Manual on the Development of Cleaner Production Policies— Approaches and Instruments
Guidelines for National Cleaner Production Centres and Programmes
Vienna, October 2002
UNIDO CP Programme
prepared by:
Mr. Pawel Kazmierczyk (UNIDO CP Policy Consultant) under the direction of Ms. Mayra Regina Sanchez Osuna and Ms. Petra Schwager-Quijano Cleaner Production and Environmental Management Branch Programme Development and Technical Cooperation Division, UNIDO
Table of Contents:
BACKGROUND AND INTRODUCTION...... 1
MODULE 1: INTRODUCING CP...... 5 SLIDE: EVOLUTION OF APPROACH TO ENVIRONMENTAL PROTECTION ...... 6 SLIDE: KEY DATES ...... 8 SLIDE: SUSTAINABLE DEVELOPMENT...... 10 SLIDE: CP AS A TOOL FOR SUSTAINABLE DEVELOPMENT ...... 11 SLIDE: WHAT IS CLEANER PRODUCTION ? ...... 12 SLIDE: WHAT IS CLEANER PRODUCTION/2?...... 12 SLIDE: CP FOR PRODUCTION PROCESSES...... 13 SLIDE: CP FOR PRODUCTS...... 13 SLIDE: CP FOR SERVICES ...... 14 SLIDE: CP AS A FOUR-IN-ONE TOOL ...... 15 SLIDE: BASIC SCHEME OF A CP PROJECT...... 17 SLIDE: EXAMPLES OF CP OPPORTUNITIES ...... 17 SLIDE: WHY IS CP BENEFICIAL FOR INDUSTRY? ...... 18 SLIDE: OTHER RELATED CONCEPTS...... 19 SLIDE: OTHER RELATED CONCEPTS/2...... 19 SLIDE: CP—THREE COMMON MISCONCEPTIONS ...... 21 SLIDE: CP—THREE COMMON MISCONCEPTIONS/2 ...... 22 SLIDE: GLOBAL NETWORK OF UNIDO/UNEP NATIONAL CLEANER PRODUCTION CENTRES ...... 23 SLIDE: EXISTING CP CENTRES IN LATIN AMERICA ...... 23 SLIDE: CP PROGRAMMES IN LATIN AMERICA...... 24 SLIDE: CP POLICY PROGRESS IN LATIN AMERICA ...... 25 SLIDE: CP POLICY PROGRESS IN LATIN AMERICA/2 ...... 26 MODULE 2: BASICS OF A NATIONAL CLEANER PRODUCTION POLICY ...... 27 SLIDE: WHAT IS A POLICY? ...... 28 SLIDE: POLICY-MAKING—TWO MEANINGS ...... 29 SLIDE: “POLICY” VERSUS “LEGISLATION”...... 29 SLIDE: POLICY DEVELOPMENT: BASIC TERMS ...... 30 SLIDE: POLICY DEVELOPMENT: BASIC TERMS/2 ...... 30 SLIDE: POLICY DEVELOPMENT—HIERARCHY...... 35 SLIDE: THE OBJECTIVES OF A CP POLICY ...... 35 SLIDE: WHY HAVE A CP POLICY? ...... 36 SLIDE: POLICY INTEGRATION ...... 37 SLIDE: TYPICAL POLICIES OF RELEVANCE TO CP...... 39 SLIDE: INSERTION POINTS FOR CP IN SECTORAL POLICIES...... 39 SLIDE: INSERTION POINTS FOR CP IN SECTORAL POLICIES/2 ...... 40 SLIDE: HOW CPCS CAN BE INVOLVED IN POLICY-MAKING...... 42 SLIDE: EXAMPLES OF CP-RELATED EVENTS...... 43 MODULE 3: CP POLICY DEVELOPMENT CYCLE...... 46 SLIDE: GENERAL POLICY DEVELOPMENT CYCLE ...... 47 SLIDE: POLICY-MAKING: GENERAL OBSERVATIONS ...... 49 SLIDE: BASIC CONDITIONS FOR CP POLICY DEVELOPMENT ...... 50 SLIDE: SPECIFIC STEPS IN POLICY DEVELOPMENT...... 51 SLIDE: SPECIFIC STEPS IN POLICY DEVELOPMENT/2...... 52 SLIDE: STAKEHOLDER ANALYSIS ...... 53 SLIDE: STAKEHOLDERS AND THEIR CONTRIBUTIONS...... 54
