Chapter 2: Improving Strategy Formulation & Action Planning

2.1 Formulating and Clarifying Air Quality Management Strategies
2.2 Strategies for Different Activity Sectors
2.3 Consideration of Implementation Options and Resources
2.4 Building Broad-Based Consensus on Objectives and Strategies
2.5 Coordinating Air Quality Management Strategies with Existing Strategies
2.6 Action Planning


While the previous chapter discussed how to acquire information that is necessary to clarify the problems and identify the priority issues, this chapter discusses how cities prepare, assess, build consensus for, and reconcile air quality management strategies and action plans. It includes suggestions on how cities can incorporate/integrate these strategies into existing urban management strategies and policies for better action planning. Volume 4 of the SCP Source Book Series on Formulating Issue-Specific Strategies and Action Plans can guide this step of the process.

Box M: The Right Strategy Addressing the Right Problem

Policy research into why strategies and policies fail shows remarkable results. Often the implementation of strategies and policies goes quite well and has the desired effect. Still, in the end, the problems may not be solved. So if strategies and policies work and the problems are not solved the question to ask is "what went wrong?" In these cases, the original problem was not carefully analysed. The strategy developed did not address the actual problem.
Take the example of Sao Paulo, Brazil: A project for industrial pollution control focused on the control of particulate matter emissions from industrial sources. Despite significant industrial emission reductions, the city's ambient dust levels did not change because mobile sources (traffic) - by far the major cause of dust problems - were not considered when formulating the strategy for dust control. A thorough analysis and assessment of the situation would have shown the dominant role that traffic was playing in creating dust problems in the city and another strategy should have been chosen. When the programme continued to address industrial pollution, other causes should have been identified and dealt with separately or integrated into the approach.

2.1 Formulating and Clarifying Air Quality Management Strategies

To be able to start developing and comparing strategies effectively, distinctly defined issues have to be addressed.
When developing and comparing possible strategies, it is recommended that working groups take the following points into consideration:

a) Pros and cons of each option for various stakeholders;
b) Potential air quality improvement of each response option;
c) Social and economic costs and benefits of each option;
d) Associated policy reforms and institutional strengthening that have been agreed upon to
support implementation of the strategy;
e) Long-term environmental targets and interim goals to guide phased interventions;
f) Indicators that can be used to track the progress of actions and their impacts;
g) Cost-effectiveness analysis and who bears the cost of implementing a strategy;
h) How to implement the strategy;
i) The success of multiple instrument strategies;
j) Opinion and reality check - what is already happening in terms of air quality improvement
and how do people perceive the problem?


a) Considering the pros and cons of each option for various stakeholders

City experiences have shown that the acceptance and implementation success of strategies depends on the reconciliation of gains and losses in a fair and equitable way. A situation where all stakeholders win must be created. Any strategy developed or improved should be through an integrated approach to the problem being addressed. It is important to realize that air quality issues involve different decision-making sectors. These crosscutting issues deal with legislation, monitoring, economic policies, traffic policies, industrial development policies, energy development policies, land use planning, and others.
A strategy should be developed in cooperation with the stakeholders, both within the government (national, regional, and local) and those outside the government (the private sector and civil society). Involving all stakeholders in the strategy development process ensures that due consideration is given to the various interests of the stakeholders, including the pros and cons of a particular strategy from their own perception. This will promote reconciliation and consensus on issues and strategies and may lead to a sense of ownership over the chosen strategies among the stakeholders.

b) Assessing the potential air quality improvement of each response option

In selecting the response options or strategies for addressing air quality issues, it is very important to assess the potential effects of the strategies. Paragraph 1.3 gives useful tools to estimate the environmental benefits of possible strategies. Tools that can be used are emission assessment tools and dispersion models assessing air quality near polluting activity sectors (see TOOL 13 and TOOL 14). Knowing how much improvement can be expected in implementing a strategy against other strategies that address a particular air quality issue promotes consensus on the strategy.

TOOL 15 is a decision support tool based on the Rapid Inventory Assessment Technique (RIAS) and is useful for selecting response options to address traffic related air pollution. A case study of Chennai, India is included.

