politically acceptable.
 Policy implementation……..
5. Cause and effect relationships in the policy must be direct and
uncluttered. A successful policy must be seen to be based
on clear and unambiguous relationships. Complex policies
are more likely to be misunderstood.

6. Dependency relationships should be kept to a minimum. If

the agency in charge of implementing the policy has to rely
on others to it carry out, the more fragmented will become
the authority. The implementing agency will become more
dependent on others with not necessarily the same
interests.
 Policy implementation……..
7. The basic objectives of the policy need to be agreed upon and
understood. All actors in the policy process must possess a clear
understanding of the policy and what is required to carry it out. It goes
without saying that all those involved must understand the policy and
have knowledge about their roles in carrying it out. Information and
training are essential elements in the policy process.

8. Tasks must be specified in an appropriate sequence. Implementation is a

process with connected steps from conception to the end. If the steps are
not carried out in the correct sequence the policy may fail. Difficulties may
arise, for example, if evaluation is completed without the indicators of
success being agreed upon beforehand, or if another agency is involved
before necessary pre-conditions for its participation have been completed.
 Policy implementation……..
9. Communication and coordination need to be on the same wavelength.
Those implementing the policy have to possess the same information
base, have to interpret it in the same way, and to communicate well
with each other.

10. There must be compliance. Those agencies involved in implementing the

policy must work towards total compliance. Many times policies are
formulated but their compliance is lacking.
 Instruments in policy making
1. Action aimed at alteration of available
options

Example of alteration of available option are:

• Permits
• Standards
• product bans and other restrictions
 Instruments in policy making

2. Economic tools to alter costs and benefits relevant to target

group

Examples of Economic instruments are:

• Effluent charges
• Product charges
• Financial assistance
• Market creation
• Deposit-refund systems
• Enforcement incentives
 Environmental policy and environmental economics

• Mainstream environmental economics is

based on the concept of internalizing
externalities

• Examples of economic tools developed to

adjust the failure of the market to internalize
externalities
 Type of Pigovian internalization and tool Example of instrument

(1) PRICE FOR POLLUTION

Tool: Effluent charges , Product charges, Tax
Differentiation

2) FINANCIAL ASSISTANCE (incentives to alter pollution)

Tool: Grants Soft loans

(3) NEW INCENTIVE GENERATING

INSTRUMENTS
Tool: Marketable pollution rights that is Deposit refund system
 Instruments in policy making…..Cont

3. Action aimed at alteration of the priorities and significance

target group attach to environmental quality

Examples of alteration of the priorities are:

• Communication tools
• Information
• Education
• Training
• Awareness creation
 Problems of Environmental Policy Implementation in
Ethiopia
Proclamations :
 Environmental Protection Organs Establishment Proclamation
(Proclamation No. 295/2002),
 Environmental Impact Assessment Proclamation (Proclamation No.
299/2002),
 Environmental Pollution Control Proclamation (Proclamation No.
300/2002),
 Draft Industrial Pollution Prevention and Control Regulation,
 Draft Industrial Environmental Policy and Strategy,
 Industrial Sector Strategy, together with
 Environmental Policy of Ethiopia

are important stepping-stones for the improvement of

the environment.
 Environmental Policy Implementation in Ethiopia…

Lack of appropriate:

– Institutions,

– laws,

– regulations***

– guidelines,

– standards
 Environmental Policy Implementation in
Ethiopia
problems of policies and regulations in Ethiopia

1. The policies and regulations are too general and lack clear and
specific guidelines, technical and operational standards

2. The regulation/policy failed to indicate the way of involvement of

the community, private and informal sectors

3. Sectoral in nature without broad framework that would enable to

examine cross-sectoral and cumulative impacts of various activities.
 Environmental Policy Implementation in Ethiopia…….

• The absence of an institutional body that coordinates or oversees

cross-sectoral issues would lead to conflicts and loophole thereby
creating appropriate conditions for incapable institutions and
offenders to avoid the rules and regulations

• Fourthly, the institutional framework that could help to enhance

public participation is not yet established

• Fifthly, the policies lack legislative frameworks and strategies so as

to ease their implementation
Environmental Laws, Regulations, Guidelines and Standards of
Ethiopia

Environmental protection adopted in Ethiopia sinc1992 which has a

three-stage approach

• The first stage marked incorporation of environmental issues into

the supreme law of the country. The 1994 Constitution of Ethiopia
under Articles 44 and 92 proclaims that :
Environmental Laws, Regulations, Guidelines and Standards of
Ethiopia

First stage:
Article 44: Environmental Rights
 All citizens shall have a right to live in a clean and healthy environment.
Article 92: Environmental Objectives
 Government shall endeavor to ensure that all Ethiopians live in a clean
and healthy environment
 The design and implementation of programs and projects of
development shall not damage or destroy the environment.
 People have the right to full consultation and to the expression of
views in the planning and implementation of environmental policies
and projects that affect them directly.
 Government and citizens shall have a duty to protect the environment.
 Environmental Laws, Regulations, Guidelines and
Standards of Ethiopia

The second stage was formulation of national policy on

environmental management and protection.