SLIDE: CP AWARENESS-RAISING AMONG POLICY MAKERS...... 56 SLIDE: SETTING UP A HIGH-LEVEL STEERING COMMITTEE ...... 58 SLIDE: ESTABLISH A TECHNICAL POLICY DEVELOPMENT GROUP...... 59 SLIDE: THE IMPORTANCE OF INDIVIDUALS IN THE POLICY GROUP ...... 61 SLIDE: EVALUATION OF THE EXISTING SYSTEM...... 62 SLIDE: BUILD CONSENSUS AND A COMMON GOAL ...... 64 SLIDE: IDENTIFY PRIORITIES AND FOCUS AREAS...... 66 SLIDE: DEFINE CLEAR AND MEASURABLE OBJECTIVES...... 67 SLIDE: FORMULATE A STRATEGY FOR IMPLEMENTATION ...... 68 SLIDE: SELECT A MIX OF POLICY INSTRUMENTS ...... 69 SLIDE: DESIGN AN ACTION PLAN AND PROGRAMMES ...... 71 SLIDE: ORGANIZE HUMAN AND FINANCIAL RESOURCES ...... 72 SLIDE: IMPLEMENTING THE STRATEGY AND ACTION PLAN ...... 73 SLIDE: CARRY OUT INFORMATION AND EDUCATION CAMPAIGNS ...... 74 SLIDE: MONITORING OF IMPLEMENTATION ...... 76 SLIDE: EVALUATION OF POLICY EFFECTIVENESS...... 77 SLIDE: PERIODIC POLICY ADJUSTMENT ...... 79 SLIDE: COMMON BARRIERS TO CP POLICY DEVELOPMENT ...... 79 SLIDE: COMMON BARRIERS TO CP POLICY DEVELOPMENT/2 ...... 80 █ █ █ MODULE 4: POLICY TOOLS AND INSTRUMENTS...... 83 SLIDE: WHAT IS A POLICY INSTRUMENT?...... 84 SLIDE: RANGE OF POLICY INSTRUMENTS...... 84 SLIDE: POLICY INSTRUMENTS ...... 85 SLIDE: POLICY INSTRUMENTS/2 ...... 86 SLIDE: REGULATORY INSTRUMENTS ...... 87 SLIDE: REGULATORY INSTRUMENTS/2 ...... 89 SLIDE: MARKET-BASED INSTRUMENTS ...... 93 SLIDE: MARKET-BASED INSTRUMENTS/2 ...... 98 SLIDE: ECONOMIC INSTRUMENTS—TAXES...... 102 SLIDE: INFORMATION-BASED STRATEGIES ...... 103 SLIDE: INFORMATION-BASED STRATEGIES/2 ...... 107 SLIDE: INFORMATION-BASED STRATEGIES/3 ...... 110 SLIDE: AVOID BARRIERS CREATED BY NEW POLICY INSTRUMENTS ...... 112 █ █ █ MODULE 5: RECENT TRENDS IN CP POLICY...... 114 SLIDE: RECENT POLICY TENDENCIES...... 115 SLIDE: CHANGE IN FOCUS OF ENVIRONMENTAL MANAGEMENT...... 115 SLIDE: MUNICIPAL AND LOCAL-LEVEL CP PROGRAMMES...... 116 SLIDE: THE ECOPROFIT APPROACH ...... 118 SLIDE: INTERNATIONAL PROGRAMMES ON LOCAL INITIATIVES ...... 119 SLIDE: INTEGRATION OF CP AND ISO 14001/EMS...... 122 SLIDE: CP IN PERMITTING, ENFORCEMENT AND FINANCING SUPPORT ...... 123 SLIDE: INITIATIVES OF THE PRIVATE SECTOR ...... 125 SLIDE: THE FINANCE SECTOR AND THE ENVIRONMENT ...... 127 SLIDE: BARRIERS TO FINANCING CLEANER PRODUCTION ...... 129 SLIDE: SOME POLICY RESPONSES TO ENCOURAGE LENDING FOR CP...... 130 SLIDE: EXAMPLES OF PILOT CP-FINANCING PROGRAMS...... 131 SLIDE: POSSIBLE NEW AREAS FOR CPC INVOLVEMENT...... 133 SLIDE: REASONS TO BE OPTIMISTIC ABOUT CP?...... 134 █ █ █ ANNEX: INTERNET RESOURCES ...... 136
Background and Introduction
The cornerstone of the UNIDO Cleaner Production (CP) programme is that CP can only be sustained in a country if adequate capacity exists to promote it. A core of professionals in the beneficiary country is essential to adjust CP to local conditions. A main objective of UNIDO’s programme is to build capacity through National Cleaner Production Centres (NCPCs). Rather than delivering ready- made solutions, the Centres and their CP assessors train and advise clients on how to find the best solution for their specific problems.