Box N: Example of Chennai, India

An example of thorough advanced analysis of the effectiveness of a strategy is this example of Chennai, India. Extensive emission assessments were conducted and it was discovered that the main sulfur dioxide emissions were emanating from thermal plants in populated areas. After consulting experts, the working group selected scrubbers and mechanical dust collectors as the most effective response options. This equipment reduces the sulfur dioxide emissions of thermal plants by over 90%. The subsequent policy was introduced in close cooperation with the industrial sector.

c) Considering the social and economic costs and benefits of each option

When developing strategies, it is essential to predict the effects of implementing these strategies. One must determine the effectiveness and efficiency of each strategy to address the air quality issue. Due consideration should also be given to possible side effects of the strategies, particularly economic and social side effects.
When trying to reduce car use in a city centre, banning cars might be effective, but may have economic and social side effects. Some direct small scale effects of car bans may include reduction of customers in the business centres and scattering of demand flow from between days with car bans and those without.

d) Clarifying associated policy reforms and institutional strengthening that have been agreed upon to support the implementation of the strategy

It is important to consider a strategy that will achieve long lasting effects, rather than short-term solutions. Developing such strategies in a participatory manner, for example through cross sectoral working groups, will help to overcome institutional barriers. Institutionalising such processes at the local level and the demonstration of its successful decision making power can lead to policy reforms at the national levels.

e) Agreeing on long-term environmental targets and interim goals to guide phased interventions

No strategy will change the situation overnight. Often a phased introduction is advisable. This could be a step-by-step implementation of the complete strategy or the initial introduction of the complete strategy in a certain area and replicating it in other areas (building upon the experiences of implementation in the first area). The strategy should be well programmed and should have a clear time frame for the different phases of implementation.

Box O: The Step-by-Step Phase out of Leaded Gasoline in the Philippines

A 1992 study showed that lead levels in the air in Metro Manila exceeded the WHO guidelines by 2.3 times. Knowing the adverse effects of lead on public health, the government working with the other stakeholders sought to phase out leaded gasoline. The first step, taken in April 1993, was to lower the lead content of all gasoline sold nation-wide from 0.6 g/litre to 0.15 g/litre. Unleaded gasoline was introduced in Metro Manila on February 1994. This was subsequently made available nation-wide in 1995. In 1996, the government provided incentives by lowering the tax of unleaded gasoline, which encouraged buyers to switch to cleaner fuels. On April 1, 2000, leaded gasoline was completely phased out in Metro Manila. Since December 31, 2000, only unleaded gasoline is available in the entire country.

It is important to realize that people have expectations of strategies. It is highly advisable to develop strategies that can show results in the short-term while addressing long-term issues. If a strategy is addressing an air quality issue only showing long-term results, stakeholders might decide to discontinue implementation because of lack of immediate tangible results.

Experience in the Sustainable Cities Programme has proven that it is important to have an issue-specific working group to develop a comprehensive strategy with short-term and long-term components. Immediate improvements from the short-term implementation provide the support for the long-term implementation of the strategy.

f) Discussing the indicators and monitoring that can be used to track the progress of actions and impacts

When designing a strategy, its implementation has to be monitored. It is important to clearly present the different phases of strategy implementation through maps that show the different stages of implementation, documentation of activities, progress reports, etc. In this way, the progress of activities can be tracked and the strategy can be effectively evaluated. Monitoring and evaluation are vital for decision-making and a possible replication of the strategy.

A number of factors must be built into the design of the strategy including verifiable indicators and means of verification. For example, the decrease in the monitored level of total suspended particulates (TSP) in the air is a very good indicator of the impact of a strategy to lower the sulfur content of diesel and fuel oil.

g) Considering cost-effectiveness and who is responsible for the costs of implementing a
strategy

The cost-effectiveness analysis (CEA) as described in TOOL 24 is important for analysing the costs, benefits, and effectiveness of policy and technical measures combating air pollution. The primary objective of this tool is to assist working groups in identifying strategies for attaining a given pollution goal at the smallest cost. A stepwise explanation is given on how to execute a CEA. A city example is also included.

Another factor that should be considered is: who will bear the costs of the strategy? Ideally, those that are responsible for causing the problem/pollution should pay, at least for the most part. This is called the "Polluter Pays Principle." Along with other environmental management principles, this principle is discussed in detail in TOOL 25. Sometimes, the implementation of a particular strategy ends up being accounted for by persons or groups that do not pay the price for the strategy.

h) Consider how to implement the strategy

The success or benefit of a strategy depends on its design and even more on its actual implementation. During the formative stages, working groups should take into consideration factors enhancing the chances for successful implementation of the strategy. These factors encompass public acceptance (which often depends on the early involvement of the stakeholders), adequate capacity or need for capacity building for implementation, resources, and others. The factors must be carefully incorporated into the design of the strategies.