 With a view to further amplifying the Constitutional provisions on

environmental protection, the Environmental Policy and the
Conservation Strategy of Ethiopia have been prepared.

 These policy and strategy documents recognized and addressed

environmental issues in a more or less holistic manner, and were
adopted as well as approved on 2nd April 1997.
 Environmental Policy, Laws, Regulations, Guidelines and
Standards of Ethiopia

• The third stage marks the formulation of environmental

protection laws so as to reach the objectives fixed by the
Constitution and the Environmental Policy as well as the
Conservation Strategy of Ethiopia and the environmental
Conventions to which Ethiopia is a party.
 Contents of Environmental policy of Ethiopia

I. The Resource Base and the Need for a Policy

– The natural Resource base and the rural environment
– The urban Environment
– Natural and cultural heritage
– The need for a policy on natural resources and the environment

II. The Policy Goal Objectives and Guiding Principles

– The overall policy goal

– Specific policy objectives
– The key guiding principles
 Contents of Environmental policy of Ethiopia

III. Sectoral Environmental Policies

– Soil husbandry and sustainable agriculture
– Forest, woodland and tree resources
– Genetic, species and ecosystem biodiversity
– Water resources
– Energy resource
– Mineral resources
– Urban environment and environmental health
– Control of hazardous materials and pollution from industrial waste
– Atmospheric pollution and climate change
– Cultural and natural heritage
IV. Cross-Sectoral Environmental Policies
– Population and the environment
– Community participation and the environment
– Tenure and access rights to land and natural resources
– Land use plan
– Social and gender issues
– Environmental economics (Environmental management, Environmental
Engineering)
– Environmental information system
– Environmental research
– Environmental impact assessment (auditing)
– Environmental education and awareness
V. Policy Implementation
– Institutional framework, responsibilities and mandates
– Legislative framework
– Monitoring, evaluation and policy review
 Environmental component of the Urban
policy of Ethiopia
Rationale for Development of Environmental
component of the Urban policy of Ethiopia

– Lack of Urban Green and Recreational areas

– Lack of proper waste management

– Pollution problem

– Heavy pollution caused by rundown housing conditions,

informal settlement, and below standard new housing
construction
 Environmental component of the Urban
policy of Ethiopia
Policy Recommendations
– Urban plans should include sufficient urban green
areas at the city, sub-city and community levels;
urban development endevours should give due
consideration for Environmental protection
– Institutional arrangement
– Partnership
– Plantation
– Recycling
– Environmental Education and training, Participation
Solid Waste Management Proclamation
Objective of the Proclamation

• The objective of this proclamation is to

enhance at all levels capacities to prevent the
possible adverse impacts while creating
economically and socially beneficial assets out
of solid waste
Solid Waste Management Proclamation
General obligations of Urban Administrations
• Urban administrations shall create enabling
conditions to promote investment on the
provision of sold waste management services.

• Any person shall obtain a permit from the

concerned body of an urban administration prior
to his engagement in the collection,
transportation, use or disposal of solid waste.
Solid Waste Management Proclamation
Solid Waste management planning
• Urban Administrations shall ensure the
participation of the lowest administrative levels
and their respective local communities in
designing and implementing their respective
solid waste management plans.
• Each Region or urban administration shall set its
own schedule and, based on that, prepare its
solid waste management plan and report of
implementation.
Solid Waste Management Proclamation
Inter-Regional Movement of Sold Wastes
• Each Regional State shall keep the shipment of solid waste
to other regions for final disposal at the minimum possible.
• Regional States may require any transit of solid waste
through their region to be packaged and transported in
conformity with the directives and standards issued by the
concerned environmental agency.
• Solid waste may be transported from one Regional State or
urban administration to another Regional State or urban
Administration only if the recipient Regional State or urban
administration has notified the sender in writing of its
capacity to recycle or dispose of it in an environmentally
sound manner.
 Environmental Regulations of the City of
Addis Ababa
• Environmental impact assessment
• Environmental pollution control
• Solid waste management
• Management of green areas (Draft)
 Standards
• Environmental standards include emission limit
values for discharges to receiving waters in the case
of effluents, to atmosphere for gaseous emissions
for manufacturing industry and noise levels.