The training kit for the development of CP policies is designed to assist UNIDO’s cleaner production programmes, in particular the NCPC programme, in crucial aspects of CP planning and CP policy development.
Based on experience gained in implementing the programme in Latin America, the training kit facilitates the organization of modular interactive seminars on CP policy development, trends and instruments.
The complete package includes:
• Ready-to-use slides in PowerPoint for presentation during seminars
• The Manual on the Development of Cleaner Production Policies—Approaches and Instruments, which provides methodological guidelines, suggestions on seminar organization, background reading on presented topics and references to relevant Internet sources
The objectives of the package are:
(a) To provide staff of CP Centres with guidelines and ready-to-use material on CP policy development;
(b) To analyse in detail the process and steps of CP policy development and the role that various stakeholders can play;
(c) To demonstrate policy tools and instruments that can be applied to promote CP and preventive environmental management;
(d) To present recent trends and emerging new approaches in CP policy development;
(e) To show experience in CP policy development in Latin America and worldwide; and
(f) To encourage the use of the Internet as a source of information about CP policies.
Contents and objectives
The training kit covers five topic-related modules:
• Introducing CP
• Basics of a national CP policy
• CP policy development cycle
• CP policy tools and instruments • Recent trends in CP policy
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The contents of each module is presented below.
Module Content and objective Time required
1 The objective of module 1 is to introduce the basic concepts of CP 1 hour and show how CP can be applied in practice to the benefit of industry. It clarifies several common misconceptions about CP. It presents the evolution of the CP approach, and discusses current activities in CP implementation in Latin America and worldwide.
2 The objective of module 2 is to establish a framework of reference 1 hour for CP policy development. It introduces basic concepts related to CP policy, including policy objectives, strategy and a plan of action. It describes the general objectives of a CP policy, as well as the benefits of a national CP programme. The module includes a discussion of the need to integrate CP into other national policies (mainstreaming) as well as a review of activities that could help a CP Centre increase its visibility as a national policy player.
3 Module 3 presents the policy development cycle. It proposes a 3 hours (8 hours structured approach, based on a sequence of steps. From an overview with exercises) of the necessary start-up conditions for successful CP policy development, it leads to the specific actions that need to be taken, including stakeholder analysis, evaluation of the existing situation and setting up a steering committee and a national CP policy development group. It analyses additional steps of the policy cycle, from identifying priorities and key objectives, policy formulation and implementation, to the monitoring and evaluation of CP policy effectiveness. The module also provides an overview of the main obstacles to the successful development of CP policy.
4 Module 4 presents environmental policy instruments that can be 2 hours used in promoting CP. Regulatory (command and control), economic (market-based) and information and soft approach instruments are discussed in detail, including concrete examples from Latin America and other regions.
5 Module 5 presents recent trends in CP implementation and new 1 hour approaches to CP policy development. The implementation of preventive environmental programmes at the municipal level and CP financing frameworks are discussed in detail.
Annex List of recommended Internet sites
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Each module provides:
• A short description of the topics covered and an indication of the approximate time required for the presentations
• Texts of the slides in the PowerPoint presentation, which is an integral part of the training kit, as well as the objectives and salient points for each slide
• A detailed explanation of the subjects covered in the slides
• Examples of actual experiences in the implementation of CP policies
• Internet addresses of web sites that provide further information on specific topics
• Suggested role plays and interactive group exercises
The annex provides a full list of recommended Internet resources. The Internet addresses are current as of January 2002.
The present manual represents a useful starting point for CP Centres to design policy-related events. Thanks to its modular structure and the detailed explanation accompanying each slide, the CP Centre can fine-tune the sequence of slides to the objectives of a planned session. For example, within modules, users may choose to omit those parts of the material that are not relevant to the particular audience, or they may prefer to add their own slides. Similarly, the material could be given to participants as a handout after an event, or assigned as homework before a seminar.
The Training Manual was developed as a part of UNIDO’s effort to assist CP Centres in Central America in the continuation of their policy work. As many references and examples as possible were drawn from Latin American countries in order to best meet the needs of the audience. Whenever the quoted text of national CP policies was originally in Spanish, it is presented in the Manual both in English and in Spanish. The package may equally well be used by CP Centres in other countries without the need for major modification.
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Author’s note:
The author wishes to thank Mr. Leo Baas, Erasmus University, the Netherlands, Mr. Vladimir Dobeš, independent cleaner production consultant, the Czech Republic and Ms. Christine Röhrer, Cleaner Production Centre of Uganda, for their valuable comments and suggestions on the contents and the structure of this work. Thanks are also extended to Ms. Petra Schwager of UNIDO, for the original concept of the Manual and for the guidance provided during its development.
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