In TOOL 25 the existing environmental management principles applicable to air quality management are presented. They are important in strategy formulation and implementation. Examples include: polluter pays principle, pollution prevention pays, opportunity cost principle, best available technique not entailing excessive costs (BATNEEC), etc.

i) Multiple instrument strategies are more successful

For a strategy to be comprehensive, it is important to use, or at least to consider all of the possible management instruments available. These include, for example, economic instruments, legal instruments, or communication instruments. Experience has shown that strategies using multiple instruments are most successful. TOOL 26 discusses the various environmental management instruments encompassing air quality management that are useful for strategy formulation. This tool distinguishes between policy/legal instruments, economic instruments, and communication instruments; elaborates on the applicability of instruments; and gives examples of urban air quality management.

Practice shows that strategies applying a combination of different types of instruments are most successful in addressing a particular air quality issue. Take the example of reducing motor traffic in a city centre (traffic management). A potentially successful strategy subsidizes buses and improves the infrastructure for walking and bicycles. Further, a public awareness campaign would promote car-pooling, as well as the use of public transport or bicycles. A combination of these sets of economic and communication instruments will be more successful for long-term management of the issue.

j) Opinion and reality check - what is already happening in terms of air quality improvement and how do people perceive the problem?

When identifying and incorporating existing actions and initiatives within the city, it is important to make sure that the underlying issues are well understood among the population of the city: What do the locals experience as their biggest air quality problems? What are the opinions of resident representatives and resident organizations? What actions are already being undertaken to address air pollution? What strategies/ technologies are locally available and viable?

An example of adaptation is the World Bank approach in Latin American cities, particularly in Mexico. Here, the multilateral agency is sponsoring the development of modern tropicalized tools to better understand and adapt the technologies to local circumstances. This is accompanied with measures like increasing awareness on the scale of air pollution, sponsoring modern Cost Benefit Analysis tools to support decision making and promoting a process of adoption of incentives combined with strengthened regulatory mechanisms.


2.2 Strategies for Different Activity Sectors

From the discussions in chapter one, it is possible to identify the sources of pollution or the polluting activity sectors within the city. After the identification of these sources, the above points (2.1.a to j) are applicable in selecting the appropriate strategies. According to these activity sectors, air quality management strategies can be subdivided into four categories: transport, industries, natural sources of air pollution, and in-house activities. There is an appreciable use of many strategies and many examples can be drawn from real life experiences. Because of these experiences, some of the advantages and disadvantages of these strategies can now be listed.

2.2.1 Strategies to Reduce Air Pollution from Transport

A number of options are now available and are being used in cities to counter the air pollution resulting from transportation. The International Institute for Energy Conservation in Washington has prepared a survey of strategies for transport management (UNEP 96). Adopted from this, TOOL 20 gives a summary of strategies with city examples focusing on managing air pollution.
This tool gives the various strategic options and techniques for improving low urban air quality resulting from transport activities. These include strategies for reducing vehicle pollution, for managing travel demand, and for improving the transportation supply. Other transport problems such as congestion, traffic accidents, and social inequities are also taken into account. Cities can use this tool as a quick reference for selecting strategies. The tool also includes advantages and disadvantages of these strategies as well as examples.

Strategies for managing pollutants from transportation activities can be categorized as follows;

a) Reducing vehicular pollution

Although technical measures alone are not sufficient to ensure the desired reduction of urban air pollution, they are an indispensable component for any cost effective strategy for limiting vehicle emissions. Fuel and the vehicle types have a great impact on air quality situations. This is especially true in many developing countries where the growth rate in private vehicle ownership is higher than in developed countries. Cities in developing countries also have large numbers of older vehicles that were cheaply imported and/or passed down the economic chain.

Overall strategies to reduce vehicular pollution may include:

- Vehicle inspection and maintenance (I&M)
Inspection and maintenance programmes can successfully reduce emissions from old vehicles and ensure that new vehicles remain in good condition. Pollutants such as carbon monoxide (CO) and hydrocarbons (CnHn) of individual vehicles can be reduced by up to 25% through strict I&M programmes. These programmes accelerate the disposal of old and inefficient cars. However, these programmes may at times face financial, political and enforcement difficulties.

- Improving fuel quality
Improving fuel quality in most developing countries involves the reduction of the contents of substances like sulfur and lead. Using more volatile diesel addresses the problem of black smoke from heavy diesel-powered vehicles, such as buses and trucks. Improving fuel quality should also involve the introduction of alternative fuels as, for example, compressed natural gas (CNG) which does not contain lead or sulfur, and TSP (total suspended particulate), and is lower in NOx, SO and CO than conventional fuel. Other options are bio fuels from crops, used cooking oils or bio gas from sewerage and waste.

For example, Delhi, India, has converted its entire public transport fleet to CNG and operates the world-wide largest bus fleet (more than 1200 buses) on this alternative fuel. In a further step, all motor rickshaws and private taxis were converted to CNG. The result is that the traffic related air pollution could be reduced considerably. The operating costs are lower than with conventional fuels due to lower fuel prices (India exploits their own natural gas deposits).

- Introducing new vehicle technologies
New vehicle technologies are available and research is continuing. These include promoting the use of three-way catalysts that can reduce emissions up to 90% per vehicle or particulate filters for diesel vehicles. Other types of vehicles run on electricity and the first prototypes of fuel cell powered cars are under testing. But those only fill a small niche market. Hybrid technology will take an intermediary role before switching to new technologies, such as the hydrogen economy. Installing pollution control equipment like particle traps in vehicles or switching from two-stroke to four-stroke engines that allow the use of catalytic converters, help to reduce pollution.

All of these strategies described above are discussed in detail under TOOL 20 of the toolkit.

Box P: Some Identified Problems as well as Actions Taken in India

Problems:
- 70% of air pollution in India is caused by motor vehicles
- Two stroke engines are the major contributor
- There is low fuel quality with high sulfur content in diesel
- There is a large numbers of old cars (up to 20 years old)
- Mixed modes of transport on the same road reduces speed
- Suspended particulate matter (SPM) is the major pollutant

Actions:

Improved fuel quality, through:

  • The removal of lead by 90%
  • The reduction of sulfur in diesel from 1.5 ppm to 0.25 ppm and now to 0.05ppm in India's capital city, New Delhi. This approach required an investment in refineries.
  • The reduction of benzene from 3% to 1%
  • Introduced new vehicle standards, comparable to European standards, by adopting the Euro 2 norms and aiming for Euro 4 norms by 2007
  • Strengthened inspection and maintenance (I&M) programmes
  • Conversion of 2 stroke engines to CNG and to phase out vehicles which are more than eight years old.

Institutional Arrangements:
- The institutional structure for managing pollution in India involves policy development by
the Ministry of Environment
- The Central Pollution Control Board sets the standards
- The Ministry of Industries sets standards for new vehicles
- The Regional Transport Boards test all vehicles

In developing countries, setting strict standards for newly imported vehicles may help to reduce the already existing problem of vehicle pollution in the city. For further reading on this subject, the following publications are recommended: 'Air Pollution from Motor Vehicles - Standards and Technologies for Controlling Emissions' by the World Bank and 'URBAIR', an urban air quality management strategy guidebook for Asia, also prepared by the World Bank.

Box Q: Successful Conversion to CNG in Cairo

The use of Compressed Natural Gas (CNG) as transportation fuel is increasing rapidly in Egypt. The country has abundant gas reserves and natural gas production is at 1.5 billion cubic feet per day. Egypt has taken advantage of these resources for domestic energy supply. Egypt's CNG is very economically priced. It costs half the price of gasoline. 85% of the vehicles that converted to CNG are used for public transportation. The users are able to fully recover their vehicle conversion costs in as little as six months from fuel savings alone. The commercialization of CNG began in 1994 after demonstration projects in 1992 and 1993. Natural gas vehicles companies operate 16 CNG fueling stations, which sold over 40 million cubic meters in 1999. This is up from 1996 when there were 2 fueling stations selling 800 thousand cubic meters of CNG in Cairo. The success of CNG conversion is attributed to market forces including: favourable customer economics, CNG's environmental contribution to clean air and vehicle performance, and the outstanding encouragement and support for private companies and businesses by the Egyptian Petroleum and Environment Ministries.

b) Managing travel demand and improving transportation supply

Cities cannot continue to expand their urban transportation systems forever. Although some expansion is necessary, the economic, social, and environmental costs of doing so are prohibitive. Instead, cities must re-examine urban transportation demand and devise new strategies that provide maximum access at minimum total cost. The challenge is to expand and improve supply so that automobile transport becomes one part of the transportation system rather than the focus. However, implementation options for discouraging over-reliance on privately owned cars will not work unless people are given an efficient and economic transportation alternative - whether bus, light rail, subway, ferries, walking or cycling. Therefore, improving urban transportation systems will require a combination of policies that reinforce each other and help to avoid adverse side effects. Likewise, the policy to encourage a shift to cleaner alternative fuels should be accompanied by an appropriate pricing policy.
A number of implementation options to reduce excessive travel demand and to create more sustainable transportation systems are discussed in TOOL 20.


2.2.2 Formulating Strategies to Reduce Air Pollution from Industrial Sources

The UNEP report on 'Air Quality Management and Assessment Capabilities in 20 Major Cities' mentions the main strategies to address industrial urban air pollution. The focus is on cities in developing countries. In order to have enough of a basis to formulate strategies that will reduce industrial pollution within the city, it is imperative to have enough information. One would need, for example, information on polluting industries, what type of pollutants are emitted from these industries, what are the trends of the pollutants, and what is currently being done to reduce this trend. It is also important to know if there are any industrial hotspots located within the city. Most of this information should be contained in the city air quality profile developed in the first stage of the process. Another way of obtaining information is through emissions inventories. Emissions inventories are useful quantifications of pollutant emissions over time. They enable better targeting of emissions controls on major sources and source categories. For details on the formation and application of an emissions inventory, please see TOOL 19 of the toolkit. The main strategies for addressing industrial pollution have been summarized in TOOL 21 with the best city examples divided into three categories that are discussed: a) physical planning and zoning, b) promoting pollution control, and c) cleaner production. It contains examples where strategies have been implemented and the advantages and disadvantages.


Strategies for Reducing Industrial Pollution

a) Physical planning and zoning

  • Restricting the location of new industries; vicinity to residential zones or other sensitive areas should be prohibited;
  • Relocation of existing industries away from residential zones if economically viable;
  • Controlling of emissions in sensitive areas, for example by implementing special control areas or smoke-free zones;
  • Area planning - based on emission assessments and air quality objectives, cities can determine what kind of industrial activities and pollution control equipment is required per area (including sensitive areas as well as industrial and commercial areas).
  • Environmental Impact Assessment (EIA) for new major industries in order to assess the environmental impact - in this case, the potential air pollution - of new activities and develop recommendations for improvement in terms of location choice, type of industry and pollution equipment. It is desirable to make the EIA compulsory. The report 'An approach to environmental impact assessment for projects affecting the coastal and marine environment' is a short easy-to-read report explaining the general procedures for EIA (UNEP, 1990). Although it has been developed for coastal water systems, the approach could also be used in the field of air quality.

Box R: Relocation of Major Polluting Industries

As part of measures to reduce lead pollution in Cairo, the main source - the lead smelting activities within the city - was identified. Relocation of lead smelters was accomplished through the support of USAID. In the case of Haiphong, Vietnam, the Environmental Management Strategy identified a cement plant as a major source of suspended particulates. A decision was made by the government to relocate this plant.

b) Promoting pollution control in factories

  • Setting priorities by focusing on pollution control devices for the most serious polluting factories
  • Using best available techniques

It is strongly recommended to focus urban air quality policy on the implementation of best available/affordable techniques for specific industrial processes. The advantage is that local governments can make an action plan for the implementation of best available and/or affordable techniques in cooperation with the industries themselves. Experiences have illustrated that this often results in a realistic action plan generating commitment from all of those involved. Furthermore, it is easier to monitor whether industries have installed pollution control devices than to control their exact emissions.

  • Compulsory notification of accidents
  • Licensing of specified strongly polluting processes
  • Compulsory emission limits

Many developing countries have set emission standards for specific types of industries. However, experience shows that enforcement is often weak; it is thus recommended that this enforcement strategy be combined with the best available/affordable techniques.

  • Setting strict fines for exceeding emission limits

Box S: Pollution from Point Sources Reduction: Shenyang, China

Through broad-based stakeholder involvement, strategies to manage air pollution from point sources were agreed upon and implemented in Shenyang. Among others, these included:

  • Strengthening the monitoring and management of key industrial pollution sources exceeding emission and discharge levels in order to control pollution and meet standards by the deadlines set;
  • Implementing an energy control policy and limiting the total amount of pollutants emitted by strictly controlling the sulphur content of coal;
  • Popularizing cleaner fuels; and
  • Popularizing energy-saving and cost-reducing technologies (e.g. layer-burning for boilers, continuous heating at low temperature, condensed water recovery).

c) Promoting cleaner production (prevention solutions rather then end-of-pipe remedies)

Cleaner production means increasing the efficiency of industrial processes and the use of products to prevent the pollution of air, water, and land; reducing wastes at their source; and minimizing risks to people and the environment. Cleaner production is a way to achieve both environmental protection and economic benefits. By better managing the production process, one can save energy and materials.

In the case of air quality management, the main cleaner production successes have been achieved by improving fuel quality. Examples include restricting the sulphur content of fuels and encouraging the use of cleaner types of fuels (such as natural gas).

Although cleaner production is the most sustainable solution, one should realize that end-of-pipe solutions are still necessary to address industrial air pollution. Many of the end-of-pipe techniques achieve reductions of over 90% in air emissions, something that could hardly be achieved with cleaner production measures alone.

2.2.3 Formulating Strategies to Reduce Indoor Pollution

TOOL 22 gives an overview of strategies that address indoor air pollution. The advantages and disadvantages are explained along four categories, illustrated by some city examples:

  • Improving coal quality by importing better quality coal and by adding an SO2 absorbing agent;
  • Shifting to cleaner fuels;
  • Encouraging the use of cleaner stoves; and
  • Introducing smoke control zones.

2.2.4 Strategies for Reducing Air Pollution Caused by Open Burning of Wastes and Emanating from Natural Sources

In many developing cities, lacking a comprehensive system of waste collection, open burning of waste by city residents is sometimes a major contributor to the city's air quality. At the same time, pollution due to natural sources, such as dust (particulate matter) emanating from open land contribute to the city's air quality situation.

Open burning of waste can produce mixed fumes that are very toxic. In order to address this issue, it is useful to identify areas where burning occurs; to assess the extent of the problem in terms of how many residents practice uncontrolled domestic waste burning; then to assess the adequacy of the city's disposal provisions in these areas; and to improve these facilities and the capacities for waste management, if necessary.

TOOL 23, Managing Air Quality from Natural Resources, provides management options for dealing with air pollution from natural sources. Examples include paving unpaved roads and using street sweeping equipment. The tool also contains examples where these practices have been implemented.

Box T: Means to Control Dust from Wind and Waste Burning

Flying dust carried by the wind can cause high levels of TSP (total suspended particulate) in the air (sometimes up to 50%). Comprehensive means to control such dust pollution include:

  • Adoption of measures to control the stocks of powdery items;
  • Mobilization of resources to gradually adopt the practice of spraying water to clean roads as opposed to the traditional dry cleaning (only where water resources are abundant);
  • Greening of the city and increasing ground cover in the urban areas;
  • Improvement of environmental management at construction sites for reducing dust emissions;
  • Strengthening the enforcement of regulations to control waste burning; and
  • Improvement of municipal waste collection and disposal practices.

2.2.5 Clarifying Issue-Specific Policy Options

Political, administrative, and technical activities are accomplished more effectively when issues are well-defined and narrowly specified. This allows for relevant policy options to be well-prepared. In particular, the clarification of air quality management strategies brings a clearer understanding of the costs and benefits for different stakeholders and of the "trade-offs" for the entire city. This approach provides a basis for reaching a consensus that will be able to build implementable strategies. As part of the process, it is useful for strategies to be articulated and published in the form of both technical and non-technical presentations, maps, and reports.


2.3 Consideration of Implementation Options and Resources

Cities identify what are the available means of implementation and resources in order to agree on realistic strategies. For working groups on air quality management it is valuable to identify the financial resources, technical capabilities, and institutional responsibilities of the various actors that control or could control implementation instruments (see chapter 2.3.1, below). As participants of the working groups receive their mandate from their respective institutions and organizations, they are aware of their own implementation capacities and are able to commit their organizations. By using this structure, working groups can analyse the feasibility of implementation, pinpoint responsibilities, and develop budgets and timeframes for implementing specific action plans (see chapter 2.3.2) .


2.3.1 Actors Controlling Relevant Policy Instruments

It is important to clarify which organizations (public, private or governmental) control relevant implementation instruments and have powers in the field of air quality management. Government agencies that deal with such issues include the ministries of local government, environment, energy, transport, finance, and other government institutions like meteorological departments or government research institutes. Organizations in the public and private sectors that are relevant for air quality management include Nongovernmental Organizations (NGOs), Community-Based Organizations (CBOs), business associations, civic groups, and others.

In order to achieve this clarification, questions that must be asked include:

  • What policies is a particular organization formally responsible for? This can include education and public awareness programmes, economic incentives, legislation (including enforcement), and strategic capital investments.
  • Does this organization have special responsibilities in the field of air quality management?
  • What are their technical capabilities? How many employees do they have and what are their education/expertise levels? What, for example, are the enforcement capabilities of an institution responsible for enforcing environmental standards?
  • How powerful are the actors within the city in relation to actual decision-making?
  • Including their leveraging abilities, what are the financial resources of these actors?
  • Which organizations at the national and provincial levels should be involved in the EPM process to enable effective air quality management? Awareness of this is critical if important responsibilities and policy instruments are not controlled by the city level but by the national or provincial governments (e.g. fuel taxes).

Knowing the actors and their specific responsibilities and capabilities is important in order to involve them in strategy formulation and in the eventual implementation.

2.3.2 Analysing Implementation Feasibility

The implementation feasibility of the strategies selected in chapter 2.1 should be checked with the following criteria:

  • Resource Constraints: The resource generation and mobilization potential should be carefully weighed against the financial implications of implementing the strategies. In assessing the resources, a clear difference between the investment in the strategy and its operational costs must be made.
  • Absorption Capacities: Even if resources are available, the implementation capacity or the ability to effectively spend the resources may not be there. In this case, strategies should be less ambitious or should be modulated and phased to allow for a longer time frame. Questions to be answered include: Is the technical know-how available to implement the strategy? Is additional training necessary? Is there enough labour to carry out the implementation? How are the enforcement capabilities?
  • Responsibilities: Clarify which institutions and organizations will be responsible for the implementation. The implementation plan should be made as transparent as possible and include a clear time frame.

2.4 Building Broad-Based Consensus on Objectives and Strategies

Cities develop common visions that are translated into strategies agreed upon by all stakeholders. Different interests are thus reconciled through conflict resolution and by exploring win-win situations.

Consensus can be built through effective public outreach activities, by holding consultative meetings and mini-consultations, and by keeping key stakeholders informed of the activities of the working group on air quality and inviting them to participate in its activities, thereby providing them a chance to comment and contribute. Continuously involving the stakeholders promotes consensus on the resolutions undertaken and encourages support for the strategies and/or initiatives of the working group to manage the city's air quality.

Box U: The Effective Phase-Out of Leaded Gasoline by Gaining Consensus Among Involved Stakeholders - The Partnership for Clean Fuels and Vehicles Support for Lead Phaseout in Sub Saharan Africa via the Dakar Declaration

The Partnership for Clean Fuels and Vehicles (PCFV) was established at the World Summit on Sustainable Development in September 2002 to reduce vehicular air pollution in developing countries through the promotion of cleaner fuels and vehicles. Poor air quality has direct effects on poverty levels and the health of low income urban populations, especially women and children. The Partnership's Clearing-House is based at UNEP headquarters in Nairobi, Kenya and it provides support globally at the regional, subregional and national levels to promote the use of cleaner fuels and vehicle technology.

The Partnership's support to Sub Saharan Africa (SSA) to eliminate lead from gasoline began in 2002, with the aim of helping countries to meet the regional deadline of complete phaseout by end 2005. To accomplish this objective, the PCFV provides technical, networking, and financial support for the development of national action plans to eliminate lead from gasoline. This is based upon a process initiated by UNEP, USEPA, the World Health Organization, and the World Bank in 2001 in Dakar, Senegal (the Dakar Declaration).

As a result of UNEP PCFV efforts, and those of other international organizations such as the World Bank, the World Health Organization and the USEPA, all of Sub Saharan Africa will be free of leaded gasoline by the end of 2005. Since the Partnership's involvement beginning in 2002, including PCFV-sponsored workshops, national action plans and awareness campaigns, 21 SSA countries have phased out leaded gasoline, and the remaining 28 will do so by the end of 2005. This is significant, given that just three years ago every country in the region was using leaded gasoline. The elimination of lead in gasoline also allows governments and industry to introduce other fuel improvements and cleaner vehicle technology, such as catalytic converters which have the potential to lower emissions by over 90%, lower sulphur levels in diesel fuels (which significantly lowers particulate matter in air), and regionally harmonized fuels standards (such as the Afri-Standards currently under development). All of these additional improvements, made possible by lead phaseout in gasoline, compound the benefits to air quality and human health.

A full listing of national-level support is available on the PCFV website, www.unep.org/pcfv

2.5 Coordinating Air Quality Management Strategies with Existing Strategies

Cities must ensure compatibility among the new environmental strategies prepared and the existing strategies at city or national level. It is essential to take ongoing developments into account. Working groups can only be effective if they coordinate their new strategies with existing plans.

Integration of land use planning with transportation planning and air quality management planning, all of which bear a direct influence on a city's air quality, is an ideal illustration of the need for coordination.

Rapidly growing Chinese cities are especially active in infrastructure construction. In April 2002, Shanghai outlined a transport plan for the next 20 years. Among other things, it envisages increasing arterial road capacity from 2.7 million vehicles km/h to 4.1 million km/h by 2005 and to 6.5 million km/h by 2020. (Embarq 2003). At the same time, initiatives are underway to increase the public transport share through rapid mass transit systems in order to counter-balance the negative air quality effects of the enormous pace of private motorisation. Similar activities are undertaken in Mexico City and Istanbul.

Box V: Conformity between Transport and Air Quality Management Planning in the United States: A Case of Planning Coordination

The US government introduced the policy of transport conformity where air quality planning and transport planning are integrated. The air quality plan seeks to minimize emissions while transport planning seeks to increase mobility. Transport activities are not funded or approved unless they conform to the purpose of the air quality plan. In this conformity, transport activities should not result in:

  • New violations of air quality standards,
  • Worsening of existing violations, and
  • Any delay in the planned improvement of air quality
The transport plan funds transportation control measures in the air quality plan, calculates motor vehicle pollution inventory, and matches the air quality budget. This involves shared data and identical assumptions between the transport and air quality plans to generate realistic measures.

2.6 Action Planning

For any identified air quality issue and subsequent strategies considered, a transparent action plan enhances the chances of successful implementation. Action plans must contain clear time frames indicating what is achievable in the short, medium, and long term.


2.6.1 Developing Action Plans

The development of action plans should be a bottom-up approach involving multi-stakeholder working groups. With information on air quality issues already selected and clarified and strategies identified, the action planning stage should include further categorizing or ranking of strategies based on the following criteria:

  • Possible level of emissions reduction that can be achieved
  • Health benefit associated with strategy
  • Costs and economic feasibility of strategy
  • Social acceptance
  • Technical feasibility
  • Political feasibility
  • Environmental considerations

During action planning, careful consideration should be given to the strategy implementation approach, as far as policy and regulatory instruments accompanying the implementation are concerned. For example, whether a strategy should be implemented through a command and control approach, through certain market-based mechanisms or levels of communication to promote acceptability, or through a combination of these and other factors identified, may depend on a particular local situation. This may involve the following necessary steps (URBAIR, The World Bank, 1997):

1. Preparing an inventory of environmental policy instruments and checking/improving the legislative and institutional frameworks currently in use;

2. Designing an effective, efficient, and feasible package of policy instruments to implement the strategies adopted; and

3. Identifying the legislative, institutional, and financial actions needed to implement the strategy.

Action planning should also take into consideration both the local and global environment and development agenda. Action planning should become as integrated as possible with economic and urban development plans.

A successful action plan will allow a bottom-up, multi-stakeholder participation in its development to enhance transparency and public support. The action plan should also be formulated in a clear and cohesive way to attract legal and funding commitment.

A very important component of action planning is the time frame. Comprehensive action planning must include a clear time frame of what is achievable. It should incorporate achievements in the short, medium, and long term, and it should include indicators and methods for tracking these achievements.

Within the plan, there must be a clear articulation of responsibilities. For example, who is responsible for what activity? This responsibility will involve different actors or stakeholders like the government, popular sector of private business.

Action plans should be as comprehensive as possible. They must take into consideration any likely considerations and be flexible enough to allow for adjustments in the event that these assumptions are not realized.

2.6.2 Agreement on Action Plans

Experience has demonstrated that action plans are most successful when formulated as clear and detailed agreements for coordinated action, describing each agency's or stakeholder's commitment to priority actions within a well-defined timetable. Action plans typically include: allocation of staff, time and resources, use of financial resources for both investment as well as operation and maintenance, detailed geographic focus, and a common system for monitoring the observance of commitments and achievement of action plan objectives.

Box W: The Thai Government Adopting a Sharp Schedule and Clear Deadlines to Phase Out Lead

In 1990, the government set the maximum gasoline lead content at 0.4 grams per litre; in May 1991, unleaded gasoline was introduced; in September 1992, the maximum lead content in all gasoline was lowered to 0.15 grams per litre; by the end of 1995, the use of lead in gasoline was banned altogether. The process was successful because the involved agencies committed themselves to well-defined, actor-specific action plans.

This participatory and consultative process is effective in catalyzing agreements on air quality management strategies and action plans. The action plans may be widely disseminated to other stakeholders not directly participating in its development. Most noticeably this includes dissemination to representatives in the working groups or through consultative meetings. A time frame may be allocated for this consultative process and feedback to allow for mobilization of resources and further commitment.

Box X: Clean Air 2000 Plan - Colombo, Sri Lanka

The Clean Air formulation began with a stakeholder workshop. Besides the foreign participants and resource persons at the workshop, there were over sixty Sri Lankans from a number of government, private, and NGO organizations. One of the outcomes of this short course was the preparation of an action plan to mitigate the deteriorating air quality of the Colombo Metropolitan Region (CMR) by several Sri Lanka participants who formed a task force for this purpose. The plan was given the name 'Clean Air 2000 Action Plan' (CA2AP). The objective of the action plan was to reduce air pollutants in the Colombo Metropolitan Region by the year 2000. Based on a review of the available air quality data and of the available practical control options, the action plan concluded that the following reductions from 1990 ambient levels to be targeted for the year 2000:

  • Particulates (SPM) 40%
  • Carbon Monoxide 40%
  • Oxides of Nitrogen 30%
  • Lead 30%
  • Oxides of Sulfur 75%
  • Hydrocarbons 20%

For complete information on action planning in Colombo, refer to the Annex on the CD on case studies.