• Recent data collected by Addis Ababa

Environmental Protection on industrial
establishments indicates that over three thousand
industrial establishments exist in the country. The
industries operating in the country vary
considerably in terms of process technology, size,
nature of produces, characteristics of the wastes
discharged and the receiving environment.
 Standards
Presently there are eight major sectors in which the
majority of industrial activity within Ethiopia is
focused. Provisional Standards were set for the
following Specified Industrial Sectors
1. Tanning and the production of leather goods;
2. The manufacture of textile;
3. Extraction of mineral ores, the production of metals and metal products;
4. The production of food products including beverages, meat and meat
products;
5. The manufacture cement and cement products.
6. Preservation of wood and the manufacture of wood products including
furniture;
7. The production of pulp, paper and paper products;
8. The manufacture and formulation chemical products including
pesticides.
Urban Environmental Management Programmes
in Ethiopia: The case of Addis Ababa City
Objectives of environmental management
(i) to restrict and regulate the exploitation and utilization of natural resources,
mainly non-renewable natural resources;
(ii) to regenerate degraded environment and to renew natural resources
(renewable);
(iii)to control environmental degradation and pollution;
(iv)to reduce the impacts of extreme events and natural disasters;
(v) to make optimum utilization of natural resources by recycling and reusing
waste materials produced from one activity to another economically and
environmentally viable activity;
(vi)to assess the impacts of proposed projects and activities on the environment;
(vii)to review and revise the existing technologies of production in terms of their
adverse effects on the environment; and
(viii)to formulate laws and regulations for the implementation of environmental
protection and conservation programmes to maintain the environmental
quality ; and
(ix)awareness creation and Environmental Education
Urban Environmental Management Programmes
in Ethiopia: The case of Addis Ababa City
Components of environmental management

(i) Management of Resources;

(ii) Environmental impact assessment
(iii)Control of Environmental Degradation and
pollution.
(iv)Environmental Awareness, Education and
Training;
Urban Environmental Management Programmes
in Ethiopia: The case of Addis Ababa City
1. Resources Management

a) Promoting the plan-led system of land conversion:

– Sustainable conversion and utilization of land resources;
– Performing zoning plan, landscape design and producing management plan
– avoid informal settlement
– Avoid Urban Sprawl
– Protect and avoid urban encroachment in to the fragile ecosystem
b) Watershed management
– Conservation of soil and avoiding land degradation problem
– Integrated and sustainable development and management of water resources:
avoid water resources depletion and water shortage problem
c) Rehabilitation of the river system;
– River and river bank rehabilitation and cleaning
d) Urban green development including parks
e) Sustainable use of energy resources
f) Mineral resources management
g) Preservation of natural resources,
Urban Environmental Management Programmes
in Ethiopia: The case of Addis Ababa City
2. Environmental Impact Assessment
– Appraisal of existing environmental conditions,

– Appraisal of existing and proposed production

methods and technologies
Urban Environmental Management Programmes
in Ethiopia: The case of Addis Ababa City
3. Control of environmental degradation and
pollution
– Regeneration of degraded environment
– control of environmental pollution, and
– Reduction of natural hazards and disasters.
Urban Environmental Management Programmes
in Ethiopia: The case of Addis Ababa City
A. Pollution control: air, water, soil
• Waste (solid, liquid, hazardous)
• Industrial Pollution
• Pollution from transport Sector
• Indoor Air pollution
• Climate Change due to Air Pollution
• Mitigating Noise Pollution

• Environmental auditing – pollution mitigation

Urban Environmental Management Programmes
in Ethiopia: The case of Addis Ababa City
B. Regeneration of degraded environment
• Reclamation and rehabilitation of quarry
sites
• River bank rehabilitation
• Soil and water conservation and plantation to
rehabilitate degraded lands
Urban Environmental Management Programmes
in Ethiopia: The case of Addis Ababa City
4. Environmental awareness, education and training
– Public awareness
– Environmental education at School, College and
University levels and
– Environmental training by professional
institutions.
Urban Environmental Management Programmes
in Ethiopia: The case of Addis Ababa City
C. Mitigation of man-made and natural
Environmental threats: risks and hazards
– flooding,
– landslides,
– earthquake,
– land subsidence,
– groundwater hazard,
– soil erosion,
– wind hazards, etc..
Urban Environmental Management Programmes
in Ethiopia: The case of Addis Ababa City
Others

• Urban Environmental Information system

• Capacity Building

• Participation, Partnership and Cooperation

• Policy, laws, regulations and standards

 Networking and Environmental Information System

 One of the weaknesses of environmental management is lack of national

networking

 Networking is key element in facilitating access to information technology,

markets, and raw material necessary for sustainable development

 Networking of environmental NGOs, enterprise, Industry, government, etc

at local national and regional levels is